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未经筛选的预印本被期刊引用的情况日益增多

Preprints Without Curation Are Increasingly Cited by Journals

Chiaki Miura, Ichiro Sakata

arXiv 2607.25220首次发表:更新:

AI 中文总结

研究发现未经筛选的预印本被期刊引用情况日益增多,通过六个主要预印本服务器元数据及与老牌期刊引用对比,发现引用强度和广度增长,偏好指数级上升,且多指向非筛选预印本,揭示引用行为转变,促使关注引用惯例和期刊政策适应问题。

AI 中文摘要

近期同行评审系统面临的压力催生了“发布-评审-筛选”模式,即稿件的公开传播与正式同行评审及后续编辑流程脱钩。传统上,引用规范指向经过筛选的版本,即那些随后出现在同行评审期刊上的版本。因此,通常预计只有最终经过筛选的预印本才会被引用。利用与世界最大的文献参考数据库相连的六个主要预印本服务器的元数据,并聚焦于具有严格编辑流程的老牌期刊的引用情况,我们将观察到的引用率与一个零模型进行比较,该零模型反映了如果作者对预印本和期刊文章无差异时的预期引用率。引用强度和采用广度都有明显增长:在2021年达到峰值时,近五分之一的期刊文章至少引用了一篇预印本。自2010年代中期以来,引用预印本的偏好呈指数级增长,关键转折点与bioRxiv的推出(2013年)和Crossref的DOI系统中引入预印本内容类型(2016年)相吻合。这些引用中越来越大的比例指向未经筛选的预印本,这种转变无法用混杂因素来解释:预印本存量的增加、更快的出版周期或少数高被引预印本的过大影响。这些发现揭示了引用行为的结构性转变:预印本越来越被视为合法的、自主的引用对象,与其后续出版状态无关,这促使人们重新关注引用惯例和期刊政策应如何适应预印本在学术交流中不断扩大的作用。新冠疫情并未加剧这一趋势,而是与预印本引用增长的减速同时出现。

英文摘要

The recent strain on peer review systems necessitates the publish-review-curate model, where the public dissemination of manuscripts is decoupled from formal peer review and later editorial processes. Citation norms traditionally pointed to the curated version; those that subsequently appear in peer-reviewed journals. Citations to preprints are therefore generally expected to occur only to those eventually curated. Using metadata from six major preprint servers linked to the world's largest bibliographic reference database, and focusing on citations from long-established journals with rigorous editorial workflows, we compare observed citation rates with a null model reflecting the expected rate if authors were indifferent between preprints and journal articles. The growth is evident in both citation intensity and the breadth of adoption: at its peak in 2021, nearly one in five journal articles cited at least one preprint. The preference to cite preprints has grown exponentially since the mid-2010s, with key inflection points coinciding with the launch of bioRxiv (2013) and the introduction of a preprint content type in Crossref's DOI system (2016). An increasing share of these citations refer to non-curated preprints and this shift cannot be explained by confounding factors: the growing stock of preprints, faster publishing cycles, or the outsized influence of a small set of highly cited preprints. These findings reveal a structural shift in citing behavior: preprints are increasingly treated as legitimate, autonomous objects of citation, independent of their later publication status, motivating renewed attention to how citation conventions and journal policies should accommodate the expanding role of preprints in scholarly communication. The COVID-19 pandemic did not amplify this trend but instead coincided with a deceleration in preprint citation growth.

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