Attachment_C_-_STB_Case_Management_Roadmap.pdf

Attachment C - STB Case System Roadmap

Intake

Filings Recordations Correspondence Contract Summaries, Tariffs

Receive & Process a Filing (verify completeness and fee requirement)

Receive & Process a Recordation Receive & Process Correspondence Receive & Process Contract Summaries, Tariffs

Obtain Case Filings from OEA Transfer to Other Offices

Receive notification of Court Action (Appeal)

Appeal to a Board Decision

Triage Submission Triage Submission Triage Submission Post to Website

Reserve a Docket / Create Case Process Fee

Process Fee

Review & Approve/Reject/Update Fee

Waiver Request

Create/Update/Delete Case Note Create/Update Case Note if necessary

Assign to OP Branch

Create/Update/Delete a Filing (including establishing fixed deadlines for next steps)

Create/Update/Delete a Recordation Create/Update a Filing

Mark, Print, Distribute & Store in Library Mark, Print, Distribute & Store in Library Mark, Print, Distribute & Store in Library

Update Case Log Update Case Log Update Case Log

Manage Cases

Assignment Monitor Case Status Update Case Status Review Case

Receive Automated Notification Search for and select a Case Search for and Select a Case Search for and select a Case/Docket

Search & Select a Case/Docket View Case Status: by individual case, Branch, Office, deadline dates.

Change Case Status Value Search for and select a Case

Filing/Proceeding/Communication

Review Case Content View Progress against a Deadline Add, change or delete a Comment in the

Case Note

Search for and select a Case

Recommendation/Decision

Create/Update/Delete an Assignment Search for and select Cases based on Status, Progress and Deadline

Update Service List Update Case Recommendation/Decision

Complete Assignment Update Case Note Close a Case and dispose of records Update Case Note

Reopen a Closed Case

Update Case Note View Case Log Set a Case Activity Deadline View Case Log

Update Case Log Change a Case Activity Deadline

Create a Recusal

Change a Recusal

Delete a Recusal

Attach documents to Case

Update Case Note

Update Case Log

Case Work

Court Appeals Decisions Environmental Analysis Economic Analysis

Receive Court Order Create Draft Decision Receive Filing/Analysis/Communication Rate Case or Merger/Service Issue

Determination

Notify Chairman's Chief Legal Counsel Receive draft Decision Identify 3rd-party Contractor & Prepare

MOU

Assignment

Assign to Trial Attorney Review draft Decision Process Applicant EIS Waiver Request Rate Case Kick-Off Meeting

Initiate Appeals Process Filings Reconcile Staff and Board Comments Determine EA/EIS Rate Case Proceed/Do Not Proceed Analysis

Prepare Certified Index* Maintain version control of draft decisions List of Issues Analysis

Prepare Motion(s) **Sunshine Act - Restrict Board members from viewing other Board member edits.

Prepare & Publish Federal Register Notice Rate Case Analysis

Prepare Joint Index Finalize Decisions Receive Notice of Intent Merger/Service Issue Analysis

Prepare STB Brief Scope EIS Manage Case Status

Prepare Deferred Index* Prepare & Publish Draft Scope Review Decision

Process Appellate Court Decision Receive & Adjudicate Scope Comments

Store briefs, court orders, etc. in a library associated with the STB docket giving rise to the Court Appeal

Prepare & Publish Final Scope

Draft EIS

Receive & Adjudicate EIS Comments

Identify & Recommend Mitigation Measures

Prepare & Publish Final EIS

Draft EA

Receive & Adjudicate EA Comments

Identify & Recommend Mitigation Measures

* either/or Prepare & Publish Final EA

FOIA Requests

Receive FOIA Request

Contact Requester for

Information/Clarification

Prepare & Send Confirmation Letter to

Requester

Prepare & Send Search Request Form

Consult

Complete Search & Search Request Form

Review FOIA Request for FOIA Exemption

Calculate Bill

Prepare & Submit FOIA Response & Bill

Close FOIA Request

Clearance

Prepare Decision/Notice for Clearance Voting Publication Disposition

Receive Decision/Notice Submit Decision for Vote (Re)Format Decision/Notice for Federal

Register

Records Management

Verify & Validate Decision/Notice Identifiers and Completeness

Vote (Re)Format Decision/Notice for Vote

Create/Update Press Notice Return Decision/Notice with Comments Identify and notify parties

Create/Update Federal Register Notice Obtain Vote Results & Comments Update STB.gov

Record voting in progress changes, record voting history (memos, notes, changes), Version control for changes in voting.

Mark, Print, Distribute & Store in Library

Track Vote Status Send to Federal Register

Update Case Log Update Case Log Update Case Log Update Case Log

Utilities

Search & Select Manage Workflow Manage Notifcations Reporting

Search for a Case/Docket, Decision, Filing, Recordation, Correspondence, Court Order, Appeal, Analysis, Analysis Section, EA/EIS, EA/EIS Scope, Notice of Intent (and others)

Create, Update or Delete a Managed

Workflow (for each step in the workflow)

Create, Update or Delete an Automated

Notification (for an event or workflow activity)

Define a Report

Search by ID, Title, Description, Date, Author, Carrier, Firm, Court (and others)

Approve a Draft/Final Document Create, Update or Delete an automated Alert

(for an event or workflow activity)

Manage List of Pre-Defined Reports

Select and retrieve record Reject a Draft/Final Document Send a Notification Create an Ad Hoc Report

Constrain Search and Select Constrain Workflow functions based on user type, user role, and document type

Send an Alert Print a Report

Update Workflow Status View and Clear a Notification Save a Report

Display an Alert Distribute a Report

Automated report distribution

Archive a Report

System Administration Content & Document Management External Systems Interfaces & APIs

Maintain Case Type Codes and Descriptions Create, Update, Delete & Archive a

Case/Docket

Calendar (for Deadlines)

Maintain Case/Docket ID, Name, Description, and other identifiers

Document Import and Export Email (for Notifications)

Maintain Carrier, Firm, Filed-By, Filed-For, State and Local Agency, Pubic Entity, and other selection and lookup codes, titles, and descriptions

Version control of content Messaging (for Alerts)

Maintain Users, including Role, Authority, and Organization

STB.gov

Federal Register

Current Case Management System