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Federal Highway Administration Research and Technology
Coordinating, Developing, and Delivering Highway Transportation Innovations

 
REPORT
This report is an archived publication and may contain dated technical, contact, and link information
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Publication Number:  FHWA-HRT-15-058    Date:  February 2017
Publication Number: FHWA-HRT-15-058
Date: February 2017

 

Turner-Fairbank Highway Research Center R&D Communication Reference Guide

 

CHAPTER 5. PREPARING A RESEARCH REPORT

PURPOSE

The purpose of a research report is to communicate the full details of an experiment or research project, its results, data collected from analysis, or findings and recommendations.

AUDIENCE

The typical audience for FHWA research reports is transportation technical staff in Federal, State, local, and international governments; academia; and private industry.

STYLE

The style of an FHWA research report will include the following:

This figure shows a cascade of research report cover examples.

Figure 5. Photo. Cascade of research report covers.

FORMAT FOR RESEARCH REPORTS

Standard research reports should follow the guidance in the CRG regarding formatting and font, type size, symbols, margins, page numbering, bullets, columns, and other elements as FHWA’s preferred style. The report must be consistent in format and style. For example, all first-level headings should follow the same style. The author of a research report must adhere to these preferences unless there is a clear, compelling reason to deviate. An author may be required to reformat a document if the HRTM office determines that the preferred format or style is not in line with FHWA basic standards.

Use of FHWA Logo, Seal, and Symbol by Private Sector Partners, Contractors, Grantees, and Vendors

Seals and devices of the Federal Government, departments, bureaus, and independent agencies are not in the public domain and cannot be used for purposes other than official business without specific authorization of the agency involved.(46) For logo use with formal partnerships, contact HRTM.

The FHWA seal and logo are for the official use of USDOT and not for the use of the private sector on its materials. To the public, such use would send a message that the USDOT favors or endorses an organization, its activities, its products, its services, or its personnel (either overtly or tacitly), which it does not and cannot do.

Whether the private sector partner/grantee/vendor/contractor is nonprofit or commercial is not a factor. Regardless of how the organization is funded, non-FHWA communication products are for the principal benefit and use of the partner/grantee/vendor/contractor and not for the principal benefit or use of the Government. Non-FHWA communication products are not construed to be Government communication products.

Use of FHWA/USDOT Logo on Proposals or Consulting Deliverables

Contractors may not use the FHWA logo, seal, or symbol on proposals or consulting deliverables.(47)

Publications Developed by Contractors with FHWA/USDOT Logo

If a contractor deliverable is camera-ready or other reproducible copy, for the express purpose of being an FHWA publication for FHWA distribution to the public, only then may the contractor affix the FHWA logo under the direction and guidance and approval of HPA.

Private Sector or Contractor Logos on Government Publications

FHWA offices may not use private sector or contractor logos on Government publications or other Government communication products. Such use is prohibited. Whether or not the private sector organization is nonprofit or commercial is not a factor.

Private sector logos constitute institutional advertising. Using a private sector logo on a Government communication product (regardless of intent) implies that the Government favors or endorses all that which the logo represents.

Per Section 13 of the Government Printing and Binding Regulations, published by the Joint Committee on Printing, United States Congress, states:

Inclusion of Contractors Names or Consultants in FHWA Publications

Within an FHWA report, the names of contractors or consultants who contributed to its development may not appear in the report, with the exception of block 9 on the Technical Report Documentation Page (Form DOT F 1700.7).(48)

Microsoft® Word Format

The FHWA standard software for composing reports is Microsoft® Word. For this reason, please submit all reports and documents in a Microsoft® Word file. The document will be printed in black ink unless otherwise specified. Should a report need to be printed in color, HRTM must receive a justification in writing that is approved by the applicable office director stating why color within the document is necessary. The justification from the office director is required because there will likely be a significant increase in cost to produce the document in color.

Report Contents

All of the components of a document are listed in table 1 in the order in which they should appear. However, please note that it is not necessary to use all elements in all reports. (For example, if a report does not contain references, there would be no need for a reference section in the report.)

Table 1. Contents of a research report.

Section Contents
Covers Front Cover
Inside Front Cover (R&D Foreword and Disclaimer Notice)1
Front Matter Technical Report Documentation Page (Form DOT F 1700.7)
Preface (if any)2
Metric Conversion Chart
Table of Contents
List of Figures (required if the report contains figures)
List of Tables (required if the report contains tables)
List of Abbreviations and Symbols2
Body of Report Introduction
Main text separated into chapters
Conclusions
Recommendations2
Back Matter Appendices (Use consecutive pagination, not A-1, etc.)2
Glossary2
Acknowledgements2
References
Bibliography2
Index2
Back Covers Cover 3 (blank)
Cover 4 (blank but FHWA will insert the publication number and printing code)

The report items listed above were derived from the GPO Style Manual.(2)

Foreword

Publications containing technical material must have a foreword on the inside front cover explaining that the publication has been approved by the office director via written confirmation. An email is sufficient. The foreword should contain the following information:

The foreword page of an FHWA report must contain the following standard disclaimer notice and quality assurance statement below:

Notice

This document is disseminated under the sponsorship of the U.S. Department of Transportation in the interest of information exchange. The U.S. Government assumes no liability for the use of the information contained in this document.

The U.S. Government does not endorse products or manufacturers. Trademarks or manufacturers’ names appear in this report only because they are considered essential to the objective of the document.

Quality Assurance Statement

The Federal Highway Administration (FHWA) provides high-quality information to serve Government, industry, and the public in a manner that promotes public understanding. Standards and policies are used to ensure and maximize the quality, objectivity, utility, and integrity of its information. FHWA periodically reviews quality issues and adjusts its programs and processes to ensure continuous quality improvement.

Type Arrangement and Typefaces

The following rules apply to type arrangement and typefaces:

Volume Format

Volume designates an individually bound book. When a report exceeds 400 pages of reproduction copy (including figures, tables, appendices, and front matter), it must be divided into two or more individual volumes, with each volume containing a separate publication number and Roman numeral (e.g., Volume I and Volume II) as part of the subtitle. This is to ensure that the binding during the printing process will hold. The volumes should also be listed on the foreword and the Technical Report Documentation Page (Form DOT F 1700.7) in the abstract portion of the form. Indicate the following information within the foreword and abstract for each of the volumes:

References and Bibliography

The following guidance applies to references and bibliographies. Use the Chicago Manual of Style to determine which elements to include in a particular reference.(4)

Pagination

The following guidance applies to pagination:

Table of Contents

The following guidance applies to the table of contents:

Headings

The following rules apply to headings:


CHAPTER 1. MAJOR SECTION HEADING EXAMPLE

The chapter headings are all caps, bold, and centered. Chapter numbers, when used, may be Arabic or Roman and may be followed by a period and one or two spaces. (Please be consistent throughout all chapter heads.) There should be three returns (i.e., two blank lines) after a chapter heading.

FIRST LEVEL HEADING EXAMPLE

All caps, bold, and flush left (i.e., at the left margin). No numbering. There are only two returns (i.e., only one blank line) after this and all subordinate headings.

Second Level Heading Example

Initial caps, bold, and flush left. Follow with two returns. No numbering.

Third Level Heading Example

Initial caps, bold, italics, and flush left. Follow with two returns. No numbering

Fourth Level Heading Example

Initial caps, italics, and flush left. Follow with two returns. No numbering.


Figures and Tables

A figure is a nontext visual element shown as a graph, photo, formula, equation, chart, diagram, illustration, etc. Each figure should be separate and should have its own figure number and caption. Do not combine multiple types of elements into one large figure, such as a photo and a table. Text elements, such as a table or tables, should not be grouped as part of the figure (see figure 6).

There are times when it is acceptable to combine elements into a composite figure such as a blueprint with a magnified area (or blow up) of a specific section. In addition, compound figures are permissible when a comparison is needed; however, see figure 12 and figure 13 for examples of the acceptable method to number those figures.

This figure shows an example of an unacceptable graphic with the sample of a table and figure combined into a Microsoft® Word figure. The table is depicted into the figure rather than as a Microsoft® Word table in which data can be easily changed in all of the cells.

Figure 6. Unacceptable graphic. Sample of table depicted as part of the figure graphic.

The incorporation of a table and table caption into a figure (picture) and figure caption is incorrect because a table format is different than a graphic format. A table should be depicted in a Microsoft® Word text table format rather than as part of a figure or graphic (see table 2 and figure 7).

To help distinguish between the two formats, Merriam-Webster’s Dictionary defines a table as “a systematic arrangement of data usually in rows and columns for ready reference.”(3) The easiest way to determine whether a table or text is formatted correctly is to try to change information within the table. A Microsoft® Word table or text will allow a person to change information, while a picture format will not.

Not only was the format incorrect, but the two captions were combined under a single figure caption rather than as a separate table caption and separate figure caption. The table should have a table caption and the figure should have a figure caption.

In figure 7 and table 2, the table was converted from a graphic format to a Microsoft® Word text-based table format with its own table number and title. The figure has its own figure number and caption.

Note that the table and figure no longer are grouped together and are numbered separately. This is correct.

Table 2. Sample of separate table.

Table Heading A Table Heading B
12 122
13 133
This photo shows the graphic in figure 6 without the table portion. The table was separated from the graphic and converted from the graphic format to a Microsoft® Word text-based table format with its own table number and title. The figure has its own figure number and caption.



Like figure 6, another example of multiple items is shown in figure 8, incorporating a table with multiple figures.

This figure shows an incorrect depiction of a figure, containing one table and three figures combined and under one figure number and caption. This is incorrect because the elements should all be separated into one table in table format with a table caption and three figures, each with its own figure number and caption. Figure 9 through figure 11 show the figures originally depicted incorrectly in figure 8 with the correct format. Each has its own figure number and figure caption. Table 3 shows the correct method of formatting the table depicted in figure 8 as a text-based Microsoft® Word table with its own table number and table caption.

Figure 8. Multiple elements. Incorrect depiction of one table and three figures under one figure number and caption.

Table 3 and figure 9 through figure 11 show the correct method of numbering figures and tables. Notice that the example shows Arabic numbering and separation of the figures into distinct numbers yet offers the flexibility of placing the figures adjacent to one another if a comparison is needed.

Figure 9 through figure 11 show the figures originally depicted incorrectly in figure 8 with the correct format. Each has its own figure number and figure caption. Table 3 shows the correct method of formatting the table depicted in figure 8 as a text-based Microsoft® Word table with its own table number and table caption.
Figure 9. Photo. Correct format 1.
Figure 9 through figure 11 show the figures originally depicted incorrectly in figure 8 with the correct format. Each has its own figure number and figure caption. Table 3 shows the correct method of formatting the table depicted in figure 8 as a text-based Microsoft® Word table with its own table number and table caption.
Figure 10. Photo. Correct format 2.
Figure 9 through figure 11 show the figures originally depicted incorrectly in figure 8 with the correct format. Each has its own figure number and figure caption. Table 3 shows the correct method of formatting the table depicted in figure 8 as a text-based Microsoft® Word table with its own table number and table caption.
Figure 11. Graph. Sample of correct graph.

 

Table 3. Correct way to depict table from figure 8.

Bold Symbol Signs

    • W1-1, -2 – Turn and Curve
    • W1-3, -4 – Reverse Turn and Curve
    • W1-5 – Winding Road
    • W1-6, -7 – Large Arrow
    • W1-8 – Chevron
    • W1-10 – Intersection in Curve
    • W3-1 – Stop Ahead
    • W3-2 – Yield Ahead
    • W3-3 – Signal Ahead
    • W4-1 – Merge
    • W4-2 – Lane Ends
    • W4-3 – Added Lane
    • W4-5 – Entering Roadway Merge
    • W4-6 – Entering Roadway Added Lane

 

One additional acceptable figure-numbering method for research reports is to combine several graphic elements (not tables) into a compound figure. Use the format in figure 12 to number a compound figure. A figure number with caption should describe or summarize all elements (subfigures) falling under the figure number. Notice that each of the elements (subfigures) that comprise figure 12 contains the following:

Each subfigure in the figure also is a separate graphic element (in graphic jpg format), and both the figure and individual subfigure captions are in text format within the document.

When citing the callout in the text, make sure to distinguish the subfigure elements separately, when a specific point is being made about each individual subfigure. In the following text example, notice that both the figure number and the subfigure letter are combined to make a unique number for the graphic because the text is calling out a specific point about each illustration.

This figure shows two illustrations and the way they should be presented in terms of figure captioning. The top illustration has a copyright statement for XYZ Company and below that a subcaption that reads: “A. Subfigure example for one-way frontage road between intersections is a possible access configuration. This example shows copyright and reference number.” The bottom illustration has a subcaption that reads, “B. Subfigure example for cross connectivity configuration enables circulation between properties without reentering the abutting roadway.”
©2017 XYZ Company

A. Subfigure example for one-way frontage road between intersections is a possible access configuration. This example shows copyright and reference number.(2)

This figure shows two illustrations and the way they should be presented in terms of figure captioning. The top illustration has a copyright statement for XYZ Company and below that a subcaption that reads: “A. Subfigure example for one-way frontage road between intersections is a possible access configuration. This example shows copyright and reference number.” The bottom illustration has a subcaption that reads, “B. Subfigure example for cross connectivity configuration enables circulation between properties without reentering the abutting roadway.”

B. Subfigure example for cross connectivity configuration enables circulation between properties without reentering the abutting roadway.

Figure 12. Illustrations. Compound figure showing one-way potential frontage road and cross-connectivity configuration options for intersection safety and access.

Another acceptable compound figure shows multiple subfigures in the form of graphs as seen in figure 13. Each of the graph subfigures in figure 13 contains the following:

In addition to a letter caption, each element of the figure (i.e., each subfigure graph) must have its own 508 caption.

This figure contained two graphs. The top graph has a subcaption that reads “A. Subfigure example of failure criteria WRC versus N for CS and COS modes with similar Nf.” There are three red boxes with arrows pointing toward the figure that read, “The graph contains its own Y-axis, measures, and axis title,” “The graph contains its own X-axis, measures, and axis title,” and “Note the graph contains its own key.” There is a red box with an arrow pointing toward the subcaption that reads, “Each graph contains its own letter (subfigure number) and caption that can stand alone and describes the graph.” The bottom graph has a subcaption that reads, “B. Subfigure example of failure Criteria: GR versus Nf for CS, COS, and CS modes.” There is a red box with an arrow that points to the caption for the entire figure that reads, “Note the graphs have one figure number with a caption that represents all graphic elements in the figure.”

Figure 13. Graphs. Compound figure example showing subfigures comparing mode tests resulting in about the same number of cycles to failure.

When citing the callout in the text, make sure to distinguish the subfigure illustrations separately as figure 13-A or figure 13-B when calling out particulars for a specific element in the graph, chart, or diagram.

Every table must have a unique caption centered at the top. All tables must be numbered in a single sequence from the beginning of the volume through the appendices. Use the following format for writing, punctuating, capitalizing, and centering table captions:

Table 1. [Insert caption for table.]

All captions must be in Times New Roman 12-point font.

Tables must have a text element such as an asterisk or a dash in all blank cells. The table must have a note below the table that explains what the symbol represents (e.g., “*No data.”).

Table lines can be any thickness. However, tables should not have merged cells that create nested table headers. Although lines are not needed in tables, be sure that you are not creating nested cells within tables when omitting lines.

All figures and tables must have linked in-text callouts to cross-reference the figure or table. A figure or table should be placed as soon after the first mention in the text as physically possible.

Spacing before and after captions should be consistent throughout the document.

“Figure” and “table” should be lowercased in documents because they are not proper nouns.

For reports of 30 pages or more, lists of figures and tables are required and are placed immediately following the table of contents. Lists of figures and tables can be on the same page (with a blank line between them) if both lists fit completely on a single page.

Entries in the list of figures and the list of tables (in the front matter) must match the captions within the document exactly (i.e., same wording, capitalization, punctuation, and type style). The only exception to this is that reference callouts may be deleted in the lists of figures and tables.

Every figure must have a unique caption centered at the bottom. All figures must be numbered in a single sequence from the beginning of the volume through the appendices. Figures include graphs, photos, formulas, equations, charts, etc. Use this format for writing, punctuating, capitalizing, and centering figure captions:

Equations and Formulas

When using special symbol, math, or scientific fonts in equations and formulas, create a .jpg graphic file of the equation and insert it into the document as a graphic/picture. Before creating the .jpg, make sure that the equation text has all necessary variables italicized.

Keep in mind that not all computers, printers, and operating systems can interpret special math and scientific fonts. All equations must be numbered in one of the two following methods as seen in figure 14 or equation 1.

q subscript ult,an,c. q subscript ult,an,c equals the sum of the product of K subscript pr and the sum of sigma subscript c and the product of 0.7 raised to the quotient of one-sixth S subscript v and d subscript max and the quotient of T subscript f and S subscript v and the product of 2c and the square root of K subscript pr.

Figure 14. Equation. Sample equation pasted as graphic in document.

Notice that the equation was created as a graphic object (figure) and pasted into this document as a picture. It was not created as text or in a text box using a special font through Microsoft® Word. The caption in figure 14 shows a normal equation and caption as reflected in a report and would be automatically pulled into the list of figures in the front matter. The advantage of numbering the equation as a figure is that it will be easy for readers to find the equation in the list of figures.

q subscript ult,an,c. q subscript ult,an,c equals the sum of the product of K subscript pr and the sum of sigma subscript c and the product of 0.7 raised to the quotient of one-sixth S subscript v and d subscript max and the quotient of T subscript f and S subscript v and the product of 2c and the square root of K subscript pr. (1)

Notice the similarity between the abbreviated figure caption in figure 14 and the 508 caption listed below. The only difference between the two is the actual depiction of the equation into text format. The 508 caption (which would be a deliverable in a separate Microsoft® Word file) would be written as follows:

Figure 14. Equation. Sample equation pasted as graphic in document. q subscript ult,an,c. q subscript ult,an,c equals the sum of the product of K subscript pr and the sum of sigma subscript c and the product of 0.7 raised to the quotient of one-sixth S subscript v and d subscript max and the quotient of T subscript f and S subscript v and the product of 2c and the square root of K subscript pr.

Lists

Lists should be bulleted unless the sequence of items is critical, in which case Arabic (1, 2, 3, etc.) numerals followed by periods and one space may be substituted for bullets. In either case, use the following guidelines:

Footnotes

The following rules apply to footnotes:

A template for creating research reports is available on the FHWA Research Publication Development Web page. See table 4 for the list of submission requirements for research reports.

Table 4. Research report—what to submit.

Black/
White Print (.doc)
Two- or Four-Color Print (.doc and .qxd) Website Only (.doc) Deliverables for Research Reports

HRTM Service Request Form

Microsoft® Word file of report

Microsoft® Word file of 508 captions

Completed Form DOT F 1700.7 (Technical Report Documentation Page)

Metric chart1

Foreword and Disclaimer

FHWA Distribution Form in a Microsoft® Excel file with names and complete addresses. See distribution section of this document.

Tables, charts, graphs in separate native file formats (Microsoft® Excel files for tables and .jpg or .tif files for graphic and computer-aided design (CAD) files)

Illustrations, equations, photos, figures in .jpg or .bmp file format

GPO Form 952 - http://www.gpo.gov/pdfs/customers/sfas/952.pdf (if you provide graphic layout of any files)

Adobe® InDesign or other graphic design files after the files have been edited. Include all text, font files, graphic files

1Optional.
—Submission not required.

Do not submit second-generation or previously printed materials as graphics. Do not use correction fluid, tape, photocopies, or artwork that is fuzzy, dark, or faded. Do not submit CAD drawings; export them to a .jpg or .tif format.

 

 

 

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