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

CHAPTER 7. ELECTRONIC PUBLISHING.

This chapter provides details regarding the electronic publishing process. The applicable laws, rules and FHWA policies are as follows:

• Section 508 of the Rehabilitation Act.^(13,19)

• Paperwork Reduction Act.⁽¹¹⁾

• Privacy Act.⁽⁵⁰⁾

• Freedom of Information Act.⁽¹⁰⁾

• Federal Acquisition Regulations.⁽⁵¹⁾

Electronic publishing refers to any document or published item that is not printed on paper. Examples are digital versatile disks (DVDs), Web pages, websites, publications, and multimedia presentations (such as Microsoft® PowerPoint presentations containing slides, sounds, and movies/videos such as .avi or .mov files).

FILE FORMATS

Multimedia options that provide special graphic enhancement, multimedia effects, or interactive applications can be prepared. If you need special video or audio effects for a presentation, video wall, or other item, contact the Office of Information Technology Services (HAIS) or HRTM for assistance. Keep in mind that multimedia presentations such as Microsoft® PowerPoint, videos, and .mov files must also be compliant with Section 508, and they follow a different set of rules than those used for Web page or database software applications.^(14,24) See the Access Board’s Section 508 website for more information.⁽³³⁾

HTML format is the required electronic format for all FHWA publications. It can be used to create a range of document styles, from simple, text-only items to those with elaborate graphics. Documents in HTML format adapt to different screen sizes and computer characteristics. In addition, HTML documents are easily searchable by Internet search engines and can be used by assistive devices, such as screen readers that “read” the code on a Web page and translate it into audio format for people who have vision disabilities. See information about DVDs below and for website publishing.

Adobe® Acrobat PDF files can be prepared for a publication in addition to HTML format. If you want users to be able to print your document on their desktop printers so that it looks exactly like the original, consider also providing a PDF file. However, PDF files do not adapt as readily to individual computer formats nor are they considered “accessible” files for complying with Section 508 of the Rehabilitation Act.⁽¹⁴⁾

For every publication created as an Adobe® Acrobat PDF file, there also should be a Section 508-compliant HTML document.⁽²¹⁾ This is a requirement for files on the Internet or StaffNet. If a PDF file or other format is desired, it may be prepared and posted on an FHWA website along with the HTML version of the publication.⁽²¹⁾

The following guidelines for reviewing final Adobe® Acrobat PDF documents are recommended:

• Compare page breaks with those in the original file. Make necessary adjustments so that the Adobe® Acrobat PDF file is an exact copy of the print version and the original electronic version.

• Check the table of contents in the Adobe® Acrobat PDF file to ensure that if repagination occurs, the page numbers are correct for the entries in the table of contents.

• Compare figures and tables with the original file. Make necessary adjustments to the figures and tables so that the Adobe® Acrobat PDF file is an exact copy of the print version and the original electronic version.

• Verify that the figures and tables are readable and printable.

• Reduce file size, if necessary.

• Use the correct publication cover. You can have one created by HRTM, if needed.

• Submit an abstract of the publication in electronic format along with the Adobe® Acrobat PDF files.

• Do not create Adobe® Acrobat PDF documents from scanned “originals.”

PRESENTATIONS AND VIDEOS

Policy Implications

The office director or designate is responsible for making sure that external presentations and videos are in agreement with management policies and approved by HPA.

Schedule

Timeframes for presentations developed in-house are the responsibility of the requesting office. When using HRTM services, expect about 4 weeks for turnaround for presentations, depending on length and scope of presentation. See table 6 for the list of submission requirements for Microsoft® PowerPoint presentations. Videos can take months to complete.

Prior to performing a video shoot, you must provide a video script and a completed FHWA Form 1113 to HRTM, who in turn will submit the information to HPA for review and approval. A storyboard depicting a visual representation of the storyline also would be helpful.

Prior to publicly releasing a video or presentation, researchers and authors must provide the final version in a completed FHWA Form 1528 to HRTM, who will submit the information to HPA for review and approval.

In addition to the above submission requirements and depending on the product and distribution of that product, other Section 508 guidelines may also apply.⁽¹⁴⁾ For example, a video in a presentation may fall under Video and Multimedia Products under the Access Board’s Guide to the Section 508 Standards for Electronic and Information Technology in the Technical Standards section.^(24,33)

Any multimedia file also must include software applications to run or view it (i.e., movie or media players, browsers, Adobe® Acrobat Readers, Microsoft® PowerPoint readers, Microsoft® Word readers, etc.) as links or executable zipped download files on the website, DVD, and the software also must follow Software Applications and Operating Systems guidelines under the Access Board’s Guide to the Section 508 Standards for Electronic and Information Technology in the Technical Standards section.^(23,33)

Presentations and videos accessible through an HTML or other Web interface must follow Web-based Intranet and Internet Information and Applications guidelines under the Access Board’s Guide to the Section 508 Standards for Electronic and Information Technology in the Technical Standards section.^(22,24,33)

If the electronic information or multimedia is presented on an unmanned kiosk such as at a trade show or event, the equipment may be considered a “standalone kiosk” and as such may fall under Self Contained, Closed Products under the Access Board’s Guide to the Section 508 Standards for Electronic and Information Technology in the Technical Standards section.^(26,33)

Program offices are responsible for ensuring that videos are captioned to comply with Section 508.

Table 6. Microsoft® PowerPoint presentations, movies, videos—what to submit.

—Submission not required.

WEBSITE PUBLISHING

Website publishing can be used as a primary route of publication, a secondary source of publication, or as a supplemental source of information. (See references 50, 52, 11, 53, and 14.) The Web provides an electronic medium that offers graphical interface, instantaneous transmission, and multimedia presentation materials. Website publishing is especially useful for documents containing information that needs to be issued quickly, and many agencies are publishing only on the Web. Because all publications must be in electronic format, make sure that your specifications for your electronic publication include Section 508 guidelines.^(12,14) Keep in mind that a high-quality Web design can be just as costly as a printed design.

Web projects may face posting delays due to the number of complex tables, equations, and figures; the number of pages; missing 508 captions; the researcher’s final review; and other jobs in the queue at the same time.

Website Requirements

The FHWA Chief Information Officer (CIO) must approve both new FHWA websites and the purchase and use of new website domain names (www.webname.gov). To provide transparency, it is the CIO’s policy to have all websites under a .gov domain. In addition, HAIS must approve the final HTML code and design before any websites are posted “live.” Any new content, major updates to content, and redesigned content must be approved by HPA prior to public release.

Contractors and FHWA personnel who will perform HTML coding or will accept a final deliverable composed of HTML files are required to ensure that, after editing, all HTML files are coded according to both FHWA requirements and the requirements of the Access Board and FHWA’s minimum requirements.^(21,14,19) Contact HRTM for more information.

Minimum Requirements for FHWA Web Pages

Please contact HRTM for specific Web page requirements before creating or preparing material for the research website. Electronic publishing guidelines frequently evolve or change as a result of legislation and the dynamic development of electronic communications technologies. For this reason, HPA and HAIS Web group must review all new materials.

In an effort to achieve greater quality, usability, and consistency, the Information Technology Division has established the following minimum technical standards that must be met by all FHWA Web pages; Web documents that do not meet these standards will not be posted:⁽²¹⁾

• FHWA Web Pages will be encoded to conform to HTML 4.01 Transitional or higher, as defined by the World Wide Web Consortium.⁽⁵⁴⁾

• File names will not exceed 20 characters in length. File names will be lower case, consist solely of letters, numbers and the underscore and will not contain slashes, spaces, tildes or hyphens. File extensions are to be three characters or less whenever possible (i.e., .htm instead of .html).

• All Web pages will have a title in the head section of HTML documents. The title should be unique (to the server), brief, and descriptive—not to exceed 150 characters in length.

• Web pages must be free of broken links or missing images. All links to pages within the server will be relative.

• Web pages posted on the public Internet will have a standard header and footer. Web pages posted on StaffNet will use the standard templates.

• FHWA Web pages will comply with Section 508 Web accessibility standards as established by the Architectural Transportation Barriers Compliance Board.^(14,19)

• All textual files posted on the FHWA Internet server will be available in HTML format. All other formats (e.g., PDF, Microsoft® Word, Microsoft® Excel, and Microsoft® PowerPoint) will have HTML equivalents.

• The bodies of Web pages will use sans-serif fonts (e.g., Arial or Helvetica).

• Internet Web pages will feature “exit doors” on links to non-Government websites (anything other than Federal, State, or local governments).

• All entry point Web pages on the Internet will feature a privacy policy statement or a link to the Agency privacy policy statement on the main server.

• Web pages that collect survey information from the public must be approved by the OMB, in accordance with the Paperwork Reduction Act.⁽¹¹⁾

• New FHWA websites must be approved by the FHWA CIO before posting.

• The use of persistent cookies on FHWA websites is forbidden. Session cookies are permitted, subject to approval on a case-by-case basis.

HRTM also will assist the researcher with their request and work with them and HAIS to process the website request. If a contractor is preparing the material for Web publishing, the COR must ensure that the contractor has received the most current set of guidelines from HRTM before starting the HTML programming phase.

Technical Review

Each office should establish its own process for reviewing documents for technical soundness, accuracy, and adherence to policy; this process should contain the necessary checks and balances and coordination with other appropriate offices and individuals to ensure that FHWA continues to publish high-quality materials. The office director is responsible for all content related to his/her office and functional areas for which he/she is responsible.

See table 7 for the list of submission requirements for Web-only communication products.

Surveys

OMB, in accordance with the Paperwork Reduction Act, must approve all surveys to be disseminated to the public in electronic or nonelectronic format, whether the surveys appear in documents or are conducted in other forums such as focus groups, interviews, test groups, or telephone surveys.⁽¹¹⁾ The Paperwork Reduction Act clearance is required when standardized data collection from 10 or more respondents is collected in response to a Federally sponsored data collection within a 1-year period.⁽¹¹⁾ The “Paperwork Reduction Act clearance” is the term used for the process of obtaining approval from OMB for Federally sponsored data collections as required by the Paperwork Reduction Act.⁽¹¹⁾

OMB was originally granted this authority in 1940 under the Federal Reports Act.⁽⁵⁵⁾ Due to increasing complaints from the public about duplicate and lengthy Federal Government data collections, Congress passed the Paper Reduction Act of 1980, which was reissued in 1995.⁽¹¹⁾ The purpose of the act remains to ensure that Federal agencies do not overburden the public with Federally sponsored data collections.⁽¹¹⁾

Privacy Act

The Privacy Act (Title 5 U.S Code 552a), passed by Congress in 1974, establishes certain controls over what personal information is collected and maintained by the Executive Branch of the Federal Government and how the information is used.^(50,56) The act grants certain rights to an individual on whom records are maintained and assigns responsibilities to an agency that maintains the information.

The entire USDOT workforce (Federal and contracted employees) is subject to the Privacy Act and must comply with all of its provisions.⁽⁵⁰⁾ Noncompliance with the Privacy Act carries criminal and civil penalties.⁽⁵⁰⁾

What are USDOT’s Responsibilities Under the Privacy Act?

USDOT’s responsibilities under the Privacy Act are as follows:⁽⁵⁰⁾

• Maintaining only such information that is both relevant and necessary to accomplish a purpose of the agency.

• Collecting information to the greatest extent practicable directly from the subject individual.

• Informing each individual whom it asks to supply information with a Privacy Act Statement.

• Maintaining all records used by the agency about an individual with such accuracy, relevance, timeliness, and completeness to assure fairness to the individual.

• Publishing the existence of a system of records (i.e., system of records notice).

What Rights are Granted Individuals Under the Privacy Act?

Under the act, individuals are granted the right to do the following:⁽⁵⁰⁾

• Determine what records about them are being collected, maintained, used, or disseminated by USDOT.

• Prevent records pertaining to them from being used or made available for another purpose without their consent.

• Gain access to records about oneself, subject to Privacy Act exemptions.

• Amend a record if it is inaccurate, irrelevant, untimely, or incomplete.

• Sue the government for violations of the statute, such as permitting unauthorized individuals access to your records.

Which Individuals are Covered by the Privacy Act?

The Privacy Act applies only to records collected and maintained on living individuals who are U.S. citizens or lawfully admitted aliens, whose records are filed in a “system of records” where those records are retrieved by a personal identifier.⁽⁵⁰⁾

What Records are Subject to the Privacy Act?

Records subject to the Privacy Act are those about an individual collected and maintained in a “system of records.”⁽⁵⁰⁾ A system of records is a group of records that have the following in common:

• Contains personal identifiable information (PII) such as a name, date of birth, Social Security number (SSN), Employee Number, fingerprint, etc.

• Contains at least one other item of personal data (e.g., home address, performance rating, and blood type).

• Requires the data about the subject individual to be retrieved by their personal identifier(s).

What Are PII and Sensitive Personally Identifiable Information (SPII)?

PII is information that can be used to distinguish or trace an individual’s identity, such as their name, SSN, biometric records, etc., alone or when combined with other personal or identifying information that is linked or linkable to a specific individual, such as date and place of birth, mother’s maiden name, etc.

Certain PII, while not sensitive PII, may be Sensitive Security Information (SSI) under 49 CFR Part 15 or 49 CFR Part 1520.^(57,58) PII that is SSI must be maintained, disseminated, and destroyed in accordance with this policy, the Privacy Act (if applicable), and the applicable SSI requirements at 49 CFR Part 15 or 1520.^(50,57,58)

SPII is a subset of PII that, if lost, compromised, or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual. SPII requires stricter handling guidelines because of the increased risk to an individual if the data are compromised.

The following PII is always (de facto) sensitive, with or without any associated personal information, and cannot be treated as low confidentiality:

• SSN.

• Passport number.

• Driver’s license number.

• Vehicle identification number.

• Biometrics, such as finger or iris print, and DNA.

• Financial account number such as credit card or bank account number.

• The combination of any individual identifier and date of birth, mother’s maiden name, or last four digits of an individual’s SSN.

The following information is SPII when associated with an individual:

• Account passwords.

• Criminal history.

• Ethnic or religious affiliation.

• Last 4 digits of SSN.

• Mother’s maiden name.

• Medical Information.

• Sexual orientation.

In addition to de facto SPII, some PII may be deemed sensitive based on context. For example, a list of employee names is not SPII; however, a list of employees’ names and their performance rating would be considered SPII.

The following PII is not sensitive alone or in combination unless documented with sensitive qualifying information and may be treated as low confidentiality:

• Name

• Professional or personal contact information, including email, physical address, phone number, and fax number

Federal employee name, work contact information, grade, salary, and position are not considered PII. Except for limited circumstances, this information is publically available and is not considered sensitive.⁽⁵⁹⁾ For more information, go to FHWA’s privacy policy page.⁽⁵⁹⁾

Freedom of Information Act

Based on the principle that an informed public is essential to the democratic process, the Freedom of Information Act, which can be found at Title 5 §552 of the U.S. Code, requires Federal agencies to make agency records available to the public either proactively or in response to a request, subject to certain conditions and exceptions.⁽¹⁰⁾ The Freedom of Information Act includes nine exemptions and three exclusions that permit an agency to withhold a record in part or in full in limited circumstances.⁽¹⁰⁾ The Federal Freedom of Information Act does not provide a right of access to records held by the U.S. Congress, the U.S. Courts, or State or local Government agencies or by private businesses or individuals.⁽¹⁰⁾

Federal Acquisition Regulations

The Federal Acquisition Regulations affect publishing content, copyright ownership, licensing, patents, photography, illustrations, and other items that are represented in a document provided to FHWA through a contract deliverable.⁽⁵¹⁾ For example, Federal Acquisition Regulation Subpart 27.4—Rights in Data and Copyrights in a contract can affect whether FHWA or a contractor owns a photo taken during a research study.⁽⁶⁰⁾ Another Federal Acquisition Regulation clause may affect whether FHWA may post software code on a website.^(51,61) For more information, consult with HRTM, the FHWA Office of Acquisition and Grants Management, or the Office of Chief Counsel.^(60,61)

Table 7. Web-only communication products—what to submit.

—Submission not required.