ANSI/NISO Scientific and Technical Reports

Scientific and Technical Reports: Preparation, Presentation, and Preservation (hereinafter, the Standard) is the ANSI/NISO Z39.18-2005 (R2010) American national standard that is developed by the National Information Standards Organization and approved in 2005 and reaffirmed by 2010 by the American National Standards Institute.

Trivia

Abstract

The Standard outlines the elements, organization, and design of scientific and technical reports, including guidance for uniform presentation of front and back matter, text, and visual and tabular matter in print and digital formats, as well as recommendations for multimedia reports.

Copyright

Copyright © 2010 by the National Information Standards Organization. All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes only, this publication may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provided it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. All inquiries regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211.

Appendices

The appendices are not part of the Standard and included for information only.

Appendix A -- Selected Annotated Bibliography
Appendix B -- Glossary
Appendix C -- Dublin Core Data Elements
Appendix D -- Formats for Organizing a Scientific or Technical Report
Appendix E -- Report Documentation Page, Standard Form (SF)
Appendix F -- XML DTD and Sample XSL (Style Sheet)

General Information

Role

The guidelines in the Standard address issues related to creating, discovering, presenting, publishing, disseminating, maintaining, and preserving reports. Previous editions of the Standard focused on reports printed on paper, but, with the increased availability of computers, paper is only one of the many media of publication a report can have. In addition, reports can now include digital sections as well as traditional printed text. This revised Standard attempts to accommodate the diverse forms reports can take. Report writers should refer to the many examples throughout the Standard as models to follow rather than using the Standard as a model.

Scope

The Standard will guide individuals and organizations in preparing reports. It is generally couched in terms of the traditional printed report because that medium is the most concrete and common example for readers to consider and visualize. However, the Standard is expressed in such a way that adapting to other means of publication (for example, electronic formats on the Web) is recognized.

Although the Standard necessarily has to consider means of distribution, facilitate methods of literature control, and accommodate methods of accessibility, it is not a standard for cataloging, describing, or preserving publications. Those roles are fulfilled by other standards, such as those associated with using MARC 21 records, Dublin Core, and evolving standards for persistent identification.

Audience

The Standard will prove valuable to researchers, scientists, and academics to document their research and results, provide consistent guidelines for creating reports, and assist in collaboration among organizations. Writers, editors, and publishers can use the Standard to provide consistency throughout their organizations and adopt uniform practices as needed. Information specialists in areas such as libraries, depositories, databases, and archives will find it helpful in categorizing, discovering, and maintaining information in a consistent fashion.

Best Practices

In keeping with quality standards and practices, the Standard contains examples of best practices used by authors who produce exemplary reports—that is, reports that provide information the user needs in a form and format the user can easily understand. Authors, however, must be aware that the best practices identified by the Standard are those judged to be so at the time the Committee developed it, and they should seek to identify other practices, not only within the user’s organization but also within the user’s discipline.

Key Concepts

Metadata

The Standard advocates provision for the capture of appropriate metadata in report preparation. Metadata refer to information about information or, equivalently, data about data. In current practice, the term has come to mean structured information that feeds into automated processes, and this definition is currently the most useful way to think about metadata. This definition further applies whether the publication that the metadata describes is in print or electronic form. In publishing, metadata can be classified according to a variety of specific functions, such as technical metadata for technical processes, rights metadata for rights resolution, preservation metadata for digital archiving, and descriptive metadata (metadata that characterizes the content itself).

Persistence

The Standard addresses the need for persistence in links that are incorporated in reports. A key component of the digital information infrastructure is a mechanism for addressing and locating digital objects on a network or in an archival system. The current addressing structure for the World Wide Web is based on the Uniform Resource Locator (URL). While the URL provides direct, efficient access, URL-only naming fails whenever the resources are moved or reorganized. The lack of persistence leads to "404" (file not found) errors, inhibiting access to information and causing problems when archiving material for long-term preservation and permanent access. These links should also be documented for accessibility in print format.

Interoperability

The Standard encourages the achievement of interoperability in report presentation. In paper-based publication of scientific and technical reports, interoperability, except for language differences and visual challenges, is achieved through a single publication medium. In the digital environment with its multiple types of media, even defining the concept of publishing is a challenge. Interoperability can be achieved at three levels: technical, content, and organizational. At the technical level, protocol and format should be consistent so messages can be exchanged. Content agreements cover data and metadata and include semantic agreements on interpreting messages. The organizational level of interoperability includes rules for access, for changing collections and services, payment, authentication, etc. While the URL protocol permits interoperability in addressing, it offers no interoperability regarding content.

Creation

The Standard recognizes that certain critical actions must be taken at the time a report is created. The initial stage of creating a report should include a thorough review of intellectual property rights, security issues, ease of repurposing the information, and consistent guidelines for software and file naming conventions. Given the collaborative nature of many reports, copyright should be established at the outset, and permission for using pre-existing material should be consistent with U.S. Copyright Office regulations. Potentially classified material may require authentication for release to a limited audience. If the report is best served by being released through multiple channels and repurposed into multiple formats (for example, print and Web) or parsed for repurposing in other collaborative projects, production should include standards for coding the information for such use. Creators should capture metadata tied to producing the report, such as platform, operating system, software version, and consistent file-naming conventions and extensions when they create the report.

Discovery

The Standard emphasizes the importance of ensuring that reports will be discovered. Traditionally, the ability for the target audience to find and use scientific and technical reports produced solely in print format depended on governmental and commercial bibliographic databases or specific, specialized knowledge of primary resource producers. Reports produced in digital format should also enable discovery and access through the incorporation of appropriate associated metadata. Producers of reports should ensure that the report production workflow provides for metadata capture. Discovery is also enhanced by populating metadata with published, controlled vocabularies rather than ad hoc terminology for subjects.

Another discovery issue in a digital environment is the ability of a report to allow access to all potential audiences, including those with physical restrictions. A 1998 amendment to the Rehabilitation Act (29 U.S.C. 794d), popularly referred to as “Section 508,” requires U.S. Federal agencies to make their electronic and information technology accessible to people with disabilities. Other producers of scientific and technical reports should follow guidelines provided for this requirement for greatest accessibility. A further limit to access to be avoided is using proprietary software not commonly used by the primary target audience.

Presentation in Digital Format

The Standard recommends that reports in digital form be presented in a structured way. Some methods for structured representation of reports in digital form are the DTD, XML, and XSL. The DTD defines the format that reports should follow; XML maintains the report's contents and structures; and XSL defines how to represent the report for different vehicles of display (e.g. desktop computer or PDA). Two main advantages of this approach are its automatic validation and its flexibility of representation. Also, the XML format is widely used and can be easily processed by computer programs.

Document Type Definition (DTD): A DTD defines the building blocks of a document using extensible Markup Language (XML). XML improves the functionality of the Web by providing more flexible and adaptable information identification, delivery, and presentation.
XML Document: The XML document contains the report with its metadata. Elements in an XML document should comply with the DTD provided (see Appendix F), which validates the document.
XSL (Style Sheet): The XSL (extensible Style Sheet) provides a mechanism for presenting data available in an XML document. It provides formatting information and ordering of presentation (not always the same order as in the XML document) and can generate extra metadata, such as a table of contents, list of figures, etc. Multiple XSL sheets can be used for the same document to accommodate the needs of various communities: Web publication of reports, printed reports, etc.

Presentation

The Standard is cognizant of and reflects the requirements and limitations of different methods of publication. The concept of publication (literally, to make known to the public) changed drastically in the 1960s when computers were applied to the typesetting process. Suddenly, machine-readable electronic records were being produced along with traditional print. The subsequent development of new media, recording devices, codes of expression, and means of transmission made these electronic records eminently usable. Scientific, business, military, and government communities found these new media to be a convenient and economical means for distributing and storing information, including reports. As a result, we now see diverse ways of publishing data and information, from printed pages to files accessible over the World Wide Web.

The prescriptions of the Standard are flexible enough to be adapted to a great variety of publication methods, both extant and yet to be discovered. However, it also recognizes that many users of a report find a printed version more convenient, portable, or permanent. Therefore, the Standard states that electronic publications be formatted so that standardized, usable print copies can be produced from any medium through common or specialized software. The Standard suggests producing reports that can be converted from medium to medium and format to format to allow ease of use and future migration.

Dissemination

The Standard encourages the effective dissemination of reports. It is important that scientific and technical reports be readily available to as broad an audience as allowed to facilitate research and to promote general education goals. Online access to information opens new arenas to find reports. Reports that can be easily identified and ordered by libraries and the general public through a variety of distribution channels (for example, wholesalers, library jobbers, and online retailers) support the sustainability of the information. Archiving reports on the Web with a unique identifier, and with an agency that can support their presence over time, improves their long-term value. Therefore, creators of reports should envision a dissemination strategy at the outset of the project.

Access and Distribution

The Standard recognizes the importance of controlling access to some reports. Originating organizations have specific responsibilities to determine the distribution of reports. Classification/distribution information is provided by electronic labeling or in print. If physical marking of a report is not possible, identifying information must be accomplished by other means, such as metadata schema. Marking is the means of informing users of classified, or otherwise controlled, information about specific protection requirements for reports (for example, for internal use only). For print materials, this information should be easily visible on the cover or title page. For reports in a digital format, this information should be on the opening screen or other points of initial access.

Examples

Approved for public release; distribution is unlimited.
Distribution authorized to DoD components only (reason, date). Other requests for this document shall be referred to (controlling office information).

Maintenance and Preservation

The Standard advocates adopting practices that ensure long-term preservation of reports. Compilers and publishers of scientific and technical reports can and should take action to ensure their efforts will be appreciated for as long as the reports have value to users. This requirement means that reports should be prepared using techniques and materials that enable discovery and usability over the long term. Continuing discovery is assured by associating a report with clear, distinct, and unchanging identifying information (descriptive metadata). Continuing usability is assured by adopting an easily navigated and navigable structure, including maintenance of internal and external links, and by using publishing techniques that withstand the test of time. Time-tested publishing techniques involve the appropriate choice of publishing medium, such as acid-free paper or polyester-based silver gelatin film. However, publishing increasingly involves producing digital products that can be migrated and shared across media, platforms, applications, and organizations. At the time the Committee developed the Standard, the most promising method for assuring continuing migration is employment of an XML DTD to encode electronic reports when produced.

Many complex, electronic scientific and technical reports are used to produce multimedia publications and presentations. In such cases, it is particularly important to use presentation standards and practices that not only enable the widest possible access at the time of report creation, but also ensure continuous availability of content and structure despite changes in the delivery environment. In cases of multimedia reports, it is desirable to preserve the original presentation media as well as the original content. When this preservation cannot be achieved, it is most important to preserve the content so that the original source material is preserved.

Components of Reports - Overview

Introduction

There are many possible patterns for organizing the components of reports. Some of these are referenced in Appendix D, Model Formats for Organizing a Scientific or Technical Report. These model formats allow for presenting information about the creation, structure, content, and availability of reports in a readily comprehensible manner. When not using traditional publishing channels, the author/creator should ensure this information is captured and available to potential readers/users.

Metadata

A scientific or technical report is an important information resource and, as such, requires effective information management. The body of the report, with its discussion of methods, results, and conclusions, is content. Any information that helps the user find, assemble, and properly attribute the report are metadata.

Metadata are a significant matter for the Standard because of the large amount and diversity of data represented. The quantity and diversity of report content and format presented information management challenges in an era when reports were published exclusively on paper; in the digital age these challenges have multiplied considerably. A scientific or technical report that does not take metadata into account has no readily-found identity and will not be used. To avoid this problem, compilers of reports must provide metadata in three broad classes: descriptive, structural, and administrative.

Descriptive Metadata: Descriptive metadata, such as cataloging information prepared following standards such as Dublin Core or MARC 21, convey information that helps the user find a report and distinguish it from other similar ones. Descriptive metadata are commonly used for resource discovery, such as author/title/subject searching, or grouping like objects for browsing. Such metadata include the title and creator (author), as well as any keywords or subject references.
Structural Metadata: Structural metadata explain the relationship between parts of multipart objects and enhance internal navigation. Such metadata include a table of contents or list of figures and tables.
Administrative Metadata: Administrative metadata support maintaining and archiving reports and ensure their long-term availability. Administrative metadata are needed for migration of data from one format to another and contain rights information used for access control. Such metadata include type and version of software used in preparing the report and rights-management requirements.

Components

The author/creator of a scientific or technical report must keep all metadata requirements in mind throughout report creation and should prepare the components to enable ready recognition of key descriptive, structural, and administrative information about the report.

Table 1 presents the Standard components of scientific and technical reports in the traditional order of presentation. In reports organized in this manner, the listed components from cover through acknowledgments are commonly referred to as front matter, the components from summary through references are referred to as the body or text matter, and components from appendices through distribution list are referred to as back matter.

In the Inclusion Status column, the table indicates which components are required by the Standard, which are optional, and which are conditional. Finally, in the column headed Function, the table indicates the primary role served by the information conveyed in each component.

Table 1: Components of reports
	Component	Inclusion Status	Function
Front Matter	Cover	Optional	Descriptive metadata
	Title Section	Required	Descriptive metadata, such as Dublin Core elements: Identifier, Title, Creator, Publisher, Contributor, Date, and Language
	Notice Section	Conditional (include when needed to specify intellectual property rights or state restrictions on access or use)	Administrative metadata, such as the Dublin Core elements: Rights Management and Format
	Format Information Section	Conditional (include when the original is created in digital format)	Administrative metadata, such as Dublin Core element: Format
	Report Documentation Section	Conditional (include in reports prepared for federal governmental agencies)	Descriptive metadata, such as the Dublin Core elements: Title, Creator, and Publisher Source of administrative metadata, such as the Dublin Core element: Rights Management
	Abstract Section	Required	Descriptive metadata, such as the Dublin Core elements: Description, Subject, and Coverage
	Contents Section	Required	Structural metadata
	List of Figures and Tables	Conditional (include when there are more than 5 figures and/or tables)	Structural metadata
	Foreword	Conditional (include when background and context is needed)	Descriptive metadata
	Preface	Conditional (include when background and context is needed)	Descriptive metadata
	Acknowledgments	Conditional (include when significant)	Content
Body or Text Matter	Summary	Required	Content
	Introduction	Required	Content
	Methods, Assumptions, and Procedures	Required	Content
	Results and Discussion	Required	Content
	Conclusions	Required	Content
	Recommendations	Conditional (include when purpose of report is to suggest a course of action)	Content
	References	Conditional (use if references are provided)	Structural metadata, such as the Dublin Core element: Relation
Back Matter	Appendices	Conditional (include when needed to supplement Results and Discussion)	Structural metadata
	Bibliography	Conditional (include when needed to amplify references)	Structural metadata
	List of Symbols, Abbreviations, and Acronyms	Conditional (include if symbols, abbreviations, or acronyms appear in any other component of the report; this section might appear as part of the front matter)	Structural metadata
	Glossary	Conditional (include if report incorporates terms unfamiliar to the intended audience)	Structural metadata
	Index	Conditional (include when needed to ensure that a user locates all references to a concept)	Structural metadata
	Distribution List	Conditional (include when needed to control access)	Administrative metadata, such as the Dublin Core element: Rights Management

Components of Reports - Details

This section provides guidance on organizing the following report components:

Required elements, which are compulsory or mandatory when exchanging data
Conditional elements, which are used under specified conditions when exchanging data
Optional elements, which may be used when exchanging data [definition from EDSC Glossary]

Front Matter

Front matter consists of all materials preceding the main content and provides:

a general idea of the purpose and scope of reports;
background about, or a context for, reports; and
lists for finding specific chapters, headings, figures, and tables.

Front matter also provides information needed for cataloging in bibliographic databases and digital libraries. The Standard further discusses (1) cover, (2) title section, (3) notice of distribution and access restrictions, (4) format information, (5) report documentation page, (6) abstract, (7) contents, (8) list(s) of figures and tables, (9) foreword, (10) preface, and (11) acknowledgments in details.

Body Matter

The body is the part of the report in which the creator describes methods, assumptions, and procedures, then presents and discusses the results and draws conclusions and recommends actions based on those results. The organization of a report depends on its subject matter and audience as well as its purpose. (See Appendix D for sample organizational models.) Thus, the organization of the content may vary widely and the organization of the report may be divided into sections or chapters. Information on the content follows.

The Standard further discusses (1) summary, (2) introduction, (3) methods, assumptions, and procedures, (4) results and discussion, (5) conclusions, (6) recommendations, and (7) references in details.

Back Matter

The back matter supplements and clarifies the body of the report (for example, appendices), makes the body easier to use (for example, glossary, lists of symbols, abbreviations and acronyms, and index), and shows where additional information can be found (for example, bibliography). Some organizations consider the reference section to be part of the back matter; if the pages following the front matter are numbered sequentially, it is immaterial to the reader if the reference or bibliography section is part of the body or the back matter.

The Standard further discusses (1) appendices, (2) bibliography, (3) list(s) of symbols, abbreviations, and acronyms, (4) glossary, (5) index, and (6) distribution list in details.

Presentation and Display

This section discusses standard methods for ensuring consistency in presentation: designing visual and tabular matter; formatting; presenting units, numbers, formulas, and equations; incorporating footnotes, endnotes, references, and bibliographic entries; preparing lists of symbols, abbreviations, and acronyms; formatting glossaries and indexes; and correcting errata after publication. Within each subsection, a distinction is made between rules applicable to all reports regardless of mode of publication (e.g., paper or Web) and rules applicable to reports published in paper form.

Subordination

6.1.1 General

Indicate subordination of ideas by using headings and subheadings to divide the report into manageable sections, call attention to main topics, and signal changes in topics. Most reports require no more than five levels of headings.

Consistency of presentation is important in showing subordinate relationships. Many reports use a decimal numbering system to show relationships and to simplify extensive cross- referencing. An alternate format for subordination uses a progression of fonts. Indicate headings and subheadings by bold font with initial capital letters for principal words. Indicate primary headings by using a larger font than that used for non-primary headings. Align primary and secondary headings flush with the left column of text and run in other headings with indented text.

6.1.2 Print-Specific Guidelines

Begin each major section on a new page.

6.1.3 Non-Print-Specific

In the digital environment, delineate sections in a way that is easy to understand and access, with full links included as required.

6.2 Visual and Tabular Matter 6.2.1 General

Many of the data in reports are presented in figures and tables as well as in the text. Figures provide visual representations in the form of graphs, line drawings, diagrams, photographs, etc. Tables arrange large amounts of quantitative data in an ordered space. Follow these guidelines to ensure that figures and tables are effectively integrated with the text of a report:

• Mention each figure and/or table in the text.

• Locate each figure or table near, but never before, its first mention in the text of print reports. Provide an interior link between the mention of a figure or table and its place in a digital document if not on the same screen as the text.

• If a figure or table is central to the comprehension of the text, include it in the text. If

figures or tables provide only supplementary information, place them in an appendix (see also 5.3.1). Mention any material in an appendix in the text; otherwise it lacks context.

• Ensure that the amount of text discussion associated with each figure or table adequately reflects its importance to the report, the level of complexity of the information illustrated or tabulated, and the level of knowledge of anticipated readers. Figure legends can be used to provide further explanation.

• Number figures in the text with consecutive Arabic numbers (for example, Figure 1,

Figure 2). Number those pertaining only to appendices consecutively for each appendix (for example, Figure A1, Figure A2, Figure B1). Number tables consecutively and independently of figures, with Arabic numbers (for example, Table 1, Table 2,...Table 8).

If an appendix contains its own tables in addition to tables in the text, identify and number the appendix tables consecutively after the text tables (for example, Table 22, Appendix Table A1). If there is more than one appendix, begin table numbers again in each (for example, Table A1, Table A2, Table B1, Table B2).

• Provide a descriptive title for figures and tables to aid in comprehension and to be used in the front matter list of figures and tables.

6.2.1.1 Print-Specific Guidelines

Adopt vertical rather than horizontal orientation for figures and tables so they can be viewed without turning a printed page sideways. If possible, redesign oversized figures or tables that fold in to fit a standard 8-1/2 x 11-inch page with vertical orientation. If a figure or table cannot be redesigned to fit on a page vertically, turn the image counterclockwise to fit the page. If a figure or table cannot be reduced to fit a standard page, redesign it to fit two facing pages.

6.2.1.2 Non-Print-Specific

If possible, format visual material so it can be viewed on a single screen at normal resolution, taking into consideration the variations found in viewing items on the Web through different browsers.

6.2.2 Figures

Figures (for example, graphs and charts, diagrams, photographs, schematic drawings, etc.) play a significant role in presenting and clarifying technical ideas. (See also Appendix A.7, Graphic Arts.) Normally, a figure should emphasize one main idea and show no more than is necessary. Figures should have informative titles (captions) that summarize the figure and, as needed, callouts that clearly and concisely identify each part. The figure number and title should appear below the figure. The title describes the content without giving background information, results, or comments about the figure. The placement and alignment of callouts should be consistent within the report. Callouts are best placed horizontally and unboxed, and straight lines (leaders) connect callouts to the part(s) identified in a figure. Any symbols, abbreviations, or acronyms that appear in figures or tables but not in the text should be explained in a key or defined in a caption. Identify footnotes to figures independently of text footnotes using superscript, lowercase letters beginning with “a” in each figure. If using lowercase letters leads to ambiguity, as with chemical or mathematical formulas, use a sequence of symbols (*, t, t, §, ||, #, **, etc.). The type of figure used depends on the type of information being presented: graphs show relationships among data; diagrams portray relationships among components; photographs realistically depict general appearance; and drawings emphasize essential elements and omit unnecessary details.

The purpose of a figure, its reproducibility, and convenience of location for report readers are factors in preparation. Line art, original photographs, and digital image files are preferable for

reproduction. Color is often necessary for comprehension. If not, its use should be carefully considered because of limited reproducibility as well as cost. Figure 7 shows an example of color substitutes: screens, crosshatching, patterned lines or similar techniques are effective substitutes for color.

□I WordFrame ■ WordPerfect

□ MakerTeX n IslandWrite

□ TeX □ All others

Software Use by Directorate

Figure 7: Example of graphic devices used as color substitutes

Gauge graphic techniques to viewing capabilities. Choose symbols, letters, and lines that are legible at the lowest likely resolution used by readers. Position letters and numbers on graphs and charts so they can be easily read from the bottom and right-hand side of the graphical representation. When graphs represent trend curves, place tick marks along the axes to indicate the required degree of approximation. If highly accurate readings are needed, use grid lines (or, better, use a table). Crop and size photographs to show only significant details. To ensure legibility, the minimum acceptable line weight for drawings is 8 points (3 mm). Do not use graphic devices such as borders, frames, title blocks, and background tones unless their use significantly improves clarity.

6.2.3 Tables

6.2.3.1 General

Tables present detailed facts or statistics concisely in row-and-column format. A formal table has a table number and title placed above the data. The title describes the content without giving background information, results, or comments about the table. The first principle words of the title should reflect the content of the first column. The row head and column heads identify the tabulated data that appear in the body or cells of the table.

Identify footnotes to tables independently of text footnotes using superscript, lowercase letters beginning with “a” in each table. If using lowercase letters leads to ambiguity, as with chemical or mathematical formulas, use a sequence of symbols (*, t, t, §, ||, #, **, etc.). Assign footnote letters in left-to-right and top-to-bottom order; place footnotes below the bottom line of the table. If a table or data in a table was obtained from a reference source,

include a source line that identifies the reference. (See also 5.2.7, References.) Figure 8 shows the parts of a table.

Table 3. Table Number and Title.

Stub Head

Column Head 3

Column Head b

Row Head

Data

Source Line:

3 Footnote to table appears here. b Footnote to table appears here.

Figure 8: Nomenclature for the parts of a table

Indicate units of measurement in the table title, the column heads, or in a note. If presented in the column heads, place units and symbols in parentheses and do not repeat them in the columns. If data are unavailable for a particular cell, use a dash to fill the vacancy.

Use horizontal rules to separate a table from the title and row heading and column heads from the body of the table. Use vertical rules to separate columns if needed to ease reading/viewing of tabular material.

6.2.3.2 Print-Specific Guidelines

To enable print presentation of tables with multiple columns, it may be necessary to continue tabular columns on successive pages. If adopting this approach, repeat the table number and title, row head, and column head and note the continuation. Do not carry a table over unless at least two rows or columns will be included. Do not display a row across more than one page.

6.2.3.3 Non-Print-Specific

Format tables so they can be viewed on a single screen at normal resolution, taking into consideration the variations found in viewing items on the Web through different browsers.

Presentation Format

The physical appearance of a report, both text and graphics, constitutes format. The goal of any format is to enhance readability and comprehension by providing visual uniformity and a consistent subordination of ideas. Decisions about report formats should be based on principles of graphic design, keeping in mind format choices may be limited by contract specifications, in-house requirements, or the equipment used for publication or display. (See also Appendix A.7, Graphic Arts.)

6.3.1 General

6.3.1.1 Line Length

Ragged right margins make reading easier. Avoid excessively ragged right margins by using a standard and a minimum line length. The minimum line length is 2 to 3 12-point characters (8 to 13 mm) shorter than the standard line length. A line ends with the word falling nearest the standard length, but does not exceed the standard length by more than two characters. For example, a single column of text intended for continuous reading (as opposed to reference material) may be presented in standard lines equivalent to 40 to 43 picas (169 to 182 mm) wide. To minimize ragged right margins, a recommended minimum line length is equivalent to 38 picas (161 mm). If a report is presented in double-column format, the image area includes the space necessary to separate the columns, 1 to 2 12-point characters (4 to 8 mm). A recommended minimum line length for double columns is 20 12-point characters (85 mm) per column with 2 additional 12-point characters (8 mm) between each column, a total of 42 12-point characters (178 mm).

6.3.1.2 Font Choice

A font size and style should be clearly legible.

For report text, including mathematical notations, a 10- or 12-point (4- or 5-mm) serif font is the most comfortable font for readers. Smaller sizes can be used for non-text matter (for example, footnotes and indexes); however, 8 points (3 mm) is the smallest acceptable size for non-text matter.

The availability and appearance of specialized characters for symbols, formulas, and equations are important considerations in selecting a font.

6.3.2 Print-Specific

6.3.2.1 Image Area

The space allotted on a page or screen for textual, visual, or tabular matter is the image area. Observing a standard image area ensures the information on a page will not be lost during printing and binding. The normal image area on U.S. standard paper that is 8-1/2 by 11 inches (216 by 279 mm) is 7-1/8 by 9-3/16 inches (182 by 233 mm) or, in type-setting terminology, 43 by 55 picas. The image area includes headers and footers, if used, and page numbers. For lead pages (for example, stand-alone material, such as the foreword or table of contents, and the first page of a chapter) subtract 1 inch (25 mm) from the top of the image area.

6.3.2.2 Margins

Margins set off the image area, which includes headers and footers. Although they are proportional, margins are not equal on all sides. By printing convention, the top margin is the narrowest, usually 1 inch (25 mm), and the outer margin is wider. The bottom margin is wider than both top and outer margins. To accommodate binding, the inner or gutter margin is the widest. The default margins for most word processing software observe these printing conventions.

6.3.2.3 Paper and Ink

Use U.S. standard size (8-1/2 by 11 inches (216 by 279 mm)) acid-free paper to produce paper copies of scientific and technical reports. Color, smoothness, and weight are factors in selecting paper. Type is most easily read against an off-white, uncoated stock; however, halftone illustrations (photographs) printed on coated paper are superior to those printed on uncoated. To ensure legibility and reproducibility, use black ink.

6.3.2.4 Printing Equipment

A laser or laser-quality printer with a minimum 300-dpi (dots per inch) resolution produces acceptable camera-ready copy for text and line work. If photographs or high-resolution graphics are included electronically in a report, use a printer with 600-dpi or higher resolution to print them.

Designation

6.4.1 General

For ease of use and reference, delimit and uniquely identify segments of a report. For traditional paper reports, the segments are usually pages. For reports published in digital form, they may be pages, but are more likely to be paragraphs or screens.

Once the segments of a report have been determined, use consecutive Arabic numbers to designate them. When reproducing appendix information from another source, retain the designation of the original source in addition to designation for inclusion in the appendix. If a report is divided into sections or chapters because of its length or scope, number the text, exclusive of front matter and back matter, sequentially from one part to the next.

6.4.2 Print-Specific

Place page numbers in the same place on each page (for example, bottom right) or in a consistent place on mirror-image pages (for example, upper outer corner). Do not place hyphens, parentheses, or other punctuation marks around page numbers.

Number front matter with consecutive lowercase roman numerals. Do not show page numbers on the cover or title page, but consider the title page as page i. Begin a table of contents on a new odd-numbered right-hand page.

Begin the text of each volume of a multivolume report on a new page 1.

The structure and nature of a report govern the optional use of headers and footers in the text. Do not place headers and footers on lead pages, on the first page of the table of contents, or in the preface. Use running headers to help locate information in long, complex reports.

When running headers appear on right-hand pages, use the last text heading on the page as the header. When running headers appear on left-hand pages, use the first text heading to appear as the header. If using section titles as headings, use them as running headers throughout the section. Running headers used for a section of notes in the back matter should show inclusive page numbers where the relevant references are found (for example, Notes to Pages 23-31).

Units and Numbers

Present standard units of measurement clearly, concisely, and consistently in reports. The preferred standard for units is the International System of Units (SI). If another system is used, the corresponding SI units may appear in parentheses. If two systems of measurement are used, indicate the systems in the “Methods, Assumptions, and Procedures” section and in a statement at the beginning of the list of symbols, abbreviations, and acronyms. (See also Methods, Assumptions, and Procedures.)

Abbreviate units used with specific numbers (for example, 3.7 m) except where a potential exists for misinterpretation; otherwise, spell out units. For SI units derived from proper names, show the symbols in initial capital letters (for example, Hz and N); use lowercase letters for units that are spelled out (for example, hertz and newtons). Write SI symbols in singular form; IEEE/ASTM SI-10-2002, American National Standard for Use of the International System of Units (SI): The Modern Metric System, provides detailed information on using SI symbols and units.

Always use Arabic numbers to express units of measurement and time in mathematical expressions, decimals, percentages, and proportions. For other expressions, the following apply:

• If a sentence contains only one number and it is greater than nine, indicate it as a numeral; if a number is nine or less, spell it out.

• Always spell out a number at the beginning of a sentence.

• Use numerals for a group of two or more numbers if one of them is 10 or greater (for example, a capacitor having 3 leads, 2 pairs of controls, and 12 settings).

• The same guidelines apply to ordinal numbers, but treat ordinals and cardinals separately if they appear together (for example, the 5th and 14th groups, containing six and seven items, respectively).

• Use Arabic numbers for all numbering systems (page and section, table, figure, and reference numbers), except for roman-numeral pagination of front matter (for example, page iii).

Formulas and Equations

Present formulas and equations in sentence form and punctuate them for clarity and consistency; however, do not begin a sentence with a formula or equation.

Clarify complicated mathematical formulas and derivations by defining symbols below the formula or derivation or as is customary in the discipline, relating equations to one another and describing the physical reality represented by the mathematics. Chemical symbols need not be defined unless the author/creator chooses to do so for clarification. Use marginal notes to identify modifications of symbols (for example, prime marks) and to distinguish between the letter “O” and “0” (zero); the letter “I” and the number “1”; the letter “x” and the multiplication sign (x). Clearly indicate superscripts and subscripts.

Include brief formulas and equations as part of the text if the formula or equation fits on one line. If a formula or equation is displayed set off from the text, center or indent it, depending on its length. For consistent presentation and cross-referencing in a report with extensive notation, display and number all equations. Italicize formulas and equations, whether included as part of the text or displayed.

Enclose equation numbers in parentheses at the right-hand margin with a minimum of 1/4 inch between the last term in the equation and the equation number. Place the equation number on the same line of a single-line equation and on the last line of a multi-line equation.

If a long formula or equation does not fit on a single line, break it before an operational sign (plus, minus, times, integral, etc.) or after an expression enclosed with parentheses, brackets, etc.

Use an extra line space between the lines when a formula or equation is carried over because of its length. A number of computer software packages supporting the presentation of equations automatically provide correct line spacing. An example of a multi-line equation split to fit on a page is shown in Figure 9.

Jo Jo E(n ^ ) N ^ 1 '^ dl l

-f/.V,

rJF cJN;

rJF rJN/ _ c)¥ dN/ _ £ M ( d FdN/

0 j 0 L dll d£, X \df| dll

~ /3M dF XT \ dM dF 35*5/ '\^T 1 dr, N 7 34 «; '

+ K 2 (3K x - K|)MFN/+- K 2 (k|- 1)FN/

- 3K 2 K£MFN,+ k 2 k|m 3 fn /

dn d£

Figure 9: Sample multi-line equation with extra space before and after

Define chemical symbols if definition enhances their comprehension. Use close spacing for chemical symbols, numbers, or line bonds in a formula. Chemical equations may be run in or displayed set off from text. Use roman (English) type rather than italics to form chemical symbols. If displayed, they should be numbered in sequence, and the equation numbers placed to the right of the reaction. Number chemical equations consecutively and independently of mathematical equations.

If a chemical equation is too long to fit on one line, break it after the arrow. Align the first element of the runover line with the last element of the preceding line. Leave extra line spacing between the lowest part of the first line and the highest part of the next line. An example of a chemical equation broken after the arrow is shown in Figure 10:

Co(NH 3 ) 6 3+ + 6H 3 Cr ^

Co(H 2 0) 6 3+ + 6NH 4 ^

K — 1O 20

C

Figure 10: Sample chemical equation spread over two lines

Footnotes or Endnotes

Include footnotes or endnotes in a report only to clarify information in the text; keep them as brief as possible. To avoid preparing footnotes or endnotes, incorporate material into the text by enclosing it in parentheses or placing it in a separate paragraph.

Use superscript Arabic numbers to key notes to the portion of the text they clarify. Number notes consecutively through the text; place footnotes at the bottom of the page on which each occurs and place endnotes at the end of the section of text they clarify. If a footnote runs longer than its page margin, complete the footnote at the bottom of the subsequent page, preceding any footnote(s) for that page. If a footnote clarifies tabular information, use a superscript sequence of lowercase letters or symbols to avoid confusion with text footnotes. (See also 6.2.3, Tables.)

6.8 References and Bibliographic Entries

Indent the first line of a reference and align subsequent lines flush with the left margin. Align entries in a bibliography flush left without paragraph indentation. If a bibliographic entry runs longer than a single line, uniformly indent subsequent runover lines. Alternatively, maintain a flush left placement and enter a blank line between bibliographic entries.

6.9 Symbols, Abbreviations, and Acronyms 6.9.1 General

Spell out symbols, abbreviations, and acronyms at their first use in the text to ensure that readers understand them. However, do not define standard mathematical notation, chemical symbols (unless needed for clarification; see: 6.6), and known abbreviations of measurement unless the potential exists for misinterpretation. Write out an acronym the first time it is used in the text, and include it in a list of symbols, abbreviations, and acronyms. Use symbols that are standard in the discipline of the report. Appendix A, Selected Annotated Bibliography,

A.6, Standards and Symbols, includes standards for symbols used in many disciplines. If no standard has been established for a concept, consult related scientific or technical literature for a symbol in general use. When they occur in lists, present symbols, abbreviations, and acronyms in descending order, as follows:

• Numbers

• Roman (English) alphabet capital letters

• Roman (English) alphabet lowercase letters

• Greek alphabet capital letters

• Greek alphabet lowercase letters

• Subscripts

• Superscripts

• Special notes

If a symbol, abbreviation, or acronym has more than one definition, separate the explanations by a semicolon and explain each definition at its first use in the report.

6.9.2 Print-Specific

Display symbols, abbreviations, and acronyms and their definitions in two columns with the abbreviations and acronyms listed in alpha-numeric order and aligned with the left margin. Begin each entry on a new line, followed in the second column by its definition. Leave adequate space between the longest symbol, abbreviation, or acronym and its definition and align the rest of the entries in the list(s) accordingly.

Glossary Entries

Arrange glossary entries in alphabetical order and align them with the left margin. Uniformly indent subsequent lines or maintain flush left with the left margin and enter a blank line between glossary entries. Begin each definition with a capital letter and end it with a period.

Index Entries

6.11.1 General

Always use lower case unless an entry begins with a proper name; indent entries uniformly for each level of modification. Indent runover lines deeper than the deepest subentry.

6.11.2 Print-Specific

It is customary to arrange index entries on printed pages so they appear single-spaced in a two- or three-column format.

6.11.3 Non-Print-Specific

Best practice is to provide links between index terms and what they reference.

6.12 Errata 6.12.1 General

If errors severe enough to cause misunderstanding are discovered too late for correction prior to the distribution of a report, send an errata sheet or update that identifies the report and the error(s) to initial and subsequent recipients.

Identify an error in the text by line; identify an error in a formula or an equation by number and the correction noted. The following form is used for corrections:

Page

Reads

Should Read

37, line 5

cosine of the angle

sine of the angle

Paragraph

Reads

Should Read

5.12, line 2

cosine of the angle

sine of the angle

6.12.2 Print-Specific

For printed reports, insert the errata sheet immediately following the cover.

6.12.3 Non-Print-Specific

When errors are corrected in a digital environment, notice of the version being accessed should be included in the metadata.

Appendices

Glossary

[[Administrative metadata]]. Administrative metadata support maintaining and archiving reports and

ensure their long-term availability. Administrative metadata are needed for migration of data from one format to another and contain rights information used for access control. Such metadata include type and version of software used in preparing the report and rights-management requirements. See also: Rights metadata

[[Americans with Disabilities Public Law 101- 336, 101st Congress, enacted July 26, 1990. The ADA

Act (ADA) prohibits discrimination and ensures equal opportunity for persons with

disabilities in employment, state and local government services, public accommodations, commercial facilities, and transportation.

Appendix C

Dublin Core Data Elements

(This appendix is not part of ANSI/NISO Z39.18-2005, Scientific and Technical Reports - Preparation, Presentation and Preservation. It is included for information only.)

Element Name: Title

Label: Title

Definition: A name given to the resource.

Comment: Typically, Title will be a name by which the resource is formally known.

Element Name: Creator

Label: Creator

Definition: An entity primarily responsible for making the content of the resource.

Comment: Examples of Creator include a person, an organization, or a service. Typically, the

name of a Creator should be used to indicate the entity.

Element Name: Subject

Label: Subject and Keywords

Definition: A topic of the content of the resource.

Comment: Typically, Subject will be expressed as keywords, key phrases, or classification

codes that describe a topic of the resource. Recommended best practice is to select a value from a controlled vocabulary or formal classification scheme.

Element Name: Description

Label: Description

Definition: An account of the content of the resource.

Comment: Examples of Description include, but are not limited to: an abstract, table of

contents, reference to a graphical representation of content or a free-text account of the content.

Element Name: Publisher

Label: Publisher

Definition: An entity responsible for making the resource available

Comment: Examples of Publisher include a person, an organization, or a service. Typically,

the name of a Publisher should be used to indicate the entity.

Element Name: Contributor

Label: Contributor

Definition: An entity responsible for making contributions to the content of the resource.

Comment: Examples of Contributor include a person, an organization, or a service. Typically,

the name of a Contributor should be used to indicate the entity.

Element Name: Date

Label:

Definition:

Comment:

Date

A date of an event in the lifecycle of the resource.

Typically, Date will be associated with the creation or availability of the resource. Recommended best practice for encoding the date value is defined in a profile of ISO 8601 [W3C Date and Time Formats] and includes (among others) dates of the form YYYY-MM-DD.

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Type

Resource Type

The nature or genre of the content of the resource.

Type includes terms describing general categories, functions, genres, or aggregation levels for content. Recommended best practice is to select a value from a controlled vocabulary (for example, the DCMI Type Vocabulary) . To describe the physical or digital manifestation of the resource, use the FORMAT element.

Format

The physical or digital manifestation of the resource.

Typically, Format may include the media-type or dimensions of the resource. Format may be used to identify the software, hardware, or other equipment needed to display or operate the resource. Examples of dimensions include size and duration. Recommended best practice is to select a value from a controlled vocabulary (for example, the list of Internet Media Types [MIME] defining computer media formats).

Identifier

Resource Identifier

An unambiguous reference to the resource within a given context.

Recommended best practice is to identify the resource by means of a string or number conforming to a formal identification system. Formal identification systems include, but are not limited to, the Uniform Resource Identifier (URI) (including the Uniform Resource Locator (URL)), the Digital Object Identifier (DOI), and the International Standard Book Number (ISBN).

Source

A Reference to a resource from which the present resource is derived.

The present resource may be derived from the Source resource in whole or in part. Recommended best practice is to identify the referenced resource by means of a string or number conforming to a formal identification system.

Language

A language of the intellectual content of the resource.

Recommended best practice is to use Tags for the Idenfitication of Languages, RFC 3066 , which, in conjunction with ISQ639 , Codes for the representation of names of languages, defines two- and three-letter primary language tags with optional subtags. Examples include "en" or "eng" for English, "akk" for Akkadian, and "en-GB" for English used in the United Kingdom.

Relation

A reference to a related resource.

Recommended best practice is to identify the referenced resource by means of a string or number conforming to a formal identification system.

Element Name:

Label:

Definition:

Comment:

Element Name:

Label:

Definition:

Comment:

Coverage

The extent or scope of the content of the resource.

Typically, Coverage will include spatial location (a place name or geographic coordinates), temporal period (a period label, date, or date range), or jurisdiction (such as a named administrative entity). Recommended best practice is to select a value from a controlled vocabulary (for example, the Getty Thesaurus of Geographic Names ) and to use, where appropriate, named places or time periods in preference to numeric identifiers such as sets of coordinates or date ranges.

Rights

Rights Management

Information about rights held in and over the resource.

Typically, Rights will contain a rights management statement for the resource, or reference a service providing such information. Rights information often encompasses Intellectual Property Rights (IPR), Copyright, and various Property Rights. If the Rights element is absent, no assumptions may be made about any rights held in or over the resource.

ANSI/NISO Scientific and Technical Reports

Contents

Trivia

Abstract

Copyright

Appendices

General Information

Role

Scope

Audience

Best Practices

Key Concepts

Metadata

Persistence

Interoperability

Creation

Discovery

Presentation in Digital Format

Presentation

Dissemination

Access and Distribution

Maintenance and Preservation

Components of Reports - Overview

Introduction

Metadata

Components

Components of Reports - Details

Front Matter

Body Matter

Back Matter

Presentation and Display

Subordination

Presentation Format

Designation

Units and Numbers

Formulas and Equations

Footnotes or Endnotes

Glossary Entries

Index Entries

Appendices

Glossary

Appendix C

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