Guide to Producing Successful Communications Products: Supplement to the Federal Highway Administration Turner-Fairbank Highway Research Center R&D Communication Reference Guide

CHAPTER 4. TECHNICAL REPORT PRODUCT ORDER OF ELEMENTS

Chapter 4 will delve into the elements that are most commonly found in Federal Highway Administration (FHWA) Office of Operations (HOP) technical reports and guidance. Not every report will include these elements but it should follow the prescribed order. The report must be consistent throughout in format and style.

Appendix B of this guide offers a HOP Project Manager Product Review Checklist as a resource to highlight the most common style, formatting, and editorial errors found in drafts but it is not meant to be an exhaustive list.

A technical report typically includes the following elements. A more detailed description of each of the elements follows this listing.

• Cover Elements
  • Foreword
  • Notice and Quality Assurance Statement
  • Cover Photograph/Graphic Sources
• Front Matter Elements
  • Technical Report Documentation Page
  • Metric Conversion Chart
  • Table of Contents
  • List of Figures
  • List of Tables
  • List of Acronyms
• Body of Report Elements
  • Executive Summary
  • Introduction
  • Main Text into Chapters
  • Conclusions
  • Recommendation
• Back Matter Elements
  • Appendices
  • Glossary
  • Acknowledgments
  • References
  • Bibliography
  • Index
  • Back Cover

FRONT COVER

The front cover will consist of the title, month and year, and one of the approved U.S. Department of Transportation (DOT)/FHWA Signatures (also known by the more informal term "logos"). The DOT/FHWA Signature should be placed in the lower right-hand corner of the cover. If that is not possible, confer with the Information Specialist, who can also provide the official DOT/FHWA Signatures.

Contractors' names and/or logos will not appear in the report, except in block 9 of the Technical Report Documentation Page (form DOT F 1700.7) (Appendix C for a sample Form DOT F 1700.7 "Technical Report Documentation Page". Further information on this page may be found in the next section of this chapter.) Paid consultants will not be acknowledged anywhere else in FHWA publications. Additionally, FHWA staff names appear only on this page as well and should not be included in a report's acknowledgments page.

Figure 2 shows an example of a front cover for guidance or a technical report.

Source: Measuring the Impacts of Freight Transportation Improvements on the Economy and Competitiveness

https://www.ops.fhwa.dot.gov/publications/fhwahop17009/fhwahop17009.pdf.)

The inside front cover should consist of a foreword, disclaimer notice, quality assurance statement, and front cover photograph/graphic sources. The following section will examine these front cover components in detail.

Foreword

Publications containing technical material (e.g., research reports, manuals, handbooks, and guidance) must have a foreword on the inside front cover. The foreword—signed by the HOP Associate Administrator or an HOP Office Director—should contain information useful to readers:

• Purpose of the report, manual, or study
• Content summary
• Interested audience
• Previous printing of the publication
• Publication status: preliminary, interim, or final

Disclaimer Notice, Quality Assurance Statement, and Cover Photograph/Graphic Source

Every FHWA publication must contain the standard disclaimer notice and quality assurance statement. If there are photos or graphics displayed on the front cover, then the source must be listed on the inside front cover at the bottom of the page. If the product contains a lengthy foreword, the disclaimer notice, quality assurance statement and cover sources can begin on the following page.

Figure 3 shows an example of a guidance or technical inside front cover containing a standard disclaimer notice, quality assurance statement, and a graphic source. Refer to Appendix D for examples of disclaimer notices.

(Source: Use of Freeway Shoulders for Travel — Guide for Planning, Evaluating, and Designing Part-Time Shoulder Use as a Traffic Management Strategy https://www.ops.fhwa.dot.gov/publications/fhwahop17009/fhwahop17009.pdf.)

FRONT MATTER ELEMENTS

The front matter elements of a standard technical report include the following components.

• Technical Report Documentation Page (Form DOT F 1700.7)
• Metric Conversion Chart
• Table of Contents
• Lists of Figures
• Lists of Tables
• List of Abbreviations and Symbols

Technical Report Documentation Page (Form DOT F 1700.7)

The Technical Report Documentation Page (Form DOT F 1700.7) contains a report's background information. The information on this page is provided to the National Institute of Standards and Technology. The abstract can be excerpted from a report's introductory content.
Figure 4 shows an example of a completed Technical Report Documentation Page (Form DOT F 1700.7).

Metric Conversion Chart

The Metric Conversion Chart is a user reference that is required when a product is using metric measurements. However, because the conversion is helpful for international readers, the Metric Conversion Chart is recommended for HOP products. An example of the chart can be found on page iii.

Table of Contents

• A table of contents lists the main sections of the publication and their respective page numbers. The idea is to create a section that is useful to the reader.
• A table of contents is useful in most reports of more than 10 pages and is required in all reports of 30 or more pages.
• At a minimum, chapter headings and first level headings should be included in the table of contents and must reflect the exact text (including text and punctuation) used in the body of the document.
• Do not list front matter on the table of contents. List only the body of the text from page one through the appendices.
• Type styles in the table of contents should match those used in the report. Like the headings in text, each level of subordination must consistently use a particular type treatment (e.g., all capitals and bold).

List of Figures

The List of Figures contains the listing of the figure's captions within a product. The list will match the exact wording of the figure captions and include the appropriate pages numbers.

A figure is a non-text visual element shown as a graph, photo, formula, equation, chart, diagram, illustration, etc. Each visual element must be separate and must have its own figure number and caption. Do not combine multiple graphic elements into one large figure. In addition, text elements should not be grouped as part of the figure. Refer to Figure 5.

Merriam-Webster's Dictionary defines a table as "a systematic arrangement of data usually in rows and columns for ready reference." Do not incorporate a table and table information into a figure (image). A table should be depicted in a Microsoft Word or Excel text table format rather than as part of a figure or graphic. Refer to Table 2 and Figure 6.

Text such as notes or tables should be included in the body as text rather than as part of a figure. For example, Figure 5 and the combination of Table 2 and Figure 6 look similar; however, when a user clicks on Figure 5 in Microsoft Word, it shows that the table and photograph are combined into a single figure. Instead, the figure and the table should be separate, one as a Microsoft Word table, and the other as a graphic (image) as shown in Table 2 and Figure 6. The easiest way to determine if a table or text is formatted correctly is to try to change information. A Microsoft Word table or text will allow someone to change information, while a picture format will not.

Table 2. Sample of separate table. Table Heading Table Heading 12 122 13 133

Figure 6. Photo. Sample of separate graphic.

Do not combine more than one graphic element such as a photo, an illustration, and graph. Each element must be separated with its own figure number and caption. For example, do not combine multiple elements as one figure, as shown in Figure 7.

The correct method is to depict multiple elements as separate figures, each with its own figure number and caption as in the examples shown in Figures 8, 9, and 10 and Table 3.

Figure 8. Photo. Correct Format 1.

Figure 9. Photo. Correct Format 2.

Figure 10. Chart. Sample of correct chart.

 

Table 3. Correct way to depict table from Figure 7.

Bold Symbol Signs

W1-1 - Turn W1-2 - Curve W1-3 - Reverse Turn W1-5 - Winding Road

W3-2a - Yield Ahead W3-3 - Signal Ahead W4-3 - Added Lane W6-1 - Divided Highway Begins

A figure should also be reviewed for Personally Identifiable Information (PII), which is any information that relates to an individual and can be used to identify that individual. Some examples of PII include faces, Social Security numbers, a license plate that clearly shows its numbers or letters, (including State government vehicles), and invoices with addresses. All PII should be pixilated, obscured, or eliminated from HOP products. You should provide attribution for any item that is copyrighted and that FHWA obtains a license to use.

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 the following format for writing, punctuating, capitalizing, and centering figure captions:

Figure 1. Graph. [Insert caption for graph.]
Figure 2. Photo. [Insert caption for photo.]
Figure 3. Formula. [Insert caption for formula.]
Figure 4. Chart. [Insert caption for chart.]
Figure 5. Equation. [Insert caption for equation.]

When using a 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. Keep in mind that not all computers, printers, and operating systems can interpret special math and scientific fonts. All equations must be numbered and captioned as a figure. Refer to the following example in Figure 11:

The equation was created as a graphic object (figure) and pasted into this document as a picture. It was not created as "text" or a "text box" using a special font through Microsoft Word. The caption above shows the normal equation and caption, which would be reflected in a report.

For reports of 30 pages or more, lists of figures are placed immediately following the table of contents. Lists of figures and tables can be on the same page if both completely fit.

The Contractor will supply a list of all figures along with their sources and will obtain written permission from the source to use their image. The source should be listed with the figure.

Lists of Tables

The Lists of Tables represents an inventory of the tables within the publication. The list will match the exact wording of the table captions. The pages numbers for the tables will be listed.

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 this format for writing, punctuating, capitalizing, and centering table captions.  Captions should be spaced at least two returns between the text and the graphics/figures.

Table 1. [Insert caption for table.]

Text such as notes or tables should be included in the body as text rather than part of a figure.

For reports of 30 pages or more, lists of tables are required and are placed immediately following the table of contents. Lists of figures and tables can be on the same page if both completely fit.

If a table continues to another page then the wording "(continuation)" will follow the table caption on the next page. Do not abbreviate continuation.

Table 1. [Insert caption for table.] (continuation)

Lists of Abbreviations and Symbols

The List of Abbreviations and Symbols displays the abbreviations and symbols employed in the publication.

BODY OF REPORT ELEMENTS

The elements of the report include:

• Executive Summary
• Introduction
• Main Text Separated Into Chapters
• Conclusions
• Recommendations

Executive Summary

The Executive Summary provides a snapshot of the publication as a whole.

Introduction

The Introduction summarizes the publication chapters.

Main Text Separated Into Chapters

Headings

• To delineate different parts of a lengthy document, material is separated into chapters, and lengthy chapters are separated internally with subheadings. Because the titles of chapters and the next level of heading will be presented in the table of contents, it is important to use headings that will be most useful to readers.
• Do not number subheadings. There are four levels of headings; each is a subset of the level above it. Refer to the following box for preferred heading styles.

Chapters

• Chapters must begin on the right-hand page (i.e., an odd-numbered page). Insert blank pages to achieve this effect. Blank pages are counted in the page number sequence, but no number is printed on the page. Do not label "this page intentionally left blank" when adding a blank page to start a new chapter on a right-hand page. Individual chapters, appendices, etc., should not have title pages.

Conclusions

The Conclusion is the final message of the publication.

Recommendations

The Recommendations list illustrates how to move forward or what course of action is recommended.

BACK MATTER ELEMENTS

There are several elements that are likely to appear in a technical report.

• Appendices
• Glossary
• Acknowledgments
• References
• Bibliography
• Index
• Inside Back Cover 3 (blank page)
• Back Cover 4 (Publication number and printing information)

Appendices

An Appendix is supplementary content (e.g., explanatory, statistical, bibliographic) at the end of a product.
Appendices use consecutive pagination and do not use A-1, etc.  If an acknowledgment page is used, it must be part of the appendix; however, it should not contain Contractor, author, or company names.

Glossary

The Glossary is an alphabetical listing of terms with their definitions.

Acknowledgments

Acknowledgments recognize the existence or truth of something. Please refer to Appendix F for a sample of an acknowledgments page.

Reference

A reference is a list of source information that was used to create the content of the report.

Bibliography

A Bibliography is a list of publications, reports, Web sites, etc., that may contain the following additional information for references and bibliographies.

• References and citations in the text should use superscript numbers enclosed in parentheses or brackets and be placed after the end punctuation. If there is more than one reference, separate them with commas, but no spaces. Example:

"This guide contains many references. (1,5,7) "

For more than three references, use a separate sentence in parentheses.  Example:

"This guide contains many references. (Refer to references 1, 5, 7, and 18.)"

• In the list of references in the appendix and bibliography, any style may be used as long as it is consistent and all reference elements are included (authors, title, publication number, publisher's name and city, publication date.)
• References must be consistent in punctuation, the order of elements, and the amount of information supplied. When chapters or articles in larger volumes are referenced, provide inclusive page numbers, which can shorten the time it takes a reader to track down a particular reference.
• References should use a single series of Arabic numbers beginning with "1" and continuing through the document and appendices.
• Each reference must be cited. Materials not cited may be listed in a bibliography placed at the end of the volume on the page(s) following the references.

Index

An Index is an alphabetical list of report subjects with their respective page numbers.

Inside Back Cover 3 (blank page)

Back Cover 3 is the inside back cover. This cover is normally blank.

Back Cover 4 (Publication number and printing information)

Back Cover 4 is the back cover of the document and the content should consist of the following, which can be placed anywhere, on the cover:

U.S. Department of Transportation
Federal Highway Administration
Office of Operations
1200 New Jersey Avenue, SE
Washington, DC 20590

Office of Operations Web Site
https://ops.fhwa.dot.gov/
Month and Year of Publication
Publication Number

The USDOT/FHWA Signature (logo) can be on both front and the back cover but should at least be on one of those locations.
Note: Contractors' names may not appear in the report, except in block 9 of the Technical Report Documentation Page (form DOT F 1700.7). Contractor logos may not appear at all. Paid consultants should not be acknowledged anywhere else in FHWA publications.

Figure 12 displays an example of a Back Cover 4.