DAO 219-4

SECTION 1. PURPOSE.

.01 This Order prescribes policy, procedures, and responsibilities for compliance with the Department's Publications and Audiovisuals Control System. The Control System is administered by the Departmental Office of Public Affairs.



.02 This revision continues and improves upon the publications and audiovisuals control system initiated by the Office of Management and Budget in 1981; and also incorporates findings and recommendations in the Inspector General's report of April 27, 1987, "More Control Over Publications Needed." This revision is a complete is a complete reissuance of the Order so, in accordance with DAO 200-3, text change highlighting is not shown.

SECTION 2. DEFINITIONS.

For the purpose of this Order, the following definitions apply:



a. Publications are reports, periodicals, pamphlets, and other printed materials published by units of the Department intended for internal and external distribution.



b. Production is work required for the design, preparation of graphics, or composition of a publication.



c. Reproduction means methods and equipment used to make multiple copies of a document, including office copiers in staffed and unstaffed facilities.



d. Audiovisual Productions are presentations, developed according to a plan or script, containing visual imagery, sound, or both, and used to convey information. This includes slide sets, film scripts, motion pictures, television (video tape and disc), radio programs, audio cassette productions, multimedia (any combination of two or more media productions), exhibits, and public service advertising campaigns.



e. Audiovisual Equipment is equipment used for the recording, production, reproduction, processing, broadcasting, distribution, storage, or exhibition of audiovisual products, and exhibit structures.

SECTION 3. INITIATION AND APPROVAL OF A PUBLICATION REQUEST.

.01 Exclusions - The types of publications cited in OMB Circular A-3, dated May 3, 1985, are excluded from the requirements of this Order. They are generally:



a. Purely administrative materials, such as memoranda, directives, regulations, legal opinions and decisions, environmental impact statements and assessments, planning documents, and press releases, (annual reports and internal newsletters are not excluded);



b. Statistical information, and research and development reports from research contracts; (This exclusion does not apply to publications containing less than ninety percent statistical material, or to publications containing statistics from published sources other than those of the unit issuing the publication.)



c. Official instructional and informational documents of a permanent nature supplementing Executive Branch agencies' directives systems; and



d. Information to the public regarding laws and compliance with associated reporting requirements.



.02 Form CD-27 "Publications Clearance Request" - Except for those publications excluded by paragraph .01, above, a Form CD-27 shall be used by all organizational units of the Department to obtain authorization for production and printing of all Department of Commerce (DoC) publications. There are procedural differences depending on where, organizationally and geographically, a CD-27 is initiated. Therefore, this Order covers separately CD-27s initiated by:



a. Offices within the Office of the Secretary;



b. Elements of operating units serviced by an ASC, including NCASC; and



c. Elements of operating units not serviced by an ASC, including NCASC.



.03 Processing Form CD-27s Initiated by Offices Within the Office of the Secretary - The initiating office shall prepare the Form Cd-27 in consultation with the Departmental Office of Publications (O/Pubs). The O/Pubs will assist in resolving production and printing requirements for the publication, and in completing the Form CD-27. After clearances and signature within the initiating office, the completed CD-27 will be sent to the Publications Review Officer in the Departmental Office of Public Affairs (OPA), who will convene the Publications Review Committee in accordance with subparagraph 3.05, below. If the publication is approved by the Director, OPA, in accordance with subparagraph 3.05e., below, the CD-27 will be sent to the O/Pubs in compliance with subparagraph 3.06; and returned fully completed to the initiating office.



.04 Processing Form CD-27s Initiated by Elements of Operating Units Serviced by an ASC, (including NCASC):



a. The Project Chief, who is responsible for the publication's development, shall prepare the Form CD-27. The Project Chief shall, by signing the CD-27, certify that:



1. The publication is essential to the unit's mission, and production and printing will comply with DAO 201-32 "Publishing and Printing Management Manual;"



2. All practicable cost-reduction measures will be employed during the publication's production and printing;



3. Alternative methods of communication the message have been investigated;



4. The publication does not duplicate existing literature; and



5. Not more than 2,000 copies of the publication or ten percent of the total quantity printed, whichever is less, will be made available for free distribution outside of the Department.



b. The Project Chief shall send the completed Form Cd-27 to the ASC Publications Officer at the servicing ASC.



c. The ASC Publications Officer shall review and clear the publication (CD-27), ensuring that it complies with DAO 201-32 and the Government Printing and Binding Regulations (Sup. Doc. Publication 9912, reprint of April 1987); and resolve whether or not the publication will be sold through NTIS or the Government Printing Office (GPO) in accordance with Section 6. Of this Orders. The ASC Publications Officer shall, by signing the Form CD-27, certify compliance with these requirements, and then send the CD-27 to the headquarters-level Operating Unit Public Affairs Officer.



d. The Operating Unit Public Affairs Officer shall, by signing the CD-27, certify that the publication does not conflict with DoC policies or objectives. The Officer shall then:



1. Send the Form CD-27 to the OPA Publication Review Officer, who will convene the Publications Review Committee; and



2. Commencing calendar year 1988, submit a quarterly report to the Director, OPA covering all publications reviewed and actions taken, including CD-27s submitted to the OPA Publications Review Officer and all publications disapproved by the operating unit before CD-27 submission.



.05 The Publications Review Committee, comprised of the Director and Deputy Director, OPA, the OPA Publications Review Officer, the OPA News Relations Director, two policy members from OPA and O/Pubs, and a rotating chair member from the operating units, shall:



a. Ensure that the proposed publication complies with OMB Circulars A-3 and A-76, has a message appropriate to the prospective audience, and it cost-effective;



b. Ensure that the proposed publication complies with DAO 201-32;



c. Ensure that the proposed publication complies with Section 6. of this Order;



d. Examine, in accordance with Government Printing and Binding Regulations, the total number of publication copies to be printed, including copies to be distributed free, (as required by law or regulation, program management needs, or as a courtesy in conducting official business); and



e. Advise the Director, OPA on the merit of the publication requested by the CD-27. The Director will approve or disapprove the CD-27 based on that information. If approved, the CD-27 will be sent to the Director, O/Pubs for final processing (subparagraph 3.04f., below). If disapproved, OPA's Publications Review Officer will return the CD-27 to the Operating Unit Public Affairs Officer with a written explanation. The operating unit, through the Public Affairs Officer, may appeal a disapproval by providing a written justification, including CD-27 changes, to the Publications Review Officer, who will, if necessary, reconvene the Publications Review Committee to reconsider the CD-27. If approved, the CD-27 will be returned to the Operating Units Public Affairs Officer. Disapproval of an appeal is final.



.06 The Office of Publications shall assign a control number to the approved CD-27; and the Director, O/Pubs, or a designee, will sign and return it to the Operating Unit Public Affairs Officer. Approved Cd-27s shall remain in effect for one calendar year after signature by the Director, O/Pubs, and are revoked automatically after that time without notification to the initiating unit.



.07 Processing Form Cd-27s Initiated by Elements of Operating Units Not Serviced by an ASC (including NCASC):



a. The Project Chief, who is responsible for the publication's development, shall prepare the Form CD-27. The Project Chief shall, by signing the CD-27, certify compliance with the requirements of subparagraph 3.04a. of this Order. The Project Chief shall send the signed Form CD-27 to the headquarters-level Operating Unit Publications Officer.



b. The Operating Unit Publications Officer shall, by signing the Form CD-27, certify compliance with the requirements of subparagraph 3.04c. of this Order. The Officer shall send the signed Form CD-27 to the Operating Unit Public Affairs Officer.



c. The Operating Unit Public Affairs Officer shall, by signing the Form CD-27, certify compliance with the requirements of subparagraph 3.04d. of this Order. The Officer shall send the signed CD-27 to OPA's Publications Review Officer.



d. The OPA Publications Review Officer shall convene the Publications Review Committee, and monitor the Committee's action regarding the Form CD-27 in accordance with subparagraph 3.05 of this Order.



e. The Office of Publications shall, for Form CD-27s approved by the Director, OPA, carry out the provisions of subparagraph 3.06 of this Order.

SECTION 4. PUBLICATION PRODUCTION AND PRINTING SERVICES.

.01 The acquisition and performance of all Department production and printing services shall be in accordance with DAO 201-32, Joint Committees on Printing (JCP) regulations, and the provisions of this Section. ASC and operating unit Publications Officers, and the Director, O/Pubs shall ensure compliance.



.02 The O/Pubs shall perform directly or obtain all publication production and printing services covered by an approved Form CD-27, including later reprints of that publication. No publication covered by a CD-27 shall be reprinted in a Department copy center (see Section 5. of this Order). All printing or duplicating work, as determined by the O/Pubs, shall be performed at a Department printing plant or sent to the GPO for outside contracting.



.03 Operating unit and ASC Publications Officers shall not act on a publication production or printing request (Form CD-10) if a CD-27 is necessary, but none has been completed and fully approved.



.04 To obtain production and printing services for a publication covered by an approved CD-27, the operating unit and ASC Publications Officers shall:



a. Consult with O/Pubs regarding cost estimates and production and printing requirements.



b. Complete a Form CD-10 "Publications Service Request." The CD-10 shall be signed by the requesting unit's Project Chief (line 25), the head of the requesting unit or a designee (line 16), and the unit's Budget Officer authorized to obligate funds (line 27). In addition, the Officers shall:



1. Check the CD-10 against the approved CD-27 to ensure all work elements and estimated costs are included and compatible on both forms, i.e., design, graphics, composition, printing, and editorial.



2. Ensure that no cost estimate shown on the CD-10 exceeds a like estimate on the approved CD-27 by more than 20 percent. If that occurs, and the CD-10 estimate cannot be adjusted to correct the problem, the CD-27 shall be returned to the Publications Review Committee, through the OPA Publications Review Officer, with a written request and justification for approval of the increased estimate(s). The Publications Review Officer will assist the operating unit or ASC Publications Officer in resolving the cost estimating differential.



3. Maintain a record of estimated versus actual (final) costs during the for production and printing work approved by the CD-27, and initiated by the CD-10.



.05 The O/Pubs shall not act on a service request in which any cost estimate on the CD-10 exceeds by 20 percent the same dollar figure (estimate) on the approved CD-27. In addition, if that differential occurs after production and printing begin, (based on actual costs), the O/Pub shall stop work and notify the operating unit or ASC Publications Officer who shall resolve te problem in coordination with the Director, O/Pubs, and the OPA Publications Review Officer who will also coordinate with the Publications Review Committee.

SECTION 5. CONTROL OF REPRODUCTION METHODS.

.01 In accordance with DAOs 201-32 and 206-6 and the provisions in this Order, and JCP regulations regarding copy reproduction limitations, operating unit and ASC Publications Officer shall monitor all requirements for publications, and advise the units' management on reproduction requirements, methods of reproduction, and the types of equipment necessary, including automatic copy processing equipment and copier/duplicators. Particularly:



a. "Desk-top," e.g., IBM P.C., reproduction methods shall not used to circumvent a valid requirement for preparing and submitting a Form CD-27 in accordance with this Order.



b. The following limitations shall apply to the reproduction of the types of publications excluded from the Publications and Audiovisuals Control System by paragraph 3.01 of this Order;



1. Copies produced on high-volume copiers located in a staffed Department copy center shall be restricted to 100 copies for a single page document, or 5,000 pages in the aggregate (number of pages x copies).



2. Copies produced on high-volume copiers located in a staffed Department copy center shall be limited to 500 copies for single page documents, or 15,000 pages in the aggregate.



3. Copies produced on mid-and log-volume copiers that are dedicated, e.g., acquired and operated by a specific Department unit, or located in an unstaffed copy center, shall be limited to 50 copies per single sheet or 500 pages in the aggregate.



.02 There shall be no contracting for computer assisted composition services.



.03 Commencing calendar year 1988, operating unit and ASC Publications Officers shall submit a quarterly publications inventory report to the Director, OPA, with a copy to O/Pubs, covering each publication issued, and indicating if it was mandated by law or regulation or issued for public use at the Department's initiative.

SECTION 6. TECHNICAL PUBLICATIONS FOR SALE THROUGH NTIS.

.01 NTIS Form 272, "Report Documentation Page (RDP)," shall be prepared for all publications having usefulness to business and industry, i.e., technical publications, excluding subscription items offered for sale by the GPO. Form 272 and eleven copies of the publication shall be sent to the Director, NTIS. The technical publication and Form 272 information will be entered into the NTIS information collection which is made available to business and industry.



.02 Criteria for identifying a technical publication are:



a. The unit producing the publication attests to its technical value by recommending that it be sold by the GPO.



b. Interest in the publication is expressed or expected by a business or industry constituency, regardless of its size.



c. The unit issuing the publication must establish a permanent archival record for it, regardless of its availability for sale by NTIS.



d. The strong likelihood that some element of the private sector will request free copies of the publication, so printing costs can be reduced if it is sold by NTIS.

SECTION 7. CLEARANCE PROCEDURES FOR AUDIOVISUAL.

.01 OPA shall have management oversight for all DoC audiovisual projects in accordance with OMB Circular A-114. OPA shall approve and manage the flow of audiovisual productions, exhibits, and equipment procurement; provide consultation and production management for audiovisual productions, exhibits, and equipment procurement; ensure the efficient use of DoC video taping facilities; and coordinate preparation of the "Annual Audiovisual Report," (Standard Form 203) for the National Audiovisual Center.



.02 Form CD-384, "Audiovisual Production Request," or Form CD-386, "Audiovisual Production Request," or Form CD-386, "Audiovisual Equipment Request," shall be used to obtain Department-level approval for all new audiovisual productions, including exhibits and advertising, duplication of over 25 copies, or purchase of a completed production, and equipment procurement. Excluded from these requirements are:



a. Commercial entertainment productions distributed to NOAA operated ships;



b. Audiovisual information collected exclusively for surveillance, reconnaissance, or intelligence purposes;



c. Equipment that is an integral part of a vehicle performing reconnaissance; and



d. Equipment used in scientific data collection and analysis.



.03 In addition to ensuring the completeness and accuracy of the information on the respective forms, the head of the requesting office, or a designee, singing Form CD-384 or CD-386 also certifies that:



a. The audiovisual production or equipment is essential to the unit's mission;



b. All practicable cost-reduction measures will be employed in developing the audiovisual production or acquiring equipment;



c. Alternative methods of communicating the message have been investigated;



d. Existing audiovisual productions or equipment will not be duplicated; and



e. For an audiovisual production, Standard Form 282, "Mandatory Title Check," has been submitted to the National Audiovisual Center to determine if programs in a similar subject area exist.



.04 The completed CD-384 or CD-386 form shall be sent to the Audiovisual Director in OPA. The Director will determine if the production or equipment procurement request conforms to Department policy, technical requirements, and communications objectives, and complies with OMB Circular A-76 and A-114. Based on those findings, the Audiovisual Director will submit a report on each request to OPA's Audiovisual Review Committee, which will consider the request and provide findings and recommendations to the director, OPA.



.05 The Director, OPA shall make the final determination to approve or disapprove the production or equipment procurement request, and return the CD-384 or 386 to the requesting unit. A written explanation will be provided if the request is disapproved. A disapproval may be appealed to the Director verbally or in writing. Appeal decisions are final.



.06 For approved audiovisual productions, Standard Form 202, "Federal Audiovisual Production Report," shall be completed and sent to the National Audiovisual Center, as required by OMB Circular A-114.



.07 In procuring approved audiovisual productions or equipment, all DoC units shall comply, as applicable, with OMB Circular 114 and the Federal Acquisition Regulations; and consult with OPA's Audiovisual Director as appropriate.



.08 In accordance with OMB Circular A-114, all completed audiovisual productions shall be evaluated to assess the value and effectiveness of their presentation.

SECTION 8. EFFECT ON OTHER ORDERS.

This Order supersedes Department Administrative Order 219-4, dated June 18, 1982, and supplements DAO 201-32, dated September 15, 1987, and DAO 206-6, dated July 25, 1984, as amended.

Signed by: Director, Office of Public Affairs

Approved by: Assistant Secretary for Administration

Office of Primary Interest: Office of Public Affairs