Division and district reports are unnumbered formal publications prepared for limited public distribution. They transmit official information for which the chief of the originating organization (division or district) is responsible.
Division and district reports are used chiefly for:
Every division and district report has three main parts--front, body, and back--that include most, and sometimes all, the following component parts. Each of these parts is discussed in detail in this section. (Examples of a front cover, title page, and organization page are shown in this section. For examples of other parts of a division or district report, refer to appropriate subsections of Section 1, "Bulletins." )
Front Matter
Body
Back Matter
The California Water Commission does not appear in division or district reports.
Cover
The outside front cover displays the following: the words "State of California, The Resources Agency, and Department of Water Resources"; the name of the division or district issuing the report; the title and subtitle, if any, of the report; the month and year of publication; and the names, titles, and organizations of the Governor, the Secretary for Resources, and the Director, in that order.
White cover stock is the usual choice, but other colors can also be used to enhance the appearance of a report. Photos or other graphic material are acceptable. If a photo is used, place a smaller print of the photo, usually 2 x 3 inches, on the inside front cover with a caption that explains or describes the cover photo.
Title Page
The title page is the first right-hand page following the front cover. It repeats all the information that appears on the cover (other than photo or sketch). The title page also carries the Department's seal. It does not bear a page number but is understood to be page i (lowercase roman numeral).
Foreword
The foreword appears on page iii, the second right-hand page following the front cover. It is written in the originating organization and is signed by the chief of the division or district. Except under special circumstances, it does not exceed one page. (A letter of transmittal is occasionally used in place of a foreword when the report was specifically prepared for another agency.)
The foreword customarily states the purpose of a report and may include, as appropriate, information on the authorization for the work reported and titles of closely related DWR reports. Acknowledgments may be included, if they are the type the chief of the organization might appropriately make. (See "Organization Page" and "Acknowledgments" later in this section.)
Except under special circumstances, a foreword does not exceed one printed page and is set up in a one-column format, even though the text of the report may be in two or three columns. Otherwise, the format is flexible in terms of margins, indention, and signature block placement and may be set up as appropriate to the design of the report.
Contents
Except for the very briefest division and district reports, a table of contents should be included. The table usually begins on page "v," the first right-hand page following the foreword. It lists all material contained in the report, including the foreword, the organization page, the metric conversions table, the acknowledgments, all chapter headings and subordinate text headings, tables, figures, plates, appendix(es), glossary, references, bibliography, and photo credits. Subordinate text headings are arranged to show the same relationship to one another as that shown in the text.
Tables, figures, plates, and appendixes are listed separately, following the list of text headings. If an appendix is lengthy, with subordinate headings of its own, its table of contents should be included in the appendix, and only the appendix title and beginning page number would appear in the main contents.
All matter that appears in the contents must agree word for word with the titles, headings, table and figure numbers, and page numbers used throughout the report. This is a rule without exception. Particular care in proofreading of all these elements in the final draft is essential. If a table heading, for example, is so long as to be a cumbersome contents entry, the heading should be shortened (in the text and in the contents).
The contents are listed in this order: (1) front matter, (2) text headings, (3) tables, (4) figures, and (5) appendixes.
Organization Page
The organization page lists the names and titles or classifications of DWR personnel under whose authority or direction the work was performed, those who prepared the report, and those who contributed to the work. The arrangement of the list should reflect the organization of the division or district at the time of publication (the date on the cover). However, employees who worked on the report but have since left may be listed without indicating they transferred or retired.
The organization page always begins with the names, titles, and organization of the Governor, the Secretary for Resources, the Director, the Deputy and Assistant Directors, and the Chief Counsel. Following these are the name of the division or district and the name and title of the organization's chief. Subordinate contributing personnel are then listed by name and title or classification, either alphabetically or in descending order of responsibility.
As appropriate, personnel of other DWR subdivisions who have contributed significantly are also listed. The organization page may also include special acknowledgments for assistance from persons and/or organizations outside the Department, provided the statement is brief, space permits, and the information has not been included in the foreword or a separate acknowledgment page. Put "Printed by DWR Reprographics" as the last entry. See example on the following page.
Metric Conversions Page
Metric equivalents are used in the text of DWR publications only as appropriate (water quality data, for example). If metrics are used, include a one-page table of factors for converting customary (English) and metric units of measurement in the report, usually on the inside back cover. The example metric table on the following page may be copied and used as an original, or Reports Administration or Publication and Editorial Services can supply camera-ready copy. See Water Resources Engineering Memorandum No. 51D, "Metric System Guidelines" (1995), for a discussion of DWR's metric policy, which was recently updated by a DWR metric task force.
Purchasing Information
The Department has a policy of charging at least $2 for all division and district reports to help recover printing costs and discourage requests by those with only a casual interest. The State Administrative Manual (Sec. 3161) permits free distribution in the following cases:
No more than 10 free copies may be provided in each case. This limit also applies to requests from public interest groups and the media (per single request). Larger supplies may be given to organizations that provide financial support to a cooperative study and agencies with special needs, such as the State Water Project contractors.
No charge is made for those on mailing lists. Department personnel who need a copy for their work may request an office copy.
A brief notice appears on the inside front cover stating the price of a report (or that it is free of charge) and telling how copies may be obtained. The following form is used:
Copies of this report at $_____ each may be ordered from: [OR] Copies of this report are available without charge from: State of California DEPARTMENT OF WATER RESOURCES P.O. Box 942836 Sacramento CA 94236-0001 Make checks payable to Department of Water Resources. California residents add current sales tax.
The last two lines are omitted if a publication is being distributed free of charge.
A district office may instead use its own address in the notice, but is reminded that Records Management still needs 75 copies for standard distribution.
The price is set by Reports Administration or Publication and Editorial Services in coordination with the program manager. The amount is based on estimated printing cost, size of report (postage required), and probable level of public interest in the report.
Prices of DWR publications are included in the bimonthly "Publications" list and in the annual Department Publications (Bulletin 170). Both are issued by Reports Administration.
Contract Information
When the total of all outside contracts exceeds $5,000, information on contracts covering work reported in a division or district report must be included (California Government Code, Sec. 7550). The rule is that the numbers and amounts of all contracts and subcontracts for work performed by non-DWR personnel are to be reported. This requirement applies to any assistance, including studies, computer work, etc., that is paid for by the Department. This information is usually placed at the end of the contents.
When only one contract is involved, follow this example, as appropriate.
Portions of this report were prepared with the assistance of the ABC
Agency under Contract No. 123-0008-567. Contract amount: $5,123.00.
When two or more contracts are involved, follow this example, as appropriate.
Portions of this report were prepared with the assistance of:
Agency Contract No. Amount
ABC Company 7845-173-5867 $3,025
Department of Fish and Game 7846-167-6990 1,456
University of California 7946-275-1037 2,250
TOTAL $6,731
Acknowledgments
Organizations or individuals outside the Department do not usually contribute to the work reported in a division or district report. However, when this does occur, such recognition may be given. A statement of acknowledgment can be placed in the foreword, on the organization page, or on a page by itself. If the acknowledgment is lengthy, it will appear on a separate page following the organization page. It should not usually exceed one page. (See the discussion on Acknowledgments in Section 1, "Bulletins," for an example.)
Sources of Photographs. The source of all photographs should be given, for two reasons: the photographer or responsible agency traditionally expects credit, and others may want to use the photo. Photos from DWR's Photography Unit are listed by the Department identification number (assigned by the Photography Unit); photos from outside sources are listed by individual or agency. (See Section 8, "Printing and Graphics," under "Illustrations," for placement of credits.)
Executive Summary
The use of an executive summary is strongly encouraged but not mandated. An executive summary is a synopsis of a report, with emphasis on important findings, conclusions, and recommendations. (An executive summary would not be appropriate for a short report or a data report with very little text.) The purpose of the executive summary is to permit the busy executive to get the significant information of the report at once, without having to hunt for it or wade through the whole report. Executive summaries are especially handy devices for people who are interested in reviewing your report on the Internet because small file sizes generally transfer quickly across networks.
Text
The text refers to the main body of a report, including all material appearing between the front matter and the back matter. It is organized into major divisions (chapters) and subordinate divisions. All chapters begin on a right-hand page. Text in DWR reports has traditionally been typewritten in a single column with a ragged right margin. Word processing now gives us a lot more flexibility, but a simple style is usually the best.
Recommended style:
Headings. Headings are necessary for all major divisions and subordinate sections in the text. Word processing has greatly expanded the choices available for heads. Of prime importance is the establishment of a system and adherence to it throughout any one report so that the reader can recognize which subjects are on the same level and which are subordinate. The following table presents two systems. However, others may be used.
First Level (chapter title). Centered on page; all capitals.
Second Level (center head). Centered on column (single and double); caps & lower case, underlined.
Third Level (side head). On line above a paragraph, flush left; caps & lower case; underlined.
Fourth Level (run-in head). On same line as first line of paragraph; flush left; caps & lower case; underlined; ends with a period.
First Level (chapter title). 18 or 24 point bold face; either all caps or caps & lower case.
Second Level (center head). 14 or 18 point bold, caps & lower case; centered on column (single and double).
Third Level (side head). One line alone above a paragraph, 10 or 11 point bold, caps & lower case.
Fourt Level (run-in head). On same line as first line of paragraph; 11 point bold, italic, caps & lower case; ends with a period.
[Four levels are usually sufficient. A fifth level can be created by underscoring key words at the beginning of a paragraph. However, this is a sign the material needs restructuring.]
Page Numbering. DWR reports use two page-numbering systems. Front matter is identified by consecutive lowercase roman numerals. All subsequent matter, starting with page l of Chapter l and including appendixes, glossary,and index, is identified by consecutive arabic numerals.
Numbering under both roman and arabic systems always begins on a right-hand page. In the front matter, the title page is counted as page "i" but the number is not shown. In the text, the first page is numbered "1."
Blank pages that occur when a chapter ends on a right-hand page are counted in the sequence but the number is not shown.
Page numbers are usually centered at the bottom of the page, but they may also be placed in alternating right and left upper or lower corners.
Footnotes
See "Text Topics."
Tables
Tables requiring individual designation must be identified by number and title for listing in the contents. The numbers are consecutive throughout a publication, although appendix tables are usually numbered in a separate sequence. As appropriate, small tabulations that fit in as part of the text do not require a number and title.
Figures
Appendixes
An appendix presents supplemental information that supports or amplifies the information in a report but is too lengthy to fit into the main body. Where there is more than one appendix, each is identified by a consecutive letter of the alphabet, and each is introduced by its own title page (a right-hand page) and a table of contents, if the appendix is complex enough to need one. Appendixes are paged consecutively with the body of the report, but tables and figures within an appendix are usually numbered in a separate sequence.
Glossary
Specialized and technical terms that need to be defined should be listed in alphabetic order in a glossary. The glossary will usually follow an appendix and precede an index, but if it is brief (one printed page or less), it might instead be placed in the front matter just before the main body of the report.
References
See "Text Topics."
Photo Credits
Index
An index is rarely used in a division or district report. The table of contents serves in its stead. However, an index can be included, particularly if the report can be expected to be used as a work of reference. (See "Index" in Section 1, "Bulletins.")
Review
The draft of a report should be reviewed by all units of the Department (including the Office of the Chief Counsel and the appropriate Deputy Director) that have a direct interest.
The district offices should send a draft review copy to the Chief, Division of Local Assistance.
All division and district reports must be routed through the appropriate management levels and approved in writing by the Director, and possibly the Governor's Office, before they may be printed. (District reports must be routed through the Chief, Division of Local Assistance.)
Two Memos Required. Report originators prepare two approval memorandums: (1) a draft Governor's Office Correspondence Cover Sheet (DWR 4215a) and (2) a final approval-to-print memo for the Director's signature. Attach a pink mail control slip to each memo and route them from the District/Division chief up the line as a package. The approval-to-print memo must include approval blocks for the appropriate Deputy Director and the Director (see example on the next page). District offices add an approval block for the Chief, Division of Local Assistance.
The approval-to-print memo is addressed to:
1 Chief, Division of Local Assistance (for District offices only)
2 Chief, Office of Water Education (or to the Legislative Office if report is legislatively mandated)
3 Appropriate Deputy Director
4 Director
The detailed procedure for routing these two memos is spelled out in the Director's Report Approval Procedure memo of May 19, 1994 (see copy on the following pages).
Instructions on preparing a DWR 4215a are contained in the section below on Legislatively Mandated Reports and in Section 284.3 of the DWR Correspondence Procedures Manual. (Exception: If a report is published annually and did not need to go to the Governor's Office the previous year, a DWR 4215 is not required. See the February 28, 1995, memo on the next page. Attach a copy of the memo and notes from the previous year showing the report was exempted.)
When all reviews are complete and the Director has signed the approval-to-print memo, the Director's Correspondence Unit takes the following steps:
Legislatively Mandated Reports. If a report is legislatively mandated, it must be sent to The Resources Agency, which may also send it to the Governor's Office. The approval procedure for a mandated report is a little different than that for a regular report. The steps are as follows:
A form 4215a is shown on the following page. Use one page only (signature blocks can be squeezed, if necessary). Forms are available from Reports Administration in the Division of Planning, Publication and Editorial Services in the Division of Local Assistance, and the supply room.
The list of individuals who must receive copies of legislatively mandated reports and the instructions for transmitting them to the Legislature are contained in Section 284.3 of the DWR Correspondence Procedures Manual. Call the Assistant Director for Legislation's secretary for possible updates to the list. To meet the distribution requirements for a legislatively mandated report, allocate up to 14 additional copies and make certain they are distributed as required.
Pink Mail Control Slips (DWR Form 430). Approval-to-print memos are routed with DWR's standard pink mail control slips. These forms reflect the routing of the memo and include other routing as well.
For example, DLA's Publication and Editorial Services reviews reports for the Division of Local Assistance before the DLA Chief signs off; Reports Administration tracks the production process; and the Director's Correspondence Unit logs the package through executive-level review. Others, such as the Chief Counsel's Office, may be added to the routing somewhere along the line. These names are typed in the "Other Routing" column of the pink slip, as appropriate. DCU will not accept reports until they are signed off by Reports Administration. When the Director (Deputy Director in the case of legislatively mandated reports) signs the approval-to-print memo, DCU informs Reports Administration and gets instructions on where to route the approved package. (See examples of control slips below.)
Printing
DWR Reprographics prints division and district reports. If for some reason they are unable to provide the reproduction needed, they will do the necessary coordination to complete the project through the Department of General Services, including contracting with a private vendor if appropriate. See Section 8 for a discussion of printing.
Release
Unless they are of special interest and the timing of their release is important, division and district reports require no formal release procedure.
Distribution
Division and district reports are subject to the Library Distribution Act. In addition to the distribution the originator wishes to make, the following copies are needed:
(1) One copy each to the appropriate Deputy Director; the Chief, Division of Planning; and the Chief, Division of Local Assistance.
(2) Seventy-five copies to Records Management to distribute to selected depository libraries and libraries of other government agencies involved in water resources development and conservation and to maintain stock on hand. Records Management holds 15 copies for posterity. (Please supply more than 75 copies if the report is likely to be a popular item.)
(3) Three copies to the originating DWR organization.
If asked, Reprographics will send the required 75 copies directly to Records Management.
Identification of Elected Officials
State law prohibits State and local elected officers from using public funds to further their candidacy for reelection by sending out newsletters and other mass mailings. The California Fair Political Practices Commission has promulgated regulations to carry out this law. Under normal circumstances, these regulations allow State and local elected officers, except the Governor, to have their names or photos in DWR reports, newsletters, and mass mailings. For example, it's all right to name a legislator when referring to specific legislation, such as saying that "The study was proposed in response to SB 900 (Costa)."
However, the name of an elected officer affiliated with an agency, such as the Governor, may appear only in the letterhead, logotype of stationery, or forms of the agency with which he or she is affiliated. Therefore, we can only put the Governor's name on the cover, title page, and organization page of our reports. No other references, including signatures or photographs, are permitted.
"Elected officer affiliated with an agency" is defined by the regulations as meaning "an elected officer who is a member, officer, or employee of the agency, or of a subunit thereof such a committee, or who has supervisory control over the agency, or who appoints one or more of that agency."
Call the Chief Counsel's Office for advice if you're not sure about a specific situation.
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