Skip to main content
U.S. flag

An official website of the United States government

E.10 Preprints

By Office of Science Quality and Integrity

E. Extended Guidance and Specific Products

 

E.10.1 What is a USGS Bureau-approved preprint? 
A USGS Bureau-approved preprint is a USGS-authored manuscript that has been peer reviewed then approved by a USGS Bureau approving official and subsequently posted on a preprint server. Manuscripts published on preprint servers (other than manuscripts from USGS authors) generally are not yet peer reviewed, edited, or formatted but may undergo basic screening and be checked for plagiarism. Authors should check with their targeted publication before submitting to a preprint server, making sure the targeted outlet accepts manuscripts already posted on a preprint server.

E.10.2 What is a preprint server? 
A preprint server is an online repository where manuscripts are published, often preceding publication in another outlet. These servers may be operated by a journal publisher or an independent entity. Once posted on a preprint server, a manuscript is often assigned a digital object identifier (DOI) and, consequently, would be citable; is publicly available after posting; and may or may not be removed depending on the server’s policy. Many preprint servers support content changes made by authors using a versioning system; however, old versions of manuscripts may remain publicly accessible. 

E.10.3 Are USGS scientists allowed to submit a Bureau-approved manuscript to a preprint server?
Subject to approval by their supervisor and science center director or equivalent, a USGS scientist may be allowed to submit a Bureau-approved manuscript to a preprint server. A supervisor or science center director may deny use of a preprint server: for example, a manuscript identified by the USGS as an Office of Management and Budget (OMB) influential information product must not be posted on a preprint server. OMB influential products should only be published in their final form after the required peer review planning documentation is posted on the USGS Peer Review Agenda.  

E.10.4 Beyond supervisor and science center director concurrence, what additional requirements must be considered before USGS authors can submit a manuscript to a preprint server?
Follow one of two IPDS workflows:

  • Workflow 1 – If the manuscript is being submitted for release by an independent preprint server (for example, BioRxiv, EarthRxiv) prior to final publication as a journal article, USGS series report, or cooperator report, then the author will need to create two information product records in the IPDS. One of the information products will be the product type of preprint, and the other will be the product type of the final publication outlet. The same two USGS-initiated peer reviews can be used for both products.  If the final product is a journal article, then you will follow approach 1 for peer-reviewed journal submissions, and further review and approval may be required if the journal peer-review process results in substantial changes to the information product. If the final product is a USGS series publication, then you will follow the process for a superseding series publication 
  • Workflow 2 – If the manuscript is being submitted to a journal for which a preprint or early view version will be released in advance of the final journal volume or edition, the author will need just one information product record in the IPDS with the product type of journal article. Review and approval of the manuscript will follow approach 1 for peer-reviewed journal submissions and further review and approval may be required if the journal peer-review process results in substantial changes to the information product.

If USGS data support the scientific conclusions reached in the preprint, similar to other USGS-authored information products with associated data, these data must be released in accordance with USGS Data Release requirements (SM 502.8) and the USGS Public Access Plan concurrently or before the preprint is published. Once the data are published and the manuscript receives Bureau approval, the manuscript may be posted on a preprint server.

Add the following statement to the top of a Bureau-approved preprint manuscript before submission to a preprint server to distinguish it from a preprint authored outside USGS that has not been peer reviewed:

  • This information product has been peer reviewed and approved for publication as a preprint by the U.S. Geological Survey.

E.10.5 What considerations should authors keep in mind about preprints? 
Preprints are subject to the same quality requirements as any other USGS product, and as such, manuscripts submitted for Bureau approval must be clear, concise, and well organized and must have correct grammar, punctuation, and other copyediting elements applied.  Preprints must be of a reasonable (especially not excessive) length.

E.10.6 What formatting restrictions should authors be aware of for preprints? 
The preprint should not have the appearance of a published USGS series information product and the USGS Visual Identity System identifier must not appear on the preprint. If USGS authors opt to use the USGS manuscript template to prepare their preprint, the suggested citation section of the front matter must also be removed. A statement noting the manuscript has been prepared for a preprint server (refer to E.10.4 #3) must be added.

E.10.7 Can USGS Bureau-approved preprints be the final publication for releasing new, interpretive USGS information?
No. Manuscripts posted to preprint servers may not serve as the final information product. Preprints are considered preliminary and are generally cited as unpublished work by the scientific, academic, and publishing communities. Preprints are intended to be superseded by a final publication, such as a journal article, USGS series publication, or cooperator publication. The superseding final publication must have a separate IPDS record and if substantive changes have been made, additional peer review and Bureau approval may be needed.

E.10.8 Can USGS Bureau-approved preprints be subsequently published as USGS series or cooperator publications? 
Yes. Bureau-approved preprints may subsequently be published as superseding USGS series or cooperator publications. A final product superseding a Bureau-approved preprint requires creation of a new IPDS record, and, if the final publication is a USGS series product, it must receive Science Publishing Network editing and formatting before final Bureau approval in IPDS (refer to SM 1100.2).  

E.10.9 Is the process of product dissemination and cataloging in the Publications Warehouse for Bureau-approved preprints the same as it is for other USGS-authored IPDS product types (such as journal articles and cooperator publications)?  
Yes. Because a manuscript processed as a preprint receives Bureau approval before release to the public and often receives a DOI from the preprint server, it becomes a part of the scientific record. Once disseminated in IPDS, the product is cataloged by the Publications Warehouse. When superseded by a final publication, the citation page for the preprint will be updated to note that it has been superseded and link to the final publication. 

E.10.10 What are some examples of preprint servers where USGS authors have posted their approved information products? 
Examples of preprint servers used by USGS authors include:

  1. arXiv posts preprints in the fields of physics, mathematics, computer science, quantitative biology, quantitative finance, statistics, electrical engineering and systems science, and economics.
  2. bioRxiv is a preprint server for the biological sciences. 
  3. ChemRxiv is the preprint server of the American Chemical Society (ACS).
  4. EarthArXiv is the California Digital Library’s preprint server for the geosciences.
  5. ESSOAr (Earth and Space Science Open Archive) is the American Geophysical Union (AGU) preprint server.

E.10.11 What happens if there are both USGS and non-USGS authors affiliated with an information product, and the non-USGS co-author submits the information product to a preprint server before Bureau approval has been received?
USGS authored and co-authored information products published without Bureau approval are in violation of FSP, which can result in disciplinary action against the USGS author. When a USGS author becomes aware of a co-authored manuscript posted on a preprint server before Bureau approval, the USGS author should contact the lead non-USGS author and request the removal of the manuscript from the server.  If removal is not possible, the author should request that it be replaced with the Bureau-approved version. To avoid publishing a preprint without Bureau approval, USGS authors should discuss early in research efforts with co-authors potential preprint information products that may come from the work and the required steps in the FSP review and approval process. USGS authors should contact their local Bureau Approving Official or the Bureau Approving Official Coordinator in the Office of Science Quality and Integrity for further guidance. 

E.10.12 Can a USGS co-author of a manuscript temporarily remove their name and USGS affiliation from a preprint with the intention of being added as an author when submitted for publication in another outlet? 
No. A USGS author may not temporarily remove their name from a manuscript to post it on a preprint server or to bypass any other FSP requirement. Removing an author’s name from a preprint and then adding it before submission to another publishing outlet would violate USGS FSP policy as well as the Department of the Interior Scientific Code of Conduct because the contribution as a USGS employee to the work would not be appropriately acknowledged.