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EPA/600/9-91/004
June 1991
Technical Information Policy and Guide of the
Office of Research and Development
Center for Environmental Research Information
Office of Research and Development
U.S. Environmental Protection Agency
Cincinnati, OH 45268
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Notice
This document has been reviewed in accordance with U.S.
Environmental Protection Agency policy and approved for
publication. Mention of trade names or commercial products
does not constitute endorsement or recommendation for use.
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Contents
Notice ii
Policy ; i
Key Audiences for ORD Information 3
Management and Implementation , 4
Procedures for Processing ORD Technical Information Products 6
Appendices
A Forms 10
EPA 362 (Clearance Form) 12
EPA 2340-1 (Printing Request) 14
GPO 3868 (Notification of Intent to Publish) 17
EPA 2220-1 (EPA Form for NTIS Submission) 19
SF 298 (NTIS Form for NTIS Submission) 20
NTIS 231 (NTIS Submission of Computer Diskettes or Tapes)
Front ; 23
Back 25
NTIS FCPC (NTIS Submission of Computer Diskettes) 28
SF 277-101 (NTIS Submission of Computer Tapes)...., 30
Format for ORD Newsletter Approval 33
Notification of ORD Conference, Symposium,
Workshop, or Seminar 34
B ORD Research Series 35
C Cooperative Agreements, Contracts, Interagency Agreements,
Reporting Requirements 36
D Procedures for Handling Copyright Issues—Obtaining Permission
to Reprint Copyrighted Material in a Government Report 37
E Audiovisual Activities 41
F Disclaimers and Other Notices 42
G Technical Information Regulations and Guidelines 44
H EPA Order 2200.4a—EPA Publications Review Policy 45
J Communications Planning Guidance 48
K Meetings, Conferences, and Symposia Sponsored by EPA 66
L Glossary gg
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Policy
One of the primary missions of the Office of Research
and Development (ORD) is to generate technical information
that is key to the protection of environmental quality. This
information also influences national environmental policy. In
this context, the way in which information is reviewed, pack-
aged, and distributed is as important as the way in which it is
developed.
This policy and guide seeks to create a rational structure
for ORD's technical information products, to relieve research-
ers of many of the burdens of report formatting and editing,
and to reduce the cost and overhead associated with first-line
printing and distribution of vital information. This document
supersedes any technical information policy and procedures
previously issued by ORD, and its contents are effective on
receipt.
ORD produces technical information products in three
areas: (1) criteria documents, expert testimony, and other
contributions to EPA's regulatory process; (2) journal articles,
research reports, and scientific data, including computer mod-
els, to advance the state of knowledge, and (3) manuals and
guides for environmental managers.
The responsibility for communicating information rests
ultimately with each EPA researcher. This is not to say that
every EPA researcher must become an expert in communica-
tions theory and design. There are specialists within the
organization who package information. It is, however, the
researcher's responsibility to bring important findings to the
attention of those who package and distribute that informa-
tion. This responsibility equals in importance the need to
publish research information in the accepted professional
manner.
EPA researchers and project officers should therefore
know what types of information will result from their projects
and should plan ahead to have this information reviewed and
communicated in the most effective manner possible. Deter-
mination of the use and disposition of the data from each
project should be an integral part of the planning for that
project. With this kind of planning we will be better able to
respond with timely, effective technical information products.
The policy of ORD is presented below. Each laboratory/
office within ORD may have variations on these general
procedures.
All scientific information to be published or presented in
the name of the Agency will undergo a uniform peer-review
process: Both project officers and senior management are
collectively responsible for submitting to rigorous scrutiny all
factual, scientific, or informational documents prepared for
publication and designed for public distribution. The peer-
review process applies not just to EPA/ORD employees but
also to contractors/consultants performing research or pub-
lishing statements on behalf of EPA/ORD. Appendix H de-
tails the peer-review policy.
Technical information products will be managed as a
major ORD program: The technical information program is to
be managed with no less coherence and responsiveness than is
expected for any other ORD program, and those who are
accountable for technical information activities will have the
authority and resources necessary to carry out that responsi-
bility.
Every research project will be thoroughly documented: It
is a legal requirement that expenditures of public funds be
documented. This should be accomplished by issuing one or
more of the products for which procedures are described in
this manual.
Documentation of research will be tailored to specific
audience needs: When a major effort is planned, a specific
audience or audiences should be targeted. The means for
reaching these audiences should be planned for and budgeted.
There will exist one point for access to information on all
research products: CERI will maintain title files of all ORD
products and will provide requesters either with copies of the
documents or explicit references to NTIS or other appropriate
sources when copies are not available from ORD.
All printing of technical information documents will be
processed through a central location: All printing will be
processed through CERI. Exceptions to this policy are docu-
ments that require special color techniques, such as maps,
certain technical newsletters, news releases, and document
duplication as defined in Government Printing Office (GPO)
regulations. Journal articles are printed by the accepting jour-
nal. Reprints are done through CERI.
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Laboratory Directors (LDs) will designate a Technical
Information Manager (TIM) within each laboratory and Of-
fice Directors (ODs) will designate a Technical Information
Program Manager (TIPM) within each headquarter's office:
The most appropriate individuals to monitor the development
of sources of research information are within the laboratories
and major operating units. TIMs and TIPMs are responsible
for initiating and ensuring adequate review of the scientific
content of all technical information products related to their
program area.
Communications and information transfer support will
be made available to all operating units: CERI will provide
support for development and quality control of technical
information products. Responsibility for content of ORD prod-
ucts will remain* with the appropriate laboratory and office
personnel.
The emphasis of most of our technical information activi-
ties will be on issues, problems, and solutions: It is the
function of ORD to address environmental problems and
concerns and to avoid aggrandizing any organization.
ORD staff will review documents: All technical informa-
tion activities, especially recurring activities such as annual
conferences or newsletters, will be periodically reviewed by
the responsible ORD official to determine if they are cost-
effective. If they are not, they will be cancelled. If an alternate
mechanism would be more appropriate for meeting its stated
objective, that mechanism should be substituted.
Printing will be held to a minimum consistent with getting
the job done (don't print thousands more than you need), and
all GPO regulations will be adhered to: Appendix G gives
information on where to obtain a GPO regulations'manual.
Maximum use will be made of the peer journals and NTIS to
document research and distribute results. The most paper- and
energy-conservative course will be chosen commensurate with
effective communication.
All technical information products will convey a consis-
tent image: The information packages and services provided
to each of our key audiences should be carefully developed
and monitored so that each conveys an image of consistently
high quality in a cost-efficient manner.
The goal of this guide is to provide the structure for
adequate quality and cost control, while maintaining flexibil-
ity. Wherever the specifications set forth in this document
disrupt efficient information transfer, this fact should be brought
to the attention of the Director, CERI, so that an appropriate
resolution can be worked out or the guidance modified to
reflect changing needs.
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Key Audiences for ORD Information
The key audiences for the information developed by EPA
researchers are:
Environmental regulators
Scientific and technical peer groups
Technical applications community
Environmental decision-makers
A short description of each of these audiences and the
type of information needed by each audience follow:
Environmental Regulators
Perhaps the most diverse, and certainly the most directly
concerned, client of EPA's research program is the environ-
mental regulatory community. This community includes indi-
viduals within EPA's regulatory offices who must propose,
monitor, and recommend revisions to standards. It also in-
cludes the front-line regulators in the EPA regions, the states,
cities, and other local governments. The needs of the environ-
mental regulatory community shape ORD's research program.
Their decisions and actions are in turn shaped by our research
information. These individuals need accurate and legally de-
fensible scientific data. They also need specifically targeted
information ranging from state-of-the-art overviews (the pol-
lutant criteria documents that are the cornerstone of exposure
standards) to more tailored information products such as
expert witness testimony and technical support.
Scientific and Technical Peer Groups
In research there is a self-checking system that improves
both the quality and the utility of the effort. This self-checking
process requires a high level of communication among scien-
tists in the same discipline and among scientists in differing
disciplines but working on the same problem. These groups
rely on the unfettered exchange of information on research
results to confirm and enhance the results of their own efforts.
It is this process of investigation and interaction that produces
reliable technical data.
The scientific and technical community needs informa-
tion that is specialized and detailed. This information is nor-
mally produced through journal articles, project reports or
research reports and books, through personal interchange, and
through presentations at various technical convocations.
Technical Applications Community
The individuals responsible for implementing environ-
mental pollution control regulations rely on the rapid trans-
mission of information about technical breakthroughs to carry
out their mission in the most cost-effective manner. While
there are several nongovernmental mechanisms available to
carry part of this information transfer burden, these are not
sufficient to ensure the rapid and effective implementation of
environmental regulations. ORD facilitates this process by
means of regional seminars and workshops, design manuals,
handbooks, user's guides, technical summaries, and special
publications.
Environmental Decision-makers
Federal policies and regulations have a profound effect
upon .the nation's economic and social well-being. These
policies and regulations are influenced by decision-makers
within the federal, state, and local governmental establish-
ments whose responsibility it is to weigh all major impacts of
alternatives before making a decision.
The opinions of the decision-makers are influenced by
many forces. These individuals have little or no time to spend
poring over the technical or scientific details of an issue. They
rely upon the scientific community to present objective state-
ments in a readily assimilated format. It does the decision-
makers little good if the information they need exists but they
cannot understand or use it.
The responsibility for making this information available
lies with the research community. To ensure the relevance of
our research, we must produce the types of summary technical
products that will be of use to the decision-makers. Such
efforts require a combination of the highest degree of scien-
tific knowledge and policy sensitivity with highly sophisti-
cated communications skills.
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Management and Implementation
The management approach to our technical information
activities distinguishes the development of sound technical
information through the peer-review process from the devel-
opment of tilt format and presentation of the technical infor-
mation products. It is the intent of this policy to ensure that
qualified persons in each area, researchers and research man-
agers in the former and technical communications specialists
in the latter, be clearly responsible for their areas of expertise.
Peer Review
A uniform peer-review process serves to ensure that
ORD scientific and informational products are of high quality
and based on credible scientific and technical knowledge.
ORD requires peer reviews for all reports based on two
principles:
1. Review by at least two objective and qualified
peers.
2. Supervisory evaluation of the report and review-
ers' comments.
Peer reviewers may be selected from inside or outside
EPA, individually or from a prearranged panel. CERI has no
restrictions on sending material outside of EPA for review.
All reviewers must be technically qualified and free of any
involvement or relationship that affects, in fact or appearance,
their ability to review a manuscript objectively. This does not
preclude reviews by individuals who have direct involvement
in the project so long as these are in addition to the minimum
set of reviews (Ref: Manuscript Review Form 363).
All reviewers must provide an in-depth professional re-
view of the manuscript and answer the following questions:
• Should the manuscript be published as is?
Should the manuscript be published with revi-
sions? If so, which revisions are minimally nec-
essary?
• Should the manuscript not be published? Why
not?
The author(s)/project officer (herein called the author)
submits the draft manuscript with a Manuscript Review Form
363 to her/his supervisor. The author recommends at least two
peer reviewers who should be specialists in the subject. The
author may request that a reasonable review schedule be
established to ensure timely processing.
The immediate supervisor evaluates the manuscript for
scientific content and merit, policy statements, and editorial
quality. The immediate supervisor may request that peer
reviews be performed simultaneously with her/his review in
order to reduce the time required!
The peer reviewers submit signed reviews to the author
who is encouraged to discuss significant differences with
reviewer(s). If manuscript changes are deemed necessary by
any level of management or peer reviewer, the author consid-
ers the changes. The revision process is repeated until the
author believes that the manuscript is ready for publication.
The author submits the package containing the revised
manuscript, all comments with any explanatory notes, and an
ORD Clearance Form 362 to the immediate supervisor.
The immediate supervisor reviews the revised manuscript
and the reviewers' comments. If additional changes are deemed
necessary, the manuscript is returned to the author, with the
supervisor's review comments. When the supervisor believes
the manuscript is of high quality, he/she approves the manu-
script, signs the ORD Clearance Form 362, and transmits the
manuscript package to the next level of supervision. The
supervisor is accountable for the scientific quality and merit
of each approved manuscript.
The intermediate manager (includes all management lev-
els up to the Laboratory Director (LD)) approves the manu-
script package for technical soundness and policy content, as
determined by laboratory/office procedures. If changes are
deemed necessary, the manuscript: is returned to the author for
revision. All necessary steps are repeated for the revised
manuscript
When management believes the manuscript is of high
quality, she/he approves it, signs the ORD Clearance Form
362, and transmits the entire package to the next level of
supervision.
The LD/OD is the official responsible for the quality of
all manuscripts emanating from the laboratory/office and its
activities. In addition, the LD/OD or designee resolves all
remaining unsettled differences between author and reviewer(s)
in the peer-review process and may request additional re-
views, either internally or externally.
When the review cycle is complete, the manuscript is
revised and approved in final form.
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All final changes are to be incorporated onto the comput-
erized disk on which the manuscript is stored (see Handbook
for Preparing Office of Research and Development Reports,
EPA/600/9-83/006, Rev. Oct. 1989, "Computerized Report
Production," p. 5) and the disk and a hard copy of the
technical information product that reflects all final changes
are to be forwarded to the TIM for final processing. The
author/project officer ensure that both the computerized disk
and the final copy of the technical information product ac-
companying it are completely accurate.
Public Affairs Early Review Process
The Administrator will review every major communica-
tions project or campaign to make sure the overall message
these products convey is consistent with Agency policy.
Every Agency office proposing a public affairs products
or campaign designed to reach a major nontechnical audience
outside EPA will complete and submit a form.
Exempt are internal, technical^ training, or other materi-
als aimed at narrow audiences, and press releases and fact
sheets, which are reviewed by the headquarters and regional
press offices.
Give the form to your assistant or regional administrator's
communications liason, who will send it to the Office of
Communications and Public Affairs (OCPA) for review. It
will be returned within five business days. If you hear noth-
ing, you may assume concurrence. In an emergency, the
process will be expedited.
Production
In general, production responsibilities will be divided as
follows: Researchers and project officers will be responsible
for producing journal articles, project reports, and the drafts of
EPA research reports and other technical communications.
They will propose conferences and other information activi-
ties and will review information packages relating to their
area of expertise. In addition, the researcher or project officer
is solely responsible for obtaining and submitting all neces-
sary permission letters, courtesy notes, and clearances for
copyrighted material.
The laboratory TIM is responsible for working with ap-
propriate laboratory staff to develop optimum information
products. This may include all or a portion of the production
of the final product The TIM will also monitor the develop-
ment of technical information products and coordinate appro-
priate review and final laboratory/office signoff on all prod-
ucts.
The LD/OD determines the final form research for her/his
laboratory will take, approves die use of laboratory/office
resources to support each technical information product, and
appoints the TIM for the laboratory.
The TIPM, appointed by the OD, provides oversight of
the technical information products within the OD's office. The
TIPM coordinates the policy-level review of those products
that require such review and makes recommendations to the
OD on all aspects of the technical information program.
The OD ensures an appropriate balance in the technical
information products for her/his organization and approves
those conferences that are aimed at a broad audience. The OD
is responsible for obtaining concurrence from the External
Relations Division and other Assistant Administrators that are
affected by the research findings..
The responsibility of CERI is to provide technical infor-
mation policy and guidance to ORD and to process printing of
products aimed at audiences beyond the technical peer group
or laboratory personnel. CERI will work with TIMs and
TIPMs to provide or coordinate support activities. These may
include writing, editing, production of final graphics and
camera copy for technical information products, and distribu-
tion of the product, or they may provide guidance on the
format and general appearance of the ORD product and
ensure that the product follows ORD and Agency specifica-
tions. Because electronic publishing has increased the poten-
tial for decentralizing report production, CERI has developed
format specifications that can be tailored to a variety of
electronic settings. CERI should be contacted for instructions
when independent report production is contemplated.
Teleprinting control officer (PCO) is usually responsible
for furnishing GPO with two copies of each publication for
the Depository Library System.
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Procedures for Processing ORD Technical Information Products
Introduction
"When the LD or OD determines that a project output is
acceptable, the entire package can be forwarded to CERI and
should include the following:
1. Publication Review Record and Printing Re-
quest Form (2340-1 [Revised 4/84]—See In-
structions,, Appendix A, page 16) signed by the
LD or OD, if the product is to be printed by
EPA.
2. ORD Clearance Form 362 signed by the TIM or
TIPM.
3. One camera-ready copy, final manuscript or re-
print.
4. Technical Report Data Form (2220-1) or SF
298, if the product is to be submitted to NTIS.
5. GPO Form 3868—Notification of Intent to Pub-
lish, if the product is to be printed by EPA.
6. Disk(s) if document is for electronic publishing:
a. 3-1/2" Macintosh Microsoft Word or
b. 5-1/4" IBM (WordPerfect 5.0 or 5.1 or
ASCII).
Journal Articles (Peer Reviewed)
Journal articles are a major means by which ORD scien-
tific information reaches the research community. In addition,
they afford researchers the experience of presenting their
results in compliance with the often rigorous requirements of
the journals for substance, style, and format. Also, articles
accepted by peer-reviewed journals enhance ORD's credibil-
ity and reputation with peer audiences in all fields.
Another benefit of good journal articles, often taken for
granted, is that they provide references for the development of
criteria documents and for the defense of proposed and exist-
ing standards. From the standpoint of the regulatory audience,
and in terms of EPA's primary mission, this is an objective
which every journal article author must keep in mind.
Minimum Requirements.
Submit to CERI:
ORD Clearance Form 362
• Reprint of published articles
• 2220-1 or SF 298 (for NTIS submission)
Research Reports
These reports represent the best of EPA's research in an
attractive, high-quality format. They may be the result of a
single major research project, a synthesis of the results of
several related research projects, or a special technical report
generated to meet an overriding information need. EPA re-
search reports normally will contain information not appropri-
ate for or not published in peer-reviewed journals. They will
not normally contain large volumes of backup data.
Minimum Requirements
Peer review (see Appendix H)
Submit to CERI:
- ORD Clearance Form 362
- Printing Request Form 2340-1
- GPO Form 3868—Notification of Intent to Pub-
lish
- Final draft and electronic medium (if CERI handles
editing and production); camera copy (if editing
and production take place elsewhere)
- 2220-1 or SF 298 (for NTIS submission)
Project Reports
Project reports provide the means by which most EPA
research is documented and made available to the research
community. Project reports are required when (1) neither a
journal article nor an EPA research report is produced, or (2)
the journal article or EPA research report published is incom-
plete in terms of fully documenting the project or would
require additional background data to survive rigorous scien-
tific challenge. For every project report produced, a project
summary must also be generated (see the procedures under
"Project Summary").
Minimum Requirements
Peer review (see Appendix H)
• Submit to CERI:
- ORD Clearance Form 362
- Camera copy
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- 2220-1 or SF 298 (for NTIS submission)
- Printing Request Form 2340-1, if report is to be
printed by EPA
- GPO Form 3868—Notification of Intent to Pub-
lish, if report is to be printed by EPA
Project Summaries
A project summary is a short synopsis of the key findings
of a research project Project summaries are primarily written
to allow an individual to determine whether he/she wishes to
purchase the full project report from NTIS. These summaries
should be written in the terminology commonly used in the
applicable area of research. The summary should be as short
as possible, ideally less than four printed pages in length, but
up to 12 pages may be necessary on exceptional reports.
Project summaries are key means for gaining wider apprecia-
tion of ORD's research. Project summaries are printed and
distributed by EPA. They are normally produced only in
conjunction with a project report.
Minimum Requirements
Peer review (see Appendix H)
Final draft and disk to CERI (normally submit-
ted with project report)
Printing Request Form 2340-1 to CERI
Unpublished Reports
Unpublished reports are those for which a decision has
been made that publication would not be in the public interest
for one or more of the following reasons: (1) the quality of the
work was substandard, misleading, or so inconclusive as to
have no scientific value; (2) the results duplicate those of a
prior investigation; and/or (3) the results are to be incorpo-
rated in subsequent reports (definitely planned), and early
dissemination of partial results would not prove cost-effec-
tive.
Minimum Requirements
Submit to CERI:
• ORD Clearance Form 362
Memo signed by LD or OD (justifying unpub-
lished status)
Final draft
EPA-Sponsored Technical Conferences and
Proceedings
Conferences and symposia are the most costly form of
communication for ORD, and a great deal of thought must go
into the decision about whether a conference is the best way to
reach the targeted audience. Despite their high cost, they have
the advantage of live presentation of the most recent results
and findings and face-to-face interchange among the experts
in a particular field of specialization.
Minimum Requirements
Completed Notification Form to CERI before
conducting conference to announce conference,
if its scope and audience appeal are broad enough
to involve the public
• Peer review (see Appendix H)
Submit to CERI:
- ORD Clearance Form 362
- 2220-1 or SF 298 (for NTIS submission)
- Camera copy of complete proceedings
- Printing Request Form 2340-1, if EPA is printing
the proceedings
- GPO Form 3868—Notification of Intent to Pub-
lish, if EPA is printing the proceedings
Technical Newsletters
Newsletters are designed to keep the research and techni-
cal community abreast of current research status, results,
meetings, and publications, on a routine basis, normally either
monthly or quarterly, depending on the volume of significant
activity at the laboratory or office.
Minimum Requirements
• Peer review (see Appendix H)
Submit to CERI:
- prenotification of publication
- ORD Clearance Form 362 (each issue)
- Final draft and disk, if CERI typesets newsletter,
or camera copy, if newsletter is typeset elsewhere
- Printing Request Form 2340-1
Papers/Articles Published by Other than EPA
Published papers/articles allow researchers to communi-
cate at the peer level and attain visibility and credibility for
EPA. A paper is written text of a presentation to be delivered
before a scientific peer group. It becomes a published paper
subject to EPA/ORD peer review, if (1) it will appear as a
preprint or in another organization's proceedings, or (2) it will
appear in a non-peer-reviewed journal or book published
outside of the Agency.
Minimum Requirements
Peer review (see Appendix H)
Submit to CERI:
- ORD Clearance Form 362
- Draft
- 2220-1 or SF 298
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- Reprint and copy of Clearance Form 362 to CERI
after publication of article
Applications Guides
These publications are directly useful at the operational
level in environmental research or pollution control work.
They may be instructional guides that detail proper monitor-
ing techniques or sampling methods, or they may be inclusive
descriptions of new and applicable technologies, models, or
processes.
User's Guides explain or describe how to employ an
ORD-developed model or process and assist the reader in
using existing products or techniques.
Design Manuals are inclusive descriptions of new tech-
nologies or methods and are used by the reader in creating,
constructing, or maintaining a product or process.
Handbooks are practical references containing a wide
range of information on a particular subject area, for use at
either the desk or the bench.
Minimum Requirements
• Peer review (see Appendix H)
Submit to CERI:
- ORD Clearance Form 362
- Camera copy
- Printing Request Form 2340-1
- GPO Form 3868—Notification of Intent to Pub-
lish, if the product is to be printed by EPA
- 2220-1 or SF 298 (for NTIS submission)
Summaries/Syntheses
(Environmental Research Briefs)
Environmental research briefs are short technical summa-
ries of the status, results, or major advances in ORD research.
Minimum Requirements
• Peer review (see Appendix H)
Submit to CERI:
- Completed ORD Clearance Form 362
- Final draft and disk
- Printing Request Form 2340-1
- 2220-1 or SF 298
- GPO Form 3868—-Notification of Intent to Pub-
lish, if brief is to be printed by EPA
Internal Reports
Internal reports are produced when there is a need for a
written report in response to a request from an EPA office.
They will usually be submitted only to the requester and will
not be reviewed, published, or distributed outside of EPA.
Whether such reports are duplicated or whether they go into
dockets or out for review is dependent on the needs of the
requesting office.
Minimum Requirements
ORD Clearance Form 362 to CERI
Criteria and Assessment Documents
Criteria documents distill all that is known and identify
that which is not known about a specific pollutant so as to
provide a scientific foundation for standard setting. Air qual-
ity criteria are mandated by Congress. Assessment documents
are comprehensive evaluations of the effects of a given pollut-
ant. They are prepared in response to EPA program office
requests.
Minimum Requirements
Reviews by peers, the SAB, and/or the public.
• Submit to CERI:
- ORD Clearance Form 362
- Printing Request Form 2340-1
- GPO Form 3868—Notification of Intent to Pub-
lish, if the product is to be printed by EPA
- Draft or camera copy
- 2220-1 or SF 298 (for NTIS submission)
Technology Transfer Documents
Technology transfer is the dissemination of technical
information on the many processes affecting the environment
in a form that is understandable to the intended user audience,
which may range from the general public to design engineers
intimately familiar with the process but unfamiliar with the
effects on the environment. Technology transfer documents
detail more cost-effective ways for people to comply with
EPA regulations.
Minimum Requirements
• Peer review (see Appendix H)
• Submit to CERI:
- ORD Clearance Form 362
- Final draft and disk
- Printing Request Form 2340-1
- 2220-1 or SF.298
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Interagency Agreement (TAG) Reports Printed
by Other Agencies
IAG reports can be many different types of products.
Since it is often difficult to obtain cooperation from other
agencies in following our procedures, call CERI if problems
occur.
Minimum Requirements
Submit to CERI:
• ORD Clearance Form 362
• 2220-1 or SF 298 (if EPA submits report to NTIS)
• Final printed copy
Storage and Retrieval of Technical Material
from the EPA Distribution Center
The EPA/ORD Publications Distribution Center located
in Cincinnati, Ohio, provides storage and distribution for all
EPA/ORD publications.
All printed reports/project summaries are stored in the
warehouse for all requests. Procedures for storing materials
are as follows:
1. Originator indicates on ORD Forms 362 and
2340-1 the number of copies to be printed.
2. Upon receipt from TIM/TIPM, CERI arranges
for printing and directs all material to be shipped
to:
USEPA Publications Distribution Center,
DDD
11027 Kenwood Rd., Bldg 5
Cincinnati, OH 45242
3. Publications are printed and delivered directly to
the warehouse.
4. CERI is notified of expected date of receipt and
number of copies to be received and arranges for
appropriate initial distribution at that time. Re-
quests may then be sent by laboratories/offices
to CERI, ORD Research Information Unit, for
handling.
5. Monthly, updated inventory listings of all publi-
cations stored in the EPA warehouse are pro-
vided to CERI. CERI provides warehouse
inventoy information to ORD TIMs/TIPMs an-
nually.
Contact the CERI ORD Research Information Unit for
information on obtaining copies of material from the ware-
house (FTS 684-7562).
How You Can Help CERI Process Your
Documents More Quickly
All documents submitted as final reports to CERI should
be accompanied by a backup disk containing an exact duplica-
tion of the submission.
Files may be submitted on either a 5.25" or a 3.5" floppy
disk.
Files created on almost any IBM or Apple Macintosh
word-processing program are acceptable. CERI encourages
those submitting documents to use WordPerfect, Microsoft
Word, or ASCII, as these applications convert more easily to
Aldus PageMaker, which is the program CERI uses to create
the final document. However, most applications can be con-
verted.
Documents should be submitted on double-sided, double-
density disks if possible.
It is requested that floppy disks contain only the final
version of the document.
-------
Appendix A
Forms
10
-------
The table below lists the forms, disks, drafts, and camera copy that must accompany each type of OKD report or article that
is submitted to CERI.
Materials to CERI1
Disk(s)
Project Reports (PRs)
Project Summaries (PSs)
Printed Project Reports
Journal Article Submissions
Journal Article Reprints
Research Reports
Criteria & Assessment Documents
Unpublished Reports
IAG Reports printed by
other agencies
EPA Proceedings
Newsletters (each issue)
Published Papers/Book
Articles by other than EPA
Abstracts, Oral Presentations,
and Miscellaneous (Posters)
Applications Guides8
Environmental Research
Briefs
Technology Transfer Reports
Internal Reports
i
•
i
c
Q
3
X>
Q.
C
CO
I
^
,
"O
£
oZ
.z
u
Q
a.
£
CO
CD
CO
-------
ORD CLEARANCE FORM
1. EPA Report No. 2.
6A. Original Document Title:
SB. Final Document Title, if changed:
Series 3. Lab/Office Draft No. 4. Co
a Y
pyright Permission
es (Attached) D No D N/A
8. Author(s), Affiliation, and Address (identify
EPA authors with Lab/Office)
10, Budget SubActivity (BSA), Issue, PPA/Project/Deliverable/Output No.
11, Technical Information (Program) Manager
Signature
Date
Signature of sender (if other than TI(P)M) Date to CERI
12. Signature/Date
-
ISA, This Publication
D does not have policy implications for E
O has policy implications for EPA
(memo attached)
16. Comments
7.. Project Officer/FTS Telephone
8. Contract/IAG/Assistance Agreement No.
9. Product (check one)
D Peer Reviewed Journal Article (complete block 1 3)
D Published Reports: Project Repprt/Summary (magnetic tapes/
floppy diskettes), Method, Research Report, User's Guide,
Design Manual, Handbook, Criteria Document, Health
Assessment Document, Technology Transfer Report,
Proceedings (Conferences, Symposia, Workshops)
D Symposium Papers and Book Chapters
D Internal Report (distribution restricted to EPA)
D Miscellaneous (newsletter, research brief, trade paper) non-
peer reviewed journal article (complete block 13)
D Unpublished Report
13. Bibliographic Citation (Include Month/Year)
PI Arr.nptfiri n PiihliKhnrt
14.. Distribution (use block 16, if necessary)
15B. Lab/Office Director Signature
=PA
15C. Date
EPA-362(CinHRov.3/a7l
12
-------
INSTRUCTIONS
This form must be completed to officially document the clearance of technical material in accordance with ORD Technical
r?mnr,!ISnhan?h f Z"™t ^^ MSO' " ^^'^ data 6SSential for subs°W™ publication processing. This form is to be
Information Technical Information (Program) Manager and forwarded to the Center for Environmental Research
Presented below is information needed to complete selected blocks on the form.
2. Series-The Policy and Procedures for Publishing Office of Research and Development Scientific and Technical
torn* , . -?« f edeS identifiers for a" ORD reP°rts- The si"9'e appropriate identifier (i.e., "J" f or peer revfewed
journal article or 2 for environmental protection technology reports) should be shown in this block.
3' IfiIS!Iih8i?r/f N°;rTt]e Technical Information (Program) Manager assigns a draft number to each document
nZ± ? ' 6 Jor Proca?sinB- The draft number consists of the ORD organization's initials and location
followed by a unique number identifying each draft to be processed (i.e., HERL-RTP-001 ).
4. Copyright Permission-lf copyright applies, check "yes" and attach written permission from the holder of the
copyright. Permission should grant both EPA and NTIS rights to reproduce and sell the copyright material.
5A-
'"
" 'f the thle has changed in any waY duri"9 the Process. indicate the new
-
mTKnn °UtpUt No-ldentify the major program objectives) to which the
document relates. The DU or ' decision unit" is the major disciplinary planning/budget unit shown in all EPA funding
reques s to Congress. The PPA or "planned program accomplishment" is the major scientific issue encompassed by he
DU that needs to be addressed through a project or a series of projects. The DUs, Objectives). PPAs and projects are
n ^ ^ ^^ "" " S6rieS °f alPha-numeric designators tha relate ,o the Agenc/s mS ons
DU
,8107
Obj.
E
PPA
06
Project Code Deliverable or Output No.
01 3821A
Indicate these alpha-numeric designators completely when filling out the form.
1 3. Bibliographic Citation (month/year)-lf the document is a "Journal Article," "Symposium Paper." or falls into the
Miscellaneous category, indicate the full citation as follows:
« Sciences,!fuiliname of Publication in which the document appears], 7(1)[Volume and issue
-334[page numbers], Jan.-March[if issued quarterly] or [month of issue] 1 979.
« For Proceedings, indicate complete title, month, year, and location of the conference.
1 4. Distribution— Indicate who will receive the document and the number of copies to be sent.
13
-------
1. CONTACT (program name, mail code. name. & phone number)
2. OFFICE CONTROL NC
x 200482
3. DATE
4. FORM. PUBLICATION, OR ISSUANCE NO., AND TITLE OR DESCRIPTION
5. QUANTITY (Units of finished product)
8. NUMBER OF PAGES SUBMITTED
MANUSCRIPT
12. ACTUAL IMAGE SIZE
6. IS OVERTIME AUTHORIZED TO I I 1 1
MEET DESIRED DELIVERY DATE? | | Yes 1 1 NO
COMPOSITION AND PROOF
10. FACE
9. TYPE
1 3. PROOF 1 3a. GALLEY 1 3b. PAG
n| 1 No. Sets
Yes LJ No
Hold Days No. Sets Hold
7. DESIRED DELIVERY DATE
11- SIZE
E 13c. SEND PROOF TO
Days
PRESSWORK AND BINDERY
14. NUMBER OF PIECES SUBMITTED
a. CAMERA COPY
b, NEGATIVES
c, OVERLAYS
d. ILLUSTRATIONS
(1) HALFTONE
(2) LINECUT
(3) OTHER
1 8. TEXT PAPER (Grade. Color, and Weight) 1 9. COLOR INK
21. COVER STOCK
1_J Sail LJ Separata (Specify)
22. COLOR INK
24. PUNCH Fj 3.Rina Binder n Oilier (Specify)
I—I Top/Loft 1 — 1 Acco Fastener
26. dj Sldo Stitch LJ Corner Stitch LJ Sew 1 — 1 Assemble Only
CD Saddle Stiicli L~J Pastofold CJ Perfect Bind LJ Band in Sets
27. Uso soporoto sheet if needed for additional specifications or remarks
28, FUNDS ARE AVAILABLE (Commitment Clerk) 29. ALLOTMENT NO.
31. APPROPRIATION NUMBER
32. DCN NO.
33. RESTRICTIONS ON QUANTITY (Check one only)
CD Internal Uso Only d Reprint L~J External Distribution
LJ Written approval is on lilo from the holder of any copyrighted material requisitioned.
35. APPROVED BY
15. S\ZE (IncfiesJ
Trimmed Page
X
1 6. RUN (Check one} 1 7. Forms Must
D Head to Left D Head to Head Register
LJ Oim Side LJ Head to Right LJ Mead to Foot | J
20. Margins After Back or I
Trim
(picas or inches)
23. PERFORATE/SCORE
OTHER:
aft Rigiil Top Bottom
Parallel t" T«p/l n't in from Top/I fift
25. ADDRESSING AND MAILING
a. LJ Mailing Keys
b. Quantity (Copies) c. C
I I Bulk Mailing LJ Addressing Only
THER MAILING (Attach labels or //sting)
30. RETURN NEGATIVES, PLATES, COPY TO:
-
a. QUANTITY b. £
34. DELIVER TO:
AGENCY/DIVISION ROOM BLDG.
•
36. 1 concur in the publication of the attached material and certify that it complies with Agency Order No. 2200.4A
a. SIGNATURE
37. If this material is to be forwarder.
Has policy implications, as par atta
b. AA/RA FOR
1 to the Office of External Affairs, indicate which of the followim
chad explanation L,_J Periodical as defined by OMB Circular A-3, o
38. APPROVED BY
8. FOR THE OFFICE OF EXTERNAL AFFAIRS (Signature)
c. DATE
3 apply:
r other item required to be reported to OMB.
b. DATE
EPA Form 2340-1 (4-84) . I
Replaces EPA Forms T-60, 2340-6, and the previous edition of:
ire obsolete.
COPY 1 -PRINTING
-------
1. CONTACT (program name, mail code, name. & phone number)
, MD-64, W. Whelan, 629-2218
MD-54, B. Henschel, 629-4112
2. OFFICE CONTROL NO.
AEERL-S630
200482
3. DATE
5/13/91
4. FORM, PUBLICATION, OR ISSUANCE NO., AND TITLE OR DESCRIPTION
EPA-600/S8-91-010
Project summary: Follow-up durability measurements and
mitigation performance improvement tests in 38 eastern
Pennsylvania hnusps haying inHnnr -^™ -~^.-.-••..:-- J.-^
25QQ
5. QUANTITY (Units of finished product) 6. IS OVERTIME AUTHORIZED TO
MEET DESIRED DELIVERY DATE?
NO
7. DESIRED DELIVERY DATE
COMPOSITION AND PRO
8. NUMBER OF PAGES SUBMITTED
14. NUMBER OF PIECES SUBMITTE
a. CAMERA COPY
b. NEGATIVES
c. OVERLAYS
d.
(1 ) HALFTONE
(2) LIMJECUT
(3)0
18. TEXT PAPER (Grade. Color, and Weight)
21.COVER STOCK
I—I Self I—I Separate (Specify,
24. PUNCH
D Top/Left
COLOR INK
2. COLOR INK
3-Ring Bindery
Acco Faster*
D
Other (Specify)
26. CH Side Stitch C] Corner Stitch
LJ Saddle Stitch D Pastefold
Sew LJ Assemble Only
Perfect Bind LJ Band in Sels
27. Use separate sheet if needed for additional specifications or remarks
28. FUNDS ARE AVAILABLE (CommilmenOCIerk)
'
31 APRKOPRIATION NUMBER 1CA262F01II
55230 27 681/20107
29. ALLOTMENT NO.
24.05
32. DON NO.
9I62FM559
33. RESTRICTIONS ON QUANTITY (Check one only)
LJ Internal Use Only U Reprint B External Distribution
i—I Wrillun approval is on tilu Irorn Hie holder of any copyrighted material requisitioned.
W. W. Whelan. MD-fi4 (TIM) ^
15. SIZE (Inches)
Trimmed Page
16. RUN (Check one}
LJ Head to Lafl
I—I One Side I—I Head to Right
20. Margins After
Trim
(picas or inches)
Head to Head
I—I Head to Foot
Back Of Left
Right
Top
23. PERFORATE/SCORE Parallel to Top/Left.
OTHER:
17. Forms Must
Register
n
Bottom
. in. from Top/Left
25. ADDRESSING AND MAILING
a. LJ Mailing Keys LJ Bulk Moiling l~l Addressing Only
b. Quantity (Copies) c. OTHER MAILING (Attach labels or listing)
30. RETURN NEGATIVES, PLATES, COPY TO:
34. DELIVER TO:
36. I concur in the publication of the attached ma
a. SIGNATU
F. T. Princiotta, MD-60 DirrAEEaL
thaUl complies with Agency Order No. 220j
37. If this material is to be forwarded to the Office of External Affairs, indicate which of the following apply:
« 1 Has policy implications, as per attached explanation L.-J I
c. DA
Periodical as defined by OMB Circular A-3, or other item required to be reported to OMB.
38. APPROVED BY
a. FOR THE OFFICE OF EXTERNAL AFFAIRS (Signature)
EPA Form 2340-1 (4-84) P
Replaces EPA Forms T-60, 2340-6, and the previous edition of 2c
15
b. DATE
ION REVIEW RECORD AND PRINTING REQUEST
i are obsolete.
COPY 1 -PRINTING
-------
Instructions for Completing Form 2340-1 (Revised)
Block 1 Contact
Stack two types of information in this block.
Top name is person completing this form. Second name
is the person to contact about the actual publication, such as
the project officer.
Block 2 Office Control No.
Originating office uses this block.
Block 3 Date
Date the form is prepared.
Block 4 Form, Publication, or Issuance No. and
Title or Description
Supply complete title and EPA number if available
Blocks Quantity
Indicate the number of finished documents you require.
Note: For project summaries, 2,500 copies (minimum)
are required beyond your own distribution needs. If you need
fewer than 100 copies, however, the 2,500 minimum order is
sufficient
For full reports, 33 copies (minimum) are required for
CERl's mandatory mailing needs (NTIS submission, EPA
Libraries).
Block 6 Is Overtime Authorized
Your choice; check appropriate box.
Block 7 Desired Delivery Date
Complete only if you need a specific delivery date. Leave
blank if in no hurry. Best price will be obtained for printing
your document
Blocks 8-26 Leave blank
(Completed by CERI if needed).
Block 27 Use Separate Sheet, if Needed, for
Additional Specifications
Sample Attacftment to Block 27:
Publication Review Record and Printing Request No.
xxxxxxx (in red at upper right corner of form)
Date (from Block 3) at upper right
Block No. 27
Comments or special instructions
25 copies
3 copies
50 copies
John Doe
John Doe
Dr. Smith
University of MD
ND-34 RTF
STC-361
Cinti
Note: Do not use post office box when sending bulk
shipments.
Blocks 28-29 Funds are Available
Commitment clerk completes.
Block 30 Return Negatives, Plates, Copy to
(Completed by CERI).
Blocks 31-32 Appropriation Number
Commitment clerk completes.
Block 33 Restrictions
Project officer must check one of the boxes, and a signa-
ture is required when copyright clearance is granted.
Block 34 Deliver to
(Completed by CERI).
Include the distribution list on an attached sheet, using
complete mailing address.
Note: Do not use post office box numbers.
Block 35 Approved by
Project officer signature.
TIM/TIPM signature.
Block 36 I Concur.
If printingis done through GPO in Columbus, OH, (CERl's
usual source), the Director or Deputy Director of CERI signs
here. If printing is done at HQ, the AA-ORD signs.
Block 37 External Affairs Review Requirement
LD or OD check appropriate box.
For documents submitted for a formal public comment
period and/or review by the Science Advisory Board or the
Science Advisory Panel, type "Exempt"
16
-------
JJQTJFJCATION OF INTENT TO PUBLISH-FORM 3868
b insura that your publication will receive proper consideration for inclusion in our Sales and Depository
.ibrary programs, please supply all of the requested information available at the time this form is sub-
nttted. Please submit at least 30 days before sending in your Printing Requisition, whether you recom-
nend your publication for sale or not. Two copies of the completed form should be sent to: Documents
'ontrol Branch (SSMC). U.S. Government Printing Office. Washington. DC 20402.
'lease type. Form is aligned for typewriter use.
'art I. To be completed by AGENCY PUBLISHER or PROGRAM OFFICER.
John Smith - Editor
(Publisher. Program Officer, or Author's Name)
NASA
(Position or Title)
(SuOocs will provide.!
(Publishing Agency)
i. Title of publication ON MARS, Exploration of the Red Planet
Stock Number
Printing and Binding Req. Number _^zQLr_3
RPPO Control Number _ :
Date Submitted _ 9—2—86 _
(301) 555-1234
(Area Code) (Phone)
(Bureau)
2. What publication does it supersede? Stock Number.
. Title.
3. How does this compare with previous editions?
4. Intended target audiences. (Please be as specific as possible, e.g.. indicate fossil fuel energy researchers instead of researchers or
Space historians, general public interested in space exploration of Mars
5. Brief description of contents Traces the history of NASA's exploration of Mars, focusing
on the Mariner. Voyager, and Viking spacecraft programs.
6. Quantity for agency distribution
300
. Specific audiences (or agency distribution Internal
Yes
7. Recommended for sale E Yes-Quantity 1Q.QQO D No Reason for recommendation Inter»«i- in- cp^Q
8. Suggested audiences for sale copies Space historians and gPneral puM-fr i_
9. Will agency mailing lists be used for your promotional mailings? D No
0. Please check types of promotions planned by agency for sales copies:
Q Flyer-Quanmy 20,000 - Audiences AgeHCV list of
— Press Releases -Quantity. _ Audiences _ __
LJ Review Copies -Quantity _ _ Audiences
If yes. number of addresses available 2D,nnn
pgnnl » -.n
••—-• — " — v^iw.* x^uuijtii y ^MJUIonCcS
U Advertising In: D Agency Publications D Paid Media D Other
1. Depository Library distribution Ll Yes D No If no. reason (See reverse for explanation) D 1) D 2)
art II. SPECIFICATIONS: To be completed by AGENCY PRINTING OFFICER.
Est. Total Circulation.
2. Publication description
Series—Number
(Printing Officer's Name! (Area Code) (Phone)
Q Non-subscription D Subscription Q New D Revision D Reprint
.... Anticipated revision date __ Series, -Titla . •-.,,. -.p-
3. FORMAT: Ubook Ut.pe COVER: O self B.ND.NG: D saddle stitch D loose.eaf D banded
LJ folder LJ microform U paper Q SJd9 stltcn Q punched D shrink wrapped
U form U other D casebound D adhesive D drilled Q other
U maP U other n sewn
4. Unit of .ssue . No. of Pages _. No. of ll.ustra.ions Trim Size No. of Foldins
5. 4-color process U Yes U No Smallest type size ,„ poims
6 Jacket N°-n rr— Program No. ; Prin, Ordef No. __.
7. Prmter: LJ Main GPO LJ Deal Direct D Waiver U GPO Regional Office (City)
art III. To be completed by SUPERINTENDENT OF DOCUMENTS
8. SuOocs riding for copies D Not for sale, D For sale line on.y Q Individual cartons D Cartons D Other
9. Dep. Lib. riding for
. copies File Copies
IES Copies
Item number
art IV. This space may be used by AGENCY «o record SuDocs information. Please notify D pubUsher CD
PO will ride for
aper S/N
_ paper copies
Price: $
ipies
I
iPO Form M«a (R 5-44)
Price: $.
17
I rider decision
GPO 973-1 is
-------
Instructions for Completing Form 3868
Tb insure that your publication receives proper consideration for inclusion in our Sales and Depository Library pro-
grams, please supply all pertinent information available at the time this form is submitted. By providing complete
information 30 days prior to submitting your printing requisition, you can be assured that we will have adequate
time to make the best decision. Please attach an additional sheet of paper to this form if you require more space
to provide complete information.
REMINDER: Please retain a copy of this completed form for your records so that you can add GPO stock numbers
and prices if the Superintendent of Documents rides your requisition for sales copies.
If you have any questions or need help with the Sales, Depository Library, or Marketing programs, please call:
Sales Service
Chief, Documents
Control Branch
(202) 275-3343
Library Programs Service
Chief, Depository
Administration Branch
(202) 275-1071
Marketing Office
Director of Marketing
(202) 275-3634
Most of the items on this form are self-explanatory. Additional explanations for some items are given below:
Part I—Agency Publisher or Program Officer: The individual named should be knowledgeable about the con-
tent, planned distribution, and marketing of the publication (e.g., editor, publisher, author, or program officer).
2. What publication does it supersede? Supply the publication title(s), series number and stock number(s) of
the edition(s) which the new publication replaces.
3. How does this compare with previous editions? Specify any differences in information, specifications, and
content in the new edition.
6. Brief description of contents: If a description is contained in the preface, foreword, introduction, or title page,
you may attach a copy of the appropriate section instead of filling in this section.
6. Specific audiences for agency distribution: Specify what target audience and how many copies of the publica-
tion your agency will be distributing.
7. Recommendation for sale: If yes, include specific audiences that might be targeted and the estimated size
of each audience. Please be as specific as possible, e.g., indicate energy researchers instead of scientists. If no, explain.
11. Depository Library Distribution: 44 U.S.C. Section 1902 requires that Government publications be made
available to depository "libraries, unless they are:
1. "determined by their issuing components to be required for official use only for strictly administrative or
operational purposes which have no public interest or educational value" [Emphasis added]
2. "classified for reasons of national security" --
If you have answered "no" to question 11, you must indicate into which of the above exception categories your
publication falls. (The agency does not bear the cost of depository copies if the document is printed through GPO.)
18
-------
TECHNICAL REPORT DATA
(Please read Instructions on the reverse before completing)
1. REPORT NO.
EPA No. (if you have it)
2.
4. TITLE AND SUBTITLE
must be same as on document
(leave blank)
3. RECIPIENT'S ACCESSION NO.
-(J_ea.y.e._b_lank_) :
5. REPORT DATE
(leave blank)
6. PERFORMING ORGANIZATION CODE
7. AUTHOR(S)
.List all .authors
8. PERFORMING ORGANIZATION REPORT NO
9. PERFORMING ORGANIZATION NAME AND ADDRESS
10. PROGRAM ELEMENT NO.
Author(s) affiliation
11. CONTRACT/GRANT NO.
complete if applicable
12. SPONSORING AGENCY NAME AND ADDRESS
13. TYPE OF REPORT AND PERIOD COVERED
14. SPONSORING AGENCY CODE
15. SUPPLEMENTARY NOTES
Use as needed (project officer/complete journal citation/other information that may
be pertinent to the report). __ .
16. ABSTRACT
The abstract is to be.the product of EPA (in the case of a journal article, do not
use the abstract prepared by the journal; laboratories should provide an abstract
written in-hou.se). Keep the abstract within Block 16.
Note: Blocks.12, 13, 18, 19, and 20 will always,contain the same information.
Blocks 6, 8, 10, and -13 are for your information. If'you don't need them
leave them blank.
Number this page the last page in the document. When counting pages (Block 21)
include this page. , .
7.
KEY WORDS AND DOCUMENT ANALYSIS
DESCRIPTORS
NTIS would like, but does not require, that
identifiers in Blocks 17a and 17b. No speci
and NTIS does not distinguish between descr,
On Form SF-298, which can be used in place c
and identifiers are lumped into one block (I
"Subject Terms."
8. DISTRIBUTION STATEMENT
Release to public
b.IDENTIFIERS/OPEN ENDED TERMS C. COSATI Field/Group
you list descriptors and
1 source is required,
ptors and identifiers.
f this one, descriptors
lock 14) and are called
19. SECURITY CLASS (This Report)
unclassified
20. SECURITY CLASS (This page)
_ unclassified
(leave blank)
21. NO. OF PAGES
22. PRICE
leave blank)
EPA Form 2220—1 (Rev. 4—77) PREVIOUS EDITION is OBSOLETE
19
-------
REPORT DOCUMENTATION PAGE ;
Form Approved
OMB No. 0/04-01 S3
1'nlill. <• IMUui.i txink-n li.f ll.u i .illuilivm of information is uil.m.iii.-d 10 ..».;r,hj,> I hour per response, unhiding llic lime f.ii a-v.uiv.n.) instructions. iOjahimj misting data ioun.es.
.ml.iii.il in.liiwiiiMii.in.illn'l|a«aiii-«.tcJ..ind.oin|il«liii.|.iodu'vi.-jviii.|ih.-..illl-.iioii.ilii.l.itiii..iion S.-.wKom.nfiiis n-ijidin.) ihisbuulun cslim-ne 01 • .my other JMMM ol this
uilktlKBiul Hil.Min-lKW. in.tiidMi.j>ii.j.j«li.«i> Uir iwluumj U.is Untdi-n 1.1 w.»l.in.|Lo.i ilu.idqiij.leis SUH.KIS. n.u^i,)r.iie fur ntoinuliQii Opurjiions and Viwits I21b JcKersg.i
t)j-»i»lN.|liWJ/.4uiielJ04.Ailin.jlon.VA liiOl-MOl. and lo Hi..- Olli.u 01 Maiid.jemi.-ni and Uiidyel. l*j|>erwork Il..-Ju.l.on Project (0/04-018U). Washincjion. DC 20iOj.
1. AGENCY USE ONLY ("/edve Wanfc)
2. REPORT DATE 3. REPORT TYPE AND DATES COVERED
4. TIT! E AND SlJBTITl E
(This form is NTIS's version of our 2220. Use either
form but not both.)
6. AUTIIOR(S)
7. PEUFORMING OHGAMIZATION NAME(S) AND ADnRESS(ES)
9. SPONSORING /MONITORING AGENCY
NAME(S) AND ADDRESS(ES)
5. FUNDING NUMBERS
8. PERFORMING ORGANIZATION
KEPORT NUMBER
10. SPONSORING /MONITORING
AGENCY REPORT NUMBER
11. SUPPLEMENTARY NOTES
12a. DISTRIBUTION /AVAILABILITY STATEMENT
12b. DISTRIBUTION CODE
13. ABSTRACT (M^xiutum200woith)
14. SUBJECT TERMS
15. NUMBER OF PAGES
16. PRICE CODE
17. SECURITY CIASSIFICATION 18: SECURITY CLASSIFICATION I 19. SECURITY Cl ASSIFICATION 20. LIMITATION OF ABSTRACT
Of- REPORT OF THIS PAGE I OF AUSTKACT
20 [
MSN 751001 280 5500
Standard Form 200 (Rev 2-89)
l'ifU..iln-d t)y ANSI Std /i'J-IB
/'JB IU^
-------
GENERAL INSTRUCTIONS FOR COMPLETING SF 298
The Report Documentation Page (RDP) is used in announcing and cataloging reports. It is important
that this information be consistent with the rest of the report, particularly the cover and title page.
Instructions for filling in each block of the form follow. It is important to stay within the lines to meet
optical scanning requirements.
Block 1. Agency Use Or\\v(Leave blank).
Block 2. Report Date. Full publication date
including day, month, and year, if available (e.g. 1
Jan 88). Must cite at least the year.
Block 3. IVDe_ofJiei2or^and_Dates_royered.
State whether report is interim, final, etc. If
applicable, enter inclusive report dales (
-------
UNITED STATES DEPARTMENT OF COMMERCE
National Technical Information Service
5285 Port RoyaLRoad
Springfield. Virginia 22161
MACHINE-READABLE PRODUCTS
Input Procedures
The purpose of this fact sheet is to provide source agencies
with the information needed to complete forms necessary for
the input of software and data files into the NTIS collection
For those end users who use 7-track tape drives, we need
to know whether data recorded on 9-track tapes can be copied
to 7-track; for example, if the data should include packed
decimal numerics or if certain special characters, including
lower case alpha, that require more than six low order bits
to represent them are present, then the file must always be
committed to a 9-track tape. If this is the case, the con-
tributor should enter "9-track only" in Box 16 on form
NTIS-231 and in Box 17 on form SF-277.
Magnetic tapes are preferable to punched cards for trans-
mitting machine-readable 'files, but when cards are sent to
NTIS, they should have a sequence number punched in them.
They should also be interpreted and listed.
An external label should be affixed to each magnetic tape
reel showing the following information:
1. Name of contributing agency.
2. Title of program or data file.
3. Recording mode in tracks, density, parity
and character code.
4. Source computer and operating system.
5. Block size and record size in characters.
6. Number of files or programs on the tape
and labeling information.
7. Reel number when file is multi-reel.
8. Record count and block count.
A record layout and description should accompany each data
file. They will be reproduced by NTIS and furnished to
each user of the file.
Computer programs should be accompanied by documentation
sufficient to implement the program on the source computer.
This includes input and output layouts, if applicable.
22
-------
H DELETE QNEW
REPLACE
CORRECTION
NTIS COMPUTER PRODUCTS
CATALOG DATA SHEET
I. ACCESSION NO.
2. CONTRIBUTING AGENCY REPORT NO. 3. SUBJECT
4. PRODUCT (circle one)
DATA FILE
SOFTWARE
MODEL. SIMULATION
5. AGENCY, BUREAU, DIVISION, AND ADDRESS
6. PRODUCT NAME (Uae agency nomenclature)
7. DESCRIPTORS OF PRODUCT (Keywords, identifiers, etc.)
9. FILE SIZE IN NO. OF:
8. DATES OF COVERAGE (For one-lime reports, use as-of-date; lor software
use date and release no.) '
REELS I I IJ DISKETTES!
10. AVAILABILITY STATEMENT - AGENCY NAME AND ADDRESS, ORDER NO., ETC. (If NTIS «,«//». leave blank)
CE INFORMATION
REPRESENTATIVES (List at least one lor subject and one for media)
NAME TITLE
PHONE NO.
Tl
0 AVAILABLE
ITIS-231 (KEV. 1-8B)
EXPECTED AVAILABILITY
FRONT
23
USCOMM-DC 0702-P7B
-------
[X5S NEW
|~]REPLACE
CORRECTION
HTIS COMPUTER PRODUCTS
CATALOG DATA SHEET
1. ACCESSION NO.
2. CONTRIBUTING AGENCY REPORT NO.
3. SUBJECT
4, PRODUCT (circle one)
DATA FILE
DATA BASE REFERENCE SERVICE
SOFTWARE
PUBLICATION
/ MODEL, SIMULATION \
5. AGENCY. BUREAU, DIVISION, AND ADDRESS
U.S. Environmental Protection Agency
Air and Energy Engineering Research Laboratory
Indoor Air Branch
Research Triangle Park, NC 27711
6. PRODUCT NAME (Use agency nomenclature)
IAQPC Indoor Air Quality Simulator for Personal Cor
7. DESCRIPTORS OF PRODUCT (Keywords, identifiers, etc..)
Indoor Air Quality, Simulator, MS-DOS, mode
8. DATES OF COVERAGE (Pot one-time reports, use tf-ol-ilu(e; (or sottwtue,
iiie date tttxt re/cu&e no.)
Vession 1 Sep 90
9. FILE SIZE IN NO. OF:
PUNCHED
I I | ruNUHtu| I I I I I
I I I CARDS | | | | | |
10. AVAILABILITY STATEMENT - AGENCY NAME AND ADDRESS, ORDER NO., ETC. (II NT1S sells, leave
11. PRICE INFORMATION
12. GEOGRAPHIC SCOPE
13. TECHNICAL REPRESENTATIVES (List at least one lor subject and one tor media)
NAME TITLE
I.. E. Snarks
PHONE NO.
14. DOCUMENTATION
AVAILABLE
FORM NTIS.231 tRCV. 0-741
EXPECTED AVAILABILITY DATE
FRONT
24
USCOMM-DC P411-P74
-------
HTIS COMPUTER PRODUCTS CATALOG DATA SHEET
IS. COMPUTER PRODUCT ABSTRACT
16. DATA FILE TECHNICAL DESCRIPTION
Data File produced an;
cpu mlt.
File is physically coded in:
Also available in:
track*
17. SOFTWARE TECHNICAL DESCRIPTION
Software is written in;
Fortran
nodal
L
density
density
operating system
character code
character code
Software requires.
COBOL Basic Assembly Other (Specify)
CPR Mfr. _
Minimum of
Model(s)
Operating system(s)
.K by,., core. The tollow.n, sp.cia. feature, and/o, addihonol require
equirements in hardware
AND O"ATPE °F AGENCY REPRESENTATIVE. PHONE NO.,
AND DATE
FORMNTII-J3I (REV. 1-881
USCOMM-OC 3702-P79
-------
NTIS COMPUTER PRODUCTS CATALOG DATA SHEET
15. COMPUTER PRODUCT ABSTRACT
This disk contains the executable files for the indoor air quality model, 1AQPC. IAQPC is designed for
m-nos ccimuters. lie minimm hardware is an MS-TOS cnnputcr with DOS 2.0 or higher, 350 K of memory and
two floppy disk drives. A hard disk and EGA"or tetter graphics card and color monitor are reconiiended..
IAQPC gives concentration profiles of up to 6 pollutants for up to 62 days in up to 20 roans. Hie model
includes tie effects of building layout, sources, sinks, and tie heaLing, ventilating, and air-conditiomng
systan on pollutant concentration. Ihe calculate! results can be displayed as grains on the screen.
Full doanentatlon for tie model is provided in a technical manual and a user guide. Hie technical manual
provides Ue 'theoretical background of the nndel, including details of the algorithms and the program source
code listing. Hie user guide provides instruction on running the rondel and example runs.
16. DATA FILE TECHNICAL DESCRIPTION
Dolo Filo produced on;
IRM-PC
cpu mfr.
File Is physically coded in:
_AL
model
operating system
tracks
_Z_LDQiibjfi ; /_Binary.
density
cliarocler code
Also available in:
tracks
density
character code
17. SOFTWARE TECHNICAL DESCRIPTION
Software is written In;
Fortran COBOI Basic * Assembly Other (Specity) .
Software requires;
CPR Mfr.
Minimum of
Model(s)
Operating system(s)
MS-DOS 2.0 or better
K bytes core. The following special features and/or additional requirements in hardware:
EGA graphic and color monitor reconnended.
SIGNATURE OF AGENCY REPRESENTATIVE, PHONE NO.,
AND DATE
SIGNATURE OF NTIS REPRESENTATIVE AND DATE
FORM PREPARED
ponn HTIS 23i (i«ev. 0-7-4!
26
USCOMM-DC
-------
INSTRUCTIONS FOR COMPLETING NTIS FORM 231
NTIS COMPUTER PRODUCTS CATALOG DATA SHEET
ACCESSION NO. Leave blank (for catalog reference).
CONTRIBUTING AGENCY REPORT NO. (If different from NTIS Accession No.) enter agency reference No if
available, e.g. "Paper No. 17; Report No. 967BA; Reference No. 589".
SUBJECT (Subject Category Code). Leave blank.
PRODUCT. Circle appropriate name.
iera'Cha11* a"d '"< <«"*'«« *dd— ' «•« currcnc federal
. PRODUCT NAME. Should describe product and subject.
. DESCRIPTORS OF PRODUCT. Use words which identify the major concept of research and are sufficiently spe-
cihc to be used as index entries for cataloging (terms from TEST or NTIS Business Thesaurus).
. DATES OF COVERAGE. Term of data file (June '62 - June '70) or date of issue, preparation and release No.
(software). Include frequency of update (weekly, monthly, annual, etc.)
FILE SIZE. Enter number of reels of tape or number of punched cards, as appropriate. For Data Base Reference
and Publications, leave blank.
AVAILABILITY STATEMENT. Information complete enough to allow ordering (purchase) of tape or cards or how
to obtain infora.at.on from data base. If product is not available to public, give authorized access, i.e restricted
to t-ederal Agencies, restricted to parent organization, or other restrictions.
PRICE INFORMATION. Enter unit price per reel, card deck, search, program, issue or subscription.
GEOGRAPHIC SCOPE. Geocoding should specify geographic level and definition; such as International U.S
territorial, U.S., state, county, SMSA, tract, region (define).
f RErRE-SEN™'V»: . F- "bj.cc: statistician, economist or program a^a.yst. For media: com-
piler of tile, programmer, EDP technician.
DOCUMENTATION: If available, check box; if not available enter date of availability.
ABSTRACT. Include . brief (200 words or less) factual summary pf the most significant information describing
he product or file. List sue things as: daea series avai.ab.e, data features such as scope (data collected at
P e cuT'off^ ,c> p ;• ' r • corany or other lcvel)- coverase °f data (<°rai — . p^ncy *™-
ple cur-off sample, random sample, etc.) Ident.fy sources of data and any publications or reports produced If
a dd.t.onal space required, complete abstract on separate sheet and attach to this form.
DATA F.LE TECHNICAL DESCH.PT.ON. Eoier relevam clata. Thls entry u app,icab[e ^ ^ ^ ^
DESCR1PT'°N- S--' <— -nd additional hardware requirements refers to cho.e
f 'he software «-
qu U s i An , , .
quire:, it. Another might be a special print chain.
>BM NTII-J3I (REV. 1-88)
U3COMM-OC 3702-P78
27
-------
COMPUTER DISKETTE FILE PROPERTIES
01.
Completion Date
Year '' Month
Day
02. Long Title
03.; Short Title
04.
Co
Year
)ying Date
Month
Day
05. Subscription
D Yes
D No
06.
("I New Product
[ I Replacement
07. Number of
Diskettes
08. Submitting Organization and Address
09. Technical Contact(s) and Phone
10. Host Computer/Model
11. Memory Requirement
12. Language/Format
13.Diskette Size
D 31/2
D 51/4
Other
14. Diskette Capacity
360K Q 1.2M
720K [J 1.44M
800K [Bother
15. Operating System/Version
16. Number of Files
17. Number of Records
18. Record Length
19. Documentation
LJ on Diskette (File # .
I I Paper Copy
20. Supplemental Information
21. For Submitting Organization Use
Form NTIS-FCPC-Om/89)
28
-------
COMPUTER DISKETTE FILE PROPERTIES
EPA/600/8-91/Q13a
01,
Completion Date
Year
Month
Day
04.
Year
""
Month
Day
02. Long Title EXPpSURE
Version 2. A Computer
Model for Analyzing the
Effects of. Indoor Air
ollutant Sources etc.
05, Subscription
n Yes
E3 NO
08, Submitting Organization and Address
Air & Ehertjy Engineering Research
USEPA (MD-64)
Research Triangle Park, NC 27711
Lab.
03. Short Title
hXPOSURE Version -Z
06.
New Product
L] Replacement
07, Number of
Diskettes
1
09. Technical Contact(s) and Phone
Leslie E. Sparks
(919) 541-2458
10. Host Compuwr/Model
Northgate 386
11. Memory Requirement
12. Language/Format
IS.DiskctteSwc
Q 31/2
00 51/4
0 Other
16. Number of Files
14, Diskette Capacity
£3 360K
[] 720K
Q 800K
1.2M
1.44M
Other
17. Number of Records
15. Operating System/Version
MS. DOS 4.01
18. Record Length
JL
19, Documentation
D on Diskette (File #,
|>LJ Paper Copy
2Q. Supplemental Information
21. For Submitting Organization Use
fonn NTIS-PCPC-01(l/89)
29
-------
COMPUTER MAGNETIC TAPE FILE PROPERTIES
11. CompUtlon Pitt
Ywr Month Diy
02. Form Prepared By INaim tnd Hiont)
03. Real ID Number
(Property Control. A/o./r
\4. Recording Dan
Ytac Month Day
05. Flit Identifier or Descriptive Title
06. Short Titla^
tExtarnil-Libel Ntma)
07. Sourci Unavailable
Yew Month Day
OS. Oocuminutlon
Available
No
(Enttr Cltttlon)
09. Fll« Position on RM)
' . •' ''of- •
10.ToB*R«turntd
11. Submitting Organization & Address
No
-To Other
JThan The
Sondtr
13. Out Back Oat*
Year
Month
Day
12. Receiving Organization & Address
14. Technical Contact(s) & Phone Numb«r(i)
RECORDING SYSTEM CHARACTERISTICS
EQUIPMENT
MANUFACTURER
AND
MODEL
16. Processing Unit
16. Tap* Subsystem •
17. No. of Traces
9 Other
18. Parity,
Odd
Even-
19. Density
-.,...
RECORDING
SOFTWARE
20. Operating System,
Release & Version
22. Internal File Identifier
21. Utility Program
or Data Base Language
(Gnphlci)
QASC|,
DEBCDIC DFIELDATA DNon-print codes
(Internal
Label}
I Header D ANSI X 3.27 Standard Q Other
I Trailer D FIP8 Standard D None
FILE CHARACTERISTICS
NUMBER
OF
RECORDS
RECORD
LENGTH
25. Physical
23. Logical
27. Record Type
D Fixed Length
O Other Than Fixed
30. Physical
28. Records/Block
(Blocking Factor)
D Bytes D Chars. D Words (
Bits/Word)
31. Logical
O Bytes CD Chars. CD Words (
Bits/Word)
.— . One File
TYPE OF LJ One Reel
(Chock One n Multipl. Files
anxi I — I One Reel
Box)
Multiple Filas
Multiple Reels
SUPPLEMENTAL INFORMATION
32. Use/Handtlng Constraints (Specify if Yes)
Yts No
33. For Submitting Organization Use
30
Standard Form 277 (12-77)
IIS n«i\». of r.nmmam*.UIt
-------
COMPUTER MAGNETIC TAPE FILE PROPERTIES
O3. Reel )D Number
(Property Control No.)
I. Completion Date
Month
Day
02. Form Prepared By (Name and Phone)
I.E. Sparks
FTS -629-2458
(919) 541--2458
I. Recording Date
ear Month Day
05. File Identifier or Descriptive Title
IAQPC
06. Short Title
(External Label. Name)
1. Source Unavailable
Month Day
08. Documentation
Available
(Enter Citation)
Yes
No
09. File Position on Reel
J. To Be Returned
No
^
-To Other
J Than The
Sender
11. Submitting Organization & Address
U.S.. EPA „ '
Air and Energy Engineering Research Lab.
Research Triangle Park, NC 27711
3. Due Beck Date
Y«ar
1
Month
Day
12. Receiving I
i Address
1. Technical Contact(s) & Phone Number(s)
.. E. SParks (919) 541-2458
RECORDING SYSTEM CHARACTERISTICS
EQUIPMENT
IANUFACTURF.R
AND
MODEL
•15. Processing Unit
IBM-PC
16. Tape Subsystem
17. No. of Tracks
9
Other
18. Parity
Odd Even
19. Density
(BPII
RECORDING
SOFTWARE
20. Operating System.
Version MS.DQS
22. Internal File Identifier
21. Utility Program
or Data Base Language
aracters Q ASCI I DfiCD
lather (Specify)
QEBCDIC DFIELDATA DNon-print Codes
24. Recorded
Label
(Internal
Label)
CD Header D ANSI X 3.27 Standard LI) Other
Q Trailer LD FIPS Standard
CD None
FILE CHARACTERISTICS
NUMBER
OF
RECORDS
RECORD
LENGTH
25. Physical
26. Logical
27. Record Type
O Fixed Length
D Other Than Fixed
28. Records/Block
(Blocking Factor)
30. Physical
D Bytes D Chars. CD Words ( Bits/Word)
31. Logical
D Bytes D Chars. D Words ( Bits/Word)
29.
,—, One File
TYPE OF U One Reel
FILE ' n • '
ORGANI2- riwr-'J'n •
ATION Multiple Reels
(Check. One .—, Mu 11 iple F i
goxi LJ One Reel
__ Multiple Files
I—I Multiple Reels
SUPPLEMENTAL INFORMATION
>2. Use/Handling Constraints (Specify if Yesf
es No
13. For Submitting Organization Use
31
7-101
Standard Form 277 (12-77)
U.S. Dept. of Commerce NBS
FIPS Pub. S3
-------
Instructions
A separate form should be completed for each file.
01. Complillon Dal*. Entar th» data this form was prepared.
02. Form Prepared By. Eniar the name and phone number (Includ-
ing uioa ct«lu) ol iho individual who prepared this form.
03. R««l l.D. Number. Enter the number which uniquely identifies
(hit ruul. It, generally, will lie a property control number for tlm
submit llm.i onjjnUatton. If thu file is recorded on multiple reels,
vtitur llit llul ICL| immliur In this item ami list all others, in
S4<|uuncu, In Itum 33. This Information Is usiid to identify the
upu reels transmitted.
04. Recording Data. Enter tlio date the reels identified in Item 3
wur» recorded (copied).
OS. Flit Identifier or Descriptive Till*. Enter the name used to
identify Ihu lilu. If it is a generally known file, use ihu name by
which il is commonly known. If it is not generally known, make
llm title as descriptive as possible. •
06. Short Title. Enter tha commonly used abbreviation--or
acronym which identifies thu file. This "will usually be the file
Iddiitificiilion written on the uxternul (gummed) reel label.
07. Sourci Unavalldblo. Entor the'date when your organization will
no lonour 1m ahlu to supply a copy .of this file.
Ofl. Documentation Available. Enter an "X" in the appropriate
box. If documentation is available, but Is not being forwarded
to the recipient us part of this transaction, provide in this space
il hilillnuiiiphic citation or mailing address.
00. File Potition on Rual. If this is the first or only fila an the reel,
uniur a "1". If the ruel contains multiple files, enter the file's
— position number on the reel. See Item 29.
10. To Bu Hummed. Enter an "X" in tha appropriate box. If the
lilt) is to be returned to an organization other than the sender,
EiHuran"X" in "to other than sender", fill in Item 13, and enter
the appropriate address in Item 33; or include a completed
nuiilinu label, iiml enter instructions for return in Item 33.
11. Suliniilliiiij Organization and Address. Identify the sending
(idj.inu.ilion. Fill in complete mailing addiess, including struct,
city, Slaw, and *ip code of llm sending oiganuation.
12. Rocoivma Organization and Address. Identify tha receiving
nrijuiiuiilioit. F-ill in complute mailing address, including street,
city, stain, und zip code. If possible, include the name of the
individual who is expecting the file.
13. Ou« Back Data. Enter thu date the file is expected to be return-
ed, if Ihu "Yus" box was checked in Item 10.
14. Technical Contactd) and Phona Number(s). Enter person(s) or
olficuli) to be contacted for clarification and further informa-
tion uonceiiiiiijj the tape reel contents. Include telephone area
coda. Provide the organization name and mailing address (in
Item 3H), if different from that In Item 11.
RECORDING SYSTEM CHARACTERISTICS
EntilPMENT MANUFACTURER AND MODEL
15. Piocusing Unit. Enter the manufacturer's name and model
number ul tlm computer used (or emulated) to record llm
data.
16. Tapi. Sub System. Enter the manufacturer's name and
model number of the tape drive used (or emulated) to
record the data.
17. Niimuir of Trades. Enter an "X" In the appropriate box. If
"Oilier" is checked, enter the number of tracks in Item 33.
10. Parity. Enter an "X" in the appropriate box.
19. Density. Enter the number of bits recorded per inch
(tt.fl.: 2flO,5!>f>.UnO,1GOO.(>250 BPI). For those unusual cases
whura "characters per inch" must be used, explain in Item 33.
RECORDING SOFTWARE
20. Operating System, Release and Version. Identify the
system software used to record this tape.
21. Utility Program or Data.Base Language. Enter the name of
tha utility program used to copy the tape or the data base-
language used to create it. Identify the release and/or level.
22. Internal File Identifier. If there is a recorded lubel,"enter the
file identification (e.g.. Data Set Name) used in the label.
23. Character Set (Graphics). Place an "X" in all appropriate
boxes. If "Other" and/or "non-print codes" are checked,
describe brielly in Item 33 and supply appropriate documenta-
tion. If nonprinting formats (such as packed decimal or three-
bytes-in-four-characiers) are used, specify in Item 33 and .
include documentation.
24. Recorded Label (Internal Label). Enter an "X" in all appropri-
ate boxes. If "Other" is checked, include documentation of the
label(s). .
FILE CHARACTERISTICS
NUMBER OF RECORDS
25. Physical. Enter Ilia number of physical records (blocks) in
the file. This number is normally supplied by utility
programs which copy physical records without regard to
the logical structure of the tape. Labels are not included in
this count.
26. Logical. Enter the number of logical records in the fila.
This number is usually supplied by the program which
created the file. Labels arc not included in this count.
27. Record Type. Enter an "X" in the appropriate box. If "Oiher"
is checked, provide documentation on how physical and logical
record length control is established.
20. Records/Block (Blocking Factor). If "fixed length" is checked
in Item 27, enter the blocking factor.
29. Type of File Organization. Enter an "X" in the appropriate
box. If this lorm accompanies a single reel of tape which con-
tains a single file, check "one file, one reel". If this lorrn
accompanies several reels of tape which contain a single file,
check "onu file, multiple reels". If this form is one ol several
which accompany a single reel of tape containing several files,
check "multiple files, one reel". Finally, il this form ac-
companies several reels of tape which contain several files,
check "multiple files, multiple reels" and describe this file's
position in the file set in Item 33.
RECORD LENGTH
If the record is not fixed length, enter the maximum size record
length, and describe techniques used to control and indicate size in
Item 33, Enter an "X" in the appropriate box to indicate the unit of
measurement. If size is indicated in number of words, also enter the
word size as "bits per word"
30. Physical. Enter the physical record length (block size).
31. Logical. Enter the logical record length.
SUPPLEMENTAL INFORMATION
32. Usa/llamllinn Constraints. If iho data in this file is subject to
National Security classification. Atomic Enemy Act classifica-
tion, any Privacy Act constraints. Reproduction constraints,
etc., enter an "X" in the "Yes" box. If "Yes" has been checked,
indicate the security level and procedures to be followed.
33. For Submitting Organization Use. This area is provided for use
of the organization submitting this form. It may contain any
additional information useful to the recipient of the file. If
information is entered here as a result of checks in other item
numbers, iho information should be identified by the corre-
sponding item number. Use additional pages, if necessary.
32
-------
Format for ORD Newsletter Approval
The request for approval of a proposed periodical (to be
submitted to CERI before production) should include the
following information:
1. Name of periodical
2. Issuing agency, bureau, or other organiza-
tional unit and name and title of official re-
questing this approval
3. Frequency of issue
4. Number of pages
5. General content
6. Number of copies per issue for limited free
distribution to
a. Agency personnel, plus contractors
directly involved in the program
b. External audiences: (Specify quan-
tity per audience, e.g., Congress, other
government agencies, non-govern-
mental)
7. Number of copies per issue for sale to:
a.
b.
Agency personnel, plus contractors
directly involved in the program
External audiences: (Specify quan-
tity per audience, e.g., Congress, other
government agencies, non-govern-
mental)
8. Estimated annual cost broken down by:
a. Salaries, materials, and other expenses
associated with preparing the manu-
script. Include costs for editing and
for research and writing done by fed-
eral staff or contract personnel to de-
velop the material for publication. The
term "research" applies to editorial
investigation and not to scientific and
technical inquiry.
b. Graphics, layout, and composition
c. Printing, duplication, and binding
9. Appropriation to be charged
10. Justification
33
-------
Notification of ORD Conference, Symposium, Workshop, or Seminar
Q Briefing
Sponsoring organization_
Cosponsor(s)
1. Purpose
2. Title
Q Workshop Q Seminar Q Conference Q Symposium
3/4. Date/Location.
5. Facility
6. Projected attendance.
7. Percentage distribution
Federal State/Local.
8. Projected Cost
Extramural (R&D Money)
9. Proceedings Q Yes Q No
Non-Government
Jnternal (S&E Money)
10. Responsible individual,
11. Date submitted
. Telephone.
Instructions—Submit through TIM
1. Briefly state the objective of the proposed conference.
2. Self explanatory.
3. Self explanatory.
4. City and state.
5. If facility has not been selected, indicate type being sought (e.g., government, hotel).
6. Estimate total number of attendees including speakers.
7. Estimate distribution of attendees.
8. Estimate all conference costs. Include sponsoring organization staff and travel costs in internal estimate.
9. Indicate whether proceedings will be published.
10. Signature and telephone number of primary ORD individual responsible for the conference.
11. Self explanatory.
-------
Appendix B
ORD Research Series
In July 1972, the Office of Research and Development
established a research series for its technical reports. Each
series is identified by a unique letter or number and is specific
to a subject area or publication category (e.g., journal article).
The five original series consisted of the major research
areas that best described the thrust of EPA's total research and
development effort. Several other series have been added to
the original five to allow further identification of ORD reports
and product types. A description of each series letter or
number follows: ,
Series 1 Environmental Health Effects Research
Assigned to Series 1 are projects and studies relating to
human tolerances for harmful substances or conditions, gener-
ally assessed from a health effects viewpoint. In addition to
toxicology and other medical specialities, study areas include
physiological or psychological studies and the development
of bidmedical instrumentation. The emphasis here is on hu-
man health effects. Examples would include background stud-
ies into the human health impacts of a substance or a group of
substances or a microorganism known or suspected to cause
diseases.
Series 2 Environmental Protection Technology
Series 2 includes research performed to develop and
demonstrate instrumentation, equipment, and methods to pre-
vent or repair environmental degradation from point and
nonpoint sources of pollution. This work provides the new or
improved technology necessary to control and treat pollution
sources to meet environmental quality standards. The empha-
sis here is on control rather than monitoring technology.
Examples would include reports on technologies for control-
ling sulfur emissions from power plants or organic contami-
nants in drinking water.
Series 3 Ecological Research
Series 3 includes investigations of the long- and short-
term effects of pollutants on non-human species and materi-
als. Research encompasses formation, transport, and pathway
studies to determine the fate of pollutants and effects on
aquatic and terrestrial environments.
An example would be the effects of a given pollutant or
an environmental condition on a species in the food chain.
Series 4 Environmental Monitoring Research
Series 4 includes research conducted to develop new or
improved methods, instrumentation, and quality assurance
techniques and procedures to identify and quantify environ-
mental pollutants. Also included are the studies to determine
the ambient concentration of pollutants or the variance of
pollutants as a function of time and/or meteorological factors.
This category encompasses assessment methods and tech-
nologies but excludes industrial and municipal control tech-
nologies.
Series 5 Socioeconomic Environmental Studies
Series 5 reports document research and development
efforts that are related to the socioeconomic impacts of pollu-
tion and its abatement
They also cover the potential to use institutional manage-
ment and regulatory action as tools to reduce pollution. Spe-
cific areas of investigation might include land use alterna-
tives, economic impact of regulations, planning methods for
state and local government offices responsible for pollution
abatement, and techniques for determining cost-benefit ratios
for alternative pollution abatement options.
Series 6 Scientific and Technical Assessment Reports
In Series 6 are single-meiJium assessments of the avail-
able scientific and technical knowledge on major pollutants
that would be helpful in regulatory decision-making or evalu-
ating a major area of completed study. The series presents
objective evaluations of existing knowledge—evaluations that
point out its completeness, the validity of its data base, and
uncertainties and gaps that may exist. Most reports are multi-
media in scope, focusing on a single medium only to the
extent warranted.
Series 7 Interagency Energy/Environmental
Research and Development Reports
Reports in this.series result from the effort funded under
the 17-agency Federal Energ3'/Environmental Research and
Development Program. These studies relate to EPA's mission
to protect the public health and welfare from adverse effects
of pollutants associated with energy systems. The goal of the
program is to ensure the rapid development of domestic
energy supplies in an environmentally compatible manner by
providing the necessary environmental data and control tech-
nology. Investigations include analyses of the transport of
energy-related pollutants and itheir health and ecological ef-
fects; assessments and development of control technologies
for energy systems; and integrated assessments of a wide
range of energy-related environmental issues.
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Series 8 "Special" Reports
This series is reserved for reports that are intended to
meet the technical information needs of specifically targeted
user groups. Typical examples of reports in this series are
state-of-the-art analyses, technology and multi-media assess-
ments, design manuals, user manuals, handbooks, and criteria
documents.
Series 9 Miscellaneous Reports
Conference proceedings, annual reports, bibliographies,
and other full reports that do not fit into Series 1-8 are placed
in this scries.
Series 0 Unpublished Reports
Sec description of unpublished reports, p. 7.
Series D
Papers and articles published by other than EPA and
presentations at external technical or scientific
(nonprogrammatic) workshops/symposia are placed in this
scries.
Series J Journal Articles
Papers, articles and book chapters produced by or for
ORD and accepted for publication by a peer-reviewed journal
are assigned to this scries.
Series M \
Newsletters, research briefs, oral presentations, and non-
peer-reviewed journal articles are placed in this series.
Series X Internal Reports
Written responses (in publication form) to requests made
by EPA offices for technical or scientific information are
placed in this series. These reports are characteristically sub-
mitted to the requesting office and are not formally published
by ORD.
Appendix C
Cooperative Agreements, Contracts, Interagency Agreements
Reporting Requirements
Contracts or Interagency Agreements
Although a project report and project summary are the
usual reporting products for each research project obtained
through the contract or interagency agreement mechanism,
the final product can lake any form agreed on by the contract-
ing parties. The project report may also appear in the guise of
one of the other outputs listed in the ORD Technical Informa-
tion Policy and Guide (EPA/600/9-91/004, June 1991), e.g., a
research report, design manual, handbook, or journal article(s)
when the journal article(s) covers the entire substance of a
project.
Any special reporting requirements are to be incorporated
into the contract or interagency agreement's scope of work.
Printing is to be done through the Government Printing Of-
fice; duplicating in excess of 25,000 impressions must be
authorized by the printing control officer. The TIM can assist
in defining products other than the standard project report and
project summary.
Cooperative Agreements
Unlike the reporting requirements for contracts and inter-
agency agreements, the final reporting requirements for coop-
erative agreements are defined by federal regulations (40 CFR
30.30.505 and 40 CFR 40.160-5). A project report (prepared
in accordance with the Handbook for Preparing Office of
Research and Development Reports, EPA/600/9-83/006, Rev.
Oct. 1989) and a project summary are usually required for
each cooperative agreement.
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Appendix D
Procedures for Handling Copyright Issues —
Obtaining Permission to Reprint Copyrighted Material in a Government Report
When copyrighted material is reprinted in a government
publication, acknowledgment of copyright is essential so that
the public will not be misled. (See p. 3, Handbook for Prepar-
ing Office of Research and Development Reports, EPA/600/9-
83/006, Rev. Oct. 1989) EPA must receive permission from
the copyright holder to reproduce copyrighted material, and
NTIS must receive this permission before reproducing and
selling a report containing copyrighted material. The written
authorization from the copyright holder granting NTIS per-
mission to repfoduce and sell is sufficient for EPA printing
purposes. Samples of a letter from the project officer to the
recipient or contractor and a letter giving copyright permis-
sion to NTIS are given below.
The recipient or contractor is responsible for all neces-
sary paperwork and any fees related to obtaining authorization
for use of copyrighted material.
Written permission is needed to use any copyrighted
material. For our purposes, the material usually is an item
such as a table, a graph, a chart, a map, or a picture. The fact
that the material has appeared before in a government publica-
tion does NOT absolve the recipient or contractor from ob-
taining new permission; the previous permission to reprint
does not extend to other publications. Note that the copyright
law extends to unpublished works.
Where permission has been granted, the author should,
within reason, follow any special wording stipulated by the
grantor.
Screen each report carefully to determine whether the
final report contains copyrighted material. Include any letters
granting permission with the packet submitted to CERI.
This appendix also contains decisions by legal counsel
concerning research done under the auspices of the govern-
ment both by employee authors and contractor/grantee au-
thors.
Sample Letter Concerning Copyright Material
(Addressed to contractor/grantee,
cooperative agreement holder)
Dear :
The U.S. Environmental Protection Agency is required to
submit all results of ORD research to the National Technical
Information Service (NTIS) for distribution at cost. You are
responsible for obtaining permission to use copyrighted mate-
rial and for all fees related to the use and/or reproduction of
copyrighted material. NTIS specifically requires that it be
given permission to reproduce and sell any reports submitted
to it that contain copyrighted material.
To help you adhere to EPA policy concerning copy-
righted material as defined in your cooperative agreement/
contract provisions* and to meet our requirements for NTIS,
you may find the attached sample letter useful when you seek
permission to reprint
See, for example, 40 CFR Appendix D—Rights-in-Data and Copy-
rights and "Copyright Law and Rights-in-Data," Richard V. Ander-
son memo, this appendix.
Sample Letter Giving Copyright Permission to NTIS
Dear :
Permission is given to the U.S. EPA and to National
Technical Information Service (NTIS) to reproduce and sell
the following report containing copyrighted material.
(Include a paragraph describing the material; include the
title, page number, number of'lhe table(s) or figure(s), etc.)
The following copyright acknowledgment will be in-
cluded:
Reprinted from (title of publication, year of first publica-
tion) by [author(s)] with permission of (name of copyright
holder if different from that of the author).
(copyright holder)
Signature of Authorized Official
Title
37
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Copyright Assignment by a Government
Employee
From a memo by Benjamin E. Bochenek, Patent Counsel,
Contracts & General Administration Branch (A-134)
Section 105 of Public Law 94-553, the current copyright
law CTitle 17 U.S. Coda §105), reads as follows:
§105. Subject matter of copyright United States Gov-
ernment works
Copyright protection under this title is not
available for any work of the United States
Government, but the United States Govern-
ment is not precluded from receiving and
holding copyrights transferred to it by as-
signment, request, or otherwise.
Section 101 of the law defines a work of the United
States Government as:
A "work of the United States Government"
is a work prepared by an officer or em-
ployee of the United States Government as a
part of that person's official duties.
Thus, there is no copyright in any work prepared by an
EPA employee as a part of that person's official duties. For
example, if the work is the result of either a specific assign-
ment or is of a nature as to be so closely related to that
person's duties as to be an expected consequence of such
duties, there cannot be a copyright in that work. Any assign-
ment is meaningless, and the assignment document should be
relumed to the publisher unsigned, with the following state-
ment:
"This assignment cannot be executed, since
the referenced work was authored by a
United States government employee as part
of that person's official duties, and in view
of Section 105 of Public Law 94-553 Copy-
right Law is not subject to copyright protec-
tion."
Copyright Law and Rights-in-Data
From a memo by Richard V. Anderson, Attorney-Advisor
All works of the government, published or unpublished,
arc in the public domain. Although a government employee
who wrote a paper could not secure a copyright in it or restrain
its dissemination by the government or anyone else, the
government, as far as the copyright law is concerned, could
not restrain the employee from disseminating the paper.
In offering material for publication to professional societ-
ies or journals, you may not represent to the publisher that
such a transfer constitutes an assignment of copyright owner-
ship. Under the authority of 17 USC §105 no one may secure
copyright in a work of the U.S. Government
Every EPA grant or fellowship is subject to the "rights-
in-data" clause used in research and development contracts
(EEPR 1517.302-51) and the "Rights-in-Data and Copyrights"
provision (Appendix D, Title 40 Code of Federal Regulations,
Part 30). The discussion of the rights and responsibilities in
Appendix D suffices for both grant and contract copyright
issues. These provisions allow an author operating under a
grant or contract the freedom to arrange for copyright without
approval from EPA. However, while the author is allowed to
secure a copyright in material directly produced under a grant
or contract, or as a consequence thereof, the government is
vested with a royalty-free, nonexclusive, and irrevocable li-
cense throughout the world for government purposes to pub-
lish, translate, reproduce, deliver, and to authorize others so to
do, all subject data, or copyrightable material based on such
data now or thereafter covered by copyright
The foregoing provisions apply whether the publication
is a progress or final report produced under a contract or grant,
or a contractor or grantee publication developed from work
performed under a project supported by funds from EPA.
Although the government has the power to deny copyright in
writings generated as a result of government research grants
and contracts, the right to secure private copyright in such
works is normally granted with the understanding that this
action will expedite the general utilization of research data.
Publications by EPA grantees and contractors are not consid-
ered "works of the U.S. Government" insofar as the copyright
law or its legislative history is concerned.
If an Agency employee participates as a coauthor of a
report as a part of his or her official duties the report could be
construed as a "work of the U.S. Government." Notwithstand-
ing the operation of Section 105 of Title 17 USC, it would
appear to be more in the Agency's interest to not assert the
restraints of Section 105 but rather allow copyright to vest in
the grantee or contractor author and use the licensing provi-
sion of the rights-in-data article. Where it is foreseen at the
time of award that an Agency employee will participate as
coauthor on a publication arising under a grant or contract, it
may be advisable to detail what copyright restrictions, if any,
will be placed on the grantee or contractor. There may arise
situations where the Agency will decide that the need to have
the work freely available outweighs the right of the private
author to assert or enforce its copyright
In most cases the retention of copyright protection by the
contractor or grantee is in the Agency's best interest in that it
acts as an incentive for the production and publication of
important papers.
A contractor (or subcontractor) and grantee may copy-
right data originated under a contract even though the govern-
ment has acquired the data. However, the government obtains
(by operation of the rights-in-data provisions) a copyright
license in all data produced under the contract or grant This
license allows the government to reproduce, translate, publish
and use the data in the course of official government business.
Pursuant to its copyright license, the Agency has the right to
reproduce such works, in whole !, for other uses, such as
incorporating a portion of one report into another report by
different authors. However, it is recommended that proper
references to the copyrighted report be used where applicable.
38
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The Agency's rights with respect to changes in copy-
righted research reports prepared by EPA grantees or contrac-
tors are governed by the copyright license acquired by EPA
pursuant to the terms of the grant or contract. A project officer
is free to use a copyrighted report to which the government
has a copyright license. If, in using the copyrighted data,
changes are initiated that result in a revised final report, such
action is consistent with the terms of the license. Nonetheless,
if a project officer makes changes in reports written and
copyrighted by a grantee or contractor either prior to or after
publication by the Agency, the material, as revised, is still
considered to be copyrighted data to which EPA has an
irrevocable license.
A refusal to make alterations in a technical report under a
grant or contract may be remedied by resort to grant terms and
conditions and contract articles and clauses. In a contract
scenario such a refusal could constitute a breach of contract on
the part of the contractor. Whenever this situation is encoun-
tered, initiate immediate contact with the grant administrative
officer or the contracting officer.
The Agency is entitled, pursuant to its copyright license,
to use the copyrighted data for official government purposes.
Updating and revising official government reports of copy-
righted data received under Agency grants and contracts is
sanctioned within the terms of the government's copyright
license. Such a revision to an EPA-sponsored report would
not alter the copyright held by the EPA contractor/grantee, nor
would it change the status of EPA's copyright license in such
material.
The Agency can, because of its copyright license, repro-
duce by photocopy journal papers that result from Agency-
sponsored work (grant/contract). Agency license rights are
more broadly defined in the "rights-in-data" provision appli-
cable to research grants as opposed to research contracts; The
grant provision refers to material developed directly or indi-
rectly pursuant to an EPA-sponsored research effort as data to
which the government acquires an irrevocable license. In the
contract "rights-in-data" clause the Agency acquires similar
rights with respect to all 'technical data' produced under the
contract For either situation the license rights EPA retains
should be sufficient to confer authority to reproduce journal
papers derived from federally funded resources.
Section 107 of Title 17, U.S. Code, represents statutory
recognition from the judicial doctrine of fair use, an important
and well-established limitation on the exclusive right of copy-
right owners. This section gives explicit recognition that
reproduction of copyrighted works for research purposes con-
stitutes a "fair use."
§ 107. Limitations on exclusive rights: Fair use.
Notwithstanding the provisions of Section
196, the fair use of a copyrighted work,
including such use by reproduction in cop-
ies of phonorecords or by an other means
specified by that section, for purposes such
as criticism, comment, news reporting, teach-
ing (including multiple copies for classroom
use), scholarship, or research, is not an in-
fringement of copyright. In determining
whether the use made of a work in any
particular case is a fair use, the factors to be
considered shall include:
the purpose and character of the use
including such Use is of a commercial
nature or is for nonprofit educational
purposes;
• the nature of the copyrighted work;
the amount and substantiality of the
portion used in relation to the copy-
righted work as a whole; and
the effect of the use upon the potential
market for or value of the copyrighted
work.
Furnishing single photocopies of a specific copyrighted
article to EPA contractors or applicable research purposes
comes within the "fair use" contemplated in the foregoing
statute. Nevertheless, project officers should be aware that
the "fair use" doctrine has limitations; see the four criteria in
Section 107 used to balance the equities between the author's
proprietary interest and the user's interests. Recourse to the
fair use doctrine should support the selective reproduction of
copyrighted articles for use by EPA contractors in the conduct
of Agency-sponsored environmental research projects. How-
ever, where a contractor/grantse chooses to incorporate copy-
righted articles into the final report, written permission from
the copyright owner should be secured in conformance with
the rights-in-data provisions of the grant/contract
The rights-in-data provisions applicable to both contracts
and grants limit the contractor's right to incorporate (within
the final report) data copyrighted by a third person.
Prior to inclusion of cojpyrighted material within the
research report a grantee or contractor must first obtain the
copyright owner's written permission. This assignment of
permission to use copyrighted materials must be as extensive
as the government's copyright license. The following excerpt
from the contract clause on rights-in-data sufficiently summa-
rizes the policy: "No copyrighted matter shall be included in
technical data furnished hereunder without the written ap-
proval of the contracting officer, unless there has been ob-
tained the written permission of the copyright owner for the
government to use such copyrighted matter in the manner
described above."
The same restraints apply to a contractor/grantee furnish-
ing photocopies of copyrighted material to the project officer
as applied in the preceding question where the roles were
reversed. Since such photocopies of material would be ob-
tained in support of Agency-sponsored research projects, re-
course to the "fair use" doctrine would indicate that this
activity would probably not constitute a copyright infringe-
ment Nonetheless, a systematic reproduction of copyrighted
works and subsequent distribution to the project officer could
raise an infringement question.
39
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Where it becomes arguable whether a contractor (or
project officer) has overstepped the bounds from selective
reproduction for research purposes into systematic reproduc-
tion of material only marginally related to the research con-
templated in the term "fair use," it is recommended that this
issue be brought to the attention of the Office of General
Counsel.
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Appendix E
Audiovisual Activities
From a memo entitled "Compliance with OMB Circular A-
114" by Jennifer Joy Wilson, Assistant Administrator for
External Affairs, dated April 1,1987.
Audiovisual products with an estimated cost of $5,000 or
more must have pre-production approval of the Director, OPA
(now called OCPA). Such products include any "unified pre-
sentation, developed according to a plan or script, containing
visual imagery, sound, or both, and used to convey informa-
tion." Audiovisual projects to be carried out as part of a
broader contractual undertaking are subject to approval in the
same manner as those contracted for directly.
Include all relevant information with the request for
approval of a proposed audiovisual product, including, but not
limited to:
• communication objective
• target audience
type of production planned
. • rationale for choosing the proposed medium
• estimated cost of the production
- • proposed delivery date
• life span of the information to be conveyed
• expected frequency of use
• necessity for periodic updating
• plan for distribution
• compatibility with existing communication programs
Submit requests to the Director, OCPA. (A-107), as far as
possible in advance of the target date for initiation of produc-
tion. Adequate lead time is essential because audiovisual
productions costing $5,000 or more also must be cleared with
the National Audiovisual Center of the National Archives and
Records Administration.
Agency components seeking television, graphics, or pho-
tographic services from the Audiovisual Division of the Of-
fice of Communication and Public Affairs should use the
Audiovisual Service Request form (EPA Form 2350-2). The
Audiovisual Division will request any additional information
needed if the service requested falls within the criteria re-
quiring pre-production approvaL
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Appendix F
Disclaimers and Other Notices
1. Final documents that contain any information unique to a
company, laboratory, or individual, including the use of
trade names, should carry a statement in the Notice or
Disclaimer (p. ii of front matter) similar to the following,
which disclaims any endorsement or recommendation of
a commercial product by the Agency:
Mention of trade names or commercial prod-
ucts does not constitute endorsement or rec-
ommendation for use.
2. Draft copies of ORD reports are sometimes distributed
outside the Agency for review. Each page is to be marked
"DRAFT." To prevent misunderstanding, the following
notice must appear on p. i or p. ii of the front matter of all
draft scientific and technical reports:
Notice
This document is a preliminary draft. It has
not been formally released by the U.S. Envi-
ronmental Protection Agency and should
not at this stage be construed to represent
Agency policy. It is being circulated for
comments on its technical merit and policy
implications.
3. If agreement is reached that a peer-reviewed draft of a
technical information product is appropriate for release as
an EPA publication, the following statement (p. ii of front
matter) must be used:
The information in this document has been
funded wholly (or in part) by the U.S. Envi-
ronmental Protection Agency under (con-
tract or assistance agreement and number)
to (name). It has been subject to the Agency's
peer and administrative review, and it has
been approved for publication as an EPA
document. (Add disclaimer statement for
documents containing proprietary informa-
tion.)
4. If agreement cannot be reached that a draft is appropriate
for release as an EPA publication, a recipient may inde-
pendently publish and distribute the document at his own
expense provided that he includes the following state-
ment in the document
Although the information in this document
has been funded wholly (or in part) by the
U.S. Environmental Protection Agency un-
der (contract or assistance agreement num-
ber) to (name), it does not necessarily reflect
the views of the Agency and no official
endorsement should be inferred.
5. EPA research published as articles in refereed journals
must include the following statement:
Although the research described in this ar-
ticle has been funded wholly (or in part) by
the U.S. Environmental Protection Agency
through (contract or assistance agreement
and number) to (name), it has not been
subjected to Agency review. Therefore, it
does not necessarily reflect the views of the
Agency. (OHEA adds "The U.S. Govern-
ment has the right to retain a non-exclusive
royalty-free license in and to any copyright
covering this article.")
6. Final documents for internal use by the requesting pro-
gram office contain the following notice:
This document is intended for internal
Agency use only. Mention of trade names or
commercial products does not constitute en-
dorsement or recommendation for use.
7. Final draft documents (each page of which is to be
marked "DRAFT") that may become part of a regulatory
docket file but are not submitted for a formal public
comment period contain the following notice:
This report is an external draft for review
purposes only and does not constitute Agency
policy. Mention of trade names or commer-
cial products does not constitute endorse-
ment or recommendation for use.
8. For research products that have been peer reviewed and
approved by the Agency but will be published elsewhere
(e.g., in book chapters), include the statement:
The information in this document has been
funded wholly (or in part) by the U.S. Envi-
ronmental Protection Agency under (con-
tract or assistance agreement and number)
to (name). It has been subjected to Agency
review and approved for publication.
42
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9. If independent research is published by an employee in
his/her non-worktime, the employee is requested to in-
clude the following disclaimer:
The research described herein was devel-
oped by the author, an employee of the U.S.
Environmental Protection Agency (EPA),
on his/her own time. It was conducted inde-
pendent of EPA employment and has not
been subjected to the Agency's peer and
administrative review. Therefore, the con-
clusions and opinions drawn are solely those
of the author and are not necessarily the
views of the Agency.
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Appendix G
Technical Information Regulations and Guidelines
The following is a list and brief description of regulations
and guidelines pertinent to the processing and publishing of
technical information in a government context. Because of the
number and complexity of these regulations, we have indi-
cated only their salient features. For more detailed informa-
tion, we recommend that you consult the references them-
selves. We have indicated where they may be obtained.
EPA Graphic Standards System, 1978 (out of print). A
graphic identity system that establishes and delineates the
graphic standards that EPA will adhere to in all its visual
communications. Copies are available from the Superinten-
dent of Documents, U.S. Government Printing Office, Wash-
ington, DC 20402, stock number 055-000-00169-3.
Government Printing andBinding Regulations, Joint Com-
mittee on Printing, Congress of the United States, No. 24,
April 1977. This pamphlet provides background information
on Government Printing Office requirements concerning the
use of color printing, self-mailers, printing requirements re-
sulting from grants or contracts, etc. Copies are available from
U.S. Environmental Protection Agency, Printing Manage-
ment and Distribution Section, Washington, DC 20460.
Public Law 101-520 Regarding Funds Appropriation for
Printing, Office of Research Program Management, Wash-
ington, DC. Sec 206, November 1990, states that commercial
printing of governments publications must be done by the
Government Printing Office except printing orders costing
$1,000 or less that are of a continuing or repetitive nature.
Printing Using Research and Development Appropria-
tions, from a memo dated February 27, 1991, by Peter M.
Durant, Chief, Planning Staff, U.S. Environmental Protection
Agency, Office of Research and Development, Washington,
DC. The program elements "Headquarters and Laboratory/
Field Expenses" of R&D appropriations fund the following
intramural activities: laboratory program support, supplies
and materials, equipment, automated data processing ser-
vices, interagency support agreements, human resources de-
velopment training, operation of facilities, and printing and
reproduction.
Printing and reproduction that is an integral part of an
extramural research project or activity is funded via the appro-
priate extramural R&D program element. In general, use the
operating expense program elements when printing or repro-
duction is done for items produced in-house. When the prod-
uct is part of an extramural research project or other activity
under contract (including level-of-effort contracts), coopera-
tive agreement, or IAG, then extramural funding is appropri-
ate. All printing must be through GPO.
Metric Practice Guide, ASTM E (current ed.). This guide
deals with conversion of quantities in various measurement
systems to the International System of Units (officially abbre-
viated SI in all languages). It is available from the American
Society for Testing and Materials, 1916 Race Street, Philadel-
phia, PA 19103.
Style Manual, U.S. Government Printing Office, Wash-
ington, DC. This manual contains general editorial advice and
the federal government's recommended style for capitaliza-
tion, punctuation, use of numerals, hyphenation, etc. It may be
purchased from the Superintendent of Documents, U.S. Gov-
ernment Printing Office, Washington, DC 20402.
Units of Weight and Measure, International (Metric) and
U.S. Customary, LJ. Chisholm, U.S. Department of Com-
merce, National Bureau of Standards, NBS Misc. Pub. 286,
revised October 1972. This document provides definitions
and conversion factors from various systems of measurements
to the international system. It may be purchased from the
Superintendent of Documents, U.S. Government Printing Of-
fice, Washington, DC 20402.
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Appendix H
EPA Order 2200.4a—EPA Publications Review Policy
EPA Publications Review Procedure
1. Purpose. This order establishes policy and procedural
requirements for the review of materials published or
issued by the Environmental Protection Agency. The
EPA Publication Review Procedure is established to:
a. Ensure that materials published or issued by EPA,
including materials made available through the Na-
tional Technical Information Service, have been de-
veloped using methods which will achieve high qual-
ity results;
b. Clarify EPA responsibilities for information pub-
lished or issued in the name of the Agency;
c. Provide for the expeditious approval of publications
before their public release; and
d. Identify, for external reporting requirement, all peri-
odicals, pamphlets, and audiovisual products pro-
duced by EPA.
2. Policy and procedures. The Assistant Administrators,
General Counsel, Inspector General, Associate Adminis-
trators, Regional Administrators, and the Administrator's
Staff Office Directors are the responsible officials for the
substance, form, and policy implications of all materials
originating in their respective offices. These officials
must establish internal review procedures and controls to
ensure the high quality of their publications and issu-
ances. Each official or his designee must indicate concur-
rence in the publication or issuance of all materials by
signing the appropriate block on EPA Form No. 2340-1
(Appendix A). This concurrence includes a certification
that such materials have been adequately reviewed.
Such materials submitted by EPA contractors and assis-
tance recipients shall be processed, respectively, in accor-
dance with the pertinent contract clause (Appendix C) or
the assistance regulation at 40 CFR §30.518 (Appendix
D).
3. Materials subject to these procedures. Materials pub-
lished or issued in the name of the U.S. Environmental
Protection Agency, audiovisual and printed materials,
whether originated by EPA employees, contractors, assis-
tance recipients, or consultants, are subject to the EPA
Publications Review Procedure except
a. Congressional testimony;
b. Verbatim testimony from hearings;
c. Advance Notices of Proposed Rulemaking
(ANPRMs), proposed or final regulations subject to
a formal comment period;
d. Press releases approved by the Office of Communi-
cations and Public Affairs (OCPA) or a counterpart
organization within a regional office or laboratory;
e. Legal opinions, briefs, and memoranda, including
initial, final, or other decisions in quasi-judicial ad-
ministrative proceedings;
f. Federal Register Notices;
g. Notices of Public Hearings;
h. Requests for Proposal (RFPs);
i. Articles by EPA employees and assistance recipients
submitted for publication to refereed scientific jour-
nals that include a statement indicating that the ar-
ticles do not reflect the official views of EPA;
j. Criteria documents and other similar documents sub-
ject to a formal public comment period or review by
the Science Advisory Board or the Science Advisory
Panel;
k. Advisory Committee statements and reports;
1. Materials generated on an employee's own time us-
ing private facilities;
m. Internal policy statements, memoranda, and,direc-
tives;
n. Official Agency correspondence;
o. Publications of the Office of the Inspector General;
p. Such other materials as are deemed appropriate for
exclusion by the External Relations Division of
OCPA.
Contract Publications Review Procedures
From the Federal Register
Volume 49, No. 47
Thursday, March 8,1984
Rules and Regulations
(pp. 8883 and 8884)
1552.237-70
As prescribed in 1537.110, insert the following contract
clause when the products of the contract are subject to con-
tract publication review:
45
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a.
b.
c.
Contract Publication Review Procedures (Apr. 1984)
Material generated under this contract intended for re-
lease to the public is subject to the Agency's publication
review process in accordance with the EPA order on this
subject and the following.
Except as indicated in paragraph "c" below, the contrac-
tor shall not independently publish or print material gen-
erated under this contract until after completion of the
EPA review process. The project officer will notify the
contractor of review completion within calendar, days
after the contractor's transmittal to the project officer of
material generated under this contract If the contractor
does not receive project officer notification within this
period, the contractor shall immediately notify the con-
tracting officer in writing.
The contractor may publish, in a scientific journal, mate-
rial resulting directly or indirectly from work performed
under this contract, subject to the following:
1. The contractor shall submit to the contracting officer
and the project officer, at least 30 days prior to
publication, a copy of any paper, article, or other
dissemination of information intended for publica-
tion.
2. The contractor shall include the following statement
in a journal article which has not been subjected to
EPA review:
Although the research described in this ar-
ticle has been funded wholly (or in part) by
the U.S. Environmental Protection Agency
contract (number) to (name of contractor), it
has not been subject to the Agency's review
and therefore does not necessarily reflect
the views of the Agency, and no official
endorsement should be inferred.
3. Following publication of the journal article, the
contractor shall submit five copies of the journal
article to the project officer and one copy to the
contracting officer.
d. If the government has completed the review process
and agreed that the contract material may be attrib-
uted to EPA, the contractor shall include the follow-
ing statement in the document:
This material has been funded wholly (or in
part) by the U.S. Environmental Protection
Agency under contract (number) to (name).
It has been subject the Agency's review, and
it has been approved for publication as an
EPA document. Mention of trade names or
commercial products does not constitute en-
dorsement or recommendation for use.
e. If the government has completed the review process but
decides not to publish the material, the contractor may
independently publish and distribute the material for its
own use and at its own expense, and shall include the
following statement in any independent publication:
Although the information described in this
article has been funded wholly (or in part)
by the U.S. Environmental Protection
Agency under contract (number) to (name),
it does not necessarily reflect the views of
the Agency and no official endorsement
should be inferred.
Procedures for Publishing Scientific,
Informational, and Educational Documents
From the Federal Register :
Vol. 48, No. 191
Friday, September 30,1983
Rules and Regulations
Environmental Protection Agency
40CFRPart30
(OA-FRL 2277-2)
General Regulation for Assistance Programs
/
§30.518
a. EPA encourages publication of the results of its assis-
tance agreements.
b. You must comply with EPA's peer and administrative
review process if you intend to release to the public
informational materials, reports, and other products pro-
duced under an EPA assistance agreement.
1. Except for articles published under paragraph "d" of
this section, you must submit three copies of the
documents to your project officer for EPA review.
EPA will evaluate the documents and will provide
you with written, suggested changes, if any.
2. You should make every effort to accommodate sug-
gestions arising from the EPA review process while
preparing a revised draft You should alert EPA
reviewers to suggestions you cannot accommodate
and to changes initiated by you in the revised draft
3. If an agreement is reached that the material is appro-
priate for release as an EPA publication, the follow-
ing statement must be included in the document:
The information in this document has been
funded wholly (or in part) by the U.S. Envi-
ronmental Protection Agency under assis-
tance agreement (number) to (recipient). It
has been subjected to the Agency's peer and
administrative review and has been approved
for publication as an EPA document. Men-
tion of trade names or commercial products
does not constitute endorsement or recom-
mendation for use.
c. If agreement cannot be reached that the material is appro-
priate for release as an EPA publication, you may inde-
pendently publish and distribute the document for your
own use and at your own expense provided you include
the following statement in the document:
Although the information in this document
has been funded wholly (or in part) by the
U.S. Environmental Protection Agency un-
46
-------
der assistance agreement (number) to (re-
cipient), it may not necessarily reflect the
views of the Agency, and no official en-
dorsement should be inferred.
d. EPA also encourages independent publication of reports
in refereed journals at any time. You must submit a copy
of the article to your project officer when you send it for
publication. Following publication, three copies of the
article should be submitted to the project officer. The
article must include the following statement:
Although the research described in this ar-
ticle has been funded wholly (or in part) by
the U.S. Environmental Protection Agency
under assistance agreement (number) to (re-
cipient), it has not been subjected to the
Agency's peer and administrative review
and therefore may not necessarily reflect the
views of the Agency, and no official en-
dorsement should be inferred.
Documents that are not to be released to the public as
EPA publications but are part of a recipient's regular
pollution control activities are not subject to the EPA peer
and administrative review process; e.g., state pollution
control agency-published newsletters and operation and
maintenance manuals under the wastewater treatment
construction grants program. However, EPA encourages
you to establish a similar review process before publish-
ing any documents at your own expense. You may pub-
lish such documents only if you include the following
statement:
This project has been funded wholly (or in
part) by the U.S. Environmental Protection
Agency under assistance agreement (num-
ber) to (recipient). The contents of this docu-
ment do not necessarily reflect the views
and policies of the Environmental Protec-
tion Agency, nor does mention of trade
names or commercial products constitute
endorsement or recommendation for use.
47
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Appendix J
Communications Planning Guidance
From a memo dated February 25,1991, by Lewis S. W.
Grampian, Associate Administrator, OCPA.
The Communications Plan is a tool for making sure the
Agency has a well thought-out strategy for reaching the public
about an EPA activity. Every major Agency policy announce-
ment or issue needs a Communications Plan, and no major
regulatory package will be signed without a final plan.
Each Assistant Administrator and Regional Administra-
tor has designated a primary communications contact to assist
you in developing communications plans and coordinating
them with the Office of Communications and Public Affairs.
On pages 49 through 65 of this document are several
documents to assist you in developing Communications Plans:
1. Format for Communications Plans
2. Guidance for Filling Out Communications Plans
3. Sample Communications Plans
48
-------
FORMAT FOR SUMMARY P LAN
1. ACTION:
2. MESSAGE:
3. AUDIENCE:
4. OVERALL
STRATEGY:
SUMMARY
COMMUNICATIONS PLAN
[Program Office]
Date:
KEY WORD TITLE:
OFFICIAL TITLE:
IMPORTANCE:
PROJECTED
ANNOUNCEMENT
DATE:
49
-------
FORMAT FOR DETAILED PLAN
DETAILED
COMMUNICATIONS PLAN
[Program Office]
Date:
KEY WORD TITLE:
OFFICIAL TITLE:
5. BACKGROUND
SUMMARY:
6. DETAILED
DESCRIPTION
OF ACTION:
7. EFFECT
OF ACTION:
8. ANTICIPATED
REACTION:
9. DETAILED
STRATEGY:
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50
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10. ANNOUNCEMENT
NOTIFICATION
PLAN
INTERNAL AND INTER-AGENCY NOTIFICATION
WHO TO NOTIFY WHEN NQTIFIER
ACTION /
MATERIALS
NEWS MEDIA NOTIFICATION
WHO TO NOTIFY WHEN
NOTIFIER
ACTION /
MATERIALS
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51
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CONGRESSIONAL NOTIFICATION
WHO TO NOTIFY WHEN
NOTIFIER ACTION/MATERIALS
STATE AND LOCAL NOTIFICATION
WHO TO NOTIFY WHEN
NOTIFIER ACTION / MATERIALS
INTEREST GROUP NOTIFICATION
WHO TO NOTIFY WHEN
NOTIFIER
ACTION/MATERIALS
PLANNING DOCUMENT - AGENCY USE ONLY
52
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U I D A N C
SUMMARY
COMMUNICATIONS PLAN
[Program OfflceJ
Date:
The Communications Plan consists of two parts -- a summary page which Is to be filled out S_Q
days before an action Is announced or released, or at the start of Red Bordar review. A more
detailed second, part Is due 30 davs before an Announcement or. at the lataat. when the final
Package Is submitted to the Assistant or Regional Administrator. Documents should be stamped
"DRAFT" or "FINAL," as appropriate, and dated. For ease of reading, this summary page and
plan should conform to the following format.
KEY WORD TITLE: Plain English, working title
OFFICIAL TITLE: As shown on document, etc.
IMPORTANCE:
1. ACTION:
2. MESSAGE:
AUDIENCE:
OVERALL
STRATEGY:
What is the potential visibility of
this action? (High, Medium or
Low Visibility)
PROJECTED
ANNOUNCEMENT
DATE:
In plain English (without regulatory or statutory citations or jargon), what is the
Agency doing and wfty? What environmental problem are we trying to solve, how
big or severe is the risk we are addressing, and how does this action help,
especially in reducing risk? Avoid undefined acronyms and abbreviations.
NOTE: This should resemble a journalist-style lead. Use lay terms and leave
the details for later. For example, it may be important that an EPA action is
prompted by a consent decree, but what would be far more significant is if it
promised a major environmental gain.
What do we want the public to understand about this action? What is the
underlying or long-term message we want to get across? How does this action fit
in with other Agency actions or major themes? Is it part of an "integrated"
approach to solve a larger problem? Does this action set any legal, regulatory or
otherwise public policy precedents we should tell the public?
NOTE: Deciding on a "message" is not the same as describing the action (see
above). The message is what we want the public to conclude about the Agency's
action. The message may also call on the public to act, such as encouraging
recycling or radon testing.
Who cares most about this issue (general public, state governments, cities,
congressmen, environmentalists, the regulated community, trade associations,
unions, small businesses, recreation groups, international organizations) and
what are their reactions likely to be?
Based on the audiences we're trying to reach and the message we want to
deliver, what overall approach should we take to communicating this issue and
why? (e.g., a high-visibility campaign to reach the widest possible audience; an
approach that emphasizes public education or community relations; or outreach
targeted to key officials in Washington?)
NOTE: Press releases, press conferences, and constituent briefings are public
affairs tools, not strategies in themselves. The strategy will dictate which tools are
likely to be most effective. These, in turn, will be described in detail later in the
P'an- PLANNING DOCUMENT - AGENCY USE ONLY
53
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G U I
D
N
DETAILED
COMMUNICATIONS PLAN
[Program Office]
Date:
This Is the second part of the communications plan (the first part being ths summary page). The
second part Is due 30 days before an announcement or release date, or, at the latest, when the
final package is submitted to the Assistant or Regional Administrator. Although the summary
page duplicates some of this information, It should always accompany this more detailed second
part. In those rare Instances when there's not enough information available 90 days In advance
to write a full communications plan, the summary page will serve as a stand-alone document until
the second part can be developed.
KEY WORD TITLE:
OFFICIAL TITLE:
5. BACKGROUND
SUMMARY:
6. DETAILED
DESCRIPTION
OF ACTION:
7. EFFECT
OF ACTION:
8. ANTICIPATED
REACTION:
9. DETAILED
STRATEGY:
Briefly, how did we get to this point? Again, without dwelling on statutory or
regulatory details, what is the environmental problem we're trying to solve and
how did we arrive at this solution or at this stage in the development of a solution?
NOTE: Since not everyone reading this will be an expert in your area, briefly
summarize the history of this issue as though it will be read for the first time.
Avoid undefined acronyms, abbreviations or statute numbers and titles.
If you are reasonably sure what action the Agency is going to take at the time
you draft this communications plan, this is the place to elaborate on your
answer to the "ACTION" question on the summary page. Otherwise, outline
the options the Agency is considering or is most likely to take.
Describe the most significant effects this action will have on individuals,
groups, states, cities, the regulated community, or others.
Without passing judgement on their merits, what will be the likely or possible
arguments for or against this action and which groups are likely to advance them.
In your opinion, what communications approach follows from the overall strategy
set down on the summary page? What communications tools are most likely to
achieve that goal?
NOTE: If, for example, an Agency action affects a large segment of the public and
is so inherently newsworthy that it will draw national news coverage, our goal
would be to reach as much of the public as possible. In that case, we may decide
the Administrator or Assistant Administrator should hold a Washington news
conference and conduct Congressional and special interest group briefings and
that the regions should conduct concurrent efforts. In addition to a national
press release, we may want to establish a citizen's hotline and prepare consumer
information brochures.
On the other hand, if an Agency Wiiativ« is far-reaching, but doesn't immediately
interest the public, we may choose a more targeted approach, such as
announcing it in a speech or special mailing to targeted groups. If an issue is
interesting to Washington insiders, but unusually complex, we may want to invite
a few key environmental reporters or Congressional start people to an extended
briefing. If we see a great need to educate the public on an environmental
danger, we may decide to ask a ceie.brity-to help us produce public service
PLANNING DOCUMENT - AGENCY USE ONLY
54
-------
program directly to a general audience, we may want to use the Agency's radio
actuality service, or utilize the services of a satellite TV broadcasting facility.
The point is, there's more to communications planning than just issuing a press
release or calling a press conference. There's a variety of communications
approaches and tools we can use depending on the massage we want to send
and the audience we want to receive it. This is the place to recommend
innovative and creative approaches to communications: planning, as the situation
demands. Feel free to consult with OCPA's communications strategy staff or
regional public affairs staff on selecting the appropriate tools.
Keep in mind too that all communications activities do not begin and end on the
day of the announcement. If an issue has an unusually complex history, for
example, and the press is anticipating Agency action on it, it may be appropriate
to invite a few leading environmental reporters to a pre-briefing just to review the
issue's background. In the weeks following the announcement, we may want to
send additional material to editorial writers, who often generate the next wave of
public attention on an issue. If we anticipate widespread consumer interest in an
EPA announcement, we may have to begin preparing consumer information
brochures months before or placing public service announcements on television
and radio stations for months after.
Remember, a communications plan Is not a notification plan
(notification is only .a part of the overall strategy). Describe (In
bullet-form) each recommended communication tool, along with a
short, two- or three-line justification for using it, and outline the
sequence In which you feel they should be used. This sequence
will dictate, among other things, how notification Is carried out.
For example:
o Speech Potential. Assuming the timing is right and the proper forum can
be found, it might be appropriate to have the Administrator or other
Agency official announce this action in a major speech. (The
Administrator's speechwriters frequently consult the OCPA
communications strategy staff and the program communications contacts
to see if there are Agency actions ready to be announced in time for
important speeches, and they will generally jointly make this
determination.)
o By 3/15: Consumer Guide. Brochure for the Regulated Community.
Explains Agency action in plain English.
o 3/19. p.m.: Tape Radio Actualities. Consumer interest in the
announcement should be such that radio stations around the country
would be inclined to pick up an actuality read by the Administrator
and played the day of the announcement.
o 3/20.10 a.m.: Congressional Briefings. Selected members of
Congress, their staffs, or the staffs of various Congressional committees
and subcommittees may be sufficiently interested in an issue to want
special briefings by EPA officials, generally before the Agency
announces the action to the public.
PLANNING DOCUMENT - AGENCY USE ONLY
55
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3/20. noon: National prflss conference Because the press has
shown unusual interest in this issue during the last few months, the
Administrator should hold a general press conference.
3/2Q. 5 p.m: Satellite Teleconference. Local television
stations will probably be interested in picking up a series of live
interviews with the Assistant Administrator to regionalize the story.
10. ANNOUNCEMENT
NOTIFICATION
PLAN:
The purpose of the notification plan is to make sure everyone potentially
interested in an Agency action is contacted at the appropriate time by the
appropriate official. Most notification plans break down because the
responsibility for making a contact call is not clearly assigned. In filling out
the "when" section, list items in the sequence they will happen. In
identifying the notifiers, make sure to indicate headquarters or regions, or
both. In addition, we suggest you make an effort to streamline the
number of telephone calls or fax the messages called for in the plan to
make this process as efficient as possible. Consider notifying people
who don't have an immediate need to know through special or routine
mailings.
INTERNAL AND INTER-AGENCY NOTIFICATION
WHO TO NOTIFY
Specify EPA Headquarters
and regional offices, as well
as other federal agencies,
including the White House
(provide staff names if
possible).
Unless this issue affects
only one or two regions.
its sufficient to indicate
generally "all regional
public affairs offices"
or "all regional program
offices."
WHEN
Use actual dates
or timeframes, such
as two days before
announcement or
distribution, day of
announcement,
etc.
NQTIF1ER
Name Agency
headquarters or
regional office and
persons who will
make the contacts.
NOTE: OCPA
generally notifies
regional public affairs
offices and the
program generally
notifies regional
program offices.
ACTION / MATERIALS
Telephone calls, fax ,
fact sheets, statements
or other background
materials?
Number of copies?
NEWS MEDIA NOTIFICATION
WHO TO NOTIFY WHEN
Specify general, trade,
Washington, local, network,
local broadcast, or special
interest news media
(or any combination).
Use actual dates
or timeframes, such
as two days before
announcement or
distribution, day of
announcement,
etc.
NQTIF1ER
This will always
be the EPA
headquarters or
regional press office.
ACTION/MATERIALS
Press release, press
advisory statements,
fact sheets, graphics,
photos or videos?
Number of copies?
PLANNING DOCUMENT - AGENCY USE ONLY
56
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CONGRESSIONAL NOTIFICATION
WHO TO NOTIFY WHEN
Specify congressional
offices (and staff names
if possible).
Use actual dates
or timeframes, such
as two days before
announcement or
distribution, day of
announcement,
etc.
NQTIFIER
Name Agency
headquarters or
regional offices
and the persons
who will make the
contacts or arrange
briefings. This will
always be managed
by the Office of
Congressional
Liaison.
ACTION / MATERIALS
Letters, fact sheets,
statements, and
other background
materials? Briefing
invitations?
Number of copies?
STATE AND LOCAL NOTIFICATION
WHO TO NOTIFY WHEN
Specify state or local
offices (and staff names
if possible).
Use actual dates
or timeframes, such
as two days before
announcement or
distribution, day of
announcement,
etc.
NQTIFIER
Name Agency
headquarters or
regional offices
and the persons
who will make the
contacts or arrange
briefings. Consult
carefully with the
Office of Regional
Operations and State
Local Relations
(ORO/SLR).
NOTE: Be careful
to spell out how these
duties will be divided
between the program
office involved and
ORO/SLR.
ACTION /MATERIALS'
Letters, fax, fact sheets
statements and other
background material?
Briefing invitations?
Number of copies?
PLANNING DOCUMENT - AGENCY USE ONLY
57
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INTEREST GROUP NOTIFICATION
WHO TO NOTIFY WHEN
Specify the environmental,
industry, trade or community
groups or unions (and
persons if
possible).
Use actual dates
or timeframes, such
as two days before
announcement or
distribution, day of
announcement,
etc.
NOTIFIER
Name Agency
headquarters or
regional offices
and persons who
will make the
contacts or arrange
briefings. Consult
carefully with
OCPA's Office of
External Relations
which wiH manage
this process.
NOTE: Be careful to
spell out how these
duties will be divided
among the program
office involved,
OCPA's Office
of External Relations
and Regional
Public Affairs
offices.
ACTION / MATERIALS
Letters, fact sheets,
statements, and other
background materials?
Briefing invitations?
Number of copies?
PLANNING DOCUMENT - AGENCY USE ONLY
58
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SAMPLE
January 29, 1991
ENVIRONMENTAL INVESTMENTS: THE COST OF A CLEAN ENVIRONMENT
Office of Policy, Planning and Evaluation
KEY WORD TITLE: Cost of Clean
OFFICIAL TITLE: Environmental Investments: The Cost of a Clean Environment
ISSUE IMPORTANCE: Medium
PROJECTED
ANNOUNCEMENT DATE: February 1. 1991
1. ACTION: (a) Administrator transmits annual report to Congress as required
under the Clean Air Act and Clean Water Act
(b) Administrator transmits summary document entitled Environmental
Investments: The Cost of a Clean Environment
2. MESSAGE:
3. AUDIENCES:
(a)
(b)
(c)
(d)
(e)
(f)
From Mr. Reilly -
While costs of environmental pollution control continue to rise,
environmental protection is a sound economic investment.
Primary Audiences
President of the U.S. Senate*
Speaker of the U.S. House of Representatives*
Members of Congress
All other Federal agencies
Private sector organizations which have a concern for environmental
pollution controls
Governors and state environmental commissioners
General Audiences
(g) Key citizen groups
(h) State and local government environmental agencies
(i) Other major environmental organizations
(j) State colleges and universities
(k) Economic associations
(I) International audiences
(m) EPA Assistant Administrators, Regional Administrators, Office
Directors
(n) Public requests
4. OVERALL
STRATEGY
APPROACH
Informational report is being provided to Congressional leaders, EPA
managers, and key professionals within the environmental community.
59
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ENVIRONMENTAL INVESTMENTS: THE COST OF A CLEAN ENVIRONMENT,
REPORT OF THE ADMINISTRATOR OF THE ENVIRONMENTAL PROTECTION
AGENCY TO THE CONGRESS OF THE UNITED STATES
COMMUNICATIONS PLAN
KEY WORD TITLE: Cost of Clean
OFFICIAL TITLE: Environmental Investments: The Cost of a Clean Environment
5. BACKGROUND: This detailed report will be transmitted to Congress as a report of the
Administrator in response to Section 312(a) of the Clean Air Act and
Section 516(b) of the Clean Water Act. The last report was prepared in
1984. No action has been taken by Congress to demand the report.
6. DETAILED DESCRIPTION OF ACTION: This is an informative report in response to
Section 312(a) of the Clean Air Act and Section 516(b) of the Clean Waler Act.
7. EFFECT OF AGENCY ACTION: N/A
8. ANTICIPATED REACTION: Potential reactions include:
The U.S. Is already spending a tot on environmental protection and we don't need to spend
a lot more.
The U.S. is spending a lot on environmental protection and this shows how serious we are
about protecting the environment.
The U.S. Is spending a tot on environmental protection and we can afford it but we are not
rich enough to spend it in the wrong places.
The U.S. is spending a tot on environmental protection but this is such a small share of
the GNP that there is little Impact on the economy.
This report tells us a tot about what we have spent for environmental protection; but,
what have we gotten for our "Investment" in environmental quality, is the money being spent
efficiently, and are the biggest risks being addressed?
In short, we anticipate that the interpretation of the numbers in this report can be used
to support a number of positions and that questions about what we gain (in monetary terms)
from all these expenditures will be raised.
9. DETAILED STRATEGY:
o Cover letter from Administrator transmitting report to President of the Senate and
Speaker of the House of Representatives. Bill Pistor (OCLA) will send copies to Senate and
House committees under separate cover. Brigette Gonzales (OC) will send copies to budget
appropriations committees under separate cover.
60
-------
o Th« summary report entitled Environmental Investments: The Cost of a Clean
Environment wiH be the primary tool for conveying the message contained in the larger
technical report.
o Note to Correspondents • John Kasper/Luke Hester
o Phasa I distribution - 250 copies of technical report and 1,500 copies of the summary
report will be distributed to those with immediate need upon transmittal to Congress (see
Announcement Notification Plan as it represents Phase I distribution). Phasa 2 distribution -
Up to 5,000 copies of the summary (printed with colored cover) for remaining recipients 2-4
weeks later.
o Notice of availability in OCR A weekly 'EPA Activities Update' sent to 700 national
constituent groups and 600 regional, state, and local contacts • Carol Singer
o An article for the EPA Journal was written by Jack Lewis and appeared in EPA's 20th
anniversay edition - Sep/Oct 1990.
o Copies of the report are available by contacting Ernestine Thomas at 202/382-5606.
Mil. Thomas will also direct callers with technical questions to the appropriate staff.
o We am working with NTIS to make copies of each report available through their service.
9. a. SPEECH OPPORTUNITY: The Administrator has already discuaised the report, i.e., the
basic results on costs of pollution control, in two previous media (Economic Press and at the
National Press Club). The Administrator does not want to make any additional speeches upon its
release. We see an opportunity for extracting data from the report to usa in future speeches.
61
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10. ANNOUNCEMENT NOTIFICATION PLAN:
NOTIFICATION [Distribution]
VVHQM TO NOTIFY
Administrator, Deputy
Administrator, and
WHEN
Phase 1
WHO WILL NOTIFY
Brenda Kover
475-7171
Full
HflBflfi
3
Chief of Staff w/note
from AA/OPPE
Regional Public Affairs Phase 1
Directors and Lab Directors
w/note from AA/OPPE
Regional Administrators Phase 1
w/note from AA/OPPE
Deputy Regional Admin. Phase 1
w/note from AA/OPPE
Assistant and Associate Phase 1
Administrator's
w/note from AA/OPPE
Deputy Assistant and Phase 1
Associate Administrators
w/note from AA/OPPE
Special Assistants Phase 1
Office of Admin and
Deputy Admin
w/note from AA/OPPE
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
12
(1 ea)
10
10
Summary
24
(2 ea)
10
10
1 4
14
18
62
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iNTERNAL/INTEH-AGENCY NOTIFICATION (Conl)
Bill Plstor Phase 1
OCLA, A103
Ann Dugan Phase 1
EPA Libraries (30)
PM211A, 382-5935
EPA Library (Headquarters) Phase 1
c/o Ann Dugan PM211A
NITS Phase 2
Science Advisory Board Phase 1
c/o Joanna Foellmer
Program Communications Phase 1
Contacts and OCPA
Communications
Strategists
Sharon Stahl Phase 1
Office of Pollution Phase 2
Prevention Rm. 3103 Mail
PM-222
Brenda Kover
will call upon
AX sign-off
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
Brenda Kover
20
30
(1 ea)
11
30
75
150
(5 ea)
1 0
1 1
30
18
2
28
MEWS MEDIA NOTIFICATION
WHOM TO NOTIFY
Luke Hester (will
send not* to
correspondent*)
EPA Press Ofltoe
Rm. 307E WT
A-107
Phase 1
Full
WHO WILL NOTIFY Raport
Brenda Kover
will call upon
AX sign-off
20
Summary
100
63
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CONGRESSIONAL NOTIFICATION
WHOM TO NOTIFY
Full
WHO WILL NOTIFY BflOQlt
Summary
Speaker of House-Foley
Pres. of Senate-Quayle
w/cover letter from Admin.
Phase 1
House Committee of Energy Phase 1
and Commerce:
John Clough, Staff Director
for Majority
Keith Cole, Minority Counsel
(under separate cover)
Senate Environment and Phase 1
Public Works:
David Strauss, Staff Director
for Majority
Steven Shbnberg, Chief Counsel
(or Minority
(under separate cover)
Senate Appropriations
Committee:
Carrie Apostotou
Stephen Kahashl
House Appropriations
Committee:
Micheie Bunkett
Jim Ogsbury
Phase 1
Rosemary Carroll
Copies to
Bill Plstor
Copies to
Bill Plstor
Copies to 4
Brkjette Qoruales
STATE AMD LOCAL HQT1FICAT1QM
OROSLfl-StaH Comm. Phase 2
Paul Guthrie, W329
•20 copies State/EPA Committee
"State Sr. Env. Offidaki
Ful
WMQWti. NOTIFY
Copies to Paul
Quthde
20*
Summary
130**
64
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INTEREST GROUP NOTIFICATION
WHOM TO NOTIFY WHEN
Carol Singer Phase 1
External Relations, OCR A Phase 2
Rm. W315, A-107
Full
WHO WILL NOTIFY Rflpofl
Brenda Kover 3 0
Summary
25
125
65
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Appendix K
Meetings, Conferences, and Symposia Sponsored by EPA
All information in this appendix (except for the last para-
graph) is taken from Contracts Management Manual Chapter
13 (Draft July 199J). The last paragraph is the consensus of
Technology Transfer engineers.
Background
EPA occasionally needs the support of contractor person-
nel to assist in the planning and conducting of EPA-sponsored
conferences and meetings. Generally, the use of contractors
for such purposes is permissible if contractors are not being
called upon to perform inherently governmental functions and
arc not being used to circumvent budget ceilings or restric-
tions placed upon the Agency.
Registration Fees
The Financial Management Division (FMD) must concur
on any plans to charge a registration fee to EPA employees at
an EPA-sponsored conference, either directly or through a
contractor. The charging of a registration fee cannot be a
means of using government funds for items which would not
otherwise be proper. Upon FMD approval, a registration fee
could be charge for items, such as the administrative and
logistical costs of conferences or meetings. The Contracting
Officer must authorize contractor plans to charge a registra-
tion fee and the amount of the registration fee. Procedures
must be established to ensure that all amounts collected are
properly controlled and accounted for.
Conference Rooms and Meeting Facilities
The Facilities Management Manual (FMM) prescribes
procedures for assigning, utilizing, and managing conference
and meeting facilities at EPA Headquarters. The FMM also
permits components outside EPA Headquarters to adapt these
procedures for their own use.
Initiators of Procurement Requests involving conferences
or meetings at EPA Headquarters are responsible for contact-
ing the Facilities Management and Services Division (FMSD)
for the assignment of conference and meeting facilities. The
Agency is required to use government-controlled space for
EPA conferences and meetings if suitable space is available in
the area. If suitable space is not available, the FMSD may
authorize the procurement of commercial facilities.
Initiators of procurement requests involving conferences
or meetings at sites other than EPA Headquarters should
contact the cognizant facilities management group for the
EPA regional office in which the meeting will be held to
determine any requirements for obtaining conference or meet-
ing facilities in that area.
Meals and Refreshments
Generally, the cost of meals and refreshments is consid-
ered a personal expense even where it occurs in a business-
related setting. Therefore, contracts should normally not in-
clude expenses related to the serving of meals or refreshments
to participants at a meeting or conference. The Comptroller
General has recognized limited exceptions to this rule, such as
to provide small "samples" of ethnic food as part of an ethnic
awareness program or when a meeting or conference is part of
an authorized training program under the Government Em-
ployees Training Act. Offices planning to include the cost of
meals or refreshments as part of a procurement request should
first check with the contracting activity that will be processing
the request.
Fees and Honoraria for Speakers
When it is necessary to pay a fee or honorarium in
addition to the regular per diem rate in order to obtain a
speaker or presenter, the proposed fee must be approved by
the initiating program office and the Contracting Officer prior
to obligating the government. The reasonableness of the fee
should take into account the professional stature of the indi-
vidual in his or her specialized field; fees paid by private
employers for similar services; and other relevant factors. The
fee may include associated costs, such as travel.
Audiovisual Equipment
Whenever audiovisual equipment is needed for EPA-
sponsored meetings or conferences, the initiator should con-
tact the cognizant Headquarters or regional facilities manage-
ment group (depending on where the .meeting or conference
will be held) to determine if the necessary equipment is
available. The facilities management group will determine if
the necessary equipment is available either at EPA or from
another federal agency. If the required equipment is not
available from federal agencies, the facilities management
group will notify the initiator that the equipment may be
procured either directly or through a contractor.
Payment of Transportation and Lodging
Expenses
Transportation and lodging can be paid to non-EPA
participants for attendance at an EPA-sponsored meeting,
conference, or symposium through issuance of an Invitation
66
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Travel Authorization, in accordance with procedures in the
EPA Travel Manual (Resources Management Directives Sys-
tem 2550B).
EPA will not provide funds for contractors or other non-
EPA personnel to attend non-EPA sponsored conventions or
meetings unless Jhe Agency has specific statutory authority to
do so. However, where travel to such conventions or meetings
is incidental to the performance of a specific contract, EPA
may reimburse travel and lodging expenses in accordance
with the applicable cost principles in the Federal Acquisition
Regulation (FAR). An example of such incidental travel fol-
lows: An existing contract required the analysis of reports of
pesticide accidents. During the course of the contract, a pro-
fessional association meeting will be held with "Pesticides" as
one of the subjects to be discussed. The EPA Project Officer
would like one of the contractor's personnel to attend the
meeting. In such a case, the cost of related travel and lodging
for the contractor employee may be reimbursed if otherwise in
accordance with the terms of the contract and FAR cost
principles.
The travel expenses for federal employees may not be
paid under an EPA contract unless specifically authorized by
the cognizant Contracting Officer.
Handout Data
It is not necessary to assign ian EPA number to a handout
for a seminar. Budget restraints dictate that only enough
handouts be printed to distribute to attendees. Refer requests
for copies of handouts to the presenter.
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Appendix L
Glossary
ABSTRACT
ASSISTANT ADMINISTRATOR (AA)
CAMERA-READY COPY
CERI
CONTROL ID NUMBER
DISTRIBUTION
DRAFTCOPY
DRAFT ID NUMBER
DUPLICATING
EDITING
EXTERNAL RELATIONS DIVISION
FINAL COPY
FORMAT
GPO
The summary of a proposed scientific presentation, generally
200 words or less.
The final authority on ORD's technical information policy and
the content of technical information products.
A clean page of typed original material (text, tables, etc.), line
art (charts, graphs, diagrams, etc.), and unscreened glossy
photographs that can be used for printing or duplicating with no
further work.
Center for Environmental Research Information, Cincinnati:
The office responsible for coordinating publishing activities for
ORD.
See "Report or EPA ID Number."
The dissemination of a publication to ORD's user community.
The double-spaced typed copy submitted for review by the
originator.
The number assigned by the cognizant TIM or TERM to each
draft copy received by his organizational component for subse-
quent processing. Each draft copy will retain this number until
the report ID number is assigned by CERI. The Draft ID
Number is to consist of the ORD organization's initials and
location followed by a unique number to identify each draft
processed. Example: ERL-Ath-lOa-6/1/76.
The reproduction of limited numbers of copies, using standard
office equipment
The act of reviewing a draft to (1) improve its organization,
punctuation, and grammar; (2) eliminate repetitious or irrel-
evant material; (3) reconcile text with tables and figures; and
(4) clarify obscure or misleading phrases.
Staff office within the Office of Communications and Public
Affairs (OCPA) with the authority for final review/approval of
most Agency reports with policy implications; exceptions are
documents submitted for a formal public comment period.
See "Camera-ready Copy."
The shape, type, form, and general arrangement of a report,
book, etc.
Government Printing Office.
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IN-HOUSE AUTHOR
LABORATORY DIRECTOR (LD)
"s
NTIS
OFFICE DIRECTOR (OD)
ORAL PRESENTATION
ORD CLEARANCE FORM (EPA-362)
ORIGINATOR
PB NUMBER
PCO
PO
POLICY
PRINTING
PUBLICATION REVIEW RECORD AND PRINTING
REQUEST FORM (EPA 2340-1) Updated 4/84
PUBLISH
REPORT or EPA ID NUMBER
An EPA employee responsible for preparing a technical infor-
mation product
Laboratory directors are responsible for review and approval of
appropriate outputs of their laboratories. They ensure proper
balance, adequacy of effort, and sensitivity to policy matters of
the total technical information program.
National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161. The central point for availability of all
government technical reports.
Office directors are responsible for review and approval of
appropriate outputs of their offices. They ensure proper bal-
ance, adequacy of effort, and sensitivity to policy matters of the
total technical information program.
A technical presentation made to a non-EPA audience.
The form that is a record of clearances and instructions neces-
sary for processing technical material prepared by or for ORD.
The individual (in-house or extramural) responsible for provid-
ing the camera-ready copy of materials submitted for publica-
tion. ^
The number that NTIS assigns to submitted documents.
Printing Control Officer. The specific individual within a given
EPA organizational component designated by the EPA printing
officer to be responsible for obtaining printing services from
GPO.
Project Officer. The EPA individual responsible for overall
management and direction of a given project or group of
projects, whether in-house, extramural, or both.
An approved course of action that has been or may be promul-
gated by EPA to discharge its legally mandated responsibilities.
The reproduction of ORD-approved material by various pro-
cesses to include duplicating.
The EPA form certifying that EPA material to be printed and
distributed externally has received the appropriate levels and
types of review and authorizing the funds and costs for printing.
The originating laboratory/office may obtain the cost estimate
from CERI for printing a report ;after the review process is
completed.
The act of making ORD technical information products avail-
able. This may be accomplished by acceptance of our research
in peer-reviewed journals, by printing and distributing to the
user community, or by submitting only the camera-ready copy
to NTIS for distribution.
This five-part, alphanumeric designator is assigned by CERI to
uniquely identify each technical information product before it is
submitted to NTIS. A sample numlber with a description of its
elements follows:
EPA/600 73-91/002 b
a b c d e
a. The program identification number—e.g., 625 for Tech-
nology Transfer, 600 for ORD, 540 for Superfund, 530 for
Office of Solid Waste and Emergency Response.
69
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REVIEW
a) Technical or Peer
SAB Review
Public Comment
b) Editorial
c) Format
d) Policy
TECHNICAL INFORMATION MANAGER (TIM)
TECHNICAL INFORMATION
PROGRAM MANAGER (TIPM)
TECHNICAL REPORT DATA SHEET (2220-1)
WAIVER
b. The ORD Research Series number to be appropriately
assigned by the TIM or TIPM. In this case, the series
number indicates Ecological Research. (See Appendix B.)
c. The calendar year of publication.
d. The unique number for each publication within a given
series.
e. An optional expander to differentiate multiple-volume pub-
lications or draft from final report.
The inspection of technical material prepared by or for ORD to
ensure compliance with ORD publication policy. Types of
reviews that exist in ORD:
A technical/scientific review of the material by at least two
qualified reviewers to ensure its overall technical validity,
quality, and accuracy.
A review performed to ensure proper organization, punc-
tuation, grammar, and rhetoric of the material.
A review of material to ensure conformance with journal
style or ORD publication specifications as described in the
Handbook for Preparing Office of Research and Develop-
ment Reports (EPA-600/9-83/006, Rev. Oct. 1989), often
referred to as the Handbook.
A review to determine if the contents are, consistent with
current EPA practices, decisions, and approved courses of
action.
The person within a laboratory responsible for internal and
external coordination of technical information products. The
TIM will serve as the main link between the organization and
CERI.
The person in a headquarters office who reviews, monitors,
and advises the OD on the technical information programs of
the laboratories under that OD's purview. The TIPM will re-
view all technical information plans and all major modifica-
tions (added or deleted activities or major schedule changes) to
these plans. Technical information plans are not used in all
offices.
The EPA form that must be completed by the ORD originator/
project officer before a given ORD publication is submitted to
NTIS.
An exception to the requirement that all government-funded
material be initially published by the government. Waivers
must be initiated by the LD/OD;and approved by the Joint
Committee on Printing (see Paragraph 35, Government Print-
ing and Binding Regulations).
•&U.S. GOVERNMENT PRINTING OFFICE: 1991 - 648-003/40656
70
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