including the Planning, Programming, Budgeting, and Execution System, DoD Instruction 5000.02, the Air Force Acquisition Improvement Plan, the Joint Capabilities Integration and Development System, and DoD and Air Force competitive prototyping policies to comprehend their impact on the execution of pre-program of record technology development efforts” (for the full statement of task, see Box 1-1 in Chapter 1). The descriptions in the following subsections summarize the above policies and processes. Table 2-1 lists the current policies and processes, as well as their unintended consequences or shortfalls. A more comprehensive discussion of these policies and processes is provided in Appendix C.

Planning, Programming, Budgeting, and Execution System

In the planning phase of the Planning, Programming, Budgeting, and Execution System (PPBES), the Office of the Secretary of Defense (OSD) and the Joint Staff collaboratively articulate national defense policies and military strategy in the Strategic Planning Guidance (SPG).2 The result is a set of budget-conscious priorities for program development (military force modernization, readiness, and sustainability; and supporting business processes and infrastructure), which is promulgated in the Joint Programming Guidance (JPG).

The next phase of the PPBES, programming, begins with the writing of the Air Force Program Objective Memorandum (POM). The POM balances program budgets as set down in the JPG. The third phase, budgeting, happens concurrently with the programming phase. Each DoD department and agency submits its budget estimate with its POM. The DoD departments and agencies then convert their program budgets into the congressional appropriation structure format and submit them, along with justification. The budget forecasts only the next 2 years, but with more detail than the POM. Execution is the responsibility of the individual services. The Planning, Programming, Budgeting, and Execution (PPBE) process is a very high level strategic process, and as such it addresses preacquisition technology development only indirectly.3

Department of Defense Instruction 5000.02

Although DoD Instruction 5000.02 discusses the preacquisition phase, it provides little “how-to” guidance, nor does it provide any formal direction regarding


Abstracted from the Defense Acquisition Web site. Available at Accessed August 10, 2010.


Thomas Thurston, Program Manager, PPBE Processes and Training Programs, Science Applications International Corporation (SAIC). 2010. “PPBE Executive Training.” Presentation to the committee, April 21, 2010.

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