Attachment_D_-_High_level_User_Stories_-_Examples_.pdf

STB Case Management System BRD

User Story Page 1

Utilities

Story ID 5.0 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 0.0 Sibling Story ID(s) 1.0, 2.0, 3.0, 4.0

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … User, Manager/Supervisor, System Administrator

When … (optional)

I want to … 1. Search and Select:

1.1. Search for a Case/Docket, Decision, Filing, Recordation, Briefs, Correspondence, Court Order, Appeal, Analysis, Analysis Section, EA/EIS, EA/EIS Scope.

1.2. Search by ID, Title, Description, Date, Author, Carrier, Firm, Court, Deciding Body, Decision Type, Date Decided, Date Served, Date Filed, Status of decision (open/closed), length of time open. 1.3. Select and retrieve record.

1.4. Constrain Search and Select based on user type, user role, and document type.

2. Manage Workflow (Board wide, by Office, by Individual, by Team/Branch):

2.1. View, Create, Update or Delete a managed workflow (review, approve/reject) activity, including roles, authorizations, and standard durations (for automating deadlines, notifications and alerts) for each step in the workflow activity.

2.2. Approve a Draft/Final Document (e.g., Certified Index, Deferred Index, Motion, Brief, EIS Waiver Request, EA/EIS Scope, EA/EIS, Mitigation Measures, Rate Case Proceed/Do Not Proceed Determination, List of Issues, Rate Case Analysis, Merger/Service Issue Analysis, Decision, Press Notice, and Federal Register Notice)

2.3. Reject a Draft/Final Document (e.g., Certified Index, Deferred Index, Motion, Brief, EIS Waiver Request, EA/EIS Scope, EA/EIS, Mitigation Measures, Rate Case Proceed/Do Not Proceed Determination, List of Issues, Rate Case Analysis, Merger/Service Issue Analysis, Decision, Press Notice, and Federal Register Notice).

2.4. Constrain Workflow functions based on user type, user role, and document type.

2.5. Update Workflow Status whenever an activity, event, or task is initiated, performed, completed, etc.

User Story Page 2

3. Manage Notifications:

3.1. Create, Update or Delete an automated Notification for an event or workflow activity.

3.2. Create, Update or Delete an automated Alert for an event or workflow activity.

3.3. Send an assignment Notification.

3.4. Send an Alert (reminders).

3.5. View and Clear a Notification.

3.6. Display an Alert.

4. Reporting:

4.1. Define a Report (fields, selection criteria, format, access authority, and confidentiality and security requirements).

4.2. Manage List of Pre-Defined Reports (edit report definition, archive and delete report).

4.3. Create an Ad Hoc Report.

4.4. Print a Report.

4.5. Save a Report.

4.6. Distribute a Report.

4.7. Archive a Report.

4.8. Access Reports from a Dashboard.

5. System Administration:

5.1. Maintain Case Type Codes and Descriptions.

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

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

5.4. Maintain Users, including Role, Authority, and Organization.

6. Content and Document Management:

6.1. Create, Update, Delete, and Archive a Case/Docket

6.2. Document Import and Export

6.3. Version control of documents

7. External System Interfaces and Application Program Interfaces (API):

7.1. Calendar (for Deadlines)

7.2. Email (for Notifications)

7.3. Messaging (for Alerts)

7.4. STB.gov

7.6. Federal Register

7.7. Lotus Notes based Case Management System

User Story Page 3

Such that … - or -

In order to … Provide support for other automated business processes and system functions.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

Search is enabled for Case/Docket, Decision, Notice, Filing, Recordation, Correspondence, Court Order, Appeal, Analysis, Analysis Section, EA/EIS Scope, EA/EIS, Notice of Intent, and all other documents and record types produced or received as part of a Case.

Search criteria include ID, Tag (document type), Title, Description, Creation Date, Update Date, Author, Status, Carrier, Firm, Court, Filed-By, and others to be determined.

Search and selection are constrained by a User’s type, role, organization, document/record type, document/record confidentiality, recusals, and other STB information security policies.

Case enables System Administrators, Managers/Supervisors, and other authorized personnel to create, update and delete a workflow activity, including Author, Reviewer, and Approver roles;

Tasks and standard Task Durations. For each Task (step), the workflow specifies the originator and recipient of the activity, the status change (e.g., from “Pending Review” to “Approved” or “Rejected”), and common subtasks to be added to the recipient’s Calendar. Task Durations are guidelines that may be overridden with Due Dates specified by a Manager/Supervisor/Reviewer.

Case enables Manager/Supervisor or Reviewer designated in the workflow to accept or reject a submitted document. Each action updates the Status of the document under review. The Reviewer must provide comments when rejecting a document.

User function in a workflow must be constrained by User Type, User Role, Document Type, Case and Document Confidentiality, allow for recusals, and facilitate other STB information security policies.

Whenever a workflow task is completed, Case automatically updates the status of the task and document to the next state in the workflow activity chain (e.g., from “Pending Review” to “Approved”).

Case enables authorized users to add, change, or delete automated Notification and Alert messages for each step in a workflow.

Upon completion of an activity in a workflow, Case automatically generates and sends the Notification and Alert messages specified in the workflow for the activity.

10 Users may view and delete Notifications.

11 Users may view and clear Alert messages.

Case enables authorized users to create defined reports based on Search and Selection criteria that may be reused, customized, and shared across the STB user community.

Case enables authorized users to manage the list of pre-defined reports, including archiving and deletion of reports.

14 Case enables users to create ad hoc reports based on Search and Selection criteria.

15 Case enables users to print, save, distribute and archive a report.

User Story Page 4

Case provides a system administration interface for managing (creating, updating and deleting) all document and tags (e.g., title, description), types, states.

Case provides a system administration interface for managing (creating, updating and deleting) Search and Selection criteria.

Case provides a system administration interface for managing (creating, updating and archiving) system users, including their role, access authorities, organization, email address, etc.

Automated data exchange interfaces or APIs are provided for Calendar, Email, Messaging, STB.gov content update.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined algorithm, sequencing dependency, and data dependency.

Assumptions

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints 1 Access to reporting and system administration functions will be limited to authorized staff.

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

For example, connectivity to a data source may be limited to business hours of operation.

Intake Process

Story ID 1.0 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 0.0 Sibling Story ID(s) 2.0, 3.0, 4.0, 5.0

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

Description As a … OP, OEA, OE, OGC and OPAGAC paralegal, attorney or analyst

When … (optional) A Filing, Court Order, Environmental Study, Request or Correspondence (electronic, paper or telephone call) is received

I want to … 1. Record (log) receipt of the Communication (e.g., a Filing, Court Order, Environmental Study, Request or Correspondence). Record the Submitter, Submitter’s Email Address, Date, and Time of the receipt.

2. Associate the Communication with an existing Docket, or create a new Docket (see Manage Cases Epic) and associate the communication with

it. If needed, first search for an existing Docket (see Utilities Epic).

3. Identify and record the type of Communication.

4. Triage the Communication to verify the completeness of the content, points-of-contact, etc.

5. For Filings, determine and process the Fee or Fee Waiver Request.

Obtain approval (or rejection) for a Fee Waiver Request. Record Fee Receipt (amount) or Fee Waiver Approval in Case. If the Fee Waiver Request is rejected, contact the Submitter contact with the Explanation of the rejection and a Request for Fee Payment.

6. If needed, create or update the Case Note with any additional information about the receipt of the Communication. Record the author, date and time for the new/updated Case Note.

7. Review and, if needed, update the Service List and Recusals for the Docket or a decision in the Docket (see Manage Cases Epic).

8. For each paper document received, scan the Communication, save and associate the scan file to the Docket with a unique File Identifier.

Acknowledge receipt (with digital signature where necessary) of the Communication, including the Title, File Identifier, Case/Docket identifier, and Date Received (see Utilities Epic). Store a copy of each paper document in the STB library archive for the Case/Docket.

9. Automatically notify each STB Case user of the Communication.

(See Utilities Epic).

Such that … - or -

In order to … Enter all information about a Case/Docket into the Case application.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

Case logs any new Submitter’s contact information (e.g., Name and Email Address), compares it against Submitters already on-file, and notifies the user to validate any changes to an existing Submitter’s contact information. The user approves or reject any changes.

2 Select the Communication Type from the Communication Type List.

Triage requirements for each Communication Type will be displayed to the user (once a Communication Type is selected) and the user required to verify each requirement.

There can be 0 or many Documents attached to, or enclosed with, the Communication. Each Document must be uniquely identified by serial number, title, author/submitter, date and time of receipt, and associated with a specific Case/Docket. User must supply a unique Title for each Document, as well as the Author/Submitter; the Case application will automatically tag each Document with a unique serial number, date and time stamp.

There can be 0 or many Case Notes for each Case/Docket. Case automatically records the author, date and time of each update to the Case Note.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined algorithm, sequencing dependency, and data dependency.

Assumptions

Case and Docket identifiers, such as Case Number, Docket Number, Plaintiff, Case Name, are unique, formatted, and searchable (see Manage Cases Epic).

2 Communication Type codes are pre-defined and selectable.

Additional requirements for displaying the Case Note as either multiple pages or as a single, scrollable history of changes should be considered. Case Note should be stored in a format that permits full text search, as well as search by author, date and time.

Fee processing is handled external to the Case application; however, recording receipt of the fee and processing of the Fee Waiver Request (logging, review, approval/rejection) are within the scope of the Case application.

Case will eliminate or reduce to the greatest extent possible the production, reproduction, duplication, storage and handling or paper documents. See Constraints and Points to Remember below.

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints

No restrictions or requirements for electronic submission in specific file formats requires very large file storage capacity and limits the ability of users to search, sort and otherwise process these submissions. See Points to Remember below.

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

Economic Analysis

Story ID 3.4 Story Type (e.g., User, System, etc.) User Epic

Parent Story’s ID 3.0 Sibling Story ID(s) 3.1, 3.2, 3.3, 3.5 Funding Project/Job #

Priority Story Estimate (Story Points) 55

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … Office of Economics (OE) Director/Chief Economist, Deputy Director, Section

Chief, Policy Analyst, Transportation Industry Analyst (TIA), Engineer Analyst, Economist Analyst, Financial Analyst, Auditor Analyst, Programmer Analyst (‘Analyst’)

When … (optional) The STB receives a Notice of Intent (Rate Case) or Notice of Intent to Merge (Merger/Service Issue) from a regulated industry (e.g., railroad) through the Office of Proceedings (OP, via the Intake Epic).

I want to … 1. Rate Case or Merger/Service Issue Determination:

1.1. [Director/Chief Economist] Receive Notice of Intent (Rate Case) or

Notice of Intent to Merge (Merger/Service Issue) from OP (see Intake Epic).

1.2. [Director/Chief Economist] Based on case type, determine which Sections(es) to involve (coordinate with Section Chiefs).

2. Assignment:

2.1. [Director/Chief Economist] Assign Sections(es) (see Manage Cases Epic).

2.2. [Section Chief] Receive Notice of Intent (Rate Case) or Notice of Intent to Merge (Merger/Service Issue) from Director (see Utilities Epic).

2.3. [Section Chief] Determine which staff to involve (coordinate with Director and other Branch Chiefs).

2.4. [Section Chief] Assign Team (see Manage Cases Epic).

2.5. [Section Chief] Assign Rate Case Sections to Team [Branch Chief].

2.6. [Analyst] Receive and acknowledge assignment (see Manage Cases

Epic).

3. Rate Case Kick-Off Meeting:

3.1. [Director/Chief Economist] Facilitate Kick-Off Meeting to review team assignments, review schedule and priorities (see Utilities Epic).

3.2. [Analyst] Attend Kick-Off Meeting.

4. Rate Case Proceed/Do Not Proceed Analysis:

4.1. [Analyst] Reading and research.

4.2. [Analyst] Create List of Deficiencies and Proceed/Do Not Proceed

Recommendation.

4.3. [Analyst] Submit draft List of Deficiencies to Team Lead. Make

Proceed/Do Not Proceed Recommendation to Team Lead (see Utilities Epic).

4.4. [Section Chief] Review and adjudicate draft List of Deficiencies.

Repeat edit/review cycle with Analyst as needed. Discuss Proceed/Do Not Proceed Recommendation with Analyst. If approved, submit List of Deficiencies and Proceed/Do Not Proceed Recommendation to Director (see Utilities Epic).

4.5. [Director/Chief Economist] Review and adjudicate draft List of Deficiencies. Discuss List of Deficiencies and Proceed/Do Not Proceed Recommendation with Section Chief and Analyst. Repeat edit/review cycle with Section Chief and Analyst as needed. If approved, submit final List of Deficiencies and Proceed/Do Not Proceed Recommendation to OP (see Utilities Epic).

5. List of Issues Analysis:

5.1. [Director/Chief Economist] Receive and review Defendant’s Reply (see Intake Epic).

5.2. [Director/Chief Economist] Forward Defendant’s Reply to Team.

5.3. [Section Chief, Analyst] Receive and review Defendant’s Reply.

5.4. Discuss Defendant’s Reply (if needed).

5.5. [Analyst] Create List of Issues (side-by-side points of disagreement between STB and Defendant).

5.6. [Analyst] Prepare Request for Supplemental Information.

5.7. [Analyst] Submit draft List of Issues and draft Request for

Supplemental Information to Section Chief for review and approval (see Utilities Epic).

5.8. [Section Chief] Review and adjudicate draft List of Issues and Request for Supplemental Information. Repeat edit/review cycle with Analyst as needed. If approved, submit List of Deficiencies and Request for Supplemental Information to Director (see Utilities Epic).

5.9. [Director/Chief Economist] Review and adjudicate draft List of Issues and Request for Supplemental Information. Discuss List of Issues and Request for Supplemental Information with Section Chief and Analyst. Repeat edit/review cycle with Section Chief and

Analyst as needed. If approved, submit final List of Issues and Request for Supplemental Information to OP (see Utilities Epic).

5.10. [Director/Chief Economist] Receive and review Petitioner’s Rebuttal (see Intake Epic).

5.11. [Director/Chief Economist] Forward Petitioner’s Rebuttal to Team.

5.12. [Section Chief, Analyst] Receive and review Petitioner’s Rebuttal.

5.13. Discuss Petitioner’s Rebuttal (if needed).

5.14. [Analyst] Update List of Issues.

5.15. [Analyst] Submit updated List of Issues to Section Chief for review and approval (see Utilities Epic).

5.16. [Section Chief] Review and adjudicate List of Issues. Repeat edit/review cycle with Analyst as needed. If approved, submit List of Issues to Director (see Utilities Epic).

5.17. [Director/Chief Economist] Review and adjudicate List of Issues. Repeat edit/review cycle with Analyst and Section Chief as needed.

6. Rate Case Analysis:

6.1. [Analyst] Review Operating Plan and Create Rail Traffic Controller Model.

6.2. [Analyst] Perform Decision Analysis, Update Models, Generate Results (from Models), and Evaluate Results against points of contention.

6.3. [Analyst] Peer Review Section.

6.4. [Analyst] Submit each Section to Section Chief for review and approval (see Utilities Epic).

6.5. [Section Chief] Review and approve each Section (see Manage Case

Epic). Repeat edit/review cycle with Analyst as needed.

6.6. [Analyst] Adjudicate comments from Section Chief and finalize each

Section.

6.7. [Analyst] Prepare Brief for Board.

6.8. [Analyst] Brief Board.

7. Merger/Service Issue Analysis:

7.1. [Analyst] Coordinate Schedule and Tasks with OP attorney [see Utilities Epic).

7.2. [Analyst] Retrieve Merger Application from STB.gov or Case (if confidential).

7.3. [Analyst] Review Merger Application, Comments & Response.

7.4. [Analyst] Make Insufficiency Determination.

7.5. [Analyst] Discuss with Board, Section Chief, Director, and OP

Attorney.

7.6. [Analyst] Draft Response.

7.7. [Analyst] Submit draft Response to Section Chief for review and approval (see Utilities Epic).

7.8. [Section Chief] Review and adjudicate the draft Response. Repeat cycle of edits/review with Analyst as needed.

7.9. [Analyst] Adjudicate comments from Section Chief and finalize Response.

7.10. [Section Chief] Submit Response to OP Attorney.

8. Manage Case Status:

8.1. [Analyst] Submit Weekly Status/Progress (see Manage Cases Epic).

8.2. [Chairman, Commissioner, Chief Legal Counsel, Director, Section

Chief] Review Weekly Status/Progress (see Manage Cases Epic).

9. Review Decision:

9.1. Receive OP and GC Decision.

9.2. Review and provide comments on OP and GC Decision.

9.3. Discuss Analysis and Decision with Board, OP and GC.

Such that … - or -

In order to … Respond to a Petitioner’s (e.g., railroad) Notice of Intent for a rate change or merger, as required by Federal laws and statutes.

Assuming … (optional)

Acceptance Criteria (aka Requirements) 1 The Case system provides a means to electronically import (e.g., scan), identify, tag, and store a

Notice of Intent and Notice of Intent to Merge as a Case record.

2 Team Assignments automatically generate Notifications, Alerts, and Calendar updates for initial tasks. Including Kick-off Meeting and analysis Sections.

3 Team Assignments are made through selection of OE staff members.

4 Assignees acknowledge receipt of Assignment.

5 Case enables Director/Chief Economist to build Project Plan (Tasks, Assignees, and Deadlines) and save this Plan as a record in Case.

6 Case provides a template for the creation of the List of Deficiencies and Proceed/Do Not Proceed Recommendation.

When ready to prepare a List of Deficiencies and Proceed/Do Not Proceed Recommendation, the Analyst identifies a reviewer (Section Chief or Team Leader) in the OE to examine the workflow process for this activity.

8 The draft and final List of Deficiencies and Proceed/Do Not Proceed Recommendation, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the List of Deficiencies and Proceed/Do Not Proceed Recommendation. Status changes are automatically recorded in the Case Log.

User Story Page 5

When the Analyst submits the final List of Deficiencies and Proceed/Do Not Proceed Recommendation, with approval of the Section Chief and Director/Chief Economist, it is automatically submitted to the OP Director. The event is automatically recorded in the Case Log.

When the Defendant’s Reply is received via the Intake process it is imported, identified, tagged and stored as a Case record. Once stored, all Team members, Section Chief, and the Director/Chief Economist receive a Notification and Alert.

12 Case provides a template for the creation of the List of Issues and Request for Supplemental Information.

When ready to prepare a List of Issues and Request for Supplemental Information, the Analyst identifies a reviewer (Section Chief or Team Leader) in the OE to examine the workflow process for this activity.

14 The draft and final List of Issues and Request for Supplemental Information, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the List of Issues and Request for Supplemental Information. Status changes are automatically recorded in the Case Log.

When the Analyst submits the final List of Issues and Request for Supplemental Information, with approval of the Section Chief and Director/Chief Economist, it is automatically submitted to the OP Director. The event is automatically recorded in the Case Log.

When the Defendant’s Rebuttal is received via the Intake process it is imported, identified, tagged and stored as a Case record. Once stored, all Team members, Section Chief, and the Director/Chief Economist receive a Notification and Alert.

Following receipt and review of the Defendant’s Rebuttal, the Case system facilitates the edit, review, approve/reject workflow process to update the List of Issues as used previously for the initial List (i.e., workflow -- assignees, tasks, deadlines, notifications).

Case integrates and facilitates import, identification, tagging, and storing for the Operating Plan, Rail Traffic Controller Model, Decision Analysis, Models, Analysis Results and Evaluations as Case records.

20 Case enables tracking of status, progress and workflow states for each Section of the analysis.

21 Case requires staff to update progress and status on each task for each Section.

22 Case enables managers and supervisors, including Directors and Commissioner Offices, to view progress on each Section of the analysis.

23 When the Analyst marks all tasks for a Section as “complete,” the OE staff listed as Peer Reviewers are notified of a pending review.

24 All Peer Reviewer and Section Chief comments are saved as Case records.

25 Once all Peer Review tasks for a Section are marked “complete,” a Notification and Alert are automatically sent to the Section Chief for them to review the completed Section.

26 Case provides a template for the creation of the Brief for the Board.

27 Submission, review and approval/reject events automatically change the status of the Brief for the Board. Status changes are automatically recorded in the Case Log.

28 Board comments on the Brief for the Board are logged and stored in the Case Note.

29 When OP and OGC complete their Decision, all Team members receive an automatic Notification and Alert.

User Story Page 6

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined algorithm, sequencing dependency, and data dependency.

Assumptions 1 System administration maintains a list of registered users, their access privileges, and contact information, etc. in the Case system or accessible to the Case system via an API.

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

Environmental Analysis Process

Story ID 3.3 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 3.0 Sibling Story ID(s) 3.1, 3.2, 3.4, 3.5

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … OEA Environmental Protection Specialist, Deputy Director, Director

When … (optional) A regulated industry (e.g., railroad) contacts STB about a potential or planned Abandonment through pre-filing of Combined Environmental & Historic Report, or correspondence regarding a Construction project.

I want to … 1. Receive Filing/Analysis/Communication (see Intake Epic) by OP or directly by

OEA.

2. Assign Case (see Utilities Epic) to an Environmental Protection Specialist.

3. Identify 3rd-party Contractor & Prepare MOU if required for Environmental Impact Statement (EIS) or Environmental Assessment (EA).

4. Process Applicant EIS Waiver Request.

5. Determine if EA or EIS is warranted.

6. Prepare & Publish Federal Register Notice.

7. EIS Process:

7.1. Receive Notice of Intent

7.2. Conduct Outreach, Analysis and Prepare Maps and Models.

7.3. Prepare & Publish Draft Scope of EIS

7.4. Receive & Adjudicate Scope Comments

7.5. Prepare & Publish Final Scope.

7.6. Not technically a comment period, but OEA receives initial comments and correspondence from State/Local/Federal government and public.

7.7. Draft EIS

7.8. Receive & Adjudicate EIS Comments

7.9. Prepare & Publish Final EIS

8. EA Process:

8.1. Draft EA

8.2. Receive & Adjudicate EA Comments

8.3. Prepare & Publish Final EA

Such that … - or -

In order to … Establish scientific basis for determining environmental impact in Abandonment and Construction case decisions by the STB.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

All Filings, Analyses and Correspondence received from Regulated Industries (e.g., railroads) via OP, OGC, OE, and directly to the OEA are imported electronically, identified, tagged, and logged as Case records.

2 3rd-Party Contractor is selected from a list of pre-approved contractors.

When an Environmental Protection Specialist finalizes an MOU, it is saved as a Case record, and transmitted electronically to the 3rd-Party Contractor and to the Regulated Industry points-of-contact.

The Case system records and logs the Applicant’s EIS Waiver Request, as well as the OEA’s accept or reject decision.

When the Director approves an EA/EIS Determination, the Case system posts the decision on STB.gov.

All notes, photographs, and documents received or created during and as a result of site visits must be imported, identified, tagged and stored as Case records.

7 Case provides a template for the creation of the Federal Register Notice.

When ready to prepare a Federal Register Notice, the Environmental Protection Specialist identifies a reviewer (supervisor/manager) in the OEA to the workflow process for this activity.

The draft and final Federal Register Notice, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the Federal Register Notice. Status changes are automatically recorded in the Case Log.

When the Environmental Protection Specialist submits the final Federal Register Notice, with approval of the Director of OP and the GC, it is automatically filed electronically through the Federal Register system interface. The filing event is automatically recorded in the Case Log.

When a Notice of Intent (NOI) is received, it is imported, identified, tagged and stored as a Case record. The NOI is published to STB.gov.

Case provides interfaces for importing and storing all models, maps, notes, and other documents created via external applications as part of environmental analyses.

14 Case provides a template for the creation of the Draft and Final EIS Scope.

When ready to prepare a Draft or Final EIS Scope, the Environmental Protection Specialist identifies a reviewer (supervisor/manager) in the OEA to the workflow process for this activity.

16 The draft and final Draft EIS Scope, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the Draft and Final EIS Scope. Status changes are automatically recorded in the Case Log.

When the Environmental Protection Specialist submits the final Draft and Final EIS Scope, with approval of the Director of OEA, it is automatically published electronically through the STB.gov system interface. The publishing event is automatically recorded in the Case Log.

Case imports all comments on the Draft and Final EIS Scope from STB.gov, identifies, tags and stores them as Case records.

Case permits the manager/supervisor responsible for the EA/EIS process to modify the Comment Period duration.

21 Case provides a template for the creation of the Draft and Final EIS.

When ready to prepare a Draft or Final EIS, the Environmental Protection Specialist identifies a reviewer (supervisor/manager) in the OEA to the workflow process for this activity.

23 The draft and final EIS, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the Draft and Final EIS. Status changes are automatically recorded in the Case Log.

When the Environmental Protection Specialist submits the final Draft and Final EIS, with approval of the Director of OEA, it is automatically published electronically through the STB.gov system interface. The publishing event is automatically recorded in the Case Log.

Case imports all comments on the Draft and Final EIS from STB.gov, identifies, tags and stores them as Case records.

27 Case provides a template for the creation of the Draft and Final EA.

When ready to prepare a Draft or Final EA, the Environmental Protection Specialist identifies a reviewer (supervisor/manager) in the OEA to the workflow process for this activity.

29 The draft and final EA, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the Draft and Final EA. Status changes are automatically recorded in the Case Log.

When the Environmental Protection Specialist submits the final Draft and Final EA, with approval of the Director of OEA, it is automatically published electronically through the STB.gov system interface. The publishing event is automatically recorded in the Case Log.

Case imports all comments on the Draft and Final EA from STB.gov, identifies, tags and stores them as Case records.

Public access to Case records for each EA/EIS by 3rd-Party Contractors must be restricted to only those cases and records to which the contractor has a signed MOU.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined

Assumptions 1 List of pre-approved 3rd-Party Contractors is maintained by OEA in the Case system.

Case will provide a public interface for sharing and exchange of documents, information and interaction with the 3rd-Party Contractor.

3 Case provides an automated interface to the Federal Register system for publishing.

4 The new Case will incorporate all data and functions of the existing ECT used by the OEA.

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

Manage Proceedings and Decisions

Story ID 2.0 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 0.0 Sibling Story ID(s) 1.0, 3.0, 4.0, 5.0

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … Paralegal, Attorney, and Attorney-Advisor, Assistant to the Director and as a manager/supervisor (Team Lead, Branch Chief, Section Chief, Deputy Director, Director, Commissioner and their Legal Counsels and Special Assistants)

When … (optional) It is necessary to assign, monitor, update or review a proceeding, or change the status of a decision.

1. Create, update and manage Assignment of a docket to Paralegals and Attorneys

1.1. Receive an automatic Notification (via email) that a Communication

(e.g., a Filing, Court Order, Environmental Study, Request or Correspondence) was received and entered into the Case system (see Utilities Epic).

1.2. Search for and select a docket (see Utilities Epic).

1.3. Review the Communication, Case Note, Case Log (history) in order to determine which Office/Section/Branch/Team/Attorney/Paralegal to assign the matter.

1.4. Create Assignment

1.4.1. Assign the docket to a Staff Member in the User’s chain-of-command (by selecting a Staff Member from a list).

1.4.2. Set/select Deadline for completing Assignment

1.6. Delete an Assignment.

1.7. Complete an Assignment and update the Case Log.

2. Monitor ongoing docket Status

2.1. Search for and select a docket (see Utilities Epic).

2.2. View docket Status.

2.3. View Progress against a Deadline.

2.4. Search for and select a range of or specific decisions based on Status, Progress and Deadline and other criteria.

2.5 Access reports from a dashboard

I want to …

1.5. Update an Assignment, if necessary, by selecting another Staff Member in the User’s chain-of-command.

3. Update docket Status

3.1. Search for and select a docket (see Utilities Epic).

3.2. Change Status Value (e.g., from “Open” to “In Progress”). 3.3.

Add, change or delete a comment in the Case Note.

3.4. Update List of staff assigned to the docket.

3.5. Close a docket.

3.6. Set a decision Activity Deadline.

3.7. Change a decision Activity Deadline.

3.8. Create a Recusal.

3.9. Change a Recusal.

3.10. Delete a Recusal.

4. Review a docket

4.1. Search for and select a Docket (see Utilities Epic).

4.2. Search for and select a Filing/Proceeding/Communication. 4.3.

Search for and select a Recommendation/Decision.

4.4. Update a Recommendation/Decision.

4.5. Update a Case Note.

4.6. Review a Case Log.

Such that … - or -

In order to … Ensure proper, efficient, and effective processing of Cases and provide management the ability to survey and monitor the agency's workload.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

User with management/supervisor authority can select staff members when making an assignment. Offices, Sections, Branches, and staff member names must be selectable.

Creating, updating and deleting an Assignment creates a Notification message, displays an Alert to the assignee, and adds (or removes) a Task with Deadline to the assignee’s Calendar.

Creating, updating (changing), and deleting an Assignment are recorded in the Case Log, along with the date, time and manager/supervisor’s name.

Any staff assigned to the docket can mark associated assignments complete. Completing an Assignment is recorded in the Case Log, along with the date, time and user’s name.

Every action performed by a user on a Docket updates the Status and is recorded in the Case Log, along with the date, time, and user’s name. Docket Status changes are made automatically (not selected by the user), when specific actions (TBD) are performed; e.g., creating a docket sets the Status to “New”, adding a Filing or Correspondence sets the Status to “Updated”, closing a docket sets the Status to “Closed”.

Every action performed by a user on a Assignment updates the Assignment Status and is recorded in the Case Log, along with the date, time, and user’s name. Assignment Status changes are made automatically (not selected by the user), when specific actions (TBD) are performed; e.g., creating an Assignment sets the Assignment Status to “New”, adding an Analysis or Note sets the Assignment Status to “Updated”, closing an Assignment sets the Assignment Status to “Closed”.

7 The assignee must be required to update progress on an Assignment (see Assumptions, below).

8 A user may search for and select a Case by filtering on Case Status.

9 A user may search for and select an Assignment by filtering on Assignment Status.

When creating (or updating) a Case, all staff assigned should be notified of changes in the status of a Case. Assigned staff members must be selectable from a list.

When creating or updating a Case, an authorized user may indicate Board members and other staff as “Recused” with relation to a specific Case/Docket. This status will limit access to the contents of the Case/Docket.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined algorithm, sequencing dependency, and data dependency.

Assumptions

Case Status and Assignment Status state values, and Assignment Progress measures, must be standardized by the STB.

Email, instant messaging, and calendar enterprise applications will be integrated with the Case replacement system in order to facilitate Notifications, Deadlines, Reporting, Workflow and Case Management.

All assigned staff should be aware of recusals on a proceeding or decision.

STB will provide and maintain in the system a list of all users, their roles, access authorities.

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

Clearance Process

Story ID 4.0 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 0.0 Sibling Story ID(s) 1.0, 2.0, 3.0, 5.0

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … Office of Proceedings (OP) Clearance Unit staff, Board member

When … (optional) A STB Decision is being prepared for a vote, and after a Decision is ready for publication.

I want to … 1. Prepare Decision/Notice for Clearance

1.1. Receive Decision/Notice

1.2. Verify Decision/Notice identifiers and validate completeness

1.3. Create/Update Press Note

1.4. Create/Update Federal Register Notice

1.5. Update Case Log

2. Vote

2.1. Submit Decision/Notice for vote

2.2. Record Board Commissioner vote

2.3. Return Decision/Notice with Comments

2.4. Review Vote Result and Comments

2.5. Update Case Log

3. Publish Decision/Notice

3.1. (Re)Format Decision/Notice for Federal Register

3.2. Re(Format) Decision/Notice for Vote

3.3. Create Clearance Memorandum

3.4. Identify and notify Parties of Decisions/Notices served

3.5. Update STB.gov

3.6. Mark, Print, Distribute and Store (online and Library)

3.7. Send to Federal Register

3.8. Update Case Log

4. Records Disposition

Such that … - or -

In order to … Prepare a Decision for a vote by the Board, and to publish the final Decision to the Public and Regulated Industry.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

Case generates an automatic Notification and Alert to the OP Clearance Unit Chief whenever a draft Decision or Notice is submitted from one of the STB Offices.

Clearance Unit must mark a Decision/Notice as “verified” after verifying identifiers and validating completeness. This action updates the Status of the Decision/Notice. The event is logged in the Case Log.

3 Case provides a template for creating a Press Note and Federal Register Notice.

When ready to prepare a Press Note and Federal Register Notice, the OP Clearance Unit Paralegal identifies a reviewer (supervisor/manager) in the Clearance Unit to the workflow process for this activity.

The draft and final Press Note and Federal Register Notice, and all reviewer comments, are saved as Case records.

Submission, review and approval/reject events automatically change the status of the Press Note and Federal Register Notice. Status changes are automatically recorded in the Case Log.

When the Decision/Notice has been finalized, the OP Clearance Unit Paralegal submits the Decision/Notice to the Board members for a Vote, which updates the Decision/Notice status to “ready for vote.” This action generates an automatic Notification, Alert and Calendar task (with deadline) for each voting Board member. The task includes the Decision/Notice as well as links or attachments to the Press Note, Federal Register Notice, and all supporting records and documents to the Decision/Notice.

8 Case enables Board members to record comments on the Decision/Notice with their Vote.

Case consolidates Board member comments, tallies the vote, and generates a Notification and Alert to the Chairman. The consolidated comments and vote tally are recorded in the Case Log.

10 Case formats the Decision/Notice for publication in the Federal Register.

Case formats the Decision/Notice, supporting documentation and records, and consolidated Board member comments in preparation for a Vote.

Upon approval through Board vote, Case publishes the final Decision/Notice on STB.gov;

generates hardcopies for the STB Library archive, publishes the final Decision/Notice to the Federal Register, and updates the Case Log for these events.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined

Assumptions 1 Case provides automated interfaces to STB.gov and the Federal Register.

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.

FOIA Request Process

Story ID 3.5 Story Type (e.g., User, System, etc.)

User Epic

Parent Story’s ID 3.0 Sibling Story ID(s) 3.1, 3.2, 3.3, 3.4

Funding Project/Job #

Priority Story Estimate (Story

Points)

Task Estimates Total

NOTE: Expand table cells as needed to fully describe this User Story.

Description As a … OGC Attorney-Advisor (OGC FOIA Office) and STB staff assigned to FOIA

Request

When … (optional) A FOIA Request is submitted to the STB

I want to … 1. Receive FOIA Request from Requester (see Intake Epic):

1.1. Review Request for proper completeness and format

1.2. Enter FOIA Request into database

2. Contact Requester for Information/Clarification, if necessary.

3. Prepare & Send FOIA Request Receipt Acknowledgement Letter to Requester.

4. Prepare & Send Search Request Form:

4.1. Search Case, STB.gov, STB Library for information regarding staff that may have knowledge of the information requested (see Utilities Epic).

4.2. Consult with STB staff that may have knowledge of the information requested.

4.3. Identify staff or STB office best able to complete the Search Request

Form.

4.4. Prepare Search Request Form.

4.5. Submit Search Request Form to STB office/staff.

5. Complete Search & Search Request Form:

5.1. Staff members search for relevant records responsive to FOIA requests.

5.2. Staff provides FOIA office with records.

5.3. Staff provides time it took to search for records.

5.4. Staff responds to FIA office questions about records if needed.

6. FOIA office reviews records found by Staff Search:

6.1. Review Search Request Form response and attached documents.

6.2. Identify applicable FOIA exemptions, and make determination if they apply.

6.3. Consult with STB staff, if necessary.

6.4. Send submitter Notice letter if necessary.

6.5. Send notice of extra 10 days, if necessary.

Such that … - or -

In order to …

The STB can properly comply with the U.S. Freedom of Information Act and Records Act.

Assuming … (optional)

Acceptance Criteria (aka Requirements)

Intake of a FOIA Request generates an automatic Notification and Alert to the OGC Director (General Counsel) and the OGC FOIA Office. It also sets up a Calendar task with a standard deadline for the FOIA Request review.

All notes and correspondence between the FOIA Office and the Requester are logged, identified, tagged and stored as Case Notes or as documents in the Case record.

3 Case provides a template for creation of the FOIA Request Receipt Confirmation Letter.

Upon completion by the FOIA Office Attorney, Case stores a copy of the FOIA Request Receipt Confirmation Letter and transmits it to the Requester.

5 Case provides a template for creation of the Search Request Form.

Upon completion by the FOIA Office Attorney, Case stores a copy of the Search Request Form and transmits it to the STB staff identified by the Attorney. STB staff receiving the Search Request Form also receive a Notification, Alert and Calendar task with standard Deadline for completion of the Form.

Case enables STB staff to edit, save, update and delete responses to the FOIA Request on the Search Request Form.

Creating, updating, editing, and submission events automatically change the status of the Search Request Form. Status changes are automatically recorded in the Case Log.

9 Case enables STB staff to attach/link relevant records to the Search Request Form.

Upon completing and submitting a Search Request Form, Case generates an automatic Notification and Alert to the FOIA Office that a Search Request Form is ready for review.

The FOIA Office Attorney may remove or redact Search Request Form responses and attached documents/records per FOIA Exemption guidelines.

Upon consolidating all Search Request Form responses and attached documents/records into a single FOIA Response, the FOIA Office Attorney saves the FOIA Response to the FOIA database.

Upon completing their review of all Search Request Forms and attached documents/records related to a FOIA Request, and the preparation of a Bill (if needed), the FOIA Office Attorney transmits the FOIA Response (consolidated Search Request Form responses and attached

7. FOIA Office calculates Bill.

8. FOIA Officer prepares and sends FOIA response, with determination and Bill.

9. Close FOIA request in FOIA database.

10. Maintain FOIA documents for 6 years after last record of common ?? (See FRS and STB records schedule).

documents/records) to the FOIA Requester. Transmitting the FOIA Response updates the FOIA Request status to “closed.”

Case enables all staff to search its case database for records relevant to a FOIA Request, constrained by case and document/record confidentiality, recusals, conflict of interest, and other STB information security policies.

NOTE: Common types of “Acceptance Criteria” include: required and optional data, data validation rules, data integrity constraints, example input/output data mappings, example wireframe & storyboard, sequence of processing steps, reference to well-defined algorithm, sequencing dependency, and data dependency.

Assumptions

NOTE: “Assumptions” are criteria that are explicitly excluded from being an Acceptance Criteria. These may include non-functional requirements, such as usability, maintainability, testability, etc.

Constraints 1 Bill calculation is external to Case management.

NOTE: “Constraints” are criteria that are that place limits on the team’s ability to implement the User Story or meet Acceptance Criteria.