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Postprint

A postprint, often termed the author's accepted manuscript (AAM), refers to the final draft of a submitted to a after revisions but prior to the publisher's , copy-editing, and formatting. This version incorporates changes mandated by referees to address scientific accuracy, methodology, and clarity, distinguishing it from earlier iterations while lacking the journal's proprietary stylistic elements such as , page numbers, and branding. Postprints serve a critical function in by bridging the gap between peer-validated research and public dissemination, particularly within green frameworks where authors self-archive these manuscripts in institutional or subject repositories. Unlike preprints, which precede evaluation and risk disseminating unvetted claims, postprints affirm acceptance by experts, enhancing credibility without awaiting the often delayed version of record. This practice promotes broader accessibility to validated findings, mitigating barriers while respecting publishers' rights to the polished final product, though policies vary by journal and funder mandates.

Definition and Characteristics

Core Elements of a Postprint

A postprint refers to the author's accepted manuscript following peer review and revisions but before publisher-imposed formatting, copy-editing, or typesetting. This version incorporates changes mandated or suggested by referees to address scientific accuracy, methodology, and clarity, ensuring it meets the journal's acceptance criteria without altering the core research findings. Unlike preprints, which precede evaluation, postprints reflect validated scholarly content, though they retain the author's original styling and may include minor inconsistencies resolved later in production. Key structural components of a postprint encompass the full revised text body, including introduction, methods, results, discussion, and conclusions sections, as amended post-review. It typically features an updated abstract summarizing the study's objectives, findings, and implications; author affiliations and acknowledgments; and a bibliography with citations verified during revision. Figures, tables, and supplementary data are included in their author-prepared formats—often as separate files or embedded drafts—without professional layout or resolution enhancements applied by the publisher. Postprints exclude elements like final page numbering, journal-specific fonts, or proprietary branding, distinguishing them from the version of record. Metadata such as keywords, funding disclosures, and conflict-of-interest statements are present, as these are finalized during acceptance to comply with publication standards. In some disciplines, postprints may append reviewer comments or response letters as appendices for transparency, though this varies by journal policy. Overall, these elements prioritize content fidelity over aesthetic polish, enabling self-archiving while preserving the peer-reviewed essence. A postprint is distinguished from a by the incorporation of revisions based on feedback; preprints represent earlier drafts, typically the version submitted for review or prior iterations, without such modifications. Preprints are shared to solicit informal feedback or establish priority but lack the validation from formal refereeing. In relation to the accepted manuscript (also known as the author's accepted manuscript or AAM), the terms "postprint" and "accepted manuscript" are frequently used interchangeably to denote the peer-reviewed, revised version handed to the publisher for production, excluding any subsequent formatting or copy-editing by the journal. This stage captures the author's final substantive content post-refereeing but retains the author's original structure, lacking proprietary elements like journal-specific typesetting or proofs. Unlike the published version or version of record, a postprint omits the publisher's final interventions, such as professional layout, indexing, assignment in the journal context, and minor editorial polish, which can alter , figures, or phrasing without changing core findings. These publisher additions ensure consistency across issues but are not part of the author's intellectual contribution, making the postprint suitable for under many policies.
Manuscript VersionKey StageContent ModificationsFormatting
PreprintPre-peer review submissionNone from formal review; optional author updatesAuthor's original
Postprint (Accepted Manuscript)Post-peer review acceptanceRevisions per refereesAuthor's original, no publisher edits
Published VersionFinal journal outputPublisher copy-editing and typesettingJournal-specific layout and proofs
Terminological variations exist across disciplines and publishers; for instance, some fields apply "postprint" more broadly to any post-review version, but the standard usage emphasizes the pre-formatting accepted draft to delineate shareable author rights from proprietary outputs.

Historical Development

Pre-Digital Self-Archiving Practices

Prior to the widespread adoption of digital tools in the late , self-archiving of postprints—the peer-reviewed accepted manuscripts prior to publisher formatting and final production—was predominantly informal, localized, and reliant on . Authors maintained personal copies of revised typescripts or photocopies after incorporating reviewer feedback, storing them in private files, departmental collections, or institutional libraries for reference and selective sharing. This practice ensured preservation against loss but limited , as dissemination depended on direct personal requests rather than systematic distribution. In contrast to modern repositories, these efforts prioritized custody over broad public availability, reflecting the era's logistical constraints in , mailing, and . In scholarly fields like physics, where rapid communication was essential, authors extended preprint-sharing networks—established through mailed drafts since the post-World War II period—to include updates reflecting inputs. Physicists routinely forwarded physical copies of unpublished or revised manuscripts to colleagues and institutions via , accelerating exchange beyond formal journal timelines that could span months or years. By the 1960s, organized exchanges, such as those facilitated by libraries like SLAC's, formalized this by collecting and redistributing hundreds of documents monthly, though these primarily focused on pre-submission versions; post-review iterations were shared to notify networks of refinements. Such practices, while not exclusively for postprints, demonstrated early recognition of the value in archiving and circulating reviewed content to sustain collaborative momentum. A parallel mechanism was the distribution of offprints, unbound reprints of the fully published article supplied by s to authors, typically 50–100 copies per paper from the mid-19th century onward. These served as de facto tools, enabling authors to mail or hand-deliver copies to peers, mentors, and libraries, thereby extending the reach of peer-validated work without relying solely on subscriptions. Offprints facilitated networking and self-presentation, with authors annotating or bundling them to highlight contributions, a custom prevalent through the pre-internet era. In disciplines without strong traditions, such as the social sciences, series—printed and mailed from institutions like the NBER since the 1920s—often incorporated post-review revisions, functioning as proto-archives deposited in libraries for targeted audiences. These methods, though effective for elite networks, underscored systemic barriers: high costs of duplication and postage restricted sharing to influential scholars, while peripheral researchers faced delays or exclusion. from physics archives indicates mailing lists grew to thousands by the , yet coverage remained uneven across fields, prefiguring digital solutions' role in democratizing access.

Emergence in the Digital Age

The advent of widespread connectivity in academic institutions during the early facilitated the transition from physical distribution of manuscripts to digital , enabling researchers to share postprints—peer-reviewed and accepted versions of articles—beyond traditional journal constraints. Prior informal practices, such as anonymous FTP archives used by computer s since the , primarily involved preprints, but the maturing infrastructure allowed for more systematic deposition of postprints on personal or departmental websites. This shift was propelled by cognitive Stevan Harnad's "Subversive Proposal" posted on June 27, 1994, which explicitly urged scholars to both unrefereed preprints and refereed postprints in publicly accessible FTP archives to achieve immediate without awaiting publisher permissions or cancellations. Harnad's advocacy, disseminated via academic mailing lists, highlighted the potential for authors to retain rights to their accepted manuscripts while promoting research impact, countering the where journal subscription costs outpaced library budgets. Early adopters, particularly in physics and cognitive sciences, began uploading postprints to ad hoc digital repositories, with tools like CiteSeer (launched in 1997) automating the harvesting and indexing of these scattered from websites. This movement gained momentum amid growing awareness of access barriers, as evidenced by the steady increase in self-archived refereed papers; for instance, physics eprint archives saw annual deposits rise to approximately 30,000 by the early , including a subset of postprints. The formalization of postprint accelerated in the late 1990s and early 2000s with the development of dedicated software and protocols. The University of Southampton's EPrints archive, established in 2000, provided an open-source platform optimized for depositing postprints compliant with publisher policies, influencing the proliferation of institutional repositories worldwide. Concurrently, the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH), introduced in 2001, standardized metadata exchange, enabling aggregated search across disparate postprint collections and amplifying their discoverability. By the mid-2000s, publisher policies increasingly permitted postprint archiving—often after embargoes—reflecting to digital norms, though adoption remained uneven due to concerns over and impacts. Upon acceptance, authors of scholarly manuscripts often sign transfer agreements (CTAs) with publishers, granting exclusive rights to the final published version while typically retaining permissions to self-archive the accepted manuscript, known as the postprint. This version, incorporating peer feedback but lacking publisher formatting, enables authors to share their work via green routes without fully relinquishing control, though violations of specific policy terms can lead to infringement claims. Publishers vary in allowances: for instance, Wiley imposes a 12-24 month embargo on postprint archiving in non-commercial repositories, after which authors may deposit it on personal websites or institutional servers. Author rights in postprints emphasize retention of non-exclusive dissemination privileges, including use in , presentations, or archives, distinct from the publisher's proprietary version. Databases like SHERPA/RoMEO classify policies into categories such as "" (archiving permitted with conditions) or "" (postprint allowed post-embargo), aiding compliance; as of 2023, a majority of journals in science, , , and fields permit postprint under such terms. Non-compliance risks include takedown notices or legal action, though empirical cases remain infrequent due to widespread policy leniency and author adherence. To safeguard rights, authors may append tools like the SPARC Author Addendum before signing CTAs, explicitly reserving permissions for the postprint to counter standard transfers that prioritize publisher exclusivity. This approach aligns with funder mandates, such as those from the requiring postprint deposits in within 12 months of publication, balancing proprietary interests with public access. , including attribution, persist regardless of transfer, ensuring authorial credit in archived versions.

Embargo Policies and Funder Mandates

Publisher embargo policies typically permit authors to self-archive postprints (accepted manuscripts after ) in institutional or subject , but often impose a delay before public access, ranging from 6 to 24 months depending on the publisher and discipline. For instance, IEEE enforces a 24-month embargo for repository postings but allows authors to adhere to shorter funder requirements. Similarly, many , technology, and medical (STM) publishers apply 6- to 12-month embargoes to protect subscription revenue, while journals may extend to 12-24 months. These policies stem from agreements in contracts, where authors retain to share postprints but must respect specified timelines to avoid undermining sales. Funder mandates, particularly from public agencies, increasingly prioritize rapid dissemination and often supersede publisher embargoes by requiring immediate or near-immediate deposit of postprints into designated repositories. The U.S. (NIH) revised its Public Access Policy effective July 1, 2025, mandating zero-embargo public availability of peer-reviewed manuscripts in upon the official publication date, eliminating the prior 12-month delay. Authors must submit the accepted manuscript promptly, licensing the NIH for immediate distribution without fees, though compliance relies on publisher permissions for the version deposited. cOAlition S, implementing since 2021, requires all funded research outputs to be openly available immediately upon publication without embargoes, favoring but accommodating routes via postprint deposits in compliant repositories. This aligns with broader U.S. Office of Science and Technology Policy (OSTP) guidance from 2022, which directs federal agencies to end 12-month embargoes and ensure immediate access to publicly funded research, influencing policies across entities like the Department of Energy. Private funders such as the enforce for grant outputs, typically requiring postprint deposits with public access after a 6-month embargo for biomedical research, though they encourage sharing and data openness to accelerate knowledge transfer. Tensions arise when funder timelines conflict with publisher restrictions; in such cases, funded authors must prioritize mandate compliance, often negotiating addendums to contracts or selecting compliant journals. Empirical analyses indicate that shortening embargoes enhances citation rates without proportionally harming publisher revenues, as postprints complement rather than fully substitute subscription . Repositories like Europe PMC and institutional platforms facilitate verification of compliance, tracking deposit dates against policy deadlines.

Role in Open Access and Self-Archiving

Integration with Green Open Access Models

Postprints serve as the foundational component of green open access (OA) models, which emphasize self-archiving of peer-reviewed manuscripts in public repositories to provide free access without direct publisher involvement or article processing charges. Unlike preprints, which precede peer review and may lack validation, postprints—defined as the final author-accepted version incorporating reviewer feedback—align with green OA by balancing scholarly rigor and accessibility. This integration allows authors to retain copyright while fulfilling dissemination requirements, as most publishers permit archiving of this version under standard agreements, often after an embargo period. Funder mandates have institutionalized postprint use in green OA, requiring deposit of accepted manuscripts to ensure taxpayer-funded research reaches broader audiences. For instance, the U.S. (NIH) Public Access Policy, effective since 2008, mandates submission of postprints to within three months of publication or upon acceptance, whichever is later, to comply with public access goals. Similarly, the European Commission's program, launched in 2021, requires immediate deposit of postprints in repositories compliant with , with embargoes limited to six months for scientific publications. These policies drive integration by incentivizing authors to self-archive, with non-compliance risking funding ineligibility. Subject-specific and institutional repositories exemplify practical integration, hosting millions of postprints to facilitate green OA. , for biomedical research, archives over 8 million postprints as of 2023, enabling immediate or embargoed access per funder rules. Institutional repositories, such as those managed by universities, often use tools like or EPrints to ingest postprints, ensuring metadata compliance with standards like for discoverability. While primarily hosts preprints in physics and related fields, it accommodates postprints where permitted, demonstrating flexibility in repository ecosystems. Embargo periods remain a key integration challenge, typically ranging from 6 to 24 months depending on publisher policies, to protect subscription revenues before green OA versions become public. Publishers like allow postprint archiving after acceptance but enforce discipline-specific embargoes, such as 12 months for . Zero-embargo green OA policies, adopted by some funders and publishers like those aligned with cOAlition S, permit immediate deposit, accelerating integration and addressing criticisms of delayed access. Compliance tracking, via services like Sherpa/, reveals that over 90% of journals permit postprint , underscoring its viability in green models despite varying restrictions.

Repository Practices and Compliance

Repository practices for postprints emphasize depositing the author-accepted manuscript (AAM), which incorporates peer-review revisions but excludes publisher-specific formatting, to facilitate while adhering to restrictions. Institutional and disciplinary repositories, such as those compliant with OAI-PMH protocols, typically require including version labels (e.g., "accepted manuscript"), submission dates, DOIs, and acknowledgments to ensure discoverability and . Deposits must align with publisher permissions, often verified via databases like the Open Policy Finder (formerly /), which categorizes policies by color codes—e.g., for unrestricted postprint archiving, blue for postprint with conditions like embargoes. Compliance with funder mandates is a core practice, as many require postprint deposits in designated repositories to promote public access. For instance, the U.S. (NIH) mandates submission of peer-reviewed manuscripts from funded research to within 90 days of acceptance or 12 months of publication, whichever is earlier, using the postprint version unless the publisher version is available under license. Similarly, requires beneficiaries to deposit peer-reviewed publications in compliant repositories immediately upon publication, applying open licenses like CC-BY to ensure machine-readable , with non-compliance risking ineligibility for further . Repositories enforce these by integrating validation tools, such as checking embargo periods (typically 6-24 months for many publishers) and requiring evidence of funder acknowledgment in the . Best practices include proactive author education on version distinctions to avoid depositing non-compliant versions, such as preprints lacking revisions or publisher PDFs infringing copyrights. Automated workflows, like protocol integrations, enable direct deposits from publishers to institutional upon acceptance, minimizing errors and ensuring timely compliance. Challenges arise from inconsistent publisher policies, where some impose post-deposit restrictions or require updated notices upon publication, necessitating repository curators to monitor and potentially embargo or withdraw items to maintain legal adherence. Overall, these practices prioritize verifiable and , with like or institutional platforms providing persistent identifiers (e.g., handles or ARKs) to support long-term preservation and citation tracking.

Advantages and Criticisms

Empirical Benefits for Accessibility and Speed

Self-archiving of postprints, the peer-reviewed but pre-formatted versions of manuscripts, enhances by providing free, barrier-free through repositories, thereby expanding readership beyond subscribers to subscription-based journals. Empirical analyses across disciplines, including physics and , indicate that () self-archived articles garner 50% to 300% more citations than non- counterparts, even when controlling for journal and article age, suggesting increased visibility and usage due to unrestricted rather than self-selection of higher-quality work. In , self-archived green articles from the same journals received 36% higher citation counts compared to non- articles published between 1997 and 2010, attributing the advantage to broader discoverability in institutional repositories. This accessibility-driven impact is particularly pronounced for higher-citable research, where enables user self-selection of valuable content that might otherwise remain paywalled, without evidence of quality bias in decisions—mandated OA yields equivalent advantages to voluntary archiving. Studies confirm the effect holds for refereed postprints, distinguishing them from preprints by ensuring peer-validated content reaches wider audiences promptly after acceptance, fostering diverse citations from global institutions and fields. Regarding speed, postprint self-archiving facilitates rapid post-peer-review dissemination, often immediate upon acceptance, circumventing delays from publisher typesetting and production that can extend 3 to 12 months. This early availability contributes to accelerated citation accrual, with self-archived versions receiving citations sooner than final publications due to enhanced exposure during the interim period. Logistic regressions on over 27,000 articles (2002–2006) show OA's citation boost independent of publication delays, yet tied to timely access that amplifies impact for time-sensitive fields like and . Overall, these mechanisms underscore postprints' role in hastening while maintaining review rigor.

Drawbacks Including Quality Control and Economic Shifts

One drawback of postprint archiving concerns the absence of publisher-provided copy-editing, , and formatting, which often identify residual errors, inconsistencies, or ambiguities overlooked by authors and peer reviewers after acceptance. Unlike the version of record (VoR), postprints typically reflect the author's accepted manuscript without these production-stage refinements, potentially disseminating minor inaccuracies or suboptimal presentation to wider audiences via repositories. Versioning challenges exacerbate issues, as the coexistence of preprints, postprints, and VoRs across platforms can confuse readers and citers regarding the authoritative iteration, leading to fragmented or erroneous . Repositories may host outdated or unamended postprints that fail to incorporate subsequent publisher errata, further complicating verification and reliability assessments. Economically, widespread postprint self-archiving under green open access models threatens traditional subscription revenues by enabling institutions to access content without paying publishers, prompting cancellations for journals perceived as sufficiently available elsewhere. From 2004 to 2015, publishers responded by increasing self-archiving restrictions, with policy constraints on methods rising 119%, locations 190%, and timing 1,000%, as tracked in SHERPA/RoMEO data, to preserve income streams. This shift pressures publishers toward or open access alternatives reliant on article processing charges (APCs), redistributing costs from readers to authors and funders while risking inequities for resource-limited researchers unable to cover fees. Proponents of mandatory green archiving argue it intentionally renders inflated subscriptions unsustainable, but critics contend it erodes publisher incentives for maintaining robust and preservation infrastructure. Overall, green via postprints introduces reader burdens, such as navigating disparate versions and repositories, indirectly increasing access frictions despite no direct author costs.

Impact on Scholarly Publishing

Effects on Citation and Dissemination

Self-archiving postprints, as a form of green , has been empirically linked to enhanced rates compared to non-open access counterparts. A 2022 scientometric analysis of over 1.5 million articles across disciplines found that manuscripts made available via in repositories yielded a statistically significant advantage, with green open access versions receiving approximately 10-20% more citations than subscription-only publications, attributable to increased and . This effect persists even after controlling for factors like journal prestige and author productivity, suggesting that broader dissemination drives additional scholarly engagement rather than inherent quality differences. The mechanism underlying this citation boost involves temporal advantages: postprints can be deposited immediately upon acceptance, often 6-12 months before the final publisher version, enabling earlier integration into ongoing research. Empirical evidence from mandated policies at institutions like the and demonstrates that such practices elevate counts by 30-50% over baseline, as measured in longitudinal studies tracking articles from 2004-2010. In fields like physics and , where is common, postprints contribute to a "citation window" expansion, with early citations accruing at rates up to 1.5 times higher during the embargo period. Beyond citations, postprint dissemination amplifies scholarly reach through indexing and visibility, fostering interdisciplinary exposure. A study on institutional repositories reported that self-archived accepted manuscripts garnered 25-40% higher download metrics and altmetric attention scores than ed versions, correlating with faster knowledge propagation in global networks. This is particularly evident in resource-constrained regions, where mitigates barriers, leading to diversified citing authors and reduced citation concentration among elite institutions. However, the advantage varies by discipline; in , where timelines are longer, the effect is muted compared to fields with rapid publication cycles.

Challenges to Established Publishing Gatekeeping

The practice of postprints—author-accepted manuscripts following —directly challenges the gatekeeping authority of traditional by enabling authors to distribute peer-reviewed content independently of paywalled platforms. Publishers historically controlled not only selection and validation through but also exclusive dissemination, leveraging subscription models to monetize . Postprint archiving in institutional or disciplinary repositories, such as those compliant with routes, bypasses this by providing free, immediate or near-immediate availability of substantive research outputs, rendering publisher versions (primarily differentiated by and ) less essential for and usage. This shift empowers authors and funders over intermediaries, as evidenced by the growth of : by 2018, approximately 15% of new research articles were made openly accessible via repositories, a figure driven by rather than publisher consent. Funder and institutional mandates have intensified this disruption, overriding publisher-imposed embargoes and policies that seek to delay to protect revenues. For instance, the U.S. National Institutes of Health's 2008 Public Access Policy required deposit of postprints in within 12 months of publication, while the 2012 expansion shortened effective timelines through expanded compliance tools; similar rules from the and enforce zero or minimal embargoes. The 2018 launch of by cOAlition S further escalated the challenge, mandating that publicly funded research outputs, including postprints, be immediately under CC BY licenses, with non-compliant funders facing penalties. These policies compel authors to retain rights or use addendums, as publishers like and permit postprint archiving but often with 12-24 month delays for subscription journals, a restriction increasingly ignored or litigated against in favor of open dissemination. Empirical data underscores the causal erosion of publisher gatekeeping: self-archived postprints garner higher download rates and citations than equivalent paywalled versions, with one analysis of health research finding repository deposits boosted impact metrics by up to 20% without compromising validity. This visibility gain advertises journals while diverting traffic from publisher sites, pressuring the oligopolistic market where five firms control over 50% of articles indexed in Web of Science from 1973-2013. Publishers counter by emphasizing their role in long-term preservation and versioning, yet repositories like Zenodo and institutional archives demonstrate comparable reliability, with postprints differing from final versions only in non-substantive elements like copyediting. The resulting economic strain—green open access preserving subscriptions but introducing "hidden costs" through duplicated infrastructure—has prompted hybrid models, but fundamentally reallocates gatekeeping from commercial entities to authors and communities, fostering a more decentralized scholarly ecosystem.

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