PPBE Study Set 2023 with verified questions and answers

What does PPBE stand for? Planning, Programming, Budget, and Execution What is the PPBE process? The PPBE process is focused on the Financial Management and resource allocation for current and future DoD acquisition programs. The process is established by the Secretary of Defense (SecDef) who provides priorities and goals under the main guidance of DoD Directive 7045.14 "PPBE Process" - 25 Jan 2013. What is the Planning Phase? The Planning phase of the PPBE Process is the definition and examination of alternative strategies, the analysis of changing conditions and trends, threat, technology, and economic assessments in conjunction with efforts to understand both change and the long-term implications of current choices. It examines and determines the needs for the DoD for the next 5, 10 and 20+ years into the future from strategic guidance. The Planning Phase is the process for determining what capabilities are needed for the future from strategic guidance The Planning phase of PPBE is a collaborative effort by the Office of the Secretary of Defense and the Joint Staff, in coordination with DoD components. It begins with a resource-informed articulation of national defense policies and ends military strategy known as the Defense/Joint Planning Guidance (DPG). The DPG is used to lead the overall planning process. This process results in fiscally constrained guidance and priorities - for military forces, modernization, readiness and sustainability, and supports business processes and infrastructure activities. The DPG is the link between planning and programming phase and provides guidance to the DoD Components (military departments and defense agencies) for the development of their program proposals, known as the Program Objective Memorandum (POM). [1] What is the DPG? Defense/Joint Planning Guidance (DPG) The DPG reflects the President's National Security Strategy (NSS), the SECDEF's National Defense Strategy (NDS), and the Chairman's National Military Strategy (NMS). It also reflects results of the Quadrennial Defense Review (QDR), and the annual Chairman's Program Recommendations (CPR). [1] What is Programming? The Programming Phase defines and analyzes alternative force structures, weapon systems, and support systems together with their multi-year resource implications and the evaluation of various tradeoff options. The Programming Phase is the process for balancing and integrating resources among the various programs according to certain priorities. The Programming Phase begins with the development of a Program Objective Memorandum (POM) and Budget Estimate Submission (BES) by each DoD Component. This development seeks to construct a balanced set of programs that respond to the guidance and priorities of the Defense Planning/Programming Guidance within fiscal constraints. When completed, the POM provides a fairly detailed and comprehensive description of the proposed programs, including a time-phased allocation of resources (forces, funding, and manpower) by program projected six years into the future. In addition, the DoD Component may describe important programs not fully funded (or not funded at all) in the POM, and assess the risks associated with the shortfalls. [1] After the POM is developed, senior leadership in OSD and the Joint Staff review each POM to help integrate the DoD Component POMs into an overall coherent defense program. In addition, the OSD staff and the Joint Staff can raise issues with selected portions of any POM, or any funding shortfalls in the POM, and propose alternatives with marginal adjustments to resources. Issues not resolved at lower levels are forwarded to the Secretary for decision, and the resulting decisions are documented in the Resource Management Decision (RMD). Describe the Budgeting Phase. The Budgeting phase of the PPBE Process includes formulation, justification, execution, and control of an organizations or programs budget. The primary purpose of the Budgeting phase is to scrutinize the first one or two years of a programs budget to ensure efficient use of resources and to produce a DoD budget request that can be effectively defended before Congress. The budget is a comprehensive financial plan that encompassing the totality of federal receipts and outlays (expenditures). The Budgeting Phase is the process for convincing OSD and Congress to provide the necessary resources and then balancing the checkbook to ensure the resources are spent in accordance with the law The budgeting phase of PPBE occurs concurrently with the programming phase; each DoD Component submits its proposed budget estimate simultaneously with its Program Objective Memorandum (POM). The budget converts the programmatic view into the format of the congressional appropriation structure, along with associated budget justification documents. The budget projects resources only two years into the future, but with considerably more financial details than the POM. Upon submission, each budget estimate is reviewed by analysts from the office of the Under Secretary of Defense (Comptroller) and the Office of Management and Budget (OMB). Their review ensures that programs are funded in accordance with current financial policies, and are properly and reasonably priced. The review also ensures that the budget documentation is adequate to justify the programs presented to the Congress. Typically, the analysts provide the DoD Components with written questions in advance of formal hearings where the analysts review and discuss the budget details. After the hearings, each analyst prepares a decision document (known as a Resource Management Decision (RMD) for the programs and/or appropriations under his or her area of responsibility. The RMD proposes financial adjustments to address any issues or problems identified during the associated budget hearing. The RMDs are staffed for comment and forwarded to the Deputy Secretary of Defense for decisions. These decisions are then reflected in an updated budget submission provided to the OMB. After that, the overall DoD budget is provided as part of the President's Budget request to the Congress. [1] Describe the Budgeting Process. The budget process consists of four (4) phases. [1] Submission of budget estimates to the Office of Budget (FMB) by Budget Submitting Offices (BSOs) throughout the Department of Defense (DoD) for review and final approval by the Secretary of the (Navy, Air Force and Army). Submission of budget estimates by the Service Component to the Office of the Secretary of Defense (OSD) and the Office of Management and Budget (OMB) for review and final approval by the Secretary of Defense (SECDEF) and the President. Submission of budget estimates by the President to the Congress for its review and approval. Enactment of appropriations by the Congress and execution of these appropriations Phase #1 - Submission of budget estimates to the Office of Budget (FMB) Within each service component the development of estimates to support the President's budget occurs during the service component and the OSD/OMB budget reviews. These events take place during specific timeframes. The first phase consists of the submission of budget estimates to FMB by Budget Submitting Offices (BSO) throughout the DoD for review and final approval by the secretary of each service component. After a detailed review of these exhibits, subsequent Program Objective Memorandum (POM) changes (if any), a question and answer phase normally takes place and FMB budget analysts may request additional information prior to issuing adjustments to the BSOs' budgets (marks) in the form of issue papers to the respective BSOs, appropriation and resource sponsors. If any recipients disagree with the recommendations contained in the adjustments, they are permitted to submit reclamas or issue paper comments stating their position. Final FMB adjustments (decisions) are then incorporated into the budget submission. [1] Phase #2 - Submission of budget estimates to the SECDEF The second phase is the submission of budget estimates by the each service component to OSD and OMB for review and final approval by SECDEF and the President. The OSD and OMB budget staffs review these exhibits and conduct hearings to gather additional information. These staffs then prepare Program Budget Decisions (PBD) and Management Initiative Decisions (MIDs) that are ultimately signed by the SECDEF, the Deputy SECDEF or the Under SECDEF (Comptroller) (USD(C)). These PBDs/MIDs are reviewed in draft form by all interested. If appropriate, a program office position is forwarded by the Assistant SEC for Financial Management and Comptroller in a formal coordination document. After consideration of the Department's position, the PBD/MID is signed. [1] Phase #3 - Submission of budget estimates by the President to the Congress The third phase is the submission of budget estimates by the President to the Congress for its review and approval. [1] Final Phase #4 - Enactment of appropriations by the Congress and execution of these appropriations The final phase is the enactment of appropriations by the Congress and execution of these appropriations. Congress reviews the President's budget and authorizes and appropriates funds for various purposes, timeframes and amounts. The President's budget as modified by Congress, becomes the basis for the financial plan for each agency. Authorization Acts establish the purpose and guidelines for a given activity and the maximum amounts that may be appropriated, however they do not convey obligational authority. Appropriations Acts provide us with the budget authority to enter into obligations that will result in immediate or future outlays involving Government funds (i.e., to commit, obligate and expend funds). [1] What is the Execution Phase? The Execution phase is the real world application of the Planning, Programming, Budgeting and Execution (PPBE) Process. The execution review occurs simultaneously with program and budget reviews. The execution review provides feedback to the senior leadership concerning the effectiveness of current and prior resource allocations. Over time, metrics are being developed to support the execution review that will measure actual output versus planned performance for defense programs. To the extent performance goals of an existing program are not being met, the execution review may lead to recommendations to adjust resources and/or restructure programs to achieve desired performance goals. [1] Several events must take place before the DoD can execute its program: The President signs the Authorization and Appropriations bills passed by the Congress OMB must apportion the appropriations providing obligation/budget authority The Department of the Treasury must issue a Treasury Warrant providing cash Program authority must be released by the Under Secretary of Defense (Comptroller) Finally, all these authorities must be loaded into the Program Budget Accounting System (PBAS) Describe the Budget Preparation Schedule. February: Future Year Defense Program (FYDP) Updated April: DoD Send Defense Planning Guidance (DPG) to Services 30 July: Services submit Program Objective Memorandum (POM) and Budget Estimate Submission (BES) to OSD, CAPE and OMB for Review (FYDP Updated) October - December: Joint OMB-OSD review leading to Resource Management Decision (RMD) December: DoD Budget Request sent to OMB 1st Monday of February: Presidents Budget due to Congress ______________________________________________ 1st Monday of February: Presidents Budget due to Congress February: Future Year Defense Program (FYDP) Updated April: DoD Send Defense Planning Guidance (DPG) to Services 30 July: Services submit Program Objective Memorandum (POM) and Budget Estimate Submission (BES) to OSD, CAPE and OMB for Review (FYDP Updated) October - December: Joint OMB-OSD review leading to Resource Management Decision (RMD) December: DoD Budget Request sent to Office of Management and Budget (OMB) What is POM? A Program Objective Memorandum (POM) is a recommendation from the Services and Defense Agencies to the Office of the Secretary of Defense (OSD) concerning how they plan to allocate resources for a program(s) to meet the Service Program Guidance (SPG) and Defense Planning Guidance (DPG). The POM covers the 5-year Future Year Defense Program (FYDP) and presents the Services and Defense Agencies proposal on how they will balance their allocation of available resources. The POM includes an analysis of missions, objectives, alternative methods to accomplish objectives, and allocation of resources. The services submit their combined POM and Budget Estimate Submission (BES) on 30 July. A programs initial POM is developed during the Materiel Solutions Analysis (MSA) Phase. The Initial Technical Review (ITR) is a technical review conducted during the MSA Phase to support a program's initial POM submission. What is the BES? The Budget Estimate Submission (BES) is the two year DoD component's budget submissions to the Office of the Secretary of Defense (OSD) showing budget requirements for inclusion in the DoD budget during the Planning, Programming, Budgeting, and Execution (PPBE) process. The DoD components, in the even years, prepare their combined Program Objectives Memorandum (POM) and Budget Estimate Submission (BES). The POM and BES update the Future Years Defense Program (FYDP). The BES covers two years (such as FY 12 and FY 13). During the odd years, services only submit changes to the previous year's combined POM and BES. Changes to the POM are known as Fact of Life Changes (FoLCs), while changes to the BES are known as Change Proposals (CPs). What is the OSD? The Office of the Secretary of Defense (OSD) is the principal staff element of the Secretary of Defense in the exercise of policy development, planning, resource management, fiscal, and program evaluation responsibilities.OSD includes the immediate offices of the Secretary and Deputy Secretary of Defense, Under Secretaries of Defense, Director of Defense Research and Engineering, Assistant Secretaries of Defense, General Counsel, Director of Operational Test and Evaluation, Assistants to the Secretary of Defense, Director of Administration and Management, and such other staff offices as the Secretary establishes to assist in carrying out assigned responsibilities. What is the NSS? The National Security Strategy (NSS) is a document prepared periodically by the executive branch of the government of the United States for Congress which outlines the major national security concerns of the United States and how the administration plans to deal with them. The legal foundation for the document is spelled out in the Goldwater-Nichols Act. The document is purposely general in content and its implementation relies on elaborating guidance provided in supporting documents (including the National Military Strategy. [1] The Joint Capabilities Integration and Development System (JCIDS) Process and PPBE Process plays a key role in identifying the capabilities required by the warfighters to support the National Security Strategy and the National Defense Strategy (NDS). The NSS lists America's enduring interests as: The security of the United States, its citizens, and U.S. allies and partners; A strong, innovative, and growing U.S. economy in an open international economic system that promotes opportunity and prosperity; Respect for universal values at home and around the world; and An international order advanced by U.S. leadership that promotes peace, security, and opportunity through stronger cooperation to meet global challenges. What is the QDR? The Quadrennial Defense Review (QDR) is a legislatively-mandated review of Department of Defense strategy and priorities. The QDR sets the long-term course for DoD by assessing the threats and challenges that the nation faces and re-balancing DoD's strategies, capabilities, and forces to address today's conflicts and tomorrow's threats. [1] The QDR embodies and builds on the 2012 Defense Strategic Guidance priorities, preparing for the future by rebalancing our defense efforts in a period of fiscal constraint. It advances an updated strategic framework emphasizing three pillars: [2] Protect the homeland: to deter and defeat attacks on the United States and to mitigate the effects of potential attacks and natural disasters. Build security globally: to preserve regional stability, deter adversaries, support allies and partners, and cooperate with others to address common security challenges. Project power and win decisively: to defeat aggression, disrupt and destroy terrorist networks, and provide humanitarian assistance and disaster relief. To support these pillars, the QDR establishes DoD's force planning construct to ensure U.S. forces are sized to conduct key types of operations in overlapping timeframes. At the President's budget level, the U.S. military will be able simultaneously to: [3] Defend the homeland; Conduct sustained, distributed counterterrorist operations; and Deter aggression and assure allies in multiple regions through forward presence and engagement. What is the NMS? The National Military Strategy (NMS) supports the aims of the National Security Strategy (NSS) and implements the National Defense Strategy (NDS). It describes the Armed Forces' plan to achieve military objectives in the near term and provides the vision for ensuring they remain decisive in the future. It provides strategic direction on how the Joint Force should align the military ends, ways, means, and risks. The NMS is not a required document like the NSS and NDS. [1] What is the DPG? The Defense Planning/Programing Guidance (DPG) is used to lead the overall Planning Phase of the Planning, Programming & Budget Execution (PPBE) Process. The DPG reflects the President's National Security Strategy (NSS), the SECDEF's National Defense Strategy (NDS), and the Chairman's National Military Strategy (NMS). It also reflects results of the Quadrennial Defense Review (QDR), and the annual Chairman's Program Recommendations (CPR). [1] The DPG provides guidance in the form of goals, priorities, and objectives, including fiscal constraints, for the development of each Military Departments Program Objective Memorandum (POM) and Budget Estimate Submissions (BES).