Science Ethics

Preprint is a scholarly document (non-peer-reviewed) posted by the author in an open platform, typically before submission for journal peer review and publication. A common type of license used in open access journals and with preprints is a Creative Commons-BY (CC-BY) license. 

Major ethics-related questions in regard to preprints:

• Should the journal accept submissions that have been posted as preprints?
  • As of 2023, many, but not all, publishers allow preprint posting for manuscripts submitted to their journals for publication. Some publishers such as BMJ and Springer Nature encourage preprinting. eLife requires it. Check the current policy in the author instructions for any journal you are preparing to submit to.
• Is the preprint considered a 'prior publication’?
  • Preprints are not generally considered as publications but may be considered as a 'prior publication'. Many journals follow COPE Guidelines in addressing potential Redundant Publication and will support the early dissemination of research through preprints. Other 'prior publications' include:
    • Conference abstracts, posters, and presentations;
    • Dissertations posted in institutional archives;
    • Raw data and clinical trials registries.
• How does the availability of a preprint impact the eventual license or copyright applying to the journal article?
  • There are some common practices in journal publishing. Traditionally, to publish their article in a journal, authors must agree to transfer their copyright to the journal publisher. The publisher “owns” the copyright. Publishers generally extend some rights for authors to use and share their own work following this transfer, but the author should carefully read and understand the agreement they are making with the publisher. As an author, be sure to review the journal’s website or the Transpose database  to find publishers’ policies on preprinting prior to submitting your manuscript. As an example, see Elsevier’s Copyright policies . For additional information, see the International Committee of Medical Journal Editors guidance on Overlapping Publications .

(adapted from ASAPbio blog and NLM)

COPE (Committee on Publication Ethics) has discussed ethical practice for preprints in a COPE Discussion document on preprints posted in 2018. The revision of this document mainly focused on:

Screening: It was agreed that disregarding the subject area, there should be a minimum set of items screened, including checks for non-scholarly material, relevance, offensive content, text overlap, and potential risks associated with content with clinical, public health or environmental implications.

Version stability and continuity: In the interest of transparency, any changes to the preprint record after it is posted should be clearly designated, such as if a revised version is posted.

Use the following resources to check specific journal/publisher policies on preprints:

• bioRxiv and medRxiv have a direct transfer service to transmit manuscript files from the preprint server to participating journals and peer review services;
• Sherpa/Romeo - a database of journal policies on preprinting, post-printing, and author rights;
• Transpose - a database of journal policies on peer review, co-reviewing, and preprinting.

Funders and employers are increasingly recognizing the value of preprints and allowing them to be included for assessment. See tracking of:

• Funding agency policies on preprint sharing (see NIH's policy);
• University preprint policies and statements for hiring, tenure, and promotion.

(adapted from UCSF LibGuide)