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Order
Subject
FHWA Audio and Visual Aids Handbook
Classification Code Date Office of Primary Interest
H 1710.4 December 23, 1987 HAIM-20

Par.

  1. Purpose

  2. Cancellation

  3. Scope

  4. Action

  1. PURPOSE. To establish and transmit the Federal Highway Administration (FHWA) Publications and Printing Handbook.

  2. CANCELLATION. This issuance cancels the following directives: Administrative Manual, Volume 33, Chapter I, Publications and Chapter III, Printing and Reproduction; and FHWA Order 1710.1, Procedures for Obtaining Publications and Visual Aids Services in the FHWA Headquarters, dated November 26, 1975.

  3. SCOPE. The provisions and requirements of this Handbook are applicable to all the FHWA offices.

  4. ACTION. Attention is directed to the responsibility of Associate Administrators and Staff Office Directors to appoint contact persons to monitor overall expenditures for printing services obtained through the Working Capital Fund as stated in Chapter 4, paragraph 1d, and to submit a Planned Publications Report each fiscal year, as stated in Chapter 4, paragraph 1a.

/s/
Daniel Markoff
Associate Administrator
for Administration

PUBLICATIONS AND PRINTING HANDBOOK

TABLE OF CONTENTS

CHAPTER 1. GENERAL

  1. Purpose 1-1

  2. Authority and References 1-1

  3. Applicability 1-2

  4. Responsibilities 1-2

CHAPTER 2. FEDERAL HIGHWAY ADMINISTRATION PUBLICATION

DEVELOPMENT AND REPRODUCTION

  1. Publication Development 2-1

  2. Editorial Assistance 2-1

  3. Publication Design 2-3

  4. Printing and Reproduction 2-4

  5. Reducing Printing and Reproduction Costs 2-7

  6. Sale of Publications Through the U.S. Government Printing Office and the National Technical Information Service 2-9

  7. Ordering FHWA Publications, Directives, and Forms from the DOT Warehouse 2-10

CHAPTER 3. CLEARANCE REQUIREMENTS

  1. Clearance of Publications 3-1

  2. Additional Clearance Requirements for Periodicals (Recurring Publications) 3-2

CHAPTER 4. PUBLICATION FUNDING AND COST REPORTING

  1. Funding FHWA Publications 4-1

  2. Annual Publications Report to the Office of the Secretary (OST) 4-3

CHAPTER 5. GUIDELINES FOR PREPARING FEDERAL HIGHWAY ADMINISTRATION PUBLICATIONS

  1. General 5-1

  2. Publication Definitions 5-1

  3. Kinds of Publications 5-2

  4. Copyright Requirements 5-3

  5. Assignment of Publication Number 5-4

  6. Identification of Publication 5-5

  7. Acknowledging Contributors and Authors: Credit Lines and Bylines 5-7

  8. Using Advertisements in the FHWA Publications 5-8

  9. Style Manuals 5-8

  10. Format for Preparing Technical Brochures, Manuals, Reports, and Studies 5-9

  11. Designing the Layout of the Technical Publication 5-29

  12. Preparing the Final Text for Technical Publications 5-31

  13. Preparing Artwork for Technical Publications: Line Drawings, Graphs, Charts, Figures, and Tables 5-33

  14. Preparing Photographs for Technical Publications 5-35

  15. Page Numbering for Technical Publications 5-36

  16. Preparing the Camera-Ready Copy (Final Pages) for Printing 5-38

  17. Layout Format for Nontechnical Publications: General Information Brochures and Booklets, Magazines, Newsletters, and Newspapers. 5-39

  18. Content Format for Magazines, Newsletters, and Newspapers 5-40

  19. Format for Training Publications 5-40

LIST OF FIGURES

Page

Figure 2.1 Steps in Producing the FHWA Publication 2-2

Figure 5.1 Mark and Signature 5-6

Figure 5.2 Standard Order of Elements in a Publication 5-10

Figure 5.3 Example of a Technical Publication -- Front Cover (Cover 1) 5-11

Figure 5.4 Sample of an Inside Front Cover (Cover 2) 5-12

Figure 5.5 Departmental Disclaimer 5-13

Figure 5.6 Disclaimer for Product Names 5-13

Figure 5.7 Optional Notices 5-14

Figure 5.8 Sample Back Cover (Cover 4) when used as a Self-Mailer 5-15

Figure 5.9 Spine Title 5-16

Figure 5.10 Sample Title Page 5-18

Figure 5.11 Sample Title Page with Byline 5-19

Figure 5.12 Sample Preface 5-21

Figure 5.13 Sample Acknowledgments Page 5-22

Figure 5.14 Metric Conversion Factors Page 5-23

Figure 5.15 Sample Table of Contents 5-24

Figure 5.16 Lists of Tables and Figures 5-26

Figure 5.17 Sample List of Abbreviations and Symbols 5-27

Figure 5.18 Acceptable and Unacceptable Type 5-32

LIST OF ATTACHMENTS

[SEE PRINTED COPY OF ORDER FOR COPIES OF THE FOLLOWING ATTACHMENTS]

Attachment 1. Form FHWA-850, Order for Audio Visual Services and Special Reproduction

Attachment 2. DOT F 1700.8, Duplicating Request

Attachment 3. JCP Form No. 2, Commercial Printing Report

Attachment 4. DOT F 1700.7, Technical Report Documentation Page

Attachment 5. Form NTIS-79, Accession Notice

Attachment 6. Form FHWA-1113, Clearance Request for Publication, Film, Exhibit, or Visual Presentation

Attachment 7. Form FHWA 1528, Authorization to Proceed to Printing/Reprinting

CHAPTER 1. GENERAL

  1. PURPOSE. To prescribe the responsibilities for and the management of the Federal Highway Administration (FHWA) Publications and Printing Program.

  2. AUTHORITY AND REFERENCES

    1. Office of Management and Budget (OMB) Circular No. A-3 (Revised), Government Publications, dated May 2, 1985.

    2. Government Printing and Biding Regulations No. 24, Published by the Joint Committee on Printing, Congress of the United States, dated April 1977.

    3. Department of Transportation (DOT) Order 1210.5, DOT Public Affairs Management Manual, dated December 22, 1977.

    4. DOT Order 1360.1A, Identification of Printing and Typed Materials and Visual Aids, dated July 31, 1972.

    5. DOT Order 1360.5, Policy and Procedures Governing DOT Printing, Duplicating, and Copying, dated August 29, 1979.

    6. DOT Order 1360.6, Graphic Standards for the U.S. Department of Transportation, dated March 18, 1981.

    7. DOT Order 1700.18B, Acquisition, Publication and Dissemination of DOT Scientific and Technical Reports, dated March 8, 1976.

    8. DOT Document DOT-TST-75-97, Standards for the Preparation and Publication of DOT Scientific and Technical Reports.

    9. DOT Order 1700.24A, Printing, Duplicating and Copying -Program to Reduce Costs and Volume, dated July 31, 1978.

    10. FHWA Order 2-4, Clearance and Release of Public Information Material, dated February 7, 1972.

    11. DOT Order 1710.2B, Copying and Duplicating Services in the Headquarters Buildings, dated November 2, 1976.

    12. DOT Order 1300.4, Procedures for Withdrawal of FHWA Publications, Directives, and Forms from the DOT Warehouse, dated August 7, 1987.

  3. APPLICABILITY. This Handbook applies to all publishing and printing of material sponsored by the FHWA. It applies to reprints as well as original publishing and printing; and it applies whether such publications are completed by the OST printing plant, U.S. Government Printing Office, purchase order, interagency agreement, general working agreement, contract, subcontract, or Federal discretionary grant.

  4. RESPONSIBILITIES

    1. Washington Headquarters. Associate Administrators and Staff Office Directors are responsible for implementing and maintaining the publications and printing program prescribed in this Handbook. This includes determining the propriety, accuracy, and necessity of matter printed, published, or duplicated.

    2. Field Offices. The Regional Administrators and Direct Federal Division Engineers are responsible for carrying out the publications and printing program in the field offices.

    3. Publications and Visual Aids Branch (P&VA). In the Washington Headquarters, the Office of Management Systems, Publications and Visual Aids Branch (HMS-24), is responsible for management of the FHWA Publications and Printing Program, ensuring conformance with FHWA and DOT policy in developing and acquiring quality publications in an economical and effective manner. The P&VA Branch is also responsible for management of the administrative budget for publications production and services.

    4. Office of Public Affairs. The Director, office of Public Affairs is responsible for approving all publications before they are printed or reprinted.

CHAPTER 2. FHWA PUBLICATION DEVELOPMENT AND REPRODUCTION

  1. PUBLICATION DEVELOPMENT

    1. Planning a Publication. Planning is an important step in the development of a publication. Proper planning will ensure a quality, cost-effective, and timely end product.

        (1) Production schedules and timetables should be developed at the conceptual stage of the publication. The FHWA Washington Headquarters and field offices are required to obtain conceptual clearance of publication projects from the Office of Public Affairs (see Clearance Requirements, Chapter 3).

        (2) Publication costs, including printing estimates, may be obtained from the P&VA Branch (see Publication Funding and Cost Reporting, Chapter 4).

        (3) Staff specialists in the P&VA Branch are available to assist program office personnel in the development of FHWA publications. P&VA specialists can provide advice in the areas of planning, editing, graphics, or still photography for a publication (see Guidelines for Preparing Federal HighwayAdministration Publications, Chapter 5).

    2. Producing the FHWA Publication. Twelve basic steps should be used to produce an FHWA publication, from the concept of the proposed publication to the preparation of the final package for printing (see Figure 2.1). [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 2.1]

  2. EDITORIAL ASSISTANCE. Editorial services are available from the concept of the proposed publication, throughout the production stages, to the finished printed product.

    1. At the request of FHWA offices, the P&VA Branch will provide a writer-editor to either work with the program office from the initial planning of the publication project or to edit a draft of the proposed publication.

    2. All final copy submitted for printing to the P&VA Branch receives an editorial review. To avoid last minute delays, program offices are encouraged to request editorial services early in the development of a publication project. By having the P&VA Branch review a draft of the publication, you may avoid unnecessary problems (e.g. style, organization, page format, and clearance approvals.) A daft may be submitted directly to the P&VA Branch. Publications written by contractors also should be reviewed by the P&VA Branch. Submit a draft during the contract review period, before the contract is closed.

    3. Washington Headquarters and field offices should prepare requests for editorial services on Form FHWA-850, Order for Audio Visual Services and Special Reproduction (Attachment 1). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] In block 7 check the box, "OTHER," and in block 15 indicate editorial services are required. Submit Form FHWA-850 to the P&VA Branch.

  3. PUBLICATION DESIGN. Advice is available on the most effective format and style for a proposed publication. Assistance is available concerning the overall design, illustrations, graphics, charts, and other artwork used in a publication.

    1. Washington Headquarters. Requests for the developmentor procurement of graphics and still photography should be submitted to the P&VA Branch on Form FHWA-850, Order for Audio Visual Services and Special Reproduction (Attachment 1). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] (Refer to FHWA Order H 1710.3, Audiovisual and Visual Aids Handbook, for detailed instructions on obtaining graphics and still photography services.)

    2. Field Offices. Field offices should procure graphics and still photography services through local commercial sources using regular procurement procedures. If necessary, field offices may request services from the P&VA Branch.

  4. PRINTING AND REPRODUCTION. The final phase in the development of a publication is the reproduction of the camera-ready copy. Printing specialists will advise the best method to use: copying, duplicating, or printing.

    1. Washington Headquarters. In the Washington Headquarters, printing, duplicating, and copying services are consolidated under the Office of the Secretary of Transportation (OST) and are funded through the Working Capital Fund. The P&Va Branch is the FHWA control point for the review and approval of requests to the OST.

        (1) Requests for printing and duplicating services should be prepared on Form DOT F 1700.8, Duplicating Request (Attachment 2), and submitted to the P&VA Branch, along with the final copy of the item to be reproduced. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] (The clearance requirements stated in Chapter 3 must be followed where applicable.)

        (2) Hot copies (e.g.,copies off a xerographic machine) are ordered on Form 1700.8. Copies, photostats, daisy prints, and any other types of reproduction are ordered on Form FHWA-850, Order for Audio Visual Services. All forms must be signed by the authorized person, designated by the Associate Administrator or Staff Office Director to monitor expenditures for printing services.

    2. Field Offices. In the field offices, printing andduplicating services are obtained through the U.S. Government Printing Office's (GPO) Regional Printing Procurement Offices. Standard Form 1, Printing and Binding Requisition, is the form used to requisition printing, binding, and related services from the GPO. This form is required to request individual (one time) printing requirements, to request the establishment or renewal of a term contract, to place work on general usage term contracts, and to request waivers. For additional information, see the Agency Procedural Handbook for the Procurement of Commercial Printing Services (GPO Publication 305.1, dated March 1987).

        (1) Procurement of Printing and Duplicating Services through the Regional Printing Procurement Offices. Printing and duplicating that will be commercially procurable is obtained through the field GPO. All printing and duplicating are considered commercially procurable except classified materials and materials required in 3 work days or less; in practice, the time factor may vary. Printing and duplicating determined to be commercially procurable will be requisitioned from the appropriate GPO Regional Printing Procurement Office.

        (2) Procurement of Printing Services from Other Federal Government Agencies

          (a) Outside the Washington metropolitan area, printing or duplicating that is not commercially procurable may be procured from other Federal Government agencies in the area where the need originates, e.g., General Services Administration facilities in Federal office buildings.

          (b) Outside the 48 contiguous States, any requirements may be procured from other Government agencies.

        (3) Direct Procurement of Printing Services from Commercial Contractors

          (a) Outside the Washington Headquarters, printing and duplicating may be procured directly from commercial contractors only upon the issuance ofa waiver by a GOP Regional Printing Procurement Office.

          (b) Outside the 48 contiguous States, printing and duplicating may be procured directly from commercial contractors. A waiver will be required at such time as the GOP establishes a GPO Regional Printing Procurement Office for the Federal Printing Region in which the contractor is located.

          (c) All direct procurement from commercial contractors must be reported on the Joint Committee on Printing (JCP) Form No. 2, Commercial Printing Report (Attachment 3). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] If printing has not been directly procured from commercial contractors, no report is required.

    3. Printing Requirements Resulting from Contracts and Grants. The inclusion of printing resulting from contracts for the manufacture and/or operation of equipment, and for services such as architectural, engineering and research, or resulting from grants, is prohibited unless authorized by the Joint Committee on Printing. This regulation does not preclude the following:

        (1) Procurement of writing and/or editing, preparation of related manuscript copy, or preparation of related illustrative material as a part of the contract or grant.

        (2) A requirement for the contractor or grantee to duplicate not more than 5,000 units of one page or 25,000 units in the aggregate of multiple pages.

        (3) A requirement for administrative printing (e.g., forms and instructional materials) necessary for use by a contractor or grantee responding to the preclude recording manuscript copy in digital form for typesetting purposes. However, the printing of such material for the Federal Government must be accomplished in accordance with applicable laws and regulations.

    4. Requesting Color Printing. Multicolor printing should be used only if two or more colors are essential. Prior approval is required. Washington Headquarters and field offices must submit justifications in memorandum form to the Chief, P&VA Branch. The P&VA Branch reviews the requests, and then submits the requests for approval to the Director, Office of Public Affairs, HPA-1. Approved requests are forwarded to the Chief, Publishing and Graphics Division, OST, for final clearance. The following categories are examples of justifications for color work:

        (1) Maps and technical diagrams where color is necessary for clarity.

        (2) Safety promotion.

        (3) Fire prevention.

        (4) Competitive areas of personnel recruiting.

    5. Requesting Printing for Items Other than Publications: Business and Greeting Cards. Printing or engraving of business or greeting cards is considered a personal rather than an official expense. Such printing shall not be done at the Federal Government's expense.

  5. REDUCING PRINTING AND REPRODUCTION COSTS. When deciding how many copies of a publication to publish, program offices should follow these guidelines to reduce printing and reproduction cost:

    1. Plan Ahead. Plan as far ahead as possible. The cost for rush services is often double or triple that of normal rates, and with rush work, quality and/or accuracy is often sacrificed. In addition, if consulted in the conceptual stages of a project, the P&VA Branch can offer suggestions for effective presentation of the material.

    2. Paper Stock. Only those types, grades, weights, and colors of paper included within the Federal Government Paper Specification Standards issued by the Joint Committee on Printing shall be procured or specified forprinting, duplicating, and binding of the FHWA material.

        (1) Paper Selection. When selecting paper, consider the purpose of the publication. The paper is part of the overall message of the publication. The texture or surface quality of the paper should not compete with the design or images. For advice concerning paper selection, program offices can consult a visual information specialist or printing specialist in the P&VA Branch.

        (2) Cover Paper. For publications up to 32 pages, self-covers should be used whenever possible. This means the cover paper should be the same as the paper selected for the text. For booklets of 32 pages or more, a different or heavier cover stock should be considered.

        (3) Other Paper Consideration. With perfect bound books of 100 pages or more, bulk must be considered as more pages are added. The stock should not be too rigid, and it should not be difficult to open the book or lay it flat. The use of color ink also affects paper selection.

    3. Binding. Only standard types of binding shall be used. Standard types include saddle or side stitched, pasted on fold, or perfect binding.

    4. Binders. Instead of binding a publication, ring binders can be used as covers for a printed publication. Binders allow a flexible assemble of various information packages. They hold standard size materials (8 1/2 inches by 11 inches) and are expandable and convenient. Binders also are expensive, and for this reason, should only be used when absolutely necessary.

        (1) Vinyl Binder with Clear Window Pocket Cover. This most popular and economical binder has a vinyl cover and clear vinyl window pockets thermally welded to its full exterior front cover and spine. Cover and spine inserts, sized to the dimensions of the windows, may be printed and inserted into the window pockets. This type cover can be handled with short print runs and may not require lengthy productiontime. Covers may be printed in colors and may contain half-tone reproductions. This type of binder usually is less expensive than the silk-screened binders and is recommended for use, whenever practical.

        (2) Silk-Screen Binders. Silk-screened covers and spines are recommended only for large quantities of fine-quality publications intended for use over an extended period.

        (3) Binder Size. Binders are available in 1- to 3-inch ring size. Choose a binder according to the number of pages to be contained. The size is determined by the diameter of the rings and not by the width of the spine.

    5. Other Cost Reduction Suggestions

        (1) Restrict the number of copies published to those actually needed for a planned distribution and a limited reserve stock. (Note: Setup costs for printing a publication are expensive. Do not order an over abundance of copies, but order enough copies to avoid a reprint that would incur additional setup costs.)

        (2) Print or duplicate on both sides of paper on all jobs having two or more pages being reproduced in quantities of 100 or more copies.

        (3) Plan reproduction work in increments of four pages (especially on saddle-stitched publications) to avoid blank pages in publications, whenever possible (except in looseleaf material). (Books are printed on large sheets, four pages to one sheet, then folded to become four pages of a book.)

        (4) Limit the number of typeset proofs to the number of sets actually required for proofreading.

  6. SALE OF PUBLICATIONS THROUGH THE U.S. GOVERNMENT PRINTING OFFICE AND THE NATIONAL TECHNICAL INFORMATION SERVICE

    1. U.S. Government Printing Office (GPO)

        (1) If a publication is expected to be of interest to the general public, it should be considered for sale through the GPO's Superintendent of Documents. Sale of publications through the GPO permits the public to have easier access to popular publications and reduces the number of copies printed by the FHWA, thereby reducing printing costs.

        (2) Request the sale of a publication through GPO on Form DOT F 1700.8, Duplicating Request (Attachment 2), when the publication is submitted for printing to the Publications and Visual Aids Branch (HMS-24). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] The GPO reviews each request and places those publications on sale that are expected to result in acceptable sales.

    2. National Technical Information Service (NTIS)

        (1) The NTIS sells technical publications to the public. Program offices shall submit all technical publications to NTIS.

        (2) The NTIS requires all submissions to include the Technical Report Documentation Page, Form DOT F 1700.7 (Attachment 4). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] This form is always included as the first page of the publication. Instructions are included in Attachment 4 on how to complete and paginate Form DOT F 1700.7.

        (3) Form NTIS 79, Accession Notice (Attachment 5), accompanied by a minimum of 11 copies of each publication, must be submitted to NTIS. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] In addition, one copy of the Form NTIS 79 is submitted to the P&VA Branch.

  7. ORDERING FHWA PUBLICATION, DIRECTIVES, AND FORMS FROM THE DOT WAREHOUSE. To order stock from the Dot warehouse, see DOT Order 1300.4, Procedures for Withdrawal of FHWA Publications, Directives, and Forms.

CHAPTER 3. CLEARANCE REQUIREMENTS

  1. CLEARANCE OF PUBLICATION. The FHWA Headquarters and field offices shall obtain approval to proceed with publication projects from the Director, Office of Public Affairs. In general, this approval applies to all FHWA publications. This approval is obtained at two stages in the planning of a publication: the concept stage prior to the development of the first draft and the final stage prior to printing or reprinting the completed publication.

    1. Concept Clearance

        (1) The FHWA Headquarters and field offices planning a publication will submit the clearance request for the concept of a publication to the P&VA Branch. The P&VA Branch will review the request for compliance with current FHWA publication standards and guidelines. The P&VA Branch will then submit the request to the Director, Office of Public Affairs, for approval to proceed.

        (2) The request for concept approval is submitted on Form FHWA-1113, Clearance Request for Publication, Film, Exhibit, or Visual Presentation (Attachment 6). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT]

    2. Final Clearance Prior to Printing or Reprinting Publications

        (1) FHWA Headquarters and field offices should submit the clearance request to proceed to print or reprint a publication to the P&VA Branch, along with a final copy of the publication. The P&VA Branch must sign off on this form before it is submitted to the Office of Public Affairs.

        (2) The P&VA Branch will review the final copy, attach a final cost estimate for printing, and submit the request to the Director, Office of Public Affairs, for approval.

        (3) All final copy submitted for printing to the P&VA Branch receives an editorial review. However, program offices should request editorial servicesearly in the development of a publication project. (See Editorial Assistance, Chapter 2, paragraph 2.)

        (4) The request to proceed to printing or reprinting a publication should be submitted on Form FHWA 1528, Authorization to Proceed to Printing/Reprinting (Attachment 7). [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT] The form must be signed by the program office and the appropriate Associate Administrator or Staff Office Director before it is submitted to P&VA.

        (5) Approved publications must be printed within 60 days from the date of the approval. Should the printing not occur within the 60-day period, the final stage approval cycle must be repeated and a new clearance obtained to proceed to print or reprint.

  2. ADDITIONAL CLEARANCE REQUIREMENTS FOR PERIODICALS (RECURRING PUBLICATIONS)

    1. Periodicals are recurring publications issued annually, or more often, with a consistent format, content, or purpose. In addition to the clearance requirements stated in paragraph 1, periodicals require clearance approval from the Office of the Secretary (OST) and the Office of Management and Budget (OMB) in accordance with Government Publications (OMB Circular No. A-3). The program office requiring clearance should submit a memorandum to the P&VA Branch as soon as the concept approval is obtained (reference paragraph 1a, Concept Clearance) and at least 120 days before the periodical is ready for printing.

    2. OMB Circular No. A-3 exempts specific publications. The following publications are not considered periodicals and do not require OMB clearance.

        (1) Administrative materials (memoranda, directives, regulations, legal opinions and decisions, proceedings, programs for ceremonies, press releases, environmental impact statements and assessments, and planning documents

        (2) Primarily (90 percent or more) statisticalmaterials. (This exception does not apply to publications that contain statistics from published sources other than FHWA.)

        (3) Research and development reports. (These reports are the direct result of research contracts and are distributed to Federal Government employees, contractors involved in the work, and commercial publishers or professional associations for use in technical publications.)

        (4) Official instructional/informational publications of a permanent nature, published as a supplement to directive systems of Executive Branch agencies.

        (5) Annual updates of instructional/informational publications made available to the public to inform them of laws and regulations.

    3. To request OMB clearance, program offices should provide information about periodical projects to the P&VA Branch. The P&VA Branch will use this information to prepare a memorandum from the Federal Highway Administrator to the Office of the Assistant Secretary for Public Affairs, OST, requesting that the Assistant Secretary obtain clearance from OMB.

    4. Requests for OMB approval from program offices to the P&VA Branch must include the following information:

        (1) Name of periodical.

        (2) Issuing office.

        (3) Proposed frequency of issue.

        (4) General content.

        (5) Maximum number of copies per issue, both for official use and for free distribution.

        (6) Estimated annual cost (including separate indications of costs for (a) printing and binding, and (b) salaries, materials, and other expenses associated with preparing the periodical).

        (7) Appropriation to be charged.

        (8) A comprehensive statement of the necessity for the periodical, including any specific statutory authorization for publication of the information included in the periodical, is required. In the absence of specific authorization, include a description of why the proposed periodical is necessary to transact public business that the issuing office is required by law to undertake.

        (9) A statement justifying the number of copies proposed, both for official use and for free distribution, is required. The statement should indicate the specific segment of the public in need of free distribution and why distribution should be free instead of paid for by recipients.

CHAPTER 4. PUBLICATION FUNDING AND COST REPORTING

  1. FUNDING FHWA PUBLICATIONS. The P&VA Branch is allocated funds each year for the printing of FHWA publications. The printing services are obtained through the DOT Working Capital Fund (WCF) program. As part of the budget formulation process, the FHWA must identify planned publications and then determine estimates to fund printing projects. To develop these estimates, the P&VA Branch will request planning information from the Washington Headquarters program offices.

    1. Planned Publication Report. Prior to each fiscal year, the Chief, P&VA Branch requests Washington Headquarters offices to submit a report of planned publications to the P&VA Branch. This information is used to estimate annual printing costs, develop fiscal plans, and to prepare the Annual Publications Report to the Office of the Secretary. As a minimum, program offices should include in the Planned Publications Report the following information for each publication:

        (1) Publication name.

        (2) Publication number.

        (3) Estimated number of pages.

        (4) Estimated number of copies.

        (5) Size of publication.

        (6) Type of paper stock.

        (7) Type of binding.

        (8) Final copy or typeset composition. (Will final copy be provided by the program office/contractor; or will composition services be requested through the P&VA Branch?)

        (9) Frequency of issue.

        (10) Estimated number of photos/illustrations.

        (11) Number of ink colors.

        (12) Target audience.

    2. Publication Estimates. From the information provided by the Washington Headquarters program offices in the Planned Publications Report, the P&VA Branch develops cost estimates for each publication project. These estimates are provided to the program offices, allowing the program offices to evaluate and carry out their publication program.

    3. Expenditure Guidelines for Printing Services. After evaluating the Planned Publications Report each year, the P&VA Branch will provide expenditure guidelines to the FHWA Headquarters Associated Administrators and Staff Office Directors for printing services to be obtained through the Working Capital Fund (WCF) program. These guidelines will be based on the projected printing cost-estimates derived from the Planned Publications Report, and will be issued after the Budget Advice is provided by the Office of Fiscal Services.

    4. Monthly Budget Reports. The P&VA Branch will forward amonthly report to each designated contact person within the Washington Headquarters program offices.

        (1) The report will include the estimated total expenditures for the month and year-to-date (based on the sums of individual job estimates) and the amount of funds remaining under the established guidelines. This will allow Washington Headquarters offices to monitor overall expenditures and trends.

        (2) If a program office is in danger of exceeding the total of its expenditure guideline in a fiscal year, each requested job with a cost estimate exceeding $500 for printing services will be cleared by the P&VA Branch with the designated contact person in the Washington Headquarters office prior to processing.

  2. ANNUAL PUBLICATIONS REPORT TO THE OFFICE OF THE SECRETARY (OST).

    1. Each year the P&VA Branch will submit to the OST a report on periodicals and nonrecurring publications. This report serves as a feeder report for the Department's annual publications report to the Office of Management and Budget (OMB) in accordance with the requirements of OMB Circular No. A-3.

    2. The report will include the following:

        (1) A listing of current and proposed periodicals.

        (2) Actual and projected spending for periodicals and nonrecurring publications.

        (3) Detailed justifications for proposed periodicals.

CHAPTER 5. GUIDELINES FOR PREPARING FEDERAL HIGHWAY ADMINISTRATION PUBLICATIONS

  1. GENERAL. The guidelines in this chapter are provided to achieve a consistency in the presentation of the FHWA publications. They are derived from applicable DOT and FHWA directives, and are in compliance with DOT Order 1360.6,Graphic Standards for the U.S. Department of Transportation.

    1. Availability to Contractors. Contractors preparing publications for the FHWA can obtain copies of this chapter, without charge, from the Office of Contracts and Procurement, HCP-30, Federal Highway Administration, Washington, DC 20590.

    2. Availability of Graphic Standards Manual (DOT Order 1360.6). Contractors can obtain a copy of Graphic Standards for the U.S. Department of Transportation (DOT Order 1360.6) from the Contracting Officer's Technical Representative (COTR). No fee is charged for the manual.

  2. PUBLICATIONS DEFINITIONS.

    1. Camera-Ready Copy. The finished manuscript (final text pages), including all art work (illustrations, photographs, charts, or tables) ready for printing by photographic or other means.

    2. Perfect Binding. Binding by which the pages of a book are held together with adhesive along the back edge, and a spine is added.

    3. Publications. Printed matter such as manuals, reports, periodicals, scientific and technical materials, public information pamphlets, procedures, and posters. (News releases, speeches, documents, and articles submitted to nongovernmental publications are excluded).

    4. Reproduction. Producing copy of an original document by mechanical or photomechanical methods or process.

    5. Running Head. A line at the top of a page showing the title of the book, the chapter, or the subject.

    6. Saddle Stitch. To fasten a booklet by stitching it through the spine of the pamphlet. Always done using signatures.

    7. Side Stitch. A binding method in which the stitch is rum from the front to back. This method can be used with signatures or single sheets.

    8. Signature. A sheet of paper folded so that, when cut, it will produce a certain number of pages (in any multiple of four).

  3. KINDS OF PUBLICATIONS.

    1. General Information Publications. Publications written in nontechnical language and often prepared for distribution to the general public.

    2. Technical Publications. Reports, manuals, or studies that consist primarily of scientific, engineering, or statistical data, analyses, or discussions. Technical publications do not contain statements of policy.

    3. Mandated Reports. Publications prepared for Congress or in response to specific statutory requirements.

    4. Manuals. Directives or other publications that contain policies, procedures, instructions, or technical information and provide comprehensive coverage of a single subject area or a series of related subject areas.

    5. Nonrecurring Publications. Publications printed on a one-edition basis. This includes pamphlets, brochures, books, booklets, monographs, reports, leaflets, folders, Bulletins, journal articles, and similar nonrecurring publications, including those reprinted or revised.

    6. Periodicals (Recurring Publications). Publications issued annually or more often with a consistent format, content, and purpose for official use by the FHWA in the transaction of its routine business (e.g., annual reports, newsletters, newspapers, journals, or magazines).

  4. COPYRIGHT REQUIREMENTS.

    1. Written Release Required.

        (1) Copyrighted material may not be used in an FHWA publication unless written permission of the copyright owner is obtained. Prior use of copyrighted material in another Federal Government publication does not necessarily constitutepermission to use it in the FHWA publication.

        (2) If a contractor-prepared publication contains copyrighted material, the contractor is responsible for identifying it, obtaining the copyright owner's written permission to use it, and including a footnote giving credit to the owner. The written permission must be provided to the Contracting Officer's Technical Representative (COTR).

        (3) The program office is responsible for identifying copyrighted material and obtaining written permission for its use in in-house prepared publications. The language of the written release should comply with the statements in paragraph 4b.

    2. Release Language.

        (1) The following release language should be used for contractor-prepared publications:

        (Name of copyright owner) hereby grants to (name of contractor) and to the United States Government a royalty-free, nonexclusive, irrevocable right to use, reproduce, distribute, and sell (identify the copyrighted work, or the portion of it to which rights are granted) throughout the world.

        (2) For in-house prepared publications, the following release language should be used:

        (Name of copyright owner) hereby grants to the United States Government a royalty-free, nonexclusive, irrevocable right to use, reproduce, distribute, and sell (identify the copyrighted work, or the portion of it to which rights are granted) throughout the world.

        (3) This wording has been approved by the NTIS. If the release is not properly worded, the NTIS may refuse to stock and sell a report that contains copyrighted material.

  5. ASSIGNMENT OF PUBLICATION NUMBER.

    1. Each publication printed at the expense of the U.S. Department of Transportation is required to have apublication number under Policy and Procedures Governing DOT Printing, Duplicating, and Copying (DOT Order 1360.5). The number aids in identifying publications, determining costs, providing an easy system for ordering items, and keeping inventory of stock.

    2. Each FHWA program office is responsible for assigning a publication number to each of its publications projects and keeping a log of the assigned numbers. This number is assigned in the beginning of the fiscal year as part of the Planned Publications Report. (See Planned Publications Report, Chapter 4, paragraph 1a.)

    3. The FHWA Contracting Officer's Technical Representative (COTR) is responsible for providing the publication number to the contractor.

    4. All forms requesting work relating to a publication (editorial, graphics, photography, typography, composition, design, and printing) must carry the pre-assigned publication number. For nonpublication work submitted to the P&VA Branch, place "Publication No. N/A" on forms (to indicated that a publication number is not applicable).

    5. The numbering system is based on the following elements:
        Agency Prefix: FHWA Program Office: RD Fiscal Year Printed: 87 Sequential Number: 001

        (1) The number appears in the following form:

        FHWA-RD-87-001

        (2) Each year the sequence number (001) begins again with 001.

        (3) Individual designations are used to number multivolume publications. For example, a publication with two volumes would be given the sequence number 001 for volume 1 and 002 for volume 2 (see following example).

        FHWA-RD-87-001 (for Volume 1)

        FHWA-RD-87-002 (for Volume 2)

        (4) For purposes of the FHWA publication number, the following codes will be used:

        AD - Administration

        CC - Chief Counsel

        CR - Civil Rights

        DF - Direct Federal Programs

        DP - Demonstration Projects

        ED - Engineering and Program Development

        HI - National Highway Institute

        IP - Implementation

        MC - Motor Carriers

        OA - Office of the Administrator

        PA - Public Affairs

        PL - Policy

        PR - Program Review

        RD - Research, Development, and Technology

        TS - Technology Sharing

        RE - Right-of-Way and Environment

        SA - Safety and Operations

        RT - Rural Technical Assistance Program (RTAP)

  6. IDENTIFICATION OF PUBLICATION

        (a) Departmental Mark and Signature. All publications printed at the FHWA's expense shall have the full Department signature printed on the front or back over, title page, and spine (space permitting). The full signature includes the DOT mark, the Department's name, and the Administration's name (the Administration's name is in bold typeface), as designated in the Graphic Standards for the U.S. Department of Transportation (DOT Order 1360.6). (See Figure 5.1 for an example.) [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.1]

        (b) Publication Date. The publication date shall appear on the front cover, Technical Report Documentation Page, and title page.

        (c) Publication Number. The publication number shall appear on the front or back cover, Technical Report Documentation pate, and title page. If sufficient space is available, the publication number should appear on the spine.

        (d) Originating Office. The name of the originating or sponsoring element may appear in the publication.

  7. ACKNOWLEDGING CONTRIBUTORS AND AUTHORS: Credit Lines and Bylines

    1. Credit Lines

        (1) Courtesy or credit lines are permissible for materials loaned or contributed by nongovernment sources.

        (2) No credit lines or acknowledgements shall be given when such materials have been purchased by the FHWA.

        (3) Credit lines or acknowledgments are placed on the Technical Report Documentation Page or in the preface. Such credit lines shall be set in the smallest practical typeface so that they shall be subordinate both to text and illustrations. If the acknowledgments are long they may be put on a separate page following the preface. (See Figure 5.13.) [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.13]

        (4) No credit lines or acknowledgments shall be permitted for the sole purpose of giving credit to any author or FHWA employee, except in in-house newsletters or similar morale type publications.

    2. Bylines

        (1) Government Agencies. If the contractor preparing the FHWA publication is a State, Federal, or local government agency, the agency's seal or logo may appear to the right or directly below the DOT seal, if the agency so requests.

        (2) Private Contractors. Names of private contractors are not permitted on the covers of the FHWA publications. The contractor's name may be placed on the Technical Report Documentation Page (see paragraph 10c(1)) or title page. (See Figure 5.11 for an example of a title page with bylines.) [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.11]

        (3) Employees. Bylines are not permitted for the sole purpose of giving credit to any author or an FHWA employee.

  8. USING ADVERTISEMENTS IN THE FHWA PUBLICATIONS. No printed matter produced by, or at the direction of the FHWA, shall contain any advertisement for any private individual, firm, or corporation; or contain any material which implies in any manner that the Federal Government endorses or favors any specific commercial product, commodity, or service.

  9. STYLE MANUALS

    1. Editorial Style for the FHWA Publication. For consistency and uniformity in all Federal Government publications, the guide for editorial style is the United States Government Printing Office (GPO) Style Manual. This manual is a standard of spelling, hyphenation, capitalization, punctuation, abbreviation, numerals, and other style concerns.

    2. Additional Style References. When an additional style reference is needed, the recommended guide is the Chicago Manual of Style. For spelling, the GPO Style Manual recommends Webster's Third New International Dictionary. Another excellent resource is Webster's New World Dictionary.

    3. Other Style Manuals. When preparing FHWA publications, the GPO and Chicago manuals should be followed. Style guides or orders designed for the specific use of preparing FHWA directives or correspondence should not be used for publications. Style and punctuation rules in these guides may differ from the GPO and Chicago manuals.

    4. Writing/Editing Resource Library. The P&VA Branch has a Writing/Editing Resource Library for use by in-housestaff. The reference books in this library are not circulated or loaned but are available for use within the P&VA Branch office area.

  10. FORMAT FOR PREPARING TECHNICAL BROCHURES, MANUALS, REPORTS, AND STUDIES. The format guidelines in Figure 5.2 apply to all technical manuals, reports, brochures, guides, and studies prepared by FHWA offices or by contractors. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.2] They are the standard order of elements included in a publication.

    1. Covers. A publication has four covers and a spine (if the volume of pages creates a need for a spine). Cover 1 is the front cover. Cover 2 is the inside of the front cover. Cover 3 is the inside of the back cover. Cover 4 is the back cover. Several elements are required on the covers and spine of a publication.

        (1) Front Cover (Cover 1). The front cover follows the style for technical publications shown in Figure 5.3. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.3] The title, subtitle (if any), DOT mark and signature,and publication date are on the front cover. Depending upon the design of the report, manual, or study, the publication number may be placed on the front cover or the back cover. All FHWA publications require a publication number (see Publication Number, paragraph 5).

        (2) Inside Front Cover (Cover 2). Publications containing technical material must have a foreword. All technical manuals, reports, guides, and studies also must have certain disclaimer notices. (See Figure 5.4 for a sample technical inside cover.)[SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.4]

          (a) Foreword. The foreword and disclaimer notices in FHWA technical publications must be limited to the inside front cover. They may not continue on to other pages or other cover surfaces of the publication. The foreword contains the following information:

            1 The reason for publishing the report, manual, or study.

            2 A short summary of the contents.

            3 A statement identifying the audience.

            4 Whether the publication supersedes another.

            5 Whether the publication is preliminary, interim, or final.

          (b) Disclaimer Notices. (See Figures 5.5, 5.6, and 5.7 for sample disclaimer notices.) The following disclaimer notices will be used when applicable:

            1 Departmental Disclaimer. A departmental disclaimer under the caption "Notice" must be added to the inside front cover.

            Notice

            This document is disseminated under the sponsorship of the Department of Transportation in the interest of information exchange. The United States Government assumes no liability for its contents or use thereof.

            Figure 5.5. Departmental Disclaimer

            2 Disclaimer for Product Names or Manufacturers. If any names of products or manufacturers appear in the publication, the following disclaimer also must be used.

            Notice

            The United States Government does not endorse products or manufactures. Trademarks or manufacturers' names appear herein only because they are considered essential to the object of this document.

            Figure 5.6. Disclaimer for Product Names

            3 Optional Notices. The following notice also may be added at the option of the FHWA program office or contract manager.

            Notice

            The contents of this report reflect the views of the authors, who are responsible for the facts and accuracy of the data presented herein. The contents do not necessarily reflect the official policy of the Department of Transportation.

            This report does not constitute a standard, specification, or regulation.

            Figure 5.7 Optional Notices

        (3) Inside Back Cover (Cover 3). The inside back cover does not require any special elements. The cover can be blank, or a design element may be added, such as an illustration or photograph or a final page of text.

        (4) Back Cover (Cover 4). The back cover does not require any special elements. It can be blank, or a design element may be used, such as an illustration or photograph. Depending upon the overall front and back cover design, the DOT mark and signature, and publication number may be placed on the back cover. For mailing purposes, a self-mailer can be placed on the back cover. The self-mailer portion of the page must occupy no more than one-third of the page. See Figure 5.8 for a sample self-mailer back cover. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.8]

    2. Spine. If the publication contains 95 pages or more, a spine usually is required. The title, volume number (if any), and publication number are placed on the spine. This information is arranged on the spine to read fromtop to bottom, when the publication is placed upright on a bookshelf. (Omit publication number if sufficient space is not available.) See Figure 5.9 for examples of spine titles. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.9]

    3. Front Matter. The front matter contains preliminary pages prior to the main text of the report.

        (1) Technical Report Documentation Page. All technical publications require a Technical Report Documentation Page, Form DOT F 1700.7. This page is unnumbered page (i), which indicates it is the first page of the publication. ("Unnumbered" means the number (i) is not actually typed on the page. It is only designated the (i) page for placement in the publication when the book is printed.) The Technical Report Documentation Page replaces the need for a title page; however, a title page may be added. (See Title Page, paragraph 11c (2).) See Attachment 4 for a copy of Form DOT F 1700.7, Technical Report Documentation Page and instructions for completing this form. [SEE PRINTED COPY OF ORDER FOR A COPY OF THIS ATTACHMENT]

        (2) Title Page. The title page is optional in a technical publication. If it is included in addition to the Technical Report Documentation Page, the title page is the third page in the book and is an unnumbered (iii). The title page is always placed on the right-hand page. (Order of pages: Technical Report Documentation Page, blank page, title page.) See Figure 5.10 for a sample title page. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.10]

          (a) The following elements are required on the title page:

            1 Title

            2 Subtitle (if a subtitle is used)

            3 Publication Number

            4 Publications Date

            5 Administration's Name

            6 Department's Name

          (b) A byline may be added to the title page following the guidelines in paragraph 7b (see Figure 5.11). [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.11]

        (3) Preface. Among possible uses, a preface may show the relation of the work reported to associated efforts, give credit for the use of copyrighted material, and acknowledge significant assistance received (see Credit Lines, paragraph 7a). If acknowledgments are too long, they may be put on the page following the preface. See Figures 5.12 and 5.13 for examples of a preface and separate acknowledgment page. [SEE PRINTED COPY OF ORDER FOR COPIES OF THE FIGURES ABOVE]

        (4) Metric Conversion Factors Page. Include a Metric Conversion Factors page (Figure 5.14) in the report, if measurements are used in the publication. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.14] This page provides the reader with information for converting to metric measures. Additional units may be included as they apply to the contents of the report. Figure 5.14 may be reproduced. Copies also can be obtained from the P&VA Branch. The Metric Conversion Factors page may be included on reverse of the preface.

        (5) Table of Contents. A table of contents (Figure 5.15) is useful in most publications of more than 10 pages and required in all publications of 30 or more pages. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.15] In preparing the table of contents, these rules should be followed:

          (a) Front matter preceding the table of contents should not be listed. Begin with the introduction or first section, which follows the table of contents.

          (b) List every section or subsection title. All capitals or initial capital letters may be used for the titles, but each level of headings must be consistent (e.g., main headings in all capitals, subheadings initial capitals, etc.). If both heading and subheadings are used, bold typeface is recommended for the main headings. The relationship between the levels of headings and subheadings also can be emphasized by indenting the subheadings.

          (c) Use titles identical to the headings in the publication.

          (d) Use numbers or letters identical to those found in the publication.

        (6) Lists of Tables and Figures. Lists of tables and figures are required in publications of 30 or more pages following the table of contents. These lists should include the table or figure number, title, and page number. If the lists are short, both lists can be placed on the same page (see Figure 5.16). [SEE PRINTED OCPY OF ORDER FOR A COPY OF FIGURE 5.16]

        (7) Lists of Abbreviations and Symbols. When symbols and abbreviations are numerous, provide a separate list with definitions (Figure 5.17). [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.17] Then define symbols and abbreviations where first introduced in the text. If a list is used, include organization symbols (e.g., FHWA, ANSI, etc).

    4. Body of Publication. The body of the publication includes the introduction, discussion, and the conclusion and recommendations.

        (1) Introduction. The introduction includes the following:

          (a) Background information on the subject.

          (b) Scope of the project, research, or study.

          (c) Organization of the contents.

        (2) Discussion

          (a) Divisions. The discussion (the main text of the publication) answers the "who, what, where, when, and how" of the subject. The "why" is answered in the forward. The amount of detail in the discussion depends upon the subject, purpose, and scope of the publication. The discussion is divided into sections and subsections, with varying levels of headings and subheadings. This division allows easy identification of the subject matter by the reader.

          (b) Headings and Subheadings. The format on the headings varies depending on the number of levels used. The point is for the heading to be easily distinguishable. Bold typeface increases the readability and attractiveness of a publication. A heading should (1) indicate the importance of the section, (2) be identical in form to heading of the same relative importance, (3) be readily distinguishable from the order of other headings, and (4) be clearly distinguishable from the text. One recommended format for headings and subheadings is as follows:

            1 Chapter headings - bold type, all capitals, and centered at the top of the page. Underscoring is not necessary.

            2 First-level main headings - bold type, all capitals, and flush left on the page.

            3 Second-level headings - bold type, initial capitals and flush left on the page.

            4 Third-level headings - initial capitals. Do not use bold type. The heading can be underscored, italic, or roman type. The heading should be flush left on the first line leading into a paragraph.

    5. Running Heads. Running heads are used at the tops of pages in a book as signposts, telling readers where they are. The contents of running heads in the text depends on the structure of the publication. Subject headings that may be used for left and right pages are as follows:

      LEFT
      Part title
      Chapter title
      Chapter title
      Subhead
      RIGHT
      Chapter title
      Subhead
      Chapter title
      Subhead

        (3) Conclusions and Recommendations. Conclusions and recommendations may be required in some publications, depending upon the subject matter. A conclusion is an opinion based on the results; a recommendation is a suggestion for action.

    6. Back Matter. The back matter includes the reference material and index.

        (1) Appendixes. Supplemental material may be needed in some publications. This information should be placed in the appendix. Information in the appendix should be indirectly related to the subject; directly related information should be part of the discussion.

        (2) Glossary. Define special terms where first introduced in the text. When such terms are numerous, list them as a glossary in alphabetical order.

        (3) References. Include complete identification of references as footnotes on bottom of page where first cited to aid the reader. When references are numerous, include a reference list in the back of the report. Present entries in a uniform style, withcomplete identifying data, in accepted bibliographic format. Each entry includes the author, title, source, identifying number, pagination, and publication date. Abbreviations are not recommended and should be used sparingly.

        (4) Bibliography. A bibliography is useful to (a) direct readers to sources of material, (b) permit authors to acknowledge sources of information, and (c) aid persons using the publication as a reference to locate additional writing on the subject. The U.S. Government Printing Office Style Manual is the required reference for format of bibliographies and footnotes.

        (5) Index If an index is included for a lengthy report, make it as complete as the nature of the report and its usage requires.

  11. DESIGNING THE LAYOUT OF THE TECHNICAL PUBLICATION. The DOT Graphic standards Manual suggests the vertical format for most publications. Horizontal or album formats should be avoided unless the content cannot be adapted to the vertical alignment. Cover designs for horizontal format publications also follow the guidelines of the DOT Graphic Standards Manual (see General, paragraph 1).

    1. Standard Size Pages. Standard trimmed size for manuals, reports, guides, and studies is 8 1/2 inches wide by 11 inches long. To provide for adequate margins, the typed material on the page must not exceed 7 inches by 9 1/2 inches including page numbers and running heads. These measurements apply to all pages regardless of content. All text pages must be submitted on stock of the same size.

    2. Foldout Pages. Foldout pages are expensive and should be avoided. Use foldout pages only for oversize tables and illustrations (not text), which if reduced would sacrifice legibility. It is better to use facing pages where feasible. If foldouts are necessary, follow these requirements:

        (1) foldouts must be sized to require folding in one direction only (folds parallel to binding), The length of the foldout page should not exceed the size of the publication (usually, 11 inches). The maximum width permitted horizontally is 18 inches, when the page is unfolded.

        (2) Foldout pages may be placed throughout the text; however, the preferred placement is to gather all such pages at the end of the volume. Each foldout page should be assigned a page number. Printing on the back of the page is permitted, but should be avoided.

        (3) Each foldout page must be folded so that the page number and caption are immediately visible to the reader when opening the book, without unfolding the page.

    3. Column Formats

        (1) Two- and Three-Column Formats. The two-column format should be used for manuals, reports, guides, or studies, A two-column format increases the readability, attractiveness, and professional look of a publication. A three-column format also can be used. (The shorter line in a three-column format improves readability.)

        (2) One-Column Format. The one-column format is permissible, but it is the least desirable. (The one, long line of text across the page decreases readability and the professional look of a publication.) Using two columns of text on a page is preferable. Consider typing the text in a two-column format on oversize paper for photographic reduction.

    4. Typeface and Type Arrangement for the Text

        (1) Typefaces. Standard typeface rather than cursive, italic, or other ornamental typefaces should be used for the main text. Cursive or italic typefaces are only appropriate for emphasis or specific words, terms, or subheadings. Use elite, pica, or similarly sized type (10 to 12 charters per inch).

        (2) Type Arrangement. Typefaces and spacing in the text must be uniform throughout each volume. Indent paragraphs uniformly. The right-hand margin is not required to be justified but should be as smooth as possible.

  12. PREPARING THE FINAL TEXT FOR TECHNICAL PUBLICATIONS. Two methods can be used to prepare the final text of a manuscript for printing. The text can be prepared on a typewriter or word processor. (This includes publications produced through a word processing program on a personal computer). Or thetext can be submitted to the FHWA Publications and Visual Aids Branch for typesetting.

    1. Typing the Manuscript. Text matter must be typed using typewriters or word processing equipment. The end product (from a typewriter or printer) must produce copy acceptable in uniformity, color, neatness, and legibility for printing. Variations in ink color or density likely to cause noticeable discrepancies in the final printing are not acceptable. The typed text should not contain excessive white space, double spacing, unnecessary wide margins, or blank pages. Single spaced text is required in most cases.

    2. Dot Matrix Type. If dot matrix type from a printer is used, the print should not have ragged edges. Use a letter quality printer with type that is similar in weight, texture, and form to typeset composition. See Figure 5.18 for examples of type. [SEE PRINTED COPY OF ORDER FOR A COPY OF FIGURE 5.18]

    3. Typesetting. Typeset composition generally produces a better quality typeface than a typewriter or word processor. Typeset composition should always be considered when 3,500 or more copies of a publication are printed. Typesetting condenses the text and reduces the number of pages used, resulting in a substantial savings in paper and printing and printing costs. Use FHWA Form DOT F 1700.8, Duplicating Request, to request typeset composition. Note: When having a publication typeset, the publication should be in final form and all required clearances signed because additional changes to typeset copy is expensive.

    4. Selecting What Method to Use

        (1) Typewriter or Word Processor. Technical publications are usually prepared on a typewriter or word processor. Publications (brochures, pamphlets, flyers, bulletins, etc.) requiring a small quantity of copies also are generally typed.

        (2) Typeset Composition. Large quality publications (8 1/2 by 11 inch format), such as magazines and some reports, require typeset composition. Most brochures, booklets, and other publications designed for the general public are typeset.

          (a) Washington Headquarters. The Typography and Design Section, Office of the Secretary, has the ability to scan typed pages with an optical character reader, instead of rekeying (orretyping) the pages. This saves both time and money. However, typed pages must be submitted in a certain format to be scanned effectively. Printed instructions on this format are available form OST's Typography and Design Section.

          (b) Field Offices. When contracting for typesetting services in the field, field offices should consult contractors early in the development of a project. Contractors may have the ability to scan type, using an optical character reader. Scanning type instead of rekeying the type can save time and money.

  13. PREPARING ARTWORK FOR TECHNICAL PUBLICATIONS: Line Drawings, Graphs, Charts, Figures, and Tables. Artwork incorporated in publications may be in forms such as line drawings, graphs, charts, figures, and tables.

    1. Criteria. Artwork is used to further explain the text. Use the following criteria to select appropriate art.

        (1) Submit only clean line art. Original art is preferred, although copies can be used. Use of copies or printed clippings in place of prepared original artwork requires permission form the FHWA Contracting Officer's Technical Representative (COTR) (for contract reports) or the FHWA project manager (for in-house reports).

        (2) Select artwork that relates directly to the subject matter and is necessary to explain the text.

        (3) Do not use artwork that serves to aggrandize an individual.

        (4) Blueprints, diazo prints, and translucent prints intended for diazo reproduction are not acceptable. This restriction does not apply to original drawings on mylar or to full-sized prints of engineering drawings to be reduced at reproduction, provided that lettering and details in such prints or drawings are legible after reduction. (Lettering smaller than 6-point type after reduction is not considered legible,)

    2. Figure and Table Captions. Each figure and table must have a title or caption, duplicated by no other figure or table caption in the publication. The caption must be within the text page area, never in the margin.

        (1) Figures. On a figure page, (including linedrawings, charts, graphs), the caption is centered at the bottom and is parallel to the lines of the text when the figure is upright.

        (2) Tables. On a table page, the caption is centered at the top of the table.

        (3) Page Placement for Figures and Tables

          (a) Figures and tables should be placed on pages as near as practical to textual references, except in special situations, such as when a report only contains a few pages and many illustrations. In such cases, place the illustrations in sequence in the back of the report.

          (b) It is preferable that artwork is placed so it is viewed without turning the page sideways. If a figure or table must be placed sideways on a page, place it so the top of the art is at the left side of the page.

          (c) Place captions on the page where they cannot be confused with text. Use adequate space between the caption and text to indicate the difference, or use a different type style or size from the text.

    3. Multipage Figure and Tables. Though such treatment is not encouraged, a figure or table can occupy two or more consecutive full pages. If only two pages are required, use facing pages (place the first page of the figure or table on an even numbered page). In all such multipage figures and tables, repeat the captions on each page, followed by he unabbreviated word "continued" in parentheses without quotation marks.

  14. PREPARING PHOTOGRAPHS FOR TECHNICAL PUBLICATIONS

    1. Use. When designing a publication, the presentation of photographs should be fresh and imaginative. A photograph must have impact. It should convey an idea. If multiple photographs are used, they should not be redundant. One good photograph is better than several mediocre ones. The layout should not force the use of photographs just to fill space. Photographs add significantly to the production costs of a publication.

    2. Quality Requirements. Sharp, clear, black-and-white glossy, positive photographic prints are acceptable for artwork. They should contain a full tonal range.

    3. Submitting Photographs for Final Printing

        (1) Photographs not cemented in place to the page for same-size reproduction must be adequately identified by a figure number, page number, and percentage or size reduction requested.

        (2) Loose photographs must be adequately packaged to prevent loss and damage. Individual mounting of each piece, including protection with tissue overlays, is recommended. (Note: If a publication includes both photographs that must be reduced and ones that are the correct size, it is preferred that all the photographs be left loose and treated as described above.)

        (3) Color transparencies are usually not acceptable. A color or black-and-white positive must be made from the transparency prior to printing. Avoid selecting overexposed slides or prints with thin, washed-out color, or underexposed ones with dark tones.

        (4) Color photographs should have true color. Color prints to be reproduced in black and white are acceptable but to insure they will reproduce sharply and with adequate contrast, black-and-white prints or enlargements from the negatives or contact prints must be made before printing. Avoid submitting originals that must be enlarged to printing size because the quality of the photograph is reduced.

  15. PAGE NUMBERING TECHNICAL PUBLICATIONS

    1. Typing Numbers. The Technical Report Documentation Page and title page are included in the numbering of a publication for placement only. Actual page numbers should not be typed on these pages. All other pages should have numbers actually typed on the page. Page numbers should be centered on the bottom of every text page, 1/2 inch above the bottom margin.

    2. Page Numbering. Only two series of numbers in a single volume are permitted: one series of lowercase Roman numbers (i, ii, iii, etc.) for front matter and one series of Arabic numbers (1, 2, 3, etc.) for the body (discussion) of the publication. (Looseleaf publications may be numbered differently. See Looseleaf Publications, paragraph 15d.) Front matter includes Technical Report Documentation Page, title page, preface, Metric Conversion Factors page, table of contents, and introduction.

    3. Odd- and Even-Numbered Pages. Odd-numbered pages must always fall on the right-hand side page. Even-numbered pages fall on the left side.

    4. Looseleaf Publications. Only in looseleaf material may the sections be numbered individually or a combination of section numbers and page numbers used: a different series for each chapter or appendix, hyphenated or decimal numbers, numbers combined with letters (e.g., 1-2, A-1, 1.2, etc.). (These numbering systems should not be used for other publications.)

    5. Technical Report Documentation Page/Title Page.

        (1) When the Form DOT F 1700.7, Technical Report Documentation Page is used, it is always the unnumbered page (i). The use of a title page in addition to the technical documentation page is optional.

        (2) If both a Technical Report Documentation Page and title page are used, the title page follows the Technical Report Documentation Page and is unnumbered (iii). (Note: The back of the Report Documentation Page is blank and is an unnumbered ii.) The back of the title page may be left blank or additional front matter may be added. This page is numbered iv. (See Technical Report Documentation Page, paragraph 10c(1).)

    6. Body of the Publication. Page 1 of the body of the publication (the discussion) must be numbered, as must the first page of each chapter of other major subdivision of the document. (Page 1 of the body of the publication begins the series of Arabic numbers.)

    7. Using Blank Pages. Publications must be printed on both sides of the page. Use blank pages only so a chapter or section will begin on the right-hand side. Blank pages are assigned a page number, but this number is not printed on the page.

    8. Chapters/Sections/Appendixes. For a better appearance, start chapters, sections, and appendixes on odd-numbered (right-hand) pages. If looseleaf material, the first page of a section following a tab must be a right-hand page. In multivolume or series reports, pagination starts anew with each volume.

    9. Multivolume Publications. "Volume" designates an individually bound book. When a publication exceeds 400 pages of repro copy (including artwork, tables, front andback matter), it is divided into two or more volumes. Each volume is to be designated a separate publication number. (See Publication Number, paragraph 5). Each volume is given a number (Volume 1, Volume 2, etc.) as part of the subtitle.

        (1) Definition. Do not designate individual volumes of multivolume publications as section, part, chapter, or other kinds of subdivision. Even if the volume contains only one chapter or one appendix, it is still to be designated as a volume.

        (2) Volume Size. Avoid splitting the main parts of the publication when dividing publications into volumes. For example, if the body of a report fits into one volume, appendixes can then be grouped in a second volume. Exceptionally long publications may require each appendix (or each of several groups of appendixes) to have its own volume, or that individual chapters (or groups of chapters) have their own volumes. Avoid splitting long publications into volumes of vastly disproportionate size. For example, it is better to break a 450-page publication into two volumes of approximately equal size, or even into a 150-page volume and a 300-page volume, than to divide it into one of 400 pages and one of 50 pages.

        (3) Table of Contents. Complete tables of contents, lists of figures, and lists of tables for all volumes. If feasible, a table of contents should be contained in each volume. Where individual volumes are produced consecutively (and the detailed contents and pagination of later volumes are not known when the earlier ones are submitted for publication), the later volumes should include this information. If Volume 1 of a series has already been printed when the rest of the series is completed, it is recommended that the table of contents, etc., for the entire series be printed as an addendum to Volume 1.

  16. PREPARING THE CAMERA-READY COPY (FINAL PAGES) FOR PRINTING

    1. Camera-Ready Copy. A camera-ready page must be made up for every page in the report, including all text, figure and table captions, and page numbers. Figures and tables, submitted in the size they will appear in thepublication, are placed on the page. Those requiring reductions or alterations are submitted separately, marked by a figure or table number, page number, and the required reduction. "Windows" for reduced artwork are necessary. (Windows are red or black rectangles of transparent film. They are the exact final size of the artwork and are placed on the camera-ready page where the artwork will appear.)

    2. Preferred Form. The preferred form for camera-ready copy is clean, black on white copy on one side of the paper only. any notations, guidelines, or instructions to the printer (not to be printed in the final publication) must be in nonphoto blue pencil.

    3. Reproductions. Any reproductions submitted as camera-ready copy for printing must be of a quality that the reproduction is essentially indistinguishable from the original copy. Reproduced material used in this manner must be sharply outlined; have good contrast; be without flaws, breaks, dim patches, stains, or spots; and be close enough in color to original material to make the final product uniform in appearance. Reproductions made on copiers such as Xerox, IBM, or Kodak are rarely acceptable as camera-ready copy. The exceptions are reproductions produced by copy cameras (photocopies) designed for reducing and enlarging artwork in graphic shops.

    4. Color Original Artwork or Photographs. For black-and-white printing, color originals are acceptable only if they can be reproduced satisfactorily in black and white.

    5. Corrections. Corrections made to camera-ready copy must not compromise the quality of the final printed product. Corrections made with white opaquing fluid are not acceptable because of the fluid's unreliable opacity. Careful erasure, patching, and correction tape are more reliable.

  17. LAYOUT FORMAT FOR NONTECHNICAL PUBLICATIONS: General Information Brochures and Booklets, Magazines, Newsletters, and Newspapers. The format of general information publications varies widely. The intent of these publications is to be informative with the overall presentation and format developed to promote the interest of the reader. As part of the DOT Graphics Standards Program, the individual design ofeach of these publications must maintain a consistent DOT look. For requirements regarding format, publication size, typography, layout, and other applicable standards see Graphics Standards for the U.S. Department of Transportation (DOT Order 1360.6.). See Availability of Graphic Standards Manual, paragraph 1b.

  18. CONTENT FORMAT FOR MAGAZINES, NEWSLETTERS, AND NEWSPAPERS. In addition to the layout format, the contents of magazines, newsletters, and newspapers must follow specific guidelines and restrictions.

    1. Magazines. Magazines cannot contain editorials, book review, or articles that are intended solely to foster or obtain the support of persons outside the Federal Government or that can be construed as advocacy of increased appropriations or of legislation.

    2. Newsletters. Newsletters are used to report recent developments in the FHWA program. Material of a personal interest or social nature should not be published. Each issue is devoted entirely to specific program areas.

    3. Newspapers. Newspapers may be used as internal or external house organs to convey timely information either to the FHWA employees or to allied groups outside the agency. They should be timely, economical, and quickly produced.

  19. FORMAT FOR TRAINING PUBLICATIONS

    1. Training publications are manuals, guides, reports, or studies used by instructors and students in a training course or session. These publications will be prepared in a consistent manner in compliance with the DOT Graphic Standards for the U.S. Department of Transportation (DOT Order 1360.6). See Availability of Graphic Standards Manual, paragraph 1b.

    2. If several publications are prepared for one course or a series of courses, the project manager should coordinate the writing style and format to create a consistent, effective, and usable product. The format style chosen depends largely on preference and individual course need.