I/3 Budget Component Development
Creation and Maintenance
of
Performance Plan
Hierarchies
TABLE OF CONTENTS
INTRODUCTION .............................................................................................................. 2
SET-UP of AGA ELEMENTS.................................................................................... 4
AGENCY SCREENS...................................................................................................... 5
Mission Statement.............................................................................................................. 5
Core Functions .................................................................................................................... 7
Services, Products and Activities ................................................................................... 8
Sub - SPAs ......................................................................................................................... 10
Performance Measures.................................................................................................... 12
Performance Plan Hierarchies....................................................................................... 15
Performance Measure Values ....................................................................................... 25
USING I/3 PERFORMANCE BUDGET FOR PERFORMANCE
TRACKING ......................................................................................................................... 29
REPORTING YEAR END ACTUALS............................................................... 29
REPORTING VALUES DURING THE YEAR............................................. 31
EDITING SCREENS ..................................................................................................... 33
UPDATING PERFORMANCE HIERARCHIES ....................................... 34
DATA RETENTION ...................................................................................................... 38
1
INTRODUCTION
The purpose of this manual is to assist agencies in creating a performance plan hierarchy as part
of the I/3 budget component development process. Though a brief overview is presented, the
majority of this document outlines the procedures for entering and maintaining an agency’s
hierarchy in the software to link budget to performance.
Results-Based Budgeting Overview
The objective of results-based budgeting is to provide a link between what Iowa does, how well
Iowa does it, and how much it costs. The I/3 budget system provides this link. It serves as a
store of key performance measures data at the macro “core function” level and the “SPA” level,
and provides reporting and analytical tools.
Performance Plan Hierarchies
As a direct result of the Accountable Government Act, every state agency has created a
performance plan. Based on each agency’s mission, the performance plan outlines the core
functions of the agency as well as the services, products and activities (SPAs) engaged in to
fulfill those core functions. For a detailed description and the process for developing
performance plans, see the Guide for Agency Performance Planning.
It is the hierarchy (structure) of an agency’s performance plan that is used in the I/3 budget
process and software. Though the performance planning process allows for development of
detail below the SPA level, entering of detail below the SPA level of a performance plan is left
to the discretion of each agency.
Performance Plan Structure Utilized in I/3 Budget Component
Agency Mission
Core Functions (CF)
Services, Products and Activities (SPAs), and
Sub-SPAs (agency option).
Each level of the structure has one or more measures and targets attached, (e.g., each core
function may have one or more measures and numeric targets associated with it). Dollars,
through the existing budget organization structure, are tied to SPAs.
Specific relationships are outlined below:
 Attach multiple CFs to an agency
 Attach multiple SPAs to a CF
 Attach multiple measures to a SPA or CF
 Attach a target to each measure
 Attach multiple orgs to a SPA
2

Attach multiple SPAs to an org (i.e. subdivide organization by %)
The relationships are established through a hierarchy built in the budget system. Correlations to
chart of account elements occur through the performance plan field.
For I/3 Financial and I/3 Budget document coding, a core function (CF) and services, products
and/or activities (SPA) need to be inferred for every organization that requires measures. These
functions are part of a rollup that summarizes the core function.
An Inference Table is laid out as follows, where budget fiscal year, agency, organization and
core function are primary key fields.
Inference Table Layout
Budget FY
04
04
Agency
532
532
Organization
(Budget Unit)
1000
2000
Core Function
01
05
The core function hierarchy appears as follows:
Function Hierarchy Layout
Core Function
01
01
05
05
Service, Product, Activity
01100
01200
05100
05200
The coding format for core function measures, services/products/activities/, subservices/products/activities and the performance measures attached to these items follows, where
the first 3 digits are the agency number, the core function is the 2-digit CF number, the 5 digits
are the SPA with the CF code as the first 2 digits, the sub-SPA code adds 2 digits to the SPA
code, and the final 3 digits are the performance measure code. Codes must be established prior
to entering the AGA elements in the application.
Coding Structure Example
Item
Core Function Measure
SPA
SPA measure
Sub-SPA
Sub-SPA measure
Code Structure
379_16_001
379_16100
379_16100_001
379_1610001
379_1610001_001
Example: The code of 379_16100_001 listed in the example above denotes
measure 001, for SPA 16100, attached to core function 16, for agency
379.
3
SET-UP of AGA ELEMENTS
The modules for creating and maintaining performance budgeting including core functions,
SPAs, measures, and performance plans reside in the Performance Budgeting menu under the
Reference Data menu on the Advantage Performance Budgeting page.
To locate Performance Budgeting,
1) open the application (see Screen Shot 1),
2) click on Performance Budgeting.
Screen Shot 1 – Advantage Performance Budgeting (Home Page)
“AMS Proprietary & Confidential”
Performance Budgeting contains the menu selections needed to enter and maintain all of the
required performance measures and plan components of the AGA. (see Screen Shot 2)
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Screen Shot 2 – Performance Budgeting
“AMS Proprietary & Confidential”
AGENCY SCREENS
The next section of this manual takes you through the screens used to set up the elements used to
build the hierarchy. The elements of agency mission; services, products and activities; subservices, products and activities (optional); and performance measures are created and then built
into the performance plan (hierarchy) and into performance measure values definitions.
Detailed information about each of these screens/elements follows. These screens are presented
in the order of entry. In other words, it is recommended that an agency enter data into I/3 in the
sequence presented here. Failure to follow the sequence could result in the inability to perform
certain tasks in set-up.
Agencies do not use screens for Core Functions, Annual Core Functions, Performance Measure
Types, or Performance Measure Classes when establishing their AGA components. These are
system maintenance screens used by the system administrator in the Iowa Department of
Management (IDOM).
Mission Statement
Each agency must have a mission statement, the broad comprehensive statement of the agency’s
purpose. The mission statement should be identical to that submitted in the agency strategic plan
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and performance plan. Agencies should periodically review this information and make any
needed changes.
The mission statement code will be entitled: agency number _ (underscore) 3-letter agency
abbreviation (in all capital letters), without spaces. These codes are provided by the Department
of Management. Screen Shot 3 shows an example of a completed Performance Mission screen.
Each agency will also have a special department mission statement. This is the mission
statement for your special department. In a majority of cases, it will be exactly the same as the
agency mission. Exceptions include agencies with divisions that operate semi-independently,
such as the Department of Education, Department of Inspections & Appeals, and Department of
Commerce. The special department mission will appear in the budget book, and has been copied
over from the old budget system by the Department of Management; agencies do not enter the
special department codes and text. The code of the special department mission statement is the
3-digit special department number and the letters SD immediately following -no spaces or
underscores, (e.g., 450SD.)
Screen Shot 3 – Agency Mission (Performance Mission)
“AMS Proprietary & Confidential”
To add an agency performance mission, follow the steps below.
1. From the Performance Budgeting Menu, click on Performance Missions.
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2. Select New.
3. Enter the agency 3-digit code, underscore, agency abbreviation in all capital letters.
4. Tab past Partition to Security Organization. Click on Security Organization to get to
the drop-down choices. Click on Search. Select your agency number. You may bypass
the search function by typing your 3-digit agency number directly into the field.
5. Tab to Name and enter the agency name followed by the words, “Mission Statement.”
6. Tab to Short name. This is the name that may appear in other I/3 budget application
screens or be used for ad hoc reporting. You have 12 characters to use in this field,
including spaces.
7. Type in Initiator, which for Mission will be the agency director’s name.
8. Tab to the Comment field. If there is additional information to be entered, do so here.
Otherwise, this field is optional and you may tab past it.
9. Expand Performance Mission Detail Information by clicking on it or by clicking on
Expand All located directly below the “Save” button. Type the agency mission
statement in the Mission Text field.
10. Save your entries using the Save button.
11. Return to the Performance Budgeting main menu by clicking on the heading at the top
of the screen.
Mission Statement Field Layout
System
Iowa
Description
Required
Required
Mission statement code.
R*
R
Active is checked if the item is available to R
R
users of the system. De-selecting Active
makes the item inactive and unavailable to
system users. Active is the default.
Partition
Not in use at this time.
O
N
Security
Click on the link to search for security
R
R
Organization
organization.
Name
Mission statement name.
O
R
Short Name
Mission statement name that will be used
O
R
for FSQs and some reporting.
Initiator
Text field to track initiator of mission
R
R
statement.
Comment
Comment section. Used for additional
O
O
detail if desired.
Mission Text
Text field for mission statement.
R
R
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Active
Field
Length
20
N/A
N
60
12
50
255
2000
Core Functions
A core function is a group of services, products and/or activities designed to achieve a common
result(s) necessary to achieve the agency mission. In Performance Planning, core function is the
level directly under agency mission. Core functions have already been entered into the software,
so it is not necessary for you to enter them. Core functions for an agency are selected and
incorporated into the Performance Plan Hierarchy. This process is explained in detail in a later
section of this manual.
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Services, Products and Activities
Services, Products and Activities are the key things that must be done or produced to achieve the
desired outcome. Each agency must identify the services, products and/or activities that relate to
the core functions of its department. These will be identical to the service, products and
activities listed in the Agency Performance Plan.
Services, products and activities are developed and maintained in the I/3 Budget by each agency.
The service, product and activity code is the 3-digit agency code, an underscore, and 5 additional
digits (numeric) defined by the agency, with the first 2 digits being the core function code the
SPA is directly linked to. Screen Shot 4 is an example of a completed screen.
Screen Shot 4 – SPAs
“AMS Proprietary & Confidential”
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To add services, products or activities, follow the steps below.
1. Select Services, Products and Activities (SPAs) from the Performance Budgeting menu.
2. Select New.
3. Tab to Code. Enter the code for the SPA, the 3-digit agency code, underscore, 5 digits to
distinguish the SPA.
4. Tab past Partition to Security Organization. Click on Security Organization to get to
the drop-down choices. Click on Search. Select your agency number. You may bypass
the search function by typing your 3-digit agency number directly into the field.
5. Tab to Name. Type in the name of the SPA. You have 60 characters to use in this field,
including spaces.
6. Tab to Short Name. This is the name that may appear in other I/3 Budget application
screens or be used for ad hoc reporting. You have 12 characters to use in this field,
including spaces.
7. Tab to Initiator. Type in the name of the person or organizational unit responsible for
maintaining the SPA in the system.
8. Tab to the Comment field. If there is additional information to be entered, do so here.
Otherwise, this field is optional and you may tab past it.
9. Expand Detail Information by clicking on it or on Expand All. Enter the definition of
the SPA in the Definition field. You have 2000 characters to use here, including spaces.
10. Tab to Review Level. Type in the name of the individual or organizational unit
responsible for reviewing the SPA or authorizing changes.
11. The remaining fields are used for discontinuing the use of a SPA. Editing and changing
information is covered in a later section of the manual.
12. Click on Save.
13. Either return to the Performance Budgeting main menu by clicking on the heading at
the top of the screen or continue adding SPAs by repeating steps 1 through 12.
Questions about services, products and activities should be directed to IDOM staff. For
additional guidance on services, products and activities, consult the Guide for Agency
Performance Planning.
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Services, Products and Activities Field Layout
System
Iowa
Description
Required
Required
Service, product, activity code
R
R
Active is checked if the item is
R
R
available to users of the system.
De-selecting Active makes the
item Inactive and unavailable to
system users. Active is the
Default.
Partition
Not in use at this time
N
N
Security Organization
Click on the link to search for
R
R
security organization.
Name
Service, product, activity name
O
R
Short Name
Service, product, activity name
O
R
that will be used for FSQs and
some reporting.
Initiator
Text field to track initiator of
R
R
service, product, activity
Comment
Comment section. Used for
O
O
additional detail if desired.
Definition
Text field for service, product,
O
R
activity definition
Review Level
Text field to track reviewer of
R
R
service, product, activity
Terminated Indicator
Indicator to designate if service, O
O
product, activity has been
completed or discontinued.
Fiscal Year Terminated
Number field to designate year
O
O
in which the service, product or
activity was completed or
discontinued.
Reason Terminated
Reason for discontinuing or
O
O
terminating service, product,
activity
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Active
Field
Length
20
N/A
N/A
N/A
60
12
50
255
2000
50
N/A
4
255
Sub - SPAs
Sub-SPAs are the services, products and activities that represent the component parts of a given
SPA. Sub-SPAs may be tracked in the I/3 Budget system at the agency’s discretion. Each
agency can identify sub-services, products and/or activities, and is responsible for developing
and maintaining the data in the system. There is no link to the budget for sub-SPAs.
Sub-SPA codes are developed in a manner similar to that used for developing SPA codes. The 3digit agency number, underscore, then 7 digits. In order to link the sub-SPA to its relevant SPA,
the first 5 digits of the 7-digit sub-SPA code are the same as the last 5 digits of the SPA code to
which it is linked. Screen Shot 5 is an example of a sub-SPA linked to SPA 379_64902.
10
Screen Shot 5 – Sub-SPAs
“AMS
Proprietary & Confidential”
For additional guidance on developing sub-services, products and activities, consult the Guide
for Agency Performance Planning.
To add sub-services, products or activities, follow the steps below.
1. Select Sub-Services, Products and Activities (sub-SPAs) from the Performance
Budgeting menu.
2. Select New.
3. Tab to Code. Enter the code for the sub-SPA, the 3-digit agency code, underscore, and 7
digits to align the sub-SPA to its SPA.
4. Tab past Partition to Security Organization. Click on Security Organization to get to
the drop-down choices. Click on Search. Select your agency number. You may bypass
the search function by typing your 3-digit agency number directly into the field.
5. Tab to Name. Type in the name of the sub-SPA. You have 60 characters to use,
including spaces.
6. Tab to Short Name. This name may appear in other I/3 Budget application screens or be
used in ad hoc reporting. You have 12 characters to use here, including spaces.
7. Tab to Initiator. Type in the name of the person or organizational unit responsible for
maintaining the sub-SPA in the system.
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8. Tab to the Comment field. If you have additional information you want to enter, do so
here. Otherwise, this field is optional and you may tab past it.
9. Expand Detail Information by clicking on it or on Expand All. Enter the definition of
the sub-SPA in the Definition field. You have 2000 characters to use here, including
spaces.
10. Tab to Review Level. Type in the individual or organizational unit responsible for
reviewing the sub-SPA or authorizing changes.
11. Click on Save.
Either return to the Performance Budgeting main menu by clicking on the heading at the
top of the screen or continue entering sub-SPAs by following steps 1 through 11.
Sub-Services, Products and Activities Field Layout
System
Iowa
Description
Required
Required
Sub-Service, product, activity
R
R
code
Active
Active is checked if the item is R
R
available to users of the
system. De-selecting Active
makes the item Inactive and
unavailable to system users.
Partition
Not in use at this time
O
N
Security Organization
Click on the link to search for
R
R
security organization.
Name
Sub-Service, product, activity
O
R
name
Short Name
Sub-Service, product, activity
O
R
name that will be used for
FSQs and some reporting.
Initiator
Text field to track initiator of
R
R
sub-service, product, activity
Comment
Comment section. Used for
O
O
additional detail if desired.
Definition
Text field for sub-service,
O
R
product, activity definition
Review Level
Text field to track reviewer of
R
R
sub-service, product, activity
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Field
Length
20
N/A
N/A
60
12
50
255
2000
50
Performance Measures
In order to comply with the Accountable Government Act (AGA), the State needs to fulfill
several requirements that specifically relate to performance measures. The State needs a central
repository for key measures to assign to budgeted funds. The State needs the ability to
document, track and report on measures in a consistent manner. These requirements build upon
the current process of including performance measures in the Budget System.
12
Performance measures are numbers or mathematical expressions that document input, output,
efficiency, quality or outcome. Each agency must identify performance measures that relate to
its core functions and its services, products and activities. In addition, if an agency chooses to
use sub-SPAs, performance measures need to be identified for these as well.
The actual values for performance measures are entered in Performance Measures Values
Maintenance screens in Performance Budgeting. These are entered strictly as numbers only; no
special characters, such as %, can be entered. Therefore, it is important to develop short names
(12 characters in length) and definitions that will help you and others interpret the numbers that
appear in reports.
Performance measures will be developed and maintained by the agency. Performance measure
codes will be assigned according to the level they are placed in the hierarchy, and are designated
by 3 digits attached to either a core function code, a SPA code or a sub-SPA code. Screen Shot 6
shows an example of a completed Performance Measures screen.
Screen Shot 6 – Performance Measures
“AMS Proprietary & Confidential”
13
To add performance measures, follow the steps below.
1. Select Performance Measures Maintenance from the Performance Budgeting menu.
2. Select New.
3. Tab to Code. Enter the code for the measure, making sure that you are relating it to the
appropriate core function, SPA or sub-SPA.
4. Tab past Partition to Security Organization. Click on Security Organization to get to
the drop-down choices. Click on Search. Select your agency number. You may bypass
the search function by typing your 3-digit agency number directly into the field.
5. Tab to Name. Type in the name of the measure. This is the actual measure. This is the
name that will appear in all standard reports and be directly correlated with the measure
value, e.g., target or actual. This will help those who use reports interpret the numbers
(measure values) that appear. You have 60 characters to use, including spaces.
6. Tab to Short Name. This is name that will appear in other I/3 Budget application
screens that reference performance measures, e.g., Performance Measure Values
Definitions screen. You have 12 characters to use here, including spaces.
7. Tab to Initiator. Type in the name of the person or organizational unit responsible for
maintaining the performance measure in the system.
8. Tab to the Comment field. If there is additional information to be entered, do so here.
This could include information about the data source, special characteristics of the data,
or limitations. Otherwise, this field is optional and you may tab past it.
9. Expand Detail Information by clicking on it or on Expand All. Tab to Review Level.
Enter the name of the individual or organizational unit responsible for reviewing the
measure or authorizing changes.
10. Enter the definition of the measure in the Definition field. Be as precise as possible in
the definition, as this will be the source reports will use to identify your measure.
Generally, you should enter the formula and, if you wish, the data source for the measure.
You have 2000 characters to use here, including spaces.
11. Tab to Performance Measures Class. If this measure is one of the two to three
measures that your agency has selected for inclusion in the Budget Book, enter a 2,
otherwise enter 1.
12. Click on the Performance Measures Type to bring up the list of measures types. Click
on Search, and select the appropriate measure type.
13. Tab to Time Period, and enter the time period used for reporting the data. The most
common units are SFY (state fiscal year), FFY (federal fiscal year), CY (calendar year),
or decennial (every 10 years).
14. At the top of the screen is a box for measures that are included in your agency’s portion
of the Results Website maintained by the Department of Management. If this measure is
to be included, click to place a check in the white box next to Results Website Measure.
15. Click on Save.
Either return to the Performance Budgeting main menu by clicking on the heading at the
top of the screen or continue entering new performance measures following steps 1 through
15.
All measures need the Performance Measures Type. If you have questions about how to select
the appropriate type for a measure, consult the AGA guidebook, Performance Measures.
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Performance Measures Field Layout
System
Iowa
Description
Required
Required
Performance measures code.
R
R
Active is checked if the item is
O
R
available to users of the system.
De-selecting Active makes the
item inactive and unavailable to
system users.
Results Website Measure
Check box to indicate this
O
R
measure is reported on the
Results Website.
Partition
Not in use at this time.
O
N
Security Organization
Click on the link to search for
R
R
security organization.
Name
Performance measures name.
O
R
Short Name
Performance measures name
O
R
that will be used for FSQs and
some reporting.
Initiator
Text field to track initiator of
R
R
performance measures.
Comment
Comment section. Used for
O
O
additional detail if desired.
Review Level
Text field to track reviewer of
R
R
performance measures.
Definition
Text field for performance
R
R
measures definition.
Performance Measure Class
Click on the link to search for
R
R
class.
Performance Measures Type
Performance measures unit and
R
R
type to be assigned to the
measure.
Time period
Calendar year, state fiscal year,
O
R
federal fiscal year or other time
period that applies to the
measure.
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Active
Field
Length
20
N/A
N/A
N/A
60
12
50
255
50
NA
2000
N/A
30
Performance Plan Hierarchies
Performance plan hierarchies establish the relationship among the various plan elements.
Multiple hierarchies can be created, although each hierarchy must start with one element.
Examples of hierarchies may include State with core functions; agency with core functions,
measures and SPAs; etc. Discussion on hierarchies was provided in the Introduction section of
this manual.
15
It should be noted that some of the terminology on the screen used to build the hierarchy does
not directly match the terminology used for the performance plan elements being entered into the
system. The chart below denotes the differences.
Software/Performance Plan Term Translations
I/3 Software
Performance Plan
Performance Mission (MI)
Agency Mission
Core Functions (GO)
Core Functions (CF)
Services, Products, Activities (OB)
SPAs (SPA)
Sub Services, Products, etc. (SO)
Sub-SPAs (SS)
Performance Hierarchy
Performance Plan
Step 1. Establishing the Agency-level Hierarchy.
The first step is to establish an agency and its mission.
1. Select Performance Plan from the Performance Budgeting menu.
2. Select New.
3. Tab to Code. Enter the 3-digit agency number, underscore, 3-letter agency code. This is
identical to the Agency Mission code.
4. Tab past Partition to Security Organization. Click on Security Organization to get to
the drop-down choices. Click on Search. Select your agency number. You may bypass
the search function by typing your 3-digit agency number directly into the field.
5. Enter your agency name in Name, followed by “Performance Hierarchy.”
6. Tab to Description. If you want to enter additional narrative, do so in this field.
Otherwise, this field is optional and you may tab past it.
7. Click on the Save button. Screen Shot 7 shows a completed example.
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Screen Shot 7 – Performance Plan View
“AMS Proprietary & Confidential”
8. Look at the vertical panel on the left side of the screen. You will see the selection
Performance Hierarchy. Click on it. It will take you to a screen similar to the example
and shown as Screen Shot 8.
9. Click on New Peer.
10. Click Expand All at the bottom of the page to see Performance Component Information.
11. Under Performance Component Information, click on Performance Component to
activate a search screen.
Screen Shot 8 – Performance Component Information
“AMS Proprietary & Confidential”
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12. Using the Type drop down, select Mission.
13. In order to shorten the search, type your agency code followed by an * in the Code field,
then click Search.
Screen Shot 9 – Performance Component Search
“AMS Proprietary & Confidential”
14. Select your agency mission statement.
15. You have now returned to the hierarchy screen. Scroll to the bottom of the page and
click Save. If you are familiar with short-cut keys, you may use “Alt S” to save your
entries instead.
16. Your mission should appear in the hierarchy on the top half of the page.
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Screen Shot 10 – Performance Plan Hierarchy
“AMS Proprietary & Confidential”
IMPORTANT CONCEPT
In order to establish relationships in the software for tracking, a peer-child concept is used. A
peer is a component that is on the same hierarchical level as another component within the
hierarchy. A child is a component that is one hierarchical level below a particular component
and directly linked to that component.
Examples: 1) In relation to an agency’s mission, each core function for the agency would be
considered a “child” of the mission. 2) If an agency had a core function with two outcome
measures used for tracking performance and three SPAs listed under it, each of the five
elements (the two measures and the three SPAs) would be considered a “child” of the core
function. 3) For any given SPA, each of the measures used to track its performance and each
sub-SPA (if any) listed under it would be considered a “child” for that particular SPA.
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Step 2. Establishing the Agency Core Functions.
The next step to building the agency hierarchy is to select the core functions for the agency.
Each core function is a “child” of the agency mission.
1. Be sure the agency mission (MI) is highlighted. If not, click anywhere on the text, and it
will become highlighted.
2. Click on New Child.
3. Under Performance Component Information in the lower half of the page, click
Performance Component.
4. Using the Type drop down, select Core Function.
5. Click Search.
6. Select a core function used by your agency.
7. You have returned to the hierarchy screen.
8. Scroll to the bottom of the screen, click Save, or you may use “Alt S” to save your entries
instead.
9. Repeat steps 1 through 8 until all of the agency’s core functions are entered.
Step 3. Establishing the Core Function Measures and SPAs.
Each core function will have at least one outcome performance measure and one SPA. Each
outcome performance measure and SPA is a “child” of the core function.
1. Be sure the core function (GO) is highlighted. If not, click anywhere on the text, and it
will become highlighted.
2. Click on New Child.
3. Under Performance Component Information, click Performance Component.
4. Using the Type drop down, select Performance Measure.
5. Enter your agency code_ and the 2-digit CF number followed by * in the Code field to
shorten your search time.
6. Click on Search.
7. Select an outcome performance measure that links to the selected core function.
8. You have returned to the hierarchy screen.
9. Scroll to the bottom of the screen and click Save, or you may use “Alt S” to save your
entries instead.
10. Repeat steps 1 through 9 until all of the core function’s outcome measures are entered.
11. Now enter the core function’s related SPAs. Be sure the correct core function is
highlighted. If not, click anywhere on the text (GO), and it will become highlighted.
12. Click on New Child.
13. Under Performance Component Information, click Performance Component.
14. Using the Type drop down, select Service, Product or Activity.
15. Enter your agency code_ plus the 2-digit CF number followed by * in the Code field to
shorten your search time.
16. Click on Search.
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17. Select a SPA that links to the selected core function.
18. You have returned to the hierarchy screen.
19. Scroll to the bottom of the screen and click Save, or you may use “Alt S” to save your
entries instead.
20. Repeat steps 11 through 19 until all of the core function’s SPAs are entered.
Step 4. Establishing the Link to the Chart of Accounts
For each SPA (Service Product, or Activity), at least one chart of account element (organization
code) must be attached. This links dollars to SPAs and measures. There are three options
available: 1) attach multiple organization codes to a SPA; 2) sub-divide an organization code
and attach to multiple SPAs by percentage; and 3) assign 100% of one organization code to a
SPA.
All organization codes with detail data must be linked to one or more SPAs. Do not attach recap
organization codes, as this will result in a double counting of dollars. For organization codes that
contain both detail and recap data, standard AGA reports in the data warehouse are designed to
pull only detail data.
1. Be sure the SPA (OB) is highlighted. If not, click anywhere on the text, and it will
become highlighted.
2. Click on Expand Performance Component Information.
3. Click on Consolidation in the Department/Organization field.
4. Click on Search and select ORGS. This will bring you back to the same screen as in
Step 3. You may bypass the search function by typing “ORGS” directly into the field.
5. Click on Assign Dimension. You will receive a message that says you did not save.
Ignore and click on Continue.
6. Click on Add to assign an organization code and percentage.
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Screen Shot 11 – Performance Component
“AMS Proprietary & Confidential”
7. Under Performance Hierarchy Component Association Information you will see two
boxes: Department/Organization and Percentage (see Screen Shot 12). The first step is
to select the organization code you wish to assign to this SPA. You may either enter the
organization code number directly in the field or click on Department/Organization and
select Search to obtain a list of orgs from which to select. As most agencies have
extensive lists of organization codes, it will be faster if you identify the codes ahead of
time and directly type the code into the field.
8. Tab to Percentage. The default is 100. If you need to change this number to accurately
reflect the percentage of this org that is assigned to this particular SPA, type in the correct
percentage. Click on Save.
9. You will see a summary of what you just entered. Screen Shot 12 shows an example.
Continue to click Add to assign additional codes and percentages as needed.
10. When all organization codes have been assigned to this SPA, click on Performance
Hierarchies Maintenance on the vertical navigation bar to the left to return to the
Performance Hierarchy screen.
22
Screen Shot 12 – Performance Hierarchy Component Associations
“AMS Proprietary & Confidential”
Step 5. Establishing the Performance Measures for SPAs.
The methodology for adding performance measures to the hierarchy for SPAs is similar to what
was described to add performance measures to the hierarchy for core functions. The
performance measures are all “children” of their related SPA.
1. Be sure the SPA is highlighted. If not, click anywhere on the text (OB), and it will
become highlighted.
2. Click on New Child.
3. Under Performance Component Information, click Performance Component.
4. Using the Type drop down, select Performance Measure.
5. Enter your agency code_ and the 2-digit CF number followed by * in the Code field to
shorten your search time.
6. Click on Search.
7. Select a measure that links to the selected SPA.
8. You are back at the hierarchy screen.
9. Scroll to the bottom of the screen, click Save or you may use the shortcut key “Alt S”.
10. Repeat steps 1 through 9 until all of the SPA’s measures are entered.
Step 6. Establishing Sub-SPAs and Sub-SPA measures.
Some agencies may choose to enter their sub-SPAs and measures into the I/3 Budget system to
provide a uniform method for tracking performance during the year. Sub-SPAs are not required
in the budget system, and are not linked to the chart of accounts.
The process for entering sub-SPAs and their measures in the hierarchy is identical to the steps
previously outlined for entering SPAs and their measures. Sub-SPAs are children of the related
23
SPA, and are at the same level in the hierarchy as the SPA performance measure. The
performance measures associated with a sub-SPA are children of the sub-SPA.
HINT. Once you are familiar with the process for creating the hierarchy, you can use the
“New Peer” button while inserting multiple items at the same level of the hierarchy. For
instance, once you create a New Child under a core function for the first performance
measure for the CF, each related measure and SPA may be entered by clicking “New Peer”
as long as the last item entered (a peer) is highlighted. This eliminates the necessity to rehighlight the original parent, the core function. Although this method can be quicker, you
will need to make sure you are at the correct level within the hierarchy. If you use “New
Peer” to add an element when the parent is highlighted, you will inadvertently establish an
incorrect peer relationship with the parent element.
Using the Move Button
You may rearrange items in the hierarchy by using the Move button. This can be a useful tool if
you inadvertently place a measure under the wrong Core Function, SPA, or sub-SPA.
To use the Move button, follow the steps below.
1. Highlight the item you want to move by clicking anywhere on the text.
2. Click on the Move button (see Screen Shot 13).
3. Click on the location where you want the item moved. You will be asked if you want to
establish the relationship as a Peer or a Child. Select the appropriate relationship.
4. The item should appear in the proper location as either a peer or child. Scroll to the
bottom and click Save or you may use “Alt S” to save your entries instead.
24
Screen Shot 13 – Performance Plan Hierarchy
“AMS Proprietary & Confidential”
Performance Plan Field Layout
System
Iowa
Description
Required
Required
Performance Plan code.
R*
R
Active is checked if the item is available to R
R
users of the system. De-selecting Active
makes the item inactive and unavailable to
system users. Active is the default.
Partition
Not in use at this time.
O
N
Security
Click on the link to search for security
R
R
Organization
organization.
Name
Performance Plan name.
O
R
Description
Text field for additional detail if desired.
O
R
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Active
Field
Length
20
N/A
N
60
12
Performance Measure Values
Performance Measures Values Definition is the screen where the values (targets) assigned to
measures are entered for the current year budget/performance plan, actual values are entered for
the prior year, and projected targets are entered as part of the budget development process.
Please see the section in the manual on Maintaining Performance Hierarchies for more
information on entering actual performance values and targets.
25
Measures need to be added to the Performance Measures field and time periods added to the time
period fields before values can be entered into the system. Screen Shot 14 shows a completed
example. Time periods are aligned to various state fiscal years and stages in the budget cycle.
Below is a table and narrative providing information about the time periods/budget stages and
the performance measure values that are to be entered into each field.
Time Period
Abbreviation
Full Name
PY1ACT
Prior Year Actual
PY1ADBUD
Prior Year Target
CYADBUD
Current Year Adopted
Budget
Year 1 Department Total
Request
Year 1 Governor’s Total
Recommendation
Y1DEPTTOTREQ
Y1GOVTOTREC
Measure Value
Actual result of measure at
year end
Target for the prior year
Target for the current year
Suggested target for next
year’s department request
Suggested target for next
year’s Governor’s budget
Used By
Department/Agency
Department of
Management
Department/Agency
Department/Agency
Department of
Management
PY1ACT are the values entered by agencies following the end of the fiscal year and reflect
results achieved for the prior fiscal year.
PY1ADBUD are the targets for the prior fiscal year.
CYADBUD are the performance targets for the current year and are entered by agencies at the
time when they are entering their current year performance plan data.
Y1DEPTTOTREQ are the projected targets for the next fiscal year. These values are entered by
agencies at the same time at the department budget request is entered into I/3. Values must be
entered by October 1.
Y1GOVTOTREC are the projected targets that accompany the Governor’s Recommendations.
These are developed in collaboration between agencies and IDOM and are entered into I/3 by the
IDOM budget analyst.
26
Screen Shot 14 – Performance Targets (Performance Measure Values Definition)
“AMS Proprietary & Confidential”
To add targets for performance measures, follow the steps below.
1. Select Performance Measure Values Definition Maintenance from the Performance
Budgeting menu.
2. Click on New.
3. Tab to the Code field and type in the agency 3-digit number, underscore, agency
abbreviation in all capital letters. This is the same code that was developed for the
Mission and Performance Plan.
4. Tab past Partition to Name.
5. Enter the agency name followed by the words, “Performance Values.”
6. Tab to Description. This is an optional field. If you have additional information you
want to enter, you may do so here. Otherwise, go to the next step.
7. Expand Performance Measures Values Definition Detail Information by clicking on it
or on Expand All located directly under the Save button. Click on Add Time Periods.
8. Click on Search. Find CYADBUD (Current Year Adopted Budget) and click on Select.
9. Click on Add Measures.
10. Enter your agency number and the wildcard (*) to shorten your search. Then click on
Search.
27
11. Click to place a check in the white box next to the code for each measure that needs to be
added. You may do multiple “clicks” to select multiple measures in this screen or select
all by clicking in the box next to Code at the top of the screen. Then click on Select. This
will return you to the Performance Measure Values Definition screen. All of the selected
measures should appear in the Performance Measures field.
12. Click Save.
13. At the top of the menu, click Enter Values. You will see a screen like the one shown in
Screen Shot 15.
14. Using the page forward/page backward arrows located at the bottom of the screen, scroll
until you see the time period column where you want to enter the targets. Click in the
field to the right of a measure and enter the target. Only numbers can be entered here; this
includes the ability to use decimals. If this is a new measure and the baseline is being
determined this year, enter 999999.
15. Continue to enter your agency’s targets.
16. When all targets have been entered, click on Save.
Entering targets for other time periods can be achieved use the same steps listed above. You will
need to make sure you are entering values in the appropriate column. Please refer to the table
relating values with time periods shown earlier in this section.
Screen Shot 15 – Performance Targets (Performance Measure Value Entry)
“AMS Proprietary & Confidential”
28
Performance Measures Values Field Layout
System
Iowa
Description
Required
Required
Performance measure value group code.
R
R
Active is checked if the item is available to O
R
users of the system. De-selecting Active
makes the item inactive and unavailable to
system users. Active is the default.
Partition
Not in use at this time.
O
N
Name
Name of the performance hierarchy.
O
R
Description
Description section. Used for additional
O
O
detail if desired.
Performance
Enter targets for measures, which will be
R
R
Measures
part of the group.
Time Periods
Identify time period for which targets
R
R
apply.
For all tables: R = required, O = Optional, N = will not use, N/A = Not applicable
Field
Code
Active
Field
Length
20
N/A
N/A
60
255
N/A
N/A
USING I/3 PERFORMANCE BUDGET FOR PERFORMANCE
TRACKING
I/3 Performance Budgeting is designed to assist agencies in reporting performance measure
values. There are two different functions supported in I/3—the recording of actual values for
measures at the end of the fiscal year (required) and reporting values during the year (optional).
REPORTING YEAR-END ACTUALS
At the end of each fiscal year, agencies are required to report the actual values achieved for the
performance measures in their plan hierarchy and budget. The annual performance report
document is due to the Department of Management on December 15 of each year. Although
there is not a mandatory due date for entering actuals in I/3 Budget, it is advised that these values
be entered by November 1st of each year. The values are then available in time for preparation of
the Governor’s Recommendation.
Actual values are entered using the Performance Measures Values Definition/Performance
Measures Values Entry screen, the same screen used to enter performance measure targets.
To enter performance actuals, follow the steps below.
1. Select Performance Measures Values Definition from the Performance Budgeting
menu. Use the search function to bring up your agency plan; the quickest way is to enter
your agency’s code in the Code field and then click on Search. Remember, your agency
code in the 3-digit agency number, underscore, 3 letters all in capital letters.
29
2. Click to place a check in the white box to the left of your agency code. This will
highlight the element. Screen Shot 16 shows an example.
3. Click on Edit. This will open the data entry screen.
4. Click on Enter Values. This will take you to the screen where you will enter the values.
(See Screen Shot 14)
5. Click on the first field under PY1ACT, and begin entering the actual values. You may
tab to the next entry. When all entries are complete, click on Save. If you cannot find the
correct time period column, use the page forward/page backward arrows located at the
bottom of the screen to scroll the columns. See Screen Shot 17.
Screen Shot 16 – Performance Measures Values Definition
Select
“AMS Proprietary & Confidential”
Screen Shot 17 – Performance Measures Values Entry
“AMS Proprietary & Confidential”
30
REPORTING VALUES DURING THE YEAR
Agencies may also use I/3 Performance Budget to enter and track performance measures values
during the year. This functionality is optional. If you want to use this function, you may do so,
following the instructions below.
1. Select Performance Measures Maintenance from the Performance Budgeting menu.
2. Using the Search function, locate the measure(s) for which you wish to enter data.
Remember, entering the code or using the wild card (*) function will simplify the search
process.
3. Click to place a check in the white box to the left of the measure for which you want to
enter data. This highlights the measure.
4. Click on Edit.
5. You will now be in Performance Measure View. Click on Performance Component
Status in the left vertical navigation bar. See Screen Shot 18.
6. Click on Performance Component Status Information and then click on Add. See
Screen Shot 19.
7. There are 3 entry choices—Interval, Status and Milestones. Interval is a drop down with
11 time periods. You may enter data monthly or more infrequently. You choose the
frequency, based upon how you want to define the time periods.
8. Status can contain either numbers or letters. If you want a quick screen display of the
performance measures values over repeated time periods for a measure, enter the value
here. Otherwise, click on Milestones to proceed to the next step. See Screen Shot 20.
9. Expand Performance Component Milestone Information and click on Add.
10. Enter the reporting date, the value of the measure and any descriptive information you
want to include in the appropriate boxes. The values do not accumulate automatically
across time periods, so you may want to indicate in the Description box whether the
value is year-to-date or time specific.
11. Click on Performance Component Status in the vertical navigation bar on the left side
of the screen. Then click on Performance Measure View in the vertical navigation bar.
Click on Save. The information has been saved in the database.
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Screen Shot 18 – Performance Component Status
“AMS Proprietary & Confidential”
Screen Shot 19 – Performance Component Status Information
“AMS Proprietary & Confidential”
32
Screen Shot 20 – Performance Component Milestones
“AMS Proprietary & Confidential”
EDITING SCREENS
You may edit information in the system at any time using the edit function. Most entries can be
edited; if a field (box) is “grayed out” it cannot be changed. An example of a data element that
cannot be edited after entry and saving is the code. Once a code is entered for an item, and it has
been saved, the code cannot be changed.
To edit an item in the system, follow the steps below.
1. Select the appropriate screen where you want to make the edit, such as Performance
Mission or Performance Measures.
2. Enter the code for the item you wish to edit; if you don’t remember, use a wild card to
restrict the number of items returned during the search.
3. Click on Search.
4. Click to place a check in the white box next to the item you want to edit and then click on
Edit.
5. Edit the information you want changed.
6. Click Save.
33
UPDATING PERFORMANCE HIERARCHIES
The Performance Hierarchy is the basis for performance budgeting, linking performance to
budget and, eventually, expenditures. As such, it is updated annually with each new budget
cycle and agency performance plan. Performance hierarchies are updated after the budget for the
fiscal year has been determined and the agency performance plan completed. Following are the
steps to follow to update your performance hierarchy. Some steps are optional, based upon the
number and types of updates you need to perform. However, look at each step to make sure you
are making the appropriate updates to your plan.
Step 1. (As Needed)
If there are SPAs and/or Performance Measures from the previous year that will not be used in
this performance plan, they need to be inactivated. This is accomplished by using the edit
function for each SPA and performance measure.











Select either Services, Products and Activities or Performance Measures from the
Performance Budgeting menu.
Enter the code for the SPA or Performance Measure you want to work with and click
Search. If you do not remember the code, use the wild card (*) to restrict your search.
Click to place a check in the white box next to the SPA or performance measure you
intend to inactivate.
Click on Edit. This will open the screen where you will inactivate the element. Screen
Shot 21 shows an example.
Remove the check in the Active box by clicking on it.
Expand the screen by clicking on Detail Information or on Expand All.
Click on the Termination Indicator and a check should appear.
Click on the Fiscal Year Terminated field and enter the fiscal year in which you are
inactivating the element. You must use the 4-digit year (e.g. 2004).
Enter narrative indicating the reason for terminating use of the element in the Reason
Terminated field.
Click Save.
Continue this step until all appropriate SPAs and Measures have been inactivated.
34
Screen Shot 21 – Terminating a Performance Budgeting Item
“AMS Proprietary & Confidential”
Step 2. (As Needed)
The next step is to enter any new SPAs you are using in your performance plan. You will add
the new SPAs using the same methodology described earlier in this manual for “Set up of New
AGA Elements.” Select Services, Products and Activities from the Performance Budgeting
menu. Click on New. Continue by follow the instructions found in the section of this manual on
adding services, products and activities.
Step 3. (As Needed)
Repeat Step 2 for any new sub-SPAs (optional) and performance measures you need to add into
your hierarchy, using the appropriate Performance Budgeting screens. Follow the instructions
outlined in the section of this manual on adding sub-SPA and performance measure elements.
Step 4.
When you have added all the new SPAs, sub-SPAs (optional) and performance measures needed,
you are ready to update the performance plan hierarchy.
 Click on Performance Plan.
 Enter the code for your agency’s plan (agency number, underscore, 3-letter code in
capital letters). Click on Search.
35


When your agency plan comes up, click on Edit.
Click on Performance Hierarchy in the vertical navigation bar on the left side of the
screen.
Step 5.
Expand the core function you want to work with. To expand, click directly on the text or on the
+ sign next to the core function.
Step 6. (As Needed)
The next step is to delete any SPAs and/or performance measures that you are not using for the
fiscal year. This step should not be used frequently, as SPAs and performance measures that are
deleted from the hierarchy will not appear in future reports. Performance hierarchies should
remain fairly stable from year to year. These SPAs and/or performance measures should be the
same ones that were inactivated in the earlier steps.


Click on the SPA or measure you wish to delete. Make sure it is highlighted, and then
click the Delete key.
Repeat this step until all SPAs and performance measures you wish to remove have been
deleted. See Screen Shot 22.
Be sure that you are working on the expanded Core Function and SPA. If you click on a
“collapsed” SPA or CF and click on delete, the entire section will be deleted, not just the one
SPA or CF.
There is no confirmation key on this screen, so deleting should be done with caution.
Screen Shot 22 – Deleting in the Performance Hierarchy
Highlight
“AMS Proprietary & Confidential”
36
Step 7. (As needed)
You now will need to add any of the new SPAs, sub-SPAs and performance measures you
created in earlier steps.
 Beginning with your first Core Function, add the new SPAs and performance measures
related to this core function as children.
 Add the new performance measures for each SPA and sub-SPA (optional).
 Continue until all new SPAs, measures, etc. have been incorporated into the hierarchy
under the appropriate core functions.
For step-by-step instructions on how to add elements to the hierarchy, please turn to the
instructions in the performance plan section of this manual.
Step 8.
You will now need to attach organization codes and percentages to every SPA in your hierarchy.
Be sure to validate the entries for existing SPAs as well as enter new data for new SPAs. For
step-by-step instructions on how to attach organization codes (chart of accounts), please turn to
the instructions outlined in Step 4 in the Performance Plan Hierarchies section of this manual.
Step 9.
The final step is to set the performance targets for the all measures for the current budget year
(CYADBUD).











Select Performance Measures Values Definition screen.
Enter the code for your agency’s plan (agency number, underscore, 3-letter code in all
capital letters). Click on Search.
Click on Edit.
Expand Performance Measures Values Definition Detail Information by clicking on it
or on Expand All.
Click on Add Measures.
Enter your 3-digit agency number and the wild card (*) to shorten your search. Then
click on Search.
Click on each new measure to add it to the Performance Measures box. You may do
multiple “clicks” to select multiple measures in this screen. Then click on Select. All of
the selected measures should appear in the table.
Click Save.
At the top of the menu, click Enter Values. You will then enter targets under
CYADBUD. Click to the space to the right of a measure and enter the target. Only
numbers can be entered here; this includes the ability to use decimals. If this is a new
measure and baseline is being determined this year, enter 999999.
Continue to enter your values.
Click on Save.
Values are entered for all measures included in the current hierarchy. Inactivated measures will
still appear. Do not enter values for these measures—leave them blank.
37
DATA RETENTION
Beginning with FY2005, performance values data, (e.g., targets and actuals) will be stored in the
budget data warehouse for a period not to exceed 10 years. Performance values are
automatically rolled at the end of each fiscal year from one time period to the next by the system
administrator. Examples are provided below.
PY1ACT to PY2ACT: PY1ACT are the values achieved for the prior fiscal year. Values
currently entered in this time period column will automatically be rolled from PY1ACT to
PY2ACT at the end of the current fiscal.
CYADBUD to PY1ADBUD: CYADBUD are the performance targets for the current fiscal year
and are entered by agencies at the time when they are entering their current year performance
plan data. These values are automatically rolled from CYADBUD to PY1ADBUD at the end of
the fiscal year.
PY1ADBUD to PY2ADBUD: PY1ADBUD are the targets for the prior fiscal year. These values
are automatically rolled from PY1ADBUD to PY2ADBUD at the end of the fiscal year.
Performance values data associated with budget cycles, such as Department Requests, will be
stored in budget data warehouse for a period not to exceed two years. Performance targets and
actuals associated with budget cycle time periods are automatically rolled at the end of the fiscal
year from one time period to the next by the system administrator. An example is provided
below.
Y1DEPTTOTREQ to CYDEPTTOTREQ:Y1DEPTTOTREQ are the projected targets for the
next fiscal year. These values are entered by agencies at the same time at the department budget
request is entered into I/3. Values must be entered by October 1. Values currently entered in this
budget cycle time period column will be automatically rolled from Y1DEPTTOTREQ to
CYDEPTTOTREQ at the end of the current fiscal year.
Historical data, exceeding the above stated timeframes, will not be stored in the data warehouse
The rollover of data at the end of each fiscal year will allow the agency to enter new data in July,
for the current fiscal year performance plan.
38