Credit:Editage
A preprint is a completed draft of a scientific manuscript
that is uploaded by the author on a public server; often it is the same
version of the manuscript that is submitted to a journal. Once the
manuscript is uploaded, it goes through a quick check to ascertain that
it is scientific in nature. It is then posted online within a day or two
without peer review and is made freely available for everyone to view.
Revised versions of the same manuscript can be uploaded later on, but
the older versions also remain.
See
What is a “Preprint” Anyways? at T
he Winnower for more discussion.
Uploading a preprint to a repository before submitting it as a
manuscript to a journal is a well-established practice in some fields
like mathematics, computer science, and physics. It’s getting growing
acceptance in other fields, especially biology, even if there is still
some ambivalence being expressed. See a balanced presentation of
contrasting views at
Biomedical Journals and Preprint Services: Friends or Foes?
Wikipedia has
a list of journals and publishers
with known preprint policies. I recommend checking it before committing
yourself to a course of action. However, journal policies are changing
quickly. Sometimes you will get a positive ad hoc decision to consider
your preprint if you contact an editor who has not previously been faced
with the question.
In
a recent blog,
I discussed a new requirement at University of Groningen and
University of Groningen Medical Centre that authors affiliated with
these institutions upload final versions of their papers to a university
maintained repository immediately upon acceptance by a journal. This is
part of a commitment to a
green road open access.
But this is something different from what we’re going to be
discussing here. Even at Groningen, researchers can both upload a
preprint to a repository somewhere else and then upload another one to
the journal maintained repository upon acceptance of a paper.
I anticipate uploading preprints to repositories increasingly to
become a routine practice because of the advantages that it offers over
waiting for conventional peer review. I recommend that you become an
early adopter, if the practice is not yet common in your field of study.
Here are five reasons why you should consider uploading your preprint before submitting a manuscript.
1. You can get a preliminary appraisal from peers as to whether your work is ready to be submitted to a journal.
James Heathers and Nick Brown provide an excellent success story in this regard.
They posted a preprint at the repository
PeerJ Preprints where, according the Nick Brown, it received 1000 downloads the first month.
The GRIM test: A simple technique detects numerous anomalies in the reporting of results in psychology
They each blogged about the preprint, James Heathers
The GRIM test — a method for evaluating published research. and Nick Brown A
cademic publishing death match: Double blind review vs. preprints.
The preprint attracted media attention, including from prestigious
The Economist.
Only then, was the
manuscript submitted to Social Psychological and Personality Science (SPPS).
2. You can cite the uploaded manuscript in letters of inquiry to editors as to possible interest in publishing the manuscript.
Preliminary letters of inquiry to editors are an underutilized
strategy in getting consideration of your manuscript. If you send a
brief email to the editor, you will generally get a quick response. If
there is no interest in your manuscript, the move saves the editor and
you what could be a lot of time. It is better to get an immediate
decision than to have to go through a prolonged review process that ends
up in a rejection.
An encouraging response from an editor to a letter of inquiry is
certainly not a contract to publish your manuscript, but if editors
respond favorably, they usually are more likely to at least send a
manuscript out for review, rather than desk reject it. That of course is
barring something unexpected being revealed in the abstract or the
manuscript itself that you submit.
You generally would not include your manuscript with a letter of
inquiry, only perhaps your abstract. Otherwise, you are creating
confusion with whether you actually submitting your manuscript, and risk
annoying the editor.
Yet, a letter of inquiry linked to an uploaded preprint allows an
editor to consider the amount of attention the preprint has been
receiving and the kinds of feedback it is eliciting. No obligation on
the editor of course, but you have made it easier for the editor to
peek. In some fields, it’s already an accepted practice that manuscripts
are submitted with the feedback received on repositories. In some
fields, reviews received of a preprint may prove sufficient for a first
round decision. But in other fields, submitting a manuscript which has
previously been available as a preprint is part of a less established
and more informal process.
3. You can cite your uploaded manuscript and the feedback it
has received in your cover letter when you actually submitted to the
journal.
Many journals increasingly rely on desk rejections
as a way of dealing with an overwhelming number of manuscripts being
submitted. Editors feel the need to protect their limited pool of
reviewers from what would on the basis of a quick screening seemed like a
inevitably be a negative decision. Many of these desk rejections occur
without anyone actually reading carefully the manuscript. Some
prestigious journals post their percent desk rejections on their
website, apparently to warn authors, but maybe as some bragging as well.
Authors need to depend on their three assets to avoid a desk
rejection and get a manuscript out for review: their title, their
abstract, and the cover letter. Of the three, the cover letter is most
informal and even conversational. Unlike the title and the abstract, the
cover letter does not serve any further function, once the editor has
decided to send the paper out for review. The cover letter typically
will not become a matter of public record.
It is strategic to take advantage of the informal nature of a cover
letter as a communication. Think of the metaphor of it being like an
informal encounter with an editor at a conference. A preprint becomes
like a paper that you presented at a conference in a session with the
editor is in attendance. [On the other hand, it takes a lot less
chutzpah to mention a preprint in a cover letter, then to approach an
editor at a conference and ask “Hey, did you see my presentation, how
about if I submitted as a manuscript?”]
Citing a publicly available preprint in a cover letter gives the
editor an opportunity to look at your work, without being committed to
do so. Any reactions the preprint has received, including the number of
views or downloads, become evidence that can be cited in in the cover
letter in support of the recognition that you manuscript is likely to
obtain if is published in the journal.
Dear Editor:
Enclosed please find a manuscript [title] which we wish to submit
for review and possible publication in your journal. We do so noting
the extensive attention the manuscript has received as a preprint… We
believe the manuscript will attract similar attention from your
readership, if it is accepted…
4. The option of uploading a manuscript to a repository
rather than submitting to a journal and waiting for a decision
increasingly allows researchers to concentrate on grant applications
citing the work.
Particularly
with early career researcher (ECR), there is often a dilemma between
focusing on establishing a reputation with publications versus pursuing
the funding that will allow more resourced research. It can be quite
frustrating when an ECR decides to concentrate first on getting some
research published, only to find that it languishes in long reviews,
revise-and-resubmit decisions that have no guarantee of eventual
acceptance, or an outright rejection that requires a fresh resubmission
elsewhere.
Sure, if the ECR is confident that manuscript will be accepted in
time for citation in a grant application, particularly because a journal
has been chosen explicitly because of the short turnaround time of
review, it might be best simply to send the manuscript off to the
Journal. But the decision can be different if there is any ambiguity
about this.
By uploading the manuscript to repository rather wait for an
editorial decision, the ECR can concentrate on a grant application in
which the uploaded manuscript is cited and even linked.
It is important to establish with funding opportunities whether free prints can be cited and linked. The
Wellcome Trust recently announced it would allow researchers to submit preprints in both applications and progress reports.
A group of scientists has
organized to urge NIH to accept preprints. Another group
has expressed concern , while acknowledging it would benefit early career investigators.
NIH also recently formally requested feedback on the advisability of their accepting preprints with applications . No decision has yet been reached has of January 2017.
Undoubtedly, the trend is towards increased acceptance of preprints,
but best to check updated policies with granting agencies. If you don’t
see a mention there, it might be worth directly contacting a program
officer. Strategically, doing so also lets you talk about your work as
it is reflected in your preprint. Furthermore, even when there is no
formal encouragement, preprints can be cited as evidence of relevant
previous work. That too should be discussed with a program officer, if
you can.
5. You can attract the attention of an editor, even multiple
editors, who are increasingly browsing preprint repositories looking for
manuscripts to invite to submit.
Journals can be expected to increasingly have dedicated editorial
staff whose responsibilities include periodically stopping by
depositories or watching on social media for news of promising
preprints, which they will then invite to be submitted to the Journal.
Genome Biology has been doing this for about a year
. PLOS Genetics formally announced in December 2016 such a policy and had as hired three preprint editors.
bioRxiv (pronounced
“bio-archive”) is a free online repository for the life sciences
operated by Cold Spring Harbor laboratory. It has the additional feature
of allowing direct transfer of manuscripts to journals:
Direct transfer from bioRxiv to journals or peer review services (B2J)
bioRxiv can save authors time in submitting papers to journals or
peer review services by transmitting their manuscript files and metadata
directly from bioRxiv. This means authors do not have to spend time
re-loading manuscript files and re-entering author information at the
journal or peer review service website.
Think of that: essentially by uploading an appropriate preprint at bioRxiv
, an author is effectively soliciting consideration for multiple journals. Can’t beat that.
Unfortunately,
bioRxiv is limited to life sciences and will only consider manuscripts
from physical sciences, mathematics, or social sciences if they have
direct relevance the life sciences.
Other journals can be expected to quickly follow suit. Informally, the procedure has probably existed for a while.
I am sure that other reasons for posting preprints at repositories
will be discovered when the practice gets better established. I for one
have recently published a number of papers with co-authors I had not met
before submitting the paper. Such productive Internet-based
collaborations are likely to much more be common in the future. They can
be facilitated by preprints placed in repositories at whatever stages
of development in order to gather collaborators. Think strategically
about posting preprints in repositories as being the Internet version of
giving a talk at a conference and welcoming collaborators.
So, you place a preprint in a repository and you announce on Twitter and Facebook:
I have uploaded a preprint at Repository X [PeerJ
Preprints, for instance]. And while I’m pleased with it, I think I could
use additional collaborators in turning it into an even better
manuscript…