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References in Research – Types, Examples and Writing Guide

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References in Research

Definition:

References in research are a list of sources that a researcher has consulted or cited while conducting their study. They are an essential component of any academic work, including research papers, theses, dissertations, and other scholarly publications.

Types of References

There are several types of references used in research, and the type of reference depends on the source of information being cited. The most common types of references include:

References to books typically include the author’s name, title of the book, publisher, publication date, and place of publication.

Example: Smith, J. (2018). The Art of Writing. Penguin Books.

Journal Articles

References to journal articles usually include the author’s name, title of the article, name of the journal, volume and issue number, page numbers, and publication date.

Example: Johnson, T. (2021). The Impact of Social Media on Mental Health. Journal of Psychology, 32(4), 87-94.

Web sources

References to web sources should include the author or organization responsible for the content, the title of the page, the URL, and the date accessed.

Example: World Health Organization. (2020). Coronavirus disease (COVID-19) advice for the public. Retrieved from https://www.who.int/emergencies/disease/novel-coronavirus-2019/advice-for-public

Conference Proceedings

References to conference proceedings should include the author’s name, title of the paper, name of the conference, location of the conference, date of the conference, and page numbers.

Example: Chen, S., & Li, J. (2019). The Future of AI in Education. Proceedings of the International Conference on Educational Technology, Beijing, China, July 15-17, pp. 67-78.

References to reports typically include the author or organization responsible for the report, title of the report, publication date, and publisher.

Example: United Nations. (2020). The Sustainable Development Goals Report. United Nations.

Formats of References

Some common Formates of References with their examples are as follows:

APA (American Psychological Association) Style

The APA (American Psychological Association) Style has specific guidelines for formatting references used in academic papers, articles, and books. Here are the different reference formats in APA style with examples:

Author, A. A. (Year of publication). Title of book. Publisher.

Example : Smith, J. K. (2005). The psychology of social interaction. Wiley-Blackwell.

Journal Article

Author, A. A., Author, B. B., & Author, C. C. (Year of publication). Title of article. Title of Journal, volume number(issue number), page numbers.

Example : Brown, L. M., Keating, J. G., & Jones, S. M. (2012). The role of social support in coping with stress among African American adolescents. Journal of Research on Adolescence, 22(1), 218-233.

Author, A. A. (Year of publication or last update). Title of page. Website name. URL.

Example : Centers for Disease Control and Prevention. (2020, December 11). COVID-19: How to protect yourself and others. https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html

Magazine article

Author, A. A. (Year, Month Day of publication). Title of article. Title of Magazine, volume number(issue number), page numbers.

Example : Smith, M. (2019, March 11). The power of positive thinking. Psychology Today, 52(3), 60-65.

Newspaper article:

Author, A. A. (Year, Month Day of publication). Title of article. Title of Newspaper, page numbers.

Example: Johnson, B. (2021, February 15). New study shows benefits of exercise on mental health. The New York Times, A8.

Edited book

Editor, E. E. (Ed.). (Year of publication). Title of book. Publisher.

Example : Thompson, J. P. (Ed.). (2014). Social work in the 21st century. Sage Publications.

Chapter in an edited book:

Author, A. A. (Year of publication). Title of chapter. In E. E. Editor (Ed.), Title of book (pp. page numbers). Publisher.

Example : Johnson, K. S. (2018). The future of social work: Challenges and opportunities. In J. P. Thompson (Ed.), Social work in the 21st century (pp. 105-118). Sage Publications.

MLA (Modern Language Association) Style

The MLA (Modern Language Association) Style is a widely used style for writing academic papers and essays in the humanities. Here are the different reference formats in MLA style:

Author’s Last name, First name. Title of Book. Publisher, Publication year.

Example : Smith, John. The Psychology of Social Interaction. Wiley-Blackwell, 2005.

Journal article

Author’s Last name, First name. “Title of Article.” Title of Journal, volume number, issue number, Publication year, page numbers.

Example : Brown, Laura M., et al. “The Role of Social Support in Coping with Stress among African American Adolescents.” Journal of Research on Adolescence, vol. 22, no. 1, 2012, pp. 218-233.

Author’s Last name, First name. “Title of Webpage.” Website Name, Publication date, URL.

Example : Centers for Disease Control and Prevention. “COVID-19: How to Protect Yourself and Others.” CDC, 11 Dec. 2020, https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.

Author’s Last name, First name. “Title of Article.” Title of Magazine, Publication date, page numbers.

Example : Smith, Mary. “The Power of Positive Thinking.” Psychology Today, Mar. 2019, pp. 60-65.

Newspaper article

Author’s Last name, First name. “Title of Article.” Title of Newspaper, Publication date, page numbers.

Example : Johnson, Bob. “New Study Shows Benefits of Exercise on Mental Health.” The New York Times, 15 Feb. 2021, p. A8.

Editor’s Last name, First name, editor. Title of Book. Publisher, Publication year.

Example : Thompson, John P., editor. Social Work in the 21st Century. Sage Publications, 2014.

Chapter in an edited book

Author’s Last name, First name. “Title of Chapter.” Title of Book, edited by Editor’s First Name Last name, Publisher, Publication year, page numbers.

Example : Johnson, Karen S. “The Future of Social Work: Challenges and Opportunities.” Social Work in the 21st Century, edited by John P. Thompson, Sage Publications, 2014, pp. 105-118.

Chicago Manual of Style

The Chicago Manual of Style is a widely used style for writing academic papers, dissertations, and books in the humanities and social sciences. Here are the different reference formats in Chicago style:

Example : Smith, John K. The Psychology of Social Interaction. Wiley-Blackwell, 2005.

Author’s Last name, First name. “Title of Article.” Title of Journal volume number, no. issue number (Publication year): page numbers.

Example : Brown, Laura M., John G. Keating, and Sarah M. Jones. “The Role of Social Support in Coping with Stress among African American Adolescents.” Journal of Research on Adolescence 22, no. 1 (2012): 218-233.

Author’s Last name, First name. “Title of Webpage.” Website Name. Publication date. URL.

Example : Centers for Disease Control and Prevention. “COVID-19: How to Protect Yourself and Others.” CDC. December 11, 2020. https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.

Author’s Last name, First name. “Title of Article.” Title of Magazine, Publication date.

Example : Smith, Mary. “The Power of Positive Thinking.” Psychology Today, March 2019.

Author’s Last name, First name. “Title of Article.” Title of Newspaper, Publication date.

Example : Johnson, Bob. “New Study Shows Benefits of Exercise on Mental Health.” The New York Times, February 15, 2021.

Example : Thompson, John P., ed. Social Work in the 21st Century. Sage Publications, 2014.

Author’s Last name, First name. “Title of Chapter.” In Title of Book, edited by Editor’s First Name Last Name, page numbers. Publisher, Publication year.

Example : Johnson, Karen S. “The Future of Social Work: Challenges and Opportunities.” In Social Work in the 21st Century, edited by John P. Thompson, 105-118. Sage Publications, 2014.

Harvard Style

The Harvard Style, also known as the Author-Date System, is a widely used style for writing academic papers and essays in the social sciences. Here are the different reference formats in Harvard Style:

Author’s Last name, First name. Year of publication. Title of Book. Place of publication: Publisher.

Example : Smith, John. 2005. The Psychology of Social Interaction. Oxford: Wiley-Blackwell.

Author’s Last name, First name. Year of publication. “Title of Article.” Title of Journal volume number (issue number): page numbers.

Example: Brown, Laura M., John G. Keating, and Sarah M. Jones. 2012. “The Role of Social Support in Coping with Stress among African American Adolescents.” Journal of Research on Adolescence 22 (1): 218-233.

Author’s Last name, First name. Year of publication. “Title of Webpage.” Website Name. URL. Accessed date.

Example : Centers for Disease Control and Prevention. 2020. “COVID-19: How to Protect Yourself and Others.” CDC. https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html. Accessed April 1, 2023.

Author’s Last name, First name. Year of publication. “Title of Article.” Title of Magazine, month and date of publication.

Example : Smith, Mary. 2019. “The Power of Positive Thinking.” Psychology Today, March 2019.

Author’s Last name, First name. Year of publication. “Title of Article.” Title of Newspaper, month and date of publication.

Example : Johnson, Bob. 2021. “New Study Shows Benefits of Exercise on Mental Health.” The New York Times, February 15, 2021.

Editor’s Last name, First name, ed. Year of publication. Title of Book. Place of publication: Publisher.

Example : Thompson, John P., ed. 2014. Social Work in the 21st Century. Thousand Oaks, CA: Sage Publications.

Author’s Last name, First name. Year of publication. “Title of Chapter.” In Title of Book, edited by Editor’s First Name Last Name, page numbers. Place of publication: Publisher.

Example : Johnson, Karen S. 2014. “The Future of Social Work: Challenges and Opportunities.” In Social Work in the 21st Century, edited by John P. Thompson, 105-118. Thousand Oaks, CA: Sage Publications.

Vancouver Style

The Vancouver Style, also known as the Uniform Requirements for Manuscripts Submitted to Biomedical Journals, is a widely used style for writing academic papers in the biomedical sciences. Here are the different reference formats in Vancouver Style:

Author’s Last name, First name. Title of Book. Edition number. Place of publication: Publisher; Year of publication.

Example : Smith, John K. The Psychology of Social Interaction. 2nd ed. Oxford: Wiley-Blackwell; 2005.

Author’s Last name, First name. Title of Article. Abbreviated Journal Title. Year of publication; volume number(issue number):page numbers.

Example : Brown LM, Keating JG, Jones SM. The Role of Social Support in Coping with Stress among African American Adolescents. J Res Adolesc. 2012;22(1):218-233.

Author’s Last name, First name. Title of Webpage. Website Name [Internet]. Publication date. [cited date]. Available from: URL.

Example : Centers for Disease Control and Prevention. COVID-19: How to Protect Yourself and Others [Internet]. 2020 Dec 11. [cited 2023 Apr 1]. Available from: https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.

Author’s Last name, First name. Title of Article. Title of Magazine. Year of publication; month and day of publication:page numbers.

Example : Smith M. The Power of Positive Thinking. Psychology Today. 2019 Mar 1:32-35.

Author’s Last name, First name. Title of Article. Title of Newspaper. Year of publication; month and day of publication:page numbers.

Example : Johnson B. New Study Shows Benefits of Exercise on Mental Health. The New York Times. 2021 Feb 15:A4.

Editor’s Last name, First name, editor. Title of Book. Edition number. Place of publication: Publisher; Year of publication.

Example: Thompson JP, editor. Social Work in the 21st Century. 1st ed. Thousand Oaks, CA: Sage Publications; 2014.

Author’s Last name, First name. Title of Chapter. In: Editor’s Last name, First name, editor. Title of Book. Edition number. Place of publication: Publisher; Year of publication. page numbers.

Example : Johnson KS. The Future of Social Work: Challenges and Opportunities. In: Thompson JP, editor. Social Work in the 21st Century. 1st ed. Thousand Oaks, CA: Sage Publications; 2014. p. 105-118.

Turabian Style

Turabian style is a variation of the Chicago style used in academic writing, particularly in the fields of history and humanities. Here are the different reference formats in Turabian style:

Author’s Last name, First name. Title of Book. Place of publication: Publisher, Year of publication.

Example : Smith, John K. The Psychology of Social Interaction. Oxford: Wiley-Blackwell, 2005.

Author’s Last name, First name. “Title of Article.” Title of Journal volume number, no. issue number (Year of publication): page numbers.

Example : Brown, LM, Keating, JG, Jones, SM. “The Role of Social Support in Coping with Stress among African American Adolescents.” J Res Adolesc 22, no. 1 (2012): 218-233.

Author’s Last name, First name. “Title of Webpage.” Name of Website. Publication date. Accessed date. URL.

Example : Centers for Disease Control and Prevention. “COVID-19: How to Protect Yourself and Others.” CDC. December 11, 2020. Accessed April 1, 2023. https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.

Author’s Last name, First name. “Title of Article.” Title of Magazine, Month Day, Year of publication, page numbers.

Example : Smith, M. “The Power of Positive Thinking.” Psychology Today, March 1, 2019, 32-35.

Author’s Last name, First name. “Title of Article.” Title of Newspaper, Month Day, Year of publication.

Example : Johnson, B. “New Study Shows Benefits of Exercise on Mental Health.” The New York Times, February 15, 2021.

Editor’s Last name, First name, ed. Title of Book. Place of publication: Publisher, Year of publication.

Example : Thompson, JP, ed. Social Work in the 21st Century. Thousand Oaks, CA: Sage Publications, 2014.

Author’s Last name, First name. “Title of Chapter.” In Title of Book, edited by Editor’s Last name, First name, page numbers. Place of publication: Publisher, Year of publication.

Example : Johnson, KS. “The Future of Social Work: Challenges and Opportunities.” In Social Work in the 21st Century, edited by Thompson, JP, 105-118. Thousand Oaks, CA: Sage Publications, 2014.

IEEE (Institute of Electrical and Electronics Engineers) Style

IEEE (Institute of Electrical and Electronics Engineers) style is commonly used in engineering, computer science, and other technical fields. Here are the different reference formats in IEEE style:

Author’s Last name, First name. Book Title. Place of Publication: Publisher, Year of publication.

Example : Oppenheim, A. V., & Schafer, R. W. Discrete-Time Signal Processing. Upper Saddle River, NJ: Prentice Hall, 2010.

Author’s Last name, First name. “Title of Article.” Abbreviated Journal Title, vol. number, no. issue number, pp. page numbers, Month year of publication.

Example: Shannon, C. E. “A Mathematical Theory of Communication.” Bell System Technical Journal, vol. 27, no. 3, pp. 379-423, July 1948.

Conference paper

Author’s Last name, First name. “Title of Paper.” In Title of Conference Proceedings, Place of Conference, Date of Conference, pp. page numbers, Year of publication.

Example: Gupta, S., & Kumar, P. “An Improved System of Linear Discriminant Analysis for Face Recognition.” In Proceedings of the 2011 International Conference on Computer Science and Network Technology, Harbin, China, Dec. 2011, pp. 144-147.

Author’s Last name, First name. “Title of Webpage.” Name of Website. Date of publication or last update. Accessed date. URL.

Example : National Aeronautics and Space Administration. “Apollo 11.” NASA. July 20, 1969. Accessed April 1, 2023. https://www.nasa.gov/mission_pages/apollo/apollo11.html.

Technical report

Author’s Last name, First name. “Title of Report.” Name of Institution or Organization, Report number, Year of publication.

Example : Smith, J. R. “Development of a New Solar Panel Technology.” National Renewable Energy Laboratory, NREL/TP-6A20-51645, 2011.

Author’s Last name, First name. “Title of Patent.” Patent number, Issue date.

Example : Suzuki, H. “Method of Producing Carbon Nanotubes.” US Patent 7,151,019, December 19, 2006.

Standard Title. Standard number, Publication date.

Example : IEEE Standard for Floating-Point Arithmetic. IEEE Std 754-2008, August 29, 2008

ACS (American Chemical Society) Style

ACS (American Chemical Society) style is commonly used in chemistry and related fields. Here are the different reference formats in ACS style:

Author’s Last name, First name; Author’s Last name, First name. Title of Article. Abbreviated Journal Title Year, Volume, Page Numbers.

Example : Wang, Y.; Zhao, X.; Cui, Y.; Ma, Y. Facile Preparation of Fe3O4/graphene Composites Using a Hydrothermal Method for High-Performance Lithium Ion Batteries. ACS Appl. Mater. Interfaces 2012, 4, 2715-2721.

Author’s Last name, First name. Book Title; Publisher: Place of Publication, Year of Publication.

Example : Carey, F. A. Organic Chemistry; McGraw-Hill: New York, 2008.

Author’s Last name, First name. Chapter Title. In Book Title; Editor’s Last name, First name, Ed.; Publisher: Place of Publication, Year of Publication; Volume number, Chapter number, Page Numbers.

Example : Grossman, R. B. Analytical Chemistry of Aerosols. In Aerosol Measurement: Principles, Techniques, and Applications; Baron, P. A.; Willeke, K., Eds.; Wiley-Interscience: New York, 2001; Chapter 10, pp 395-424.

Author’s Last name, First name. Title of Webpage. Website Name, URL (accessed date).

Example : National Institute of Standards and Technology. Atomic Spectra Database. https://www.nist.gov/pml/atomic-spectra-database (accessed April 1, 2023).

Author’s Last name, First name. Patent Number. Patent Date.

Example : Liu, Y.; Huang, H.; Chen, H.; Zhang, W. US Patent 9,999,999, December 31, 2022.

Author’s Last name, First name; Author’s Last name, First name. Title of Article. In Title of Conference Proceedings, Publisher: Place of Publication, Year of Publication; Volume Number, Page Numbers.

Example : Jia, H.; Xu, S.; Wu, Y.; Wu, Z.; Tang, Y.; Huang, X. Fast Adsorption of Organic Pollutants by Graphene Oxide. In Proceedings of the 15th International Conference on Environmental Science and Technology, American Chemical Society: Washington, DC, 2017; Volume 1, pp 223-228.

AMA (American Medical Association) Style

AMA (American Medical Association) style is commonly used in medical and scientific fields. Here are the different reference formats in AMA style:

Author’s Last name, First name. Article Title. Journal Abbreviation. Year; Volume(Issue):Page Numbers.

Example : Jones, R. A.; Smith, B. C. The Role of Vitamin D in Maintaining Bone Health. JAMA. 2019;321(17):1765-1773.

Author’s Last name, First name. Book Title. Edition number. Place of Publication: Publisher; Year.

Example : Guyton, A. C.; Hall, J. E. Textbook of Medical Physiology. 13th ed. Philadelphia, PA: Saunders; 2015.

Author’s Last name, First name. Chapter Title. In: Editor’s Last name, First name, ed. Book Title. Edition number. Place of Publication: Publisher; Year: Page Numbers.

Example: Rajakumar, K. Vitamin D and Bone Health. In: Holick, M. F., ed. Vitamin D: Physiology, Molecular Biology, and Clinical Applications. 2nd ed. New York, NY: Springer; 2010:211-222.

Author’s Last name, First name. Webpage Title. Website Name. URL. Published date. Updated date. Accessed date.

Example : National Cancer Institute. Breast Cancer Prevention (PDQ®)–Patient Version. National Cancer Institute. https://www.cancer.gov/types/breast/patient/breast-prevention-pdq. Published October 11, 2022. Accessed April 1, 2023.

Author’s Last name, First name. Conference presentation title. In: Conference Title; Conference Date; Place of Conference.

Example : Smith, J. R. Vitamin D and Bone Health: A Meta-Analysis. In: Proceedings of the Annual Meeting of the American Society for Bone and Mineral Research; September 20-23, 2022; San Diego, CA.

Thesis or dissertation

Author’s Last name, First name. Title of Thesis or Dissertation. Degree level [Doctoral dissertation or Master’s thesis]. University Name; Year.

Example : Wilson, S. A. The Effects of Vitamin D Supplementation on Bone Health in Postmenopausal Women [Doctoral dissertation]. University of California, Los Angeles; 2018.

ASCE (American Society of Civil Engineers) Style

The ASCE (American Society of Civil Engineers) style is commonly used in civil engineering fields. Here are the different reference formats in ASCE style:

Author’s Last name, First name. “Article Title.” Journal Title, volume number, issue number (year): page numbers. DOI or URL (if available).

Example : Smith, J. R. “Evaluation of the Effectiveness of Sustainable Drainage Systems in Urban Areas.” Journal of Environmental Engineering, vol. 146, no. 3 (2020): 04020010. https://doi.org/10.1061/(ASCE)EE.1943-7870.0001668.

Example : McCuen, R. H. Hydrologic Analysis and Design. 4th ed. Upper Saddle River, NJ: Pearson Education; 2013.

Author’s Last name, First name. “Chapter Title.” In: Editor’s Last name, First name, ed. Book Title. Edition number. Place of Publication: Publisher; Year: page numbers.

Example : Maidment, D. R. “Floodplain Management in the United States.” In: Shroder, J. F., ed. Treatise on Geomorphology. San Diego, CA: Academic Press; 2013: 447-460.

Author’s Last name, First name. “Paper Title.” In: Conference Title; Conference Date; Location. Place of Publication: Publisher; Year: page numbers.

Example: Smith, J. R. “Sustainable Drainage Systems for Urban Areas.” In: Proceedings of the ASCE International Conference on Sustainable Infrastructure; November 6-9, 2019; Los Angeles, CA. Reston, VA: American Society of Civil Engineers; 2019: 156-163.

Author’s Last name, First name. “Report Title.” Report number. Place of Publication: Publisher; Year.

Example : U.S. Army Corps of Engineers. “Hurricane Sandy Coastal Risk Reduction Program, New York and New Jersey.” Report No. P-15-001. Washington, DC: U.S. Army Corps of Engineers; 2015.

CSE (Council of Science Editors) Style

The CSE (Council of Science Editors) style is commonly used in the scientific and medical fields. Here are the different reference formats in CSE style:

Author’s Last name, First Initial. Middle Initial. “Article Title.” Journal Title. Year;Volume(Issue):Page numbers.

Example : Smith, J.R. “Evaluation of the Effectiveness of Sustainable Drainage Systems in Urban Areas.” Journal of Environmental Engineering. 2020;146(3):04020010.

Author’s Last name, First Initial. Middle Initial. Book Title. Edition number. Place of Publication: Publisher; Year.

Author’s Last name, First Initial. Middle Initial. “Chapter Title.” In: Editor’s Last name, First Initial. Middle Initial., ed. Book Title. Edition number. Place of Publication: Publisher; Year:Page numbers.

Author’s Last name, First Initial. Middle Initial. “Paper Title.” In: Conference Title; Conference Date; Location. Place of Publication: Publisher; Year.

Example : Smith, J.R. “Sustainable Drainage Systems for Urban Areas.” In: Proceedings of the ASCE International Conference on Sustainable Infrastructure; November 6-9, 2019; Los Angeles, CA. Reston, VA: American Society of Civil Engineers; 2019.

Author’s Last name, First Initial. Middle Initial. “Report Title.” Report number. Place of Publication: Publisher; Year.

Bluebook Style

The Bluebook style is commonly used in the legal field for citing legal documents and sources. Here are the different reference formats in Bluebook style:

Case citation

Case name, volume source page (Court year).

Example : Brown v. Board of Education, 347 U.S. 483 (1954).

Statute citation

Name of Act, volume source § section number (year).

Example : Clean Air Act, 42 U.S.C. § 7401 (1963).

Regulation citation

Name of regulation, volume source § section number (year).

Example: Clean Air Act, 40 C.F.R. § 52.01 (2019).

Book citation

Author’s Last name, First Initial. Middle Initial. Book Title. Edition number (if applicable). Place of Publication: Publisher; Year.

Example: Smith, J.R. Legal Writing and Analysis. 3rd ed. New York, NY: Aspen Publishers; 2015.

Journal article citation

Author’s Last name, First Initial. Middle Initial. “Article Title.” Journal Title. Volume number (year): first page-last page.

Example: Garcia, C. “The Right to Counsel: An International Comparison.” International Journal of Legal Information. 43 (2015): 63-94.

Website citation

Author’s Last name, First Initial. Middle Initial. “Page Title.” Website Title. URL (accessed month day, year).

Example : United Nations. “Universal Declaration of Human Rights.” United Nations. https://www.un.org/en/universal-declaration-human-rights/ (accessed January 3, 2023).

Oxford Style

The Oxford style, also known as the Oxford referencing system or the documentary-note citation system, is commonly used in the humanities, including literature, history, and philosophy. Here are the different reference formats in Oxford style:

Author’s Last name, First name. Book Title. Place of Publication: Publisher, Year of Publication.

Example : Smith, John. The Art of Writing. New York: Penguin, 2020.

Author’s Last name, First name. “Article Title.” Journal Title volume, no. issue (year): page range.

Example: Garcia, Carlos. “The Role of Ethics in Philosophy.” Philosophy Today 67, no. 3 (2019): 53-68.

Chapter in an edited book citation

Author’s Last name, First name. “Chapter Title.” In Book Title, edited by Editor’s Name, page range. Place of Publication: Publisher, Year of Publication.

Example : Lee, Mary. “Feminism in the 21st Century.” In The Oxford Handbook of Feminism, edited by Jane Smith, 51-69. Oxford: Oxford University Press, 2018.

Author’s Last name, First name. “Page Title.” Website Title. URL (accessed day month year).

Example : Jones, David. “The Importance of Learning Languages.” Oxford Language Center. https://www.oxfordlanguagecenter.com/importance-of-learning-languages/ (accessed 3 January 2023).

Dissertation or thesis citation

Author’s Last name, First name. “Title of Dissertation/Thesis.” PhD diss., University Name, Year of Publication.

Example : Brown, Susan. “The Art of Storytelling in American Literature.” PhD diss., University of Oxford, 2020.

Newspaper article citation

Author’s Last name, First name. “Article Title.” Newspaper Title, Month Day, Year.

Example : Robinson, Andrew. “New Developments in Climate Change Research.” The Guardian, September 15, 2022.

AAA (American Anthropological Association) Style

The American Anthropological Association (AAA) style is commonly used in anthropology research papers and journals. Here are the different reference formats in AAA style:

Author’s Last name, First name. Year of Publication. Book Title. Place of Publication: Publisher.

Example : Smith, John. 2019. The Anthropology of Food. New York: Routledge.

Author’s Last name, First name. Year of Publication. “Article Title.” Journal Title volume, no. issue: page range.

Example : Garcia, Carlos. 2021. “The Role of Ethics in Anthropology.” American Anthropologist 123, no. 2: 237-251.

Author’s Last name, First name. Year of Publication. “Chapter Title.” In Book Title, edited by Editor’s Name, page range. Place of Publication: Publisher.

Example: Lee, Mary. 2018. “Feminism in Anthropology.” In The Oxford Handbook of Feminism, edited by Jane Smith, 51-69. Oxford: Oxford University Press.

Author’s Last name, First name. Year of Publication. “Page Title.” Website Title. URL (accessed day month year).

Example : Jones, David. 2020. “The Importance of Learning Languages.” Oxford Language Center. https://www.oxfordlanguagecenter.com/importance-of-learning-languages/ (accessed January 3, 2023).

Author’s Last name, First name. Year of Publication. “Title of Dissertation/Thesis.” PhD diss., University Name.

Example : Brown, Susan. 2022. “The Art of Storytelling in Anthropology.” PhD diss., University of California, Berkeley.

Author’s Last name, First name. Year of Publication. “Article Title.” Newspaper Title, Month Day.

Example : Robinson, Andrew. 2021. “New Developments in Anthropology Research.” The Guardian, September 15.

AIP (American Institute of Physics) Style

The American Institute of Physics (AIP) style is commonly used in physics research papers and journals. Here are the different reference formats in AIP style:

Example : Johnson, S. D. 2021. “Quantum Computing and Information.” Journal of Applied Physics 129, no. 4: 043102.

Example : Feynman, Richard. 2018. The Feynman Lectures on Physics. New York: Basic Books.

Example : Jones, David. 2020. “The Future of Quantum Computing.” In The Handbook of Physics, edited by John Smith, 125-136. Oxford: Oxford University Press.

Conference proceedings citation

Author’s Last name, First name. Year of Publication. “Title of Paper.” Proceedings of Conference Name, date and location: page range. Place of Publication: Publisher.

Example : Chen, Wei. 2019. “The Applications of Nanotechnology in Solar Cells.” Proceedings of the 8th International Conference on Nanotechnology, July 15-17, Tokyo, Japan: 224-229. New York: AIP Publishing.

Example : American Institute of Physics. 2022. “About AIP Publishing.” AIP Publishing. https://publishing.aip.org/about-aip-publishing/ (accessed January 3, 2023).

Patent citation

Author’s Last name, First name. Year of Publication. Patent Number.

Example : Smith, John. 2018. US Patent 9,873,644.

References Writing Guide

Here are some general guidelines for writing references:

• Follow the citation style guidelines: Different disciplines and journals may require different citation styles (e.g., APA, MLA, Chicago). It is important to follow the specific guidelines for the citation style required.
• Include all necessary information : Each citation should include enough information for readers to locate the source. For example, a journal article citation should include the author(s), title of the article, journal title, volume number, issue number, page numbers, and publication year.
• Use proper formatting: Citation styles typically have specific formatting requirements for different types of sources. Make sure to follow the proper formatting for each citation.
• Order citations alphabetically: If listing multiple sources, they should be listed alphabetically by the author’s last name.
• Be consistent: Use the same citation style throughout the entire paper or project.
• Check for accuracy: Double-check all citations to ensure accuracy, including correct spelling of author names and publication information.
• Use reputable sources: When selecting sources to cite, choose reputable and authoritative sources. Avoid sources that are biased or unreliable.
• Include all sources: Make sure to include all sources used in the research, including those that were not directly quoted but still informed the work.
• Use online tools : There are online tools available (e.g., citation generators) that can help with formatting and organizing references.

Purpose of References in Research

References in research serve several purposes:

• To give credit to the original authors or sources of information used in the research. It is important to acknowledge the work of others and avoid plagiarism.
• To provide evidence for the claims made in the research. References can support the arguments, hypotheses, or conclusions presented in the research by citing relevant studies, data, or theories.
• To allow readers to find and verify the sources used in the research. References provide the necessary information for readers to locate and access the sources cited in the research, which allows them to evaluate the quality and reliability of the information presented.
• To situate the research within the broader context of the field. References can show how the research builds on or contributes to the existing body of knowledge, and can help readers to identify gaps in the literature that the research seeks to address.

Importance of References in Research

References play an important role in research for several reasons:

• Credibility : By citing authoritative sources, references lend credibility to the research and its claims. They provide evidence that the research is based on a sound foundation of knowledge and has been carefully researched.
• Avoidance of Plagiarism : References help researchers avoid plagiarism by giving credit to the original authors or sources of information. This is important for ethical reasons and also to avoid legal repercussions.
• Reproducibility : References allow others to reproduce the research by providing detailed information on the sources used. This is important for verification of the research and for others to build on the work.
• Context : References provide context for the research by situating it within the broader body of knowledge in the field. They help researchers to understand where their work fits in and how it builds on or contributes to existing knowledge.
• Evaluation : References provide a means for others to evaluate the research by allowing them to assess the quality and reliability of the sources used.

Advantages of References in Research

There are several advantages of including references in research:

• Acknowledgment of Sources: Including references gives credit to the authors or sources of information used in the research. This is important to acknowledge the original work and avoid plagiarism.
• Evidence and Support : References can provide evidence to support the arguments, hypotheses, or conclusions presented in the research. This can add credibility and strength to the research.
• Reproducibility : References provide the necessary information for others to reproduce the research. This is important for the verification of the research and for others to build on the work.
• Context : References can help to situate the research within the broader body of knowledge in the field. This helps researchers to understand where their work fits in and how it builds on or contributes to existing knowledge.
• Evaluation : Including references allows others to evaluate the research by providing a means to assess the quality and reliability of the sources used.
• Ongoing Conversation: References allow researchers to engage in ongoing conversations and debates within their fields. They can show how the research builds on or contributes to the existing body of knowledge.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• Referencing

A Quick Guide to Referencing | Cite Your Sources Correctly

Referencing means acknowledging the sources you have used in your writing. Including references helps you support your claims and ensures that you avoid plagiarism .

There are many referencing styles, but they usually consist of two things:

• A citation wherever you refer to a source in your text.
• A reference list or bibliography at the end listing full details of all your sources.

The most common method of referencing in UK universities is Harvard style , which uses author-date citations in the text. Our free Harvard Reference Generator automatically creates accurate references in this style.

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Table of contents

Referencing styles, citing your sources with in-text citations, creating your reference list or bibliography, harvard referencing examples, frequently asked questions about referencing.

Each referencing style has different rules for presenting source information. For in-text citations, some use footnotes or endnotes , while others include the author’s surname and date of publication in brackets in the text.

The reference list or bibliography is presented differently in each style, with different rules for things like capitalisation, italics, and quotation marks in references.

Your university will usually tell you which referencing style to use; they may even have their own unique style. Always follow your university’s guidelines, and ask your tutor if you are unsure. The most common styles are summarised below.

Harvard referencing, the most commonly used style at UK universities, uses author–date in-text citations corresponding to an alphabetical bibliography or reference list at the end.

Harvard Referencing Guide

Vancouver referencing, used in biomedicine and other sciences, uses reference numbers in the text corresponding to a numbered reference list at the end.

Vancouver Referencing Guide

APA referencing, used in the social and behavioural sciences, uses author–date in-text citations corresponding to an alphabetical reference list at the end.

APA Referencing Guide APA Reference Generator

MHRA referencing, used in the humanities, uses footnotes in the text with source information, in addition to an alphabetised bibliography at the end.

MHRA Referencing Guide

OSCOLA referencing, used in law, uses footnotes in the text with source information, and an alphabetical bibliography at the end in longer texts.

OSCOLA Referencing Guide

Prevent plagiarism, run a free check.

In-text citations should be used whenever you quote, paraphrase, or refer to information from a source (e.g. a book, article, image, website, or video).

Quoting and paraphrasing

Quoting is when you directly copy some text from a source and enclose it in quotation marks to indicate that it is not your own writing.

Paraphrasing is when you rephrase the original source into your own words. In this case, you don’t use quotation marks, but you still need to include a citation.

In most referencing styles, page numbers are included when you’re quoting or paraphrasing a particular passage. If you are referring to the text as a whole, no page number is needed.

In-text citations

In-text citations are quick references to your sources. In Harvard referencing, you use the author’s surname and the date of publication in brackets.

Up to three authors are included in a Harvard in-text citation. If the source has more than three authors, include the first author followed by ‘ et al. ‘

The point of these citations is to direct your reader to the alphabetised reference list, where you give full information about each source. For example, to find the source cited above, the reader would look under ‘J’ in your reference list to find the title and publication details of the source.

Placement of in-text citations

In-text citations should be placed directly after the quotation or information they refer to, usually before a comma or full stop. If a sentence is supported by multiple sources, you can combine them in one set of brackets, separated by a semicolon.

If you mention the author’s name in the text already, you don’t include it in the citation, and you can place the citation immediately after the name.

• Another researcher warns that the results of this method are ‘inconsistent’ (Singh, 2018, p. 13) .
• Previous research has frequently illustrated the pitfalls of this method (Singh, 2018; Jones, 2016) .
• Singh (2018, p. 13) warns that the results of this method are ‘inconsistent’.

The terms ‘bibliography’ and ‘reference list’ are sometimes used interchangeably. Both refer to a list that contains full information on all the sources cited in your text. Sometimes ‘bibliography’ is used to mean a more extensive list, also containing sources that you consulted but did not cite in the text.

A reference list or bibliography is usually mandatory, since in-text citations typically don’t provide full source information. For styles that already include full source information in footnotes (e.g. OSCOLA and Chicago Style ), the bibliography is optional, although your university may still require you to include one.

Format of the reference list

Reference lists are usually alphabetised by authors’ last names. Each entry in the list appears on a new line, and a hanging indent is applied if an entry extends onto multiple lines.

Different source information is included for different source types. Each style provides detailed guidelines for exactly what information should be included and how it should be presented.

Below are some examples of reference list entries for common source types in Harvard style.

• Chapter of a book
• Journal article

Your university should tell you which referencing style to follow. If you’re unsure, check with a supervisor. Commonly used styles include:

• Harvard referencing , the most commonly used style in UK universities.
• MHRA , used in humanities subjects.
• APA , used in the social sciences.
• Vancouver , used in biomedicine.
• OSCOLA , used in law.

Your university may have its own referencing style guide.

If you are allowed to choose which style to follow, we recommend Harvard referencing, as it is a straightforward and widely used style.

References should be included in your text whenever you use words, ideas, or information from a source. A source can be anything from a book or journal article to a website or YouTube video.

If you don’t acknowledge your sources, you can get in trouble for plagiarism .

To avoid plagiarism , always include a reference when you use words, ideas or information from a source. This shows that you are not trying to pass the work of others off as your own.

You must also properly quote or paraphrase the source. If you’re not sure whether you’ve done this correctly, you can use the Scribbr Plagiarism Checker to find and correct any mistakes.

Harvard referencing uses an author–date system. Sources are cited by the author’s last name and the publication year in brackets. Each Harvard in-text citation corresponds to an entry in the alphabetised reference list at the end of the paper.

Vancouver referencing uses a numerical system. Sources are cited by a number in parentheses or superscript. Each number corresponds to a full reference at the end of the paper.

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Reference List: Basic Rules

Welcome to the Purdue OWL

This page is brought to you by the OWL at Purdue University. When printing this page, you must include the entire legal notice.

Copyright ©1995-2018 by The Writing Lab & The OWL at Purdue and Purdue University. All rights reserved. This material may not be published, reproduced, broadcast, rewritten, or redistributed without permission. Use of this site constitutes acceptance of our terms and conditions of fair use.

This resourse, revised according to the 7 th  edition APA Publication Manual, offers basic guidelines for formatting the reference list at the end of a standard APA research paper. Most sources follow fairly straightforward rules. However, because sources obtained from academic journals  carry special weight in research writing, these sources are subject to special rules . Thus, this page presents basic guidelines for citing academic journals separate from its "ordinary" basic guidelines. This distinction is made clear below.

Note:  Because the information on this page pertains to virtually all citations, we've highlighted one important difference between APA 6 and APA 7 with an underlined note written in red.  For more information, please consult the   Publication Manual of the American Psychological Association , (7 th  ed.).

Formatting a Reference List

Your reference list should appear at the end of your paper. It provides the information necessary for a reader to locate and retrieve any source you cite in the body of the paper. Each source you cite in the paper must appear in your reference list; likewise, each entry in the reference list must be cited in your text.

Your references should begin on a new page separate from the text of the essay; label this page "References" in bold, centered at the top of the page (do NOT underline or use quotation marks for the title). All text should be double-spaced just like the rest of your essay.

Basic Rules for Most Sources

• All lines after the first line of each entry in your reference list should be indented one-half inch from the left margin. This is called hanging indentation.
• All authors' names should be inverted (i.e., last names should be provided first).
• For example, the reference entry for a source written by Jane Marie Smith would begin with "Smith, J. M."
• If a middle name isn't available, just initialize the author's first name: "Smith, J."
• Give the last name and first/middle initials for all authors of a particular work up to and including 20 authors ( this is a new rule, as APA 6 only required the first six authors ). Separate each author’s initials from the next author in the list with a comma. Use an ampersand (&) before the last author’s name. If there are 21 or more authors, use an ellipsis (but no ampersand) after the 19th author, and then add the final author’s name.
• Reference list entries should be alphabetized by the last name of the first author of each work.
• For multiple articles by the same author, or authors listed in the same order, list the entries in chronological order, from earliest to most recent.
• Note again that the titles of academic journals are subject to special rules. See section below.
• Italicize titles of longer works (e.g., books, edited collections, names of newspapers, and so on).
• Do not italicize, underline, or put quotes around the titles of shorter works such as chapters in books or essays in edited collections.

Basic Rules for Articles in Academic Journals

• Present journal titles in full.
• Italicize journal titles.
• For example, you should use  PhiloSOPHIA  instead of  Philosophia,  or  Past & Present   instead of  Past and Present.
• This distinction is based on the type of source being cited. Academic journal titles have all major words capitalized, while other sources' titles do not.
• Capitalize   the first word of the titles and subtitles of   journal articles , as well as the   first word after a colon or a dash in the title, and   any proper nouns .
• Do not italicize or underline the article title.
• Deep blue: The mysteries of the Marianas Trench.
• Oceanographic Study: A Peer-Reviewed Publication

Please note:  While the APA manual provides examples of how to cite common types of sources, it does not cover all conceivable sources. If you must cite a source that APA does not address, the APA suggests finding an example that is similar to your source and using that format. For more information, see page 282 of the   Publication Manual of the American Psychological Association , 7 th  ed.

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Reference List: Common Reference List Examples

Article (with doi).

Alvarez, E., & Tippins, S. (2019). Socialization agents that Puerto Rican college students use to make financial decisions. Journal of Social Change , 11 (1), 75–85. https://doi.org/10.5590/JOSC.2019.11.1.07

Laplante, J. P., & Nolin, C. (2014). Consultas and socially responsible investing in Guatemala: A case study examining Maya perspectives on the Indigenous right to free, prior, and informed consent. Society & Natural Resources , 27 , 231–248. https://doi.org/10.1080/08941920.2013.861554

Use the DOI number for the source whenever one is available. DOI stands for "digital object identifier," a number specific to the article that can help others locate the source. In APA 7, format the DOI as a web address. Active hyperlinks for DOIs and URLs should be used for documents meant for screen reading. Present these hyperlinks in blue and underlined text (the default formatting in Microsoft Word), although plain black text is also acceptable. Be consistent in your formatting choice for DOIs and URLs throughout your reference list. Also see our Quick Answer FAQ, "Can I use the DOI format provided by library databases?"

Jerrentrup, A., Mueller, T., Glowalla, U., Herder, M., Henrichs, N., Neubauer, A., & Schaefer, J. R. (2018). Teaching medicine with the help of “Dr. House.” PLoS ONE , 13 (3), Article e0193972. https://doi.org/10.1371/journal.pone.0193972

For journal articles that are assigned article numbers rather than page ranges, include the article number in place of the page range.

For more on citing electronic resources, see  Electronic Sources References .

Article (Without DOI)

Found in a common academic research database or in print.

Casler , T. (2020). Improving the graduate nursing experience through support on a social media platform. MEDSURG Nursing , 29 (2), 83–87.

If an article does not have a DOI and you retrieved it from a common academic research database through the university library, there is no need to include any additional electronic retrieval information. The reference list entry looks like the entry for a print copy of the article. (This format differs from APA 6 guidelines that recommended including the URL of a journal's homepage when the DOI was not available.) Note that APA 7 has additional guidance on reference list entries for articles found only in specific databases or archives such as Cochrane Database of Systematic Reviews, UpToDate, ProQuest Dissertations and Theses Global, and university archives. See APA 7, Section 9.30 for more information.

Found on an Open Access Website

Eaton, T. V., & Akers, M. D. (2007). Whistleblowing and good governance. CPA Journal , 77 (6), 66–71. http://archives.cpajournal.com/2007/607/essentials/p58.htm

Provide the direct web address/URL to a journal article found on the open web, often on an open access journal's website. In APA 7, active hyperlinks for DOIs and URLs should be used for documents meant for screen reading. Present these hyperlinks in blue and underlined text (the default formatting in Microsoft Word), although plain black text is also acceptable. Be consistent in your formatting choice for DOIs and URLs throughout your reference list.

Weinstein, J. A. (2010).  Social change  (3rd ed.). Rowman & Littlefield.

If the book has an edition number, include it in parentheses after the title of the book. If the book does not list any edition information, do not include an edition number. The edition number is not italicized.

American Nurses Association. (2015). Nursing: Scope and standards of practice (3rd ed.).

If the author and publisher are the same, only include the author in its regular place and omit the publisher.

Lencioni, P. (2012). The advantage: Why organizational health trumps everything else in business . Jossey-Bass. https://amzn.to/343XPSJ

As a change from APA 6 to APA 7, it is no longer necessary to include the ebook format in the title. However, if you listened to an audiobook and the content differs from the text version (e.g., abridged content) or your discussion highlights elements of the audiobook (e.g., narrator's performance), then note that it is an audiobook in the title element in brackets. For ebooks and online audiobooks, also include the DOI number (if available) or nondatabase URL but leave out the electronic retrieval element if the ebook was found in a common academic research database, as with journal articles. APA 7 allows for the shortening of long DOIs and URLs, as shown in this example. See APA 7, Section 9.36 for more information.

Chapter in an Edited Book

Poe, M. (2017). Reframing race in teaching writing across the curriculum. In F. Condon & V. A. Young (Eds.), Performing antiracist pedagogy in rhetoric, writing, and communication (pp. 87–105). University Press of Colorado.

Include the page numbers of the chapter in parentheses after the book title.

Christensen, L. (2001). For my people: Celebrating community through poetry. In B. Bigelow, B. Harvey, S. Karp, & L. Miller (Eds.), Rethinking our classrooms: Teaching for equity and justice (Vol. 2, pp. 16–17). Rethinking Schools.

Also include the volume number or edition number in the parenthetical information after the book title when relevant.

Freud, S. (1961). The ego and the id. In J. Strachey (Ed.),  The standard edition of the complete psychological works of Sigmund Freud  (Vol. 19, pp. 3-66). Hogarth Press. (Original work published 1923)

When a text has been republished as part of an anthology collection, after the author’s name include the date of the version that was read. At the end of the entry, place the date of the original publication inside parenthesis along with the note “original work published.” For in-text citations of republished work, use both dates in the parenthetical citation, original date first with a slash separating the years, as in this example: Freud (1923/1961). For more information on reprinted or republished works, see APA 7, Sections 9.40-9.41.

Classroom Resources

Citing classroom resources.

If you need to cite content found in your online classroom, use the author (if there is one listed), the year of publication (if available), the title of the document, and the main URL of Walden classrooms. For example, you are citing study notes titled "Health Effects of Exposure to Forest Fires," but you do not know the author's name, your reference entry will look like this:

Health effects of exposure to forest fires [Lecture notes]. (2005). Walden University Canvas. https://waldenu.instructure.com

If you do know the author of the document, your reference will look like this:

Smith, A. (2005). Health effects of exposure to forest fires [PowerPoint slides]. Walden University Canvas. https://waldenu.instructure.com  

A few notes on citing course materials:

• [Lecture notes]
• [Course handout]
• [Study notes]
• It can be difficult to determine authorship of classroom documents. If an author is listed on the document, use that. If the resource is clearly a product of Walden (such as the course-based videos), use Walden University as the author. If you are unsure or if no author is indicated, place the title in the author spot, as above.
• If you cannot determine a date of publication, you can use n.d. (for "no date") in place of the year.

Note:  The web location for Walden course materials is not directly retrievable without a password, and therefore, following APA guidelines, use the main URL for the class sites: https://class.waldenu.edu.

Citing Tempo Classroom Resources

Clear author: 

Smith, A. (2005). Health effects of exposure to forest fires [PowerPoint slides]. Walden University Brightspace. https://mytempo.waldenu.edu

Unclear author:

Health effects of exposure to forest fires [Lecture notes]. (2005). Walden University Brightspace. https://mytempo.waldenu.edu

Conference Sessions and Presentations

Feinman, Y. (2018, July 27). Alternative to proctoring in introductory statistics community college courses [Poster presentation]. Walden University Research Symposium, Minneapolis, MN, United States. https://scholarworks.waldenu.edu/symposium2018/23/

Torgerson, K., Parrill, J., & Haas, A. (2019, April 5-9). Tutoring strategies for online students [Conference session]. The Higher Learning Commission Annual Conference, Chicago, IL, United States. http://onlinewritingcenters.org/scholarship/torgerson-parrill-haas-2019/

Dictionary Entry

Merriam-Webster. (n.d.). Leadership. In Merriam-Webster.com dictionary . Retrieved May 28, 2020, from https://www.merriam-webster.com/dictionary/leadership

When constructing a reference for an entry in a dictionary or other reference work that has no byline (i.e., no named individual authors), use the name of the group—the institution, company, or organization—as author (e.g., Merriam Webster, American Psychological Association, etc.). The name of the entry goes in the title position, followed by "In" and the italicized name of the reference work (e.g., Merriam-Webster.com dictionary , APA dictionary of psychology ). In this instance, APA 7 recommends including a retrieval date as well for this online source since the contents of the page change over time. End the reference entry with the specific URL for the defined word.

Discussion Board Post

Osborne, C. S. (2010, June 29). Re: Environmental responsibility [Discussion post]. Walden University Canvas.  https://waldenu.instructure.com  

Dissertations or Theses

Retrieved From a Database

Nalumango, K. (2019). Perceptions about the asylum-seeking process in the United States after 9/11 (Publication No. 13879844) [Doctoral dissertation, Walden University]. ProQuest Dissertations and Theses.

Retrieved From an Institutional or Personal Website

Evener. J. (2018). Organizational learning in libraries at for-profit colleges and universities [Doctoral dissertation, Walden University]. ScholarWorks. https://scholarworks.waldenu.edu/cgi/viewcontent.cgi?article=6606&context=dissertations

Unpublished Dissertation or Thesis

Kirwan, J. G. (2005). An experimental study of the effects of small-group, face-to-face facilitated dialogues on the development of self-actualization levels: A movement towards fully functional persons [Unpublished doctoral dissertation]. Saybrook Graduate School and Research Center.

For further examples and information, see APA 7, Section 10.6.

Legal Material

For legal references, APA follows the recommendations of The Bluebook: A Uniform System of Citation , so if you have any questions beyond the examples provided in APA, seek out that resource as well.

Court Decisions

Reference format:

Name v. Name, Volume Reporter Page (Court Date). URL

Sample reference entry:

Brown v. Board of Education, 347 U.S. 483 (1954). https://www.oyez.org/cases/1940-1955/347us483

Sample citation:

In Brown v. Board of Education (1954), the Supreme Court ruled racial segregation in schools unconstitutional.

Note: Italicize the case name when it appears in the text of your paper.

Name of Act, Title Source § Section Number (Year). URL

Sample reference entry for a federal statute:

Individuals With Disabilities Education Act, 20 U.S.C. § 1400 et seq. (2004). https://www.congress.gov/108/plaws/publ446/PLAW-108publ446.pdf

Sample reference entry for a state statute:

Minnesota Nurse Practice Act, Minn. Stat. §§ 148.171 et seq. (2019). https://www.revisor.mn.gov/statutes/cite/148.171

Sample citation: Minnesota nurses must maintain current registration in order to practice (Minnesota Nurse Practice Act, 2010).

Note: The § symbol stands for "section." Use §§ for sections (plural). To find this symbol in Microsoft Word, go to "Insert" and click on Symbol." Look in the Latin 1-Supplement subset. Note: U.S.C. stands for "United States Code." Note: The Latin abbreviation " et seq. " means "and what follows" and is used when the act includes the cited section and ones that follow. Note: List the chapter first followed by the section or range of sections.

Unenacted Bills and Resolutions

(Those that did not pass and become law)

Title [if there is one], bill or resolution number, xxx Cong. (year). URL

Sample reference entry for Senate bill:

Anti-Phishing Act, S. 472, 109th Cong. (2005). https://www.congress.gov/bill/109th-congress/senate-bill/472

Sample reference entry for House of Representatives resolution:

Anti-Phishing Act, H.R. 1099, 109th Cong. (2005). https://www.congress.gov/bill/109th-congress/house-bill/1099

The Anti-Phishing Act (2005) proposed up to 5 years prison time for people running Internet scams.

These are the three legal areas you may be most apt to cite in your scholarly work. For more examples and explanation, see APA 7, Chapter 11.

Magazine Article

Clay, R. (2008, June). Science vs. ideology: Psychologists fight back about the misuse of research. Monitor on Psychology , 39 (6). https://www.apa.org/monitor/2008/06/ideology

Note that for citations, include only the year: Clay (2008). For magazine articles retrieved from a common academic research database, leave out the URL. For magazine articles from an online news website that is not an online version of a print magazine, follow the format for a webpage reference list entry.

Newspaper Article (Retrieved Online)

Baker, A. (2014, May 7). Connecticut students show gains in national tests. New York Times . http://www.nytimes.com/2014/05/08/nyregion/national-assessment-of-educational-progress-results-in-Connecticut-and-New-Jersey.html

Include the full date in the format Year, Month Day. Do not include a retrieval date for periodical sources found on websites. Note that for citations, include only the year: Baker (2014). For newspaper articles retrieved from a common academic research database, leave out the URL. For newspaper articles from an online news website that is not an online version of a print newspaper, follow the format for a webpage reference list entry.

OASIS Resources

Oasis webpage.

OASIS. (n.d.). Common reference list examples . Walden University. https://academicguides.waldenu.edu/writingcenter/apa/references/examples

For all OASIS content, list OASIS as the author. Because OASIS webpages do not include publication dates, use “n.d.” for the year.

Interactive Guide

OASIS. (n.d.). Embrace iterative research and writing [Interactive guide]. Walden University. https://academics.waldenu.edu/oasis/iterative-research-writing-web

For OASIS multimedia resources, such as interactive guides, include a description of the resource in brackets after the title.

Online Video/Webcast

Walden University. (2013).  An overview of learning  [Video]. Walden University Canvas.  https://waldenu.instructure.com  

Use this format for online videos such as Walden videos in classrooms. Most of our classroom videos are produced by Walden University, which will be listed as the author in your reference and citation. Note: Some examples of audiovisual materials in the APA manual show the word “Producer” in parentheses after the producer/author area. In consultation with the editors of the APA manual, we have determined that parenthetical is not necessary for the videos in our courses. The manual itself is unclear on the matter, however, so either approach should be accepted. Note that the speaker in the video does not appear in the reference list entry, but you may want to mention that person in your text. For instance, if you are viewing a video where Tobias Ball is the speaker, you might write the following: Tobias Ball stated that APA guidelines ensure a consistent presentation of information in student papers (Walden University, 2013). For more information on citing the speaker in a video, see our page on Common Citation Errors .

Taylor, R. [taylorphd07]. (2014, February 27). Scales of measurement [Video]. YouTube. https://www.youtube.com/watch?v=PDsMUlexaMY

OASIS. (2020, April 15). One-way ANCOVA: Introduction [Video]. YouTube. https://youtu.be/_XnNDQ5CNW8

For videos from streaming sites, use the person or organization who uploaded the video in the author space to ensure retrievability, whether or not that person is the speaker in the video. A username can be provided in square brackets. As a change from APA 6 to APA 7, include the publisher after the title, and do not use "Retrieved from" before the URL. See APA 7, Section 10.12 for more information and examples.

See also reference list entry formats for TED Talks .

Technical and Research Reports

Edwards, C. (2015). Lighting levels for isolated intersections: Leading to safety improvements (Report No. MnDOT 2015-05). Center for Transportation Studies. http://www.cts.umn.edu/Publications/ResearchReports/reportdetail.html?id=2402

Technical and research reports by governmental agencies and other research institutions usually follow a different publication process than scholarly, peer-reviewed journals. However, they present original research and are often useful for research papers. Sometimes, researchers refer to these types of reports as gray literature , and white papers are a type of this literature. See APA 7, Section 10.4 for more information.

Reference list entires for TED Talks follow the usual guidelines for multimedia content found online. There are two common places to find TED talks online, with slightly different reference list entry formats for each.

TED Talk on the TED website

If you find the TED Talk on the TED website, follow the format for an online video on an organizational website:

Owusu-Kesse, K. (2020, June). 5 needs that any COVID-19 response should meet [Video]. TED Conferences. https://www.ted.com/talks/kwame_owusu_kesse_5_needs_that_any_covid_19_response_should_meet

The speaker is the author in the reference list entry if the video is posted on the TED website. For citations, use the speaker's surname.

TED Talk on YouTube

If you find the TED Talk on YouTube or another streaming video website, follow the usual format for streaming video sites:

TED. (2021, February 5). The shadow pandemic of domestic violence during COVID-19 | Kemi DaSilvalbru [Video]. YouTube. https://www.youtube.com/watch?v=PGdID_ICFII

TED is the author in the reference list entry if the video is posted on YouTube since it is the channel on which the video is posted. For citations, use TED as the author.

Walden University Course Catalog

To include the Walden course catalog in your reference list, use this format:

Walden University. (2020). 2019-2020 Walden University catalog . https://catalog.waldenu.edu/index.php

If you cite from a specific portion of the catalog in your paper, indicate the appropriate section and paragraph number in your text:

...which reflects the commitment to social change expressed in Walden University's mission statement (Walden University, 2020, Vision, Mission, and Goals section, para. 2).

And in the reference list:

Walden University. (2020). Vision, mission, and goals. In 2019-2020 Walden University catalog. https://catalog.waldenu.edu/content.php?catoid=172&navoid=59420&hl=vision&returnto=search

Vartan, S. (2018, January 30). Why vacations matter for your health . CNN. https://www.cnn.com/travel/article/why-vacations-matter/index.html

For webpages on the open web, include the author, date, webpage title, organization/site name, and URL. (There is a slight variation for online versions of print newspapers or magazines. For those sources, follow the models in the previous sections of this page.)

American Federation of Teachers. (n.d.). Community schools . http://www.aft.org/issues/schoolreform/commschools/index.cfm

If there is no specified author, then use the organization’s name as the author. In such a case, there is no need to repeat the organization's name after the title.

In APA 7, active hyperlinks for DOIs and URLs should be used for documents meant for screen reading. Present these hyperlinks in blue and underlined text (the default formatting in Microsoft Word), although plain black text is also acceptable. Be consistent in your formatting choice for DOIs and URLs throughout your reference list.

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Knowledge Check: Common Reference List Examples

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How to Cite a Research Paper

Last Updated: March 29, 2024 Fact Checked

This article was reviewed by Gerald Posner and by wikiHow staff writer, Jennifer Mueller, JD . Gerald Posner is an Author & Journalist based in Miami, Florida. With over 35 years of experience, he specializes in investigative journalism, nonfiction books, and editorials. He holds a law degree from UC College of the Law, San Francisco, and a BA in Political Science from the University of California-Berkeley. He’s the author of thirteen books, including several New York Times bestsellers, the winner of the Florida Book Award for General Nonfiction, and has been a finalist for the Pulitzer Prize in History. He was also shortlisted for the Best Business Book of 2020 by the Society for Advancing Business Editing and Writing. There are 8 references cited in this article, which can be found at the bottom of the page. This article has been fact-checked, ensuring the accuracy of any cited facts and confirming the authority of its sources. This article has been viewed 417,767 times.

When writing a paper for a research project, you may need to cite a research paper you used as a reference. The basic information included in your citation will be the same across all styles. However, the format in which that information is presented is somewhat different depending on whether you're using American Psychological Association (APA), Modern Language Association (MLA), Chicago, or American Medical Association (AMA) style.

Referencing a Research Paper

• In APA style, cite the paper: Last Name, First Initial. (Year). Title. Publisher.
• In Chicago style, cite the paper: Last Name, First Name. “Title.” Publisher, Year.
• In MLA style, cite the paper: Last Name, First Name. “Title.” Publisher. Year.

Citation Help

• For example: "Kringle, K., & Frost, J."

• For example: "Kringle, K., & Frost, J. (2012)."
• If the date, or any other information, are not available, use the guide at https://blog.apastyle.org/apastyle/2012/05/missing-pieces.html .

• For example: "Kringle, K., & Frost, J. (2012). Red noses, warm hearts: The glowing phenomenon among North Pole reindeer."
• If you found the research paper in a database maintained by a university, corporation, or other organization, include any index number assigned to the paper in parentheses after the title. For example: "Kringle, K., & Frost, J. (2012). Red noses, warm hearts: The glowing phenomenon among North Pole reindeer. (Report No. 1234)."

• For example: "Kringle, K., & Frost, J. (2012). Red noses, warm hearts: The glowing phenomenon among North Pole reindeer. (Report No. 1234). Retrieved from Alaska University Library Archives, December 24, 2017."

• For example: "(Kringle & Frost, 2012)."
• If there was no date on the research paper, use the abbreviation n.d. : "(Kringle & Frost, n.d.)."

• For example: "Kringle, Kris, and Jack Frost."

• For example: "Kringle, Kris, and Jack Frost. "Red Noses, Warm Hearts: The Glowing Phenomenon among North Pole Reindeer." Master's thesis."

• For example: "Kringle, Kris, and Jack Frost. "Red Noses, Warm Hearts: The Glowing Phenomenon among North Pole Reindeer." Master's thesis, Alaska University, 2012."

• For example: "Kringle, Kris, and Jack Frost. "Red Noses, Warm Hearts: The Glowing Phenomenon among North Pole Reindeer." Master's thesis, Alaska University, 2012. Accessed at https://www.northpolemedical.com/raising_rudolf."

• Footnotes are essentially the same as the full citation, although the first and last names of the authors aren't inverted.
• For parenthetical citations, Chicago uses the Author-Date format. For example: "(Kringle and Frost 2012)."

• For example: "Kringle, Kris, and Frost, Jack."

• For example: "Kringle, Kris, and Frost, Jack. "Red Noses, Warm Hearts: The Glowing Phenomenon Among North Pole Reindeer.""

• For example, suppose you found the paper in a collection of paper housed in university archives. Your citation might be: "Kringle, Kris, and Frost, Jack. "Red Noses, Warm Hearts: The Glowing Phenomenon Among North Pole Reindeer." Master's Theses 2000-2010. University of Alaska Library Archives. Accessed December 24, 2017."

• For example: "(Kringle & Frost, p. 33)."

• For example: "Kringle K, Frost J."

• For example: "Kringle K, Frost J. Red noses, warm hearts: The glowing phenomenon among North Pole reindeer."

• For example: "Kringle K, Frost J. Red noses, warm hearts: The glowing phenomenon among North Pole reindeer. Nat Med. 2012; 18(9): 1429-1433."

• For example, if you're citing a paper presented at a conference, you'd write: "Kringle K, Frost J. Red noses, warm hearts: The glowing phenomenon among North Pole reindeer. Oral presentation at Arctic Health Association Annual Summit; December, 2017; Nome, Alaska."
• To cite a paper you read online, you'd write: "Kringle K, Frost J. Red noses, warm hearts: The glowing phenomenon among North Pole reindeer. https://www.northpolemedical.com/raising_rudolf"

• For example: "According to Kringle and Frost, these red noses indicate a subspecies of reindeer native to Alaska and Canada that have migrated to the North Pole and mingled with North Pole reindeer. 1 "

Community Q&A

• If you used a manual as a source in your research paper, you'll need to learn how to cite the manual also. Thanks Helpful 0 Not Helpful 0
• If you use any figures in your research paper, you'll also need to know the proper way to cite them in MLA, APA, AMA, or Chicago. Thanks Helpful 0 Not Helpful 0

You Might Also Like

• ↑ https://askus.library.wwu.edu/faq/116659
• ↑ https://guides.libraries.psu.edu/apaquickguide/intext
• ↑ https://owl.purdue.edu/owl/research_and_citation/chicago_manual_17th_edition/cmos_formatting_and_style_guide/general_format.html
• ↑ https://libanswers.snhu.edu/faq/48009
• ↑ https://www.chicagomanualofstyle.org/tools_citationguide/citation-guide-2.html
• ↑ https://owl.purdue.edu/owl/research_and_citation/mla_style/mla_formatting_and_style_guide/mla_in_text_citations_the_basics.html
• ↑ https://morningside.libguides.com/MLA8/location
• ↑ https://owl.purdue.edu/owl/research_and_citation/ama_style/index.html

About This Article

To cite a paper APA style, start with the author's last name and first initial, and the year of publication. Then, list the title of the paper, where you found it, and the date that you accessed it. In a paper, use a parenthetical reference with the last name of the author and the publication year. For an MLA citation, list the author's last name and then first name and the title of the paper in quotations. Include where you accessed the paper and the date you retrieved it. In your paper, use a parenthetical reference with the author's last name and the page number. Keep reading for tips on Chicago and AMA citations and exceptions to the citation rules! Did this summary help you? Yes No

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• Research Process
• Find Background Info
• Find Sources through the Library
• Evaluate Your Info
• Cite Your Sources
• Evaluate, Write & Cite

• is the right thing to do  to give credit to those who had the idea
• shows that you have read and understand  what experts have had to say about your topic
• helps people find the sources  that you used in case they want to read more about the topic
• provides   evidence  for your arguments
• is professional and  standard practice   for students and scholars

What is a Citation?

A citation identifies for the reader the original source for an idea, information, or image that is referred to in a work.

• In the body of a paper, the  in-text citation  acknowledges the source of information used.
• At the end of a paper, the citations are compiled on a  References  or  Works Cited  list. A basic citation includes the author, title, and publication information of the source. 

From:  Lemieux  Library,  University  of Seattle 

Why Should You Cite?

Quoting Are you quoting two or more consecutive words from a source? Then the original source should be cited and the words or phrase placed in quotes. 

Paraphrasing If an idea or information comes from another source,  even if you put it in your own words , you still need to credit the source.  General vs. Unfamiliar Knowledge You do not need to cite material which is accepted common knowledge. If in doubt whether your information is common knowledge or not, cite it. Formats We usually think of books and articles. However, if you use material from web sites, films, music, graphs, tables, etc. you'll also need to cite these as well.

Plagiarism is presenting the words or ideas of someone else as your own without proper acknowledgment of the source. When you work on a research paper and use supporting material from works by others, it's okay to quote people and use their ideas, but you do need to correctly credit them. Even when you summarize or paraphrase information found in books, articles, or Web pages, you must acknowledge the original author.

Citation Style Help

Helpful links:

• MLA ,  Works Cited : A Quick Guide (a template of core elements)
• CSE  (Council of Science Editors)

For additional writing resources specific to styles listed here visit the  Purdue OWL Writing Lab

Citation and Bibliography Resources

• How to Write an Annotated Bibliography
• << Previous: Evaluate Your Info
• Next: Evaluate, Write & Cite >>

Creative Commons Attribution 3.0 License except where otherwise noted.

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The land on which we gather is the unceded territory of the Awaswas-speaking Uypi Tribe. The Amah Mutsun Tribal Band, comprised of the descendants of indigenous people taken to missions Santa Cruz and San Juan Bautista during Spanish colonization of the Central Coast, is today working hard to restore traditional stewardship practices on these lands and heal from historical trauma.

The land acknowledgement used at UC Santa Cruz was developed in partnership with the Amah Mutsun Tribal Band Chairman and the Amah Mutsun Relearning Program at the UCSC Arboretum .

Educational resources and simple solutions for your research journey

A Beginner’s Guide to Citations, References and Bibliography in Research Papers

As an academician, terms such as citations, references and bibliography might be a part of almost every work-related conversation in your daily life. However, many researchers, especially during the early stages of their academic career, may find it hard to differentiate between citations, references and bibliography in research papers and often find it confusing to implement their usage. If you are amongst them, this article will provide you with some respite. Let us start by first understanding the individual terms better.

Citation in research papers:  A citation appears in the main text of the paper. It is a way of giving credit to the information that you have specifically mentioned in your research paper by leading the reader to the original source of information. You will need to use citation in research papers whenever you are using information to elaborate a particular concept in the paper, either in the introduction or discussion sections or as a way to support your research findings in the results section.

Reference in research papers:  A reference is a detailed description of the source of information that you want to give credit to via a citation. The references in research papers are usually in the form of a list at the end of the paper. The essential difference between citations and references is that citations lead a reader to the source of information, while references provide the reader with detailed information regarding that particular source.

Bibliography in research papers:

A bibliography in research paper is a list of sources that appears at the end of a research paper or an article, and contains information that may or may not be directly mentioned in the research paper. The difference between reference and bibliography in research is that an individual source in the list of references can be linked to an in-text citation, while an individual source in the bibliography may not necessarily be linked to an in-text citation.

It’s understandable how these terms may often be used interchangeably as they are serve the same purpose – namely to give intellectual and creative credit to an original idea that is elaborated in depth in a research paper. One of the easiest ways to understand when to use an in-text citation in research papers, is to check whether the information is an ongoing work of research or if it has been proven to be a ‘fact’ through reproducibility. If the information is a proven fact, you need not specifically add the original source to the list of references but can instead choose to mention it in your bibliography. For instance, if you use a statement such as “The effects of global warming and climate changes on the deterioration of environment have been described in depth”, you need not use an in-text citation, but can choose to mention key sources in the bibliography section. An example of a citation in a research paper would be if you intend to elaborate on the impact of climate change in a particular population and/or a specific geographical location. In this case, you will need to add an in-text citation and mention the correct source in the list of references.

Now that you have understood the basic similarities and differences in these terms, you should also know that every journal follows a particular style and format for these elements. So when working out how to write citations and add references in research papers, be mindful of using the preferred style of your target journal before you submit your research document.

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How to cite my own submitted but not yet published work?

I plan to submit part of my current work to conference A. I then wish to submit my whole work to a more prestigious conference B. As for the part submitted to A, there is no point of repeating it again. So I will just cite my submission to A in my submission to B.

But the problem is that the submission deadlines for A and B are roughly the same. So actually the moment I submit the work to B, my partial work submitted to A has not been published yet. I have not even been notified of its acceptance.

Can I still cite it? My concern is that even if I can cite it, one will find nothing online.

• publications
• paper-submission

• 2 I definitely do not see the point of citing an unavailable paper. As you do not repeat the part of A that would also belong to B, the first thing you have to do is to make A available before submitting B. How would the referees do their work otherwise? After that, citing is an issue easily settled. –  Benoît Kloeckner Commented Aug 23, 2013 at 21:48
• @BenoîtKloeckner But as I said, their deadlines are roughly the same. By no point, you mean the reviewers will have difficulties finding the paper? If that is the case, will arXiv fix that? –  Sibbs Gambling Commented Aug 24, 2013 at 1:25
• 1 My point is indeed that the referee have to have access to the paper needed to read the paper under review. arXiv is a good solution, if it is ok with your conference, as suggested by some answers. –  Benoît Kloeckner Commented Aug 24, 2013 at 8:28

6 Answers 6

In principle you can cite other, submitted work in a research paper. Just give the authors, paper title, and either "Submitted." or "Submitted to [venue]." in the reference list.

However, both as a reviewer and reader, I usually find this disappointing. I already came across several cases where I wasn't able to find the cited paper even years after publication of the paper with the citation. It is well possible that the cited paper is rejected, and maybe someone just doesn't follow up to really get it published. As a better alternative, check whether you can put a preprint version of the paper you want to cite online (e.g. on arxiv), and just cite that.

• 3 But will putting it online say on arXiv affect the acceptance of the paper? I mean will the conference reject the paper since it is on arXiv. What's more, if the paper gets rejected, I may wish to refine it and re-submit to somewhere else. But if I put it onlione on arXiv, will anyone freely steal away my work? –  Sibbs Gambling Commented Aug 23, 2013 at 8:36
• 4 @perfectionm1ng 1) Check with the conference whether they do accept papers that have been published as preprints. 2) If someone steals from an arxiv paper, its clearly plagiarism, and you may even prevent that someone publishes the same idea before you. –  silvado Commented Aug 23, 2013 at 10:00
• 8 +1 for the suggestion to publish it on arxiv. Or just make it available on your website. In many parts of math, physics, and CS, most papers are published first this way. –  David Ketcheson Commented Aug 23, 2013 at 17:20
• 1 @DavidKetcheson May I ask most papers are published first this way for what reason? I don't understand in the cases except mine, why would they do it. –  Sibbs Gambling Commented Aug 24, 2013 at 1:27
• 6 Putting your work on the arXiv does not prevent other people to publish roughly the same thing, which sometimes happen on good faith, but it gives anteriority since the arXiv deposit is dated. –  Benoît Kloeckner Commented Aug 24, 2013 at 12:01

You are allowed to cite works in submission as part of your ongoing research; this is something I've had to do on a number of instances for publications I wrote both in graduate school and as a post-doc.

The key here is that you must cite the work only as "Submitted to Conference A" rather than a standard reference to a work published in the proceedings. You would then, if possible, provide the conference paper A as an appendix or supporting information for the referees.

Citing something that is not published will prevent reviewers from doing their job, so it's a big no-no if you want to improve your chances of being accepted. The best way to go is to be patient and submit to B next year, having had the chance to improve using the reviews from A.

If this is not at all possible, you may be able publish A right now as a technical report from your lab/department an cite it as such. You'll have to check the guidelines of both conferences, namely if A accepts material previously published as a TR (in CS at least this is very common) and if B accepts citing TRs (usually also true in CS as long as it is easily available online).

Most importantly, when citing from a non-refereed source like a TR, you have to be very prudent in the way you characterize the work. Remember that it was only accepted in your department as an interesting document, not properly validated using the scientific contribution standards of your community. If I read a claim that something was "proven", or "shown", or "demonstrated" by a tech report, I'll probably reject the paper.

In any case, do not just cite A unless it is tangential (and in that case, why cite it all?). If it's actually important, give it an overview in your B submission, sufficient for a reviewer to keep on reading.

• Just for clarification: you're saying that if I cite my older paper from my newer paper, then the reviewers of my newer paper will not be able to do their job of reviewing my newer paper by looking up references. Is that what you mean? –  jvriesem Commented Oct 5, 2019 at 16:40

I believe that there a few issues that need to be addressed in this situation:

• You believe that part A is based on fundamentally sound methodology and the findings will be accepted within the community of your discipline.
• Can you cite works in submission?
• Works in submission are not available to the public.

Whether of not Part A is widely accepted you can site it as a work in submission, the answer to the second concern is: you can also cite it as an unpublished work. For proper format check with the manual of style for your discipline.

An example of an unpublished work not submitted for publication using APA Manual of Style: Lincoln, A. (1863). The principles of human equality .. Unpublished manuscript.

An example of a work in progress or submitted but not yet accepted using APA Manual of Style: Lincoln, A. (1863). Gettysburg Address: The principles of human equality .. Manuscript submitted for publication (copy on file with author).

As far as the third concern goes, I have reviewed numerous submissions to everything from small local up to international conferences and the equivalent array of professional publications and journals, personally I prefer that a brief description of the "Part A" methods and finding be given in a manuscript. However, when it comes to an abstract and space limitations a simple "previously we (I) found...; therefore, we furthered the body of knowledge with..." was always sufficient for my standards.

Agreed with @aeismail♦, I just find a solution that indicated in IEEE conference paper template as follows:

"Papers that have not been published, even if they have been submitted for publication, should be cited as “ unpublished ”.

e.g. K. Elissa, “Title of paper if known,” unpublished."

I usually don't like to have many public versions of the same paper. I prefer releasing papers on arXiv only after receiving reviews and addressing relevant comments.

To address this issue, a solution I have been thinking about is to share the preprint I want to cite privately, i.e. only accessible for people reviewing the submission. This could be done by protecting paper access with a password that is given in the citation: e.g., J. Guerin, “Title of the paper”, unpublished, available at "URL", password:XXX. The citation can then be fixed once the cited papers is actually released.

Anyone has some comments about why this might be a bad idea? I don't see any problem so far.

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Reference Examples

More than 100 reference examples and their corresponding in-text citations are presented in the seventh edition Publication Manual . Examples of the most common works that writers cite are provided on this page; additional examples are available in the Publication Manual .

To find the reference example you need, first select a category (e.g., periodicals) and then choose the appropriate type of work (e.g., journal article ) and follow the relevant example.

When selecting a category, use the webpages and websites category only when a work does not fit better within another category. For example, a report from a government website would use the reports category, whereas a page on a government website that is not a report or other work would use the webpages and websites category.

Also note that print and electronic references are largely the same. For example, to cite both print books and ebooks, use the books and reference works category and then choose the appropriate type of work (i.e., book ) and follow the relevant example (e.g., whole authored book ).

Examples on these pages illustrate the details of reference formats. We make every attempt to show examples that are in keeping with APA Style’s guiding principles of inclusivity and bias-free language. These examples are presented out of context only to demonstrate formatting issues (e.g., which elements to italicize, where punctuation is needed, placement of parentheses). References, including these examples, are not inherently endorsements for the ideas or content of the works themselves. An author may cite a work to support a statement or an idea, to critique that work, or for many other reasons. For more examples, see our sample papers .

Reference examples are covered in the seventh edition APA Style manuals in the Publication Manual Chapter 10 and the Concise Guide Chapter 10

Related handouts

• Common Reference Examples Guide (PDF, 147KB)
• Reference Quick Guide (PDF, 225KB)

Textual Works

Textual works are covered in Sections 10.1–10.8 of the Publication Manual . The most common categories and examples are presented here. For the reviews of other works category, see Section 10.7.

• Journal Article References
• Magazine Article References
• Newspaper Article References
• Blog Post and Blog Comment References
• UpToDate Article References
• Book/Ebook References
• Diagnostic Manual References
• Children’s Book or Other Illustrated Book References
• Classroom Course Pack Material References
• Religious Work References
• Chapter in an Edited Book/Ebook References
• Dictionary Entry References
• Wikipedia Entry References
• Report by a Government Agency References
• Report with Individual Authors References
• Brochure References
• Ethics Code References
• Fact Sheet References
• ISO Standard References
• Press Release References
• White Paper References
• Conference Presentation References
• Conference Proceeding References
• Published Dissertation or Thesis References
• Unpublished Dissertation or Thesis References
• ERIC Database References
• Preprint Article References

Data and Assessments

Data sets are covered in Section 10.9 of the Publication Manual . For the software and tests categories, see Sections 10.10 and 10.11.

• Data Set References
• Toolbox References

Audiovisual Media

Audiovisual media are covered in Sections 10.12–10.14 of the Publication Manual . The most common examples are presented together here. In the manual, these examples and more are separated into categories for audiovisual, audio, and visual media.

• Artwork References
• Clip Art or Stock Image References
• Film and Television References
• Musical Score References
• Online Course or MOOC References
• Podcast References
• PowerPoint Slide or Lecture Note References
• Radio Broadcast References
• TED Talk References
• Transcript of an Audiovisual Work References
• YouTube Video References

Online Media

Online media are covered in Sections 10.15 and 10.16 of the Publication Manual . Please note that blog posts are part of the periodicals category.

• Facebook References
• Instagram References
• LinkedIn References
• Online Forum (e.g., Reddit) References
• TikTok References
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How Pew Research Center Uses Its National Public Opinion Reference Survey (NPORS)

In 2020, Pew Research Center launched a new project called the  National Public Opinion Reference Survey (NPORS) . NPORS is an annual, cross-sectional survey of U.S. adults. Respondents can answer by paper, online or over the phone, and they are selected using address-based sampling from the United States Postal Service’s Computerized Delivery Sequence File. The response rate to the latest NPORS was 32%, and previous years’ surveys were designed with a similarly rigorous approach. 

NPORS estimates are separate from the  American Trends Panel  (ATP) – the Center’s national online survey platform. Pew Research Center launched NPORS to address a limitation that researchers observed in the ATP. While the ATP was well-suited for the vast majority of the Center’s U.S. survey work, estimates for a few outcomes were not in line with other high-quality surveys, even after weighting to demographics like age, education, race and ethnicity, and gender.

For example, in 2018, roughly one-quarter of U.S. adults were religiously unaffiliated (i.e., atheist, agnostic or “nothing in particular”), according to the General Social Survey (GSS) and the Center’s own telephone-based polling . The ATP, however,  estimated the religiously unaffiliated rate at about 32%. The Center did not feel comfortable publishing that ATP estimate because there was too much evidence that the rate was too high, likely because the types of people willing to participate in an online panel skew less religious than the population as a whole. Similarly, the ATP estimate for the share of U.S. adults identifying as a Democrat or leaning to the Democratic Party was somewhat higher than the rate indicated by the GSS and our own telephone surveys .

From 2014 to late 2020, the Center approached these outcomes slightly differently. We addressed the political partisanship issue by weighting every ATP survey to an external benchmark for the share of Americans identifying as a Republican, Democrat or independent. For the benchmark, we used the average of the results from our three most recent national cellphone and landline random-digit-dial (RDD) surveys. 

During this time period, ATP surveys were not weighted to an external benchmark for Americans’ religious affiliation. The ATP was used for some research on religious beliefs and behaviors, but it was not used to estimate the overall share of Americans identifying as religiously affiliated or unaffiliated, nor was it used to estimate the size of particular faith groups, such as Catholics, Protestants or the Church of Jesus Christ of Latter-day Saints. NPORS allows us to improve and harmonize our approach to both these outcomes (Americans’ political and religious affiliations). 

Design and estimates

Read our fact sheet to find the latest NPORS estimates as well as methodological details. Data collection for NPORS was performed by Ipsos from 2020 through 2023 and is now performed by SSRS. 

Why is the NPORS response rate higher than most opinion polls?

Several features of NPORS set it apart from a typical public opinion poll. 

• People can respond offline or online.  NPORS offers three different ways to respond: by paper (through the mail), online, or by telephone (by calling a provided phone number and speaking to a live interviewer). The paper and telephone options bring in more conservative, more religious adults who are less inclined to take surveys online.
• Monetary incentives.  When sampled adults are first asked to respond to NPORS online, the mailing contains a $2 incentive payment (cash visible from the outside of the envelope) and offers a $10 incentive payment contingent on the participant completing the survey. When nonrespondents to that first stage are sent the paper version of the survey, the mailing contains a visible $5 bill. These incentives give people a reason to respond, even if they might not be interested in the questions or inclined to take surveys in general. 
• Priority mailing.  The paper version of the survey is mailed in a USPS Priority Mail envelope, which is more expensive than a normal envelope, signaling that the contents are important and that the mailing is not haphazard. It helps people distinguish the survey from junk mail, increasing the likelihood that they open and read what is inside. 
• Low burden.  The NPORS questionnaire is intentionally kept short. It’s about 40 questions long, including demographics such as age, gender and education. This means that NPORS takes about seven minutes to finish, while many polls take 10 minutes or longer. 
• Bilingual materials.  In parts of the country with sizable shares of Hispanic Americans, the materials are sent in both English and Spanish. 
• No requirement to join a panel.  NPORS respondents are not required to join a survey panel, which for some people would be a reason to decline the request. 

These features are not possible in most public polls for a host of reasons. But NPORS is designed to produce estimates of high enough quality that they can be used as weighting benchmarks for other polls, and so these features are critical.

Why a ‘reference’ survey for public opinion?

The “R” in NPORS stands for “reference.” In this context, the term comes from  studies  in which researchers calibrate a small sample survey to a large, high-quality survey with greater precision and accuracy. Examples of reference surveys used by researchers include the Census Bureau’s American Community Survey (ACS) and the Current Population Survey (CPS). NPORS is not on the scale of the ACS or CPS, nor does it feature face-to-face data collection. But it does have something that those studies lack: timely estimates of key public opinion outcomes. Other studies like the American National Election Survey (ANES) and the General Social Survey collect key public opinion measures, but their data is released months, if not years, after data collection. The ANES, while invaluable to academic researchers, also excludes noncitizens who constitute about 7% of adults living in the U.S. and are included in the Center’s surveys.

NPORS is truly a reference survey for Pew Research Center because researchers weight each American Trends Panel wave to several NPORS estimates. In other words, ATP surveys refer to NPORS in order to represent groups like Republicans, Democrats, religiously affiliated adults and religiously unaffiliated adults proportional to their share of the U.S. population. The ATP weighting protocol also calibrates to other benchmarks, such as ACS demographic figures and CPS benchmarks for voter registration status and volunteerism.

Pew Research Center is weighting on political party affiliation, but isn’t that an attitude?

It’s correct that whether someone considers themselves a Republican or a Democrat is an attitude, not a fixed characteristic, such as year of birth. But there is a way to weight on political party affiliation even though it is an attitude and without forcing the poll’s partisan distribution to align with a benchmark. 

Pew Research Center started implementing this approach in 2021. It begins with measuring the survey panelists’ political party affiliation at a certain point in time (typically, each summer). Ideally, the reference survey will measure the same construct at the same point in time. We launched NPORS because we control its timing as well as the American Trends Panel’s timing, allowing us to achieve this syncing.

NPORS and ATP measurements of political party are collected at approximately the same time each summer. We may then conduct roughly 25 surveys on the ATP over the next year. For each of those 25 surveys, we append the panelists’ party affiliation answers from the summer  to the current survey. To illustrate, let’s say that a survey was conducted in December. When researchers weight the December ATP survey, they take the measurement of party taken in the summer and weight that to the NPORS estimates for the partisan distribution of U.S. adults during the summer time frame. If, for example, Democrats were more likely than Republicans to respond to the December survey, the weighting to the NPORS target would help reduce the differential partisan nonresponse bias. 

Critically, if the hypothetical December poll featured a fresh measurement of political party affiliation (typically asked about three times a year on the ATP), the new December answers do  not  get forced to any target. The new partisan distribution is allowed to vary. In this way, we can both address the threat from differential partisan nonresponse and measure an attitude that changes over time (without dictating the outcome). Each summer, the process starts anew by measuring political party on the ATP at basically the same time as the NPORS data collection. 

Is the NPORS design connected to the American Trends Panel?

A key feature of NPORS is that respondents are not members of a survey panel. It is a fresh, random sample of U.S. adults. This matters because some people are willing to take a onetime survey like NPORS but are not interested in taking surveys on an ongoing basis as part of a panel. That said, in certain years, NPORS serves as a recruitment survey for the ATP. After the NPORS questions, we ask respondents if they would be willing to take future surveys. People who accept and those who decline are both part of the NPORS survey. But only those who consent to future surveys are eventually invited to join the ATP.

Can other survey researchers use NPORS?

Yes. As a nonprofit organization, we seek to make our research as useful to policymakers, survey practitioners and scholars as possible. As with the Center’s other survey work, the estimates and data are freely available. 

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Title: scaling synthetic data creation with 1,000,000,000 personas.

Abstract: We propose a novel persona-driven data synthesis methodology that leverages various perspectives within a large language model (LLM) to create diverse synthetic data. To fully exploit this methodology at scale, we introduce Persona Hub -- a collection of 1 billion diverse personas automatically curated from web data. These 1 billion personas (~13% of the world's total population), acting as distributed carriers of world knowledge, can tap into almost every perspective encapsulated within the LLM, thereby facilitating the creation of diverse synthetic data at scale for various scenarios. By showcasing Persona Hub's use cases in synthesizing high-quality mathematical and logical reasoning problems, instructions (i.e., user prompts), knowledge-rich texts, game NPCs and tools (functions) at scale, we demonstrate persona-driven data synthesis is versatile, scalable, flexible, and easy to use, potentially driving a paradigm shift in synthetic data creation and applications in practice, which may have a profound impact on LLM research and development.

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T2D indicates type 2 diabetes.

a The combined total of patients is not necessarily a sum of the individuals from each of the groups because individuals could be prescribed both glucagon-like peptide 1 receptor agonists (GLP-1RAs) and insulins or metformin during the study period.

b The combined total of patients is not necessarily a sum of the individuals from each of the groups because individuals could be prescribed both insulins and metformin during the study period.

Patients were followed up for as along as 15 years after the index event for both groups. Hazard ratios (HRs) rates were calculated using a Cox proportional hazards model with censoring applied. Overall risk equals the number of patients with outcomes during the follow-up time window divided by number of patients in the group at the beginning of the time window. For each outcome, the groups were separately propensity-score matched for covariates related to the outcome, and the outcome was compared between the matched groups. Each eligible individual was followed up from the index event until the occurrence of the outcomes, death, loss to follow-up, or 15 years after the index event, whichever occurred first.

Kaplan-Meier survival analysis was used. Each eligible individual was followed up from the index event until the occurrence of the outcomes, death, loss to follow-up, or 15 years after the index event, whichever occurred first.

Patients were followed up for as long as 15 years after the index event for both groups. Hazard ratios (HRs) were calculated using a Cox proportional hazards model with censoring applied. Overall risk equals the number of patients with outcomes during the follow-up time window divided by the number of patients in the group at the beginning of the time window. For each outcome, the groups were separately propensity-score matched for covariates related to the outcome, and the outcome was compared between the matched groups. Each eligible individual was followed up from the index event until the occurrence of the outcomes, death, loss to follow-up, or 15 years after the index event, whichever occurred first.

eAppendix. Database

eTable 1. Clinical diagnosis, and other codes used in the platform that are used to determine the status of variables for study population definitions, exposures, outcomes, and those for propensity-score matching for groups

eTable 2. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for baseline covariates related to esophageal cancer for the study populations of patients with T2D and no history of any OAC

eTable 3. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to breast cancer for the study populations of women (age 55 and older) with T2D and no history of any OAC

eTable 4. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to endometrial cancer for the study populations of women with T2D and no history of any OAC

eTable 5. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to gallbladder cancer for the study populations of patients with T2D and no history of any OAC

eTable 6. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to stomach cancer for the study populations of patients with T2D and no history of any OAC

eTable 7. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to kidney cancer for the study populations of patients with T2D and no history of any OAC

eTable 8. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to liver cancer for the study populations of patients with T2D and no history of any OAC

eTable 9. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to ovarian cancer for the study populations of women with T2D and no history of any OAC

eTable 10. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to pancreatic cancer for the study populations of patients with T2D and no history of any OAC

eTable 11. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to thyroid cancer for the study populations of patients with T2D and no history of any OAC

eTable 12. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to meningioma for the study populations of patients with T2D and no history of any OAC

eTable 13. Characteristics of the GLP-1RA/no insulin group and insulin/no GLP-1RA group before and after matched for covariates related to multiple myeloma for the study populations of patients with T2D and no history of any OAC

eTable 14. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to esophageal cancer for the study populations of patients with T2D and no history of any OAC

eTable 15. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to breast cancer for the study populations of women (age 55 and older) with T2D and no history of any OAC

eTable 16. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to colorectal cancer for the study populations of patients with T2D and no history of any OAC

eTable 17. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to endometrial cancer for the study populations of women with T2D and no history of any OAC

eTable 18. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to gallbladder cancer for the study populations of patients with T2D and no history of any OAC

eTable 19. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to stomach cancer for the study populations of patients with T2D and no history of any OAC

eTable 20. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to kidney cancer for the study populations of patients with T2D and no history of any OAC

eTable 21. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to liver cancer for the study populations of patients with T2D and no history of any OAC

eTable 22. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to ovarian cancer for the study populations of women with T2D and no history of any OAC

eTable 23. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to pancreatic cancer for the study populations of patients with T2D and no history of any OAC

eTable 24. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to thyroid cancer for the study populations of patients with T2D and no history of any OAC

eTable 25. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to meningioma for the study populations of patients with T2D and no history of any OAC

eTable 26. Characteristics of the GLP-1RA/no metformin group and metformin/no GLP-1RA group before and after matched for covariates related to multiple myeloma for the study populations of patients with T2D and no history of any OAC

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Wang L , Xu R , Kaelber DC , Berger NA. Glucagon-Like Peptide 1 Receptor Agonists and 13 Obesity-Associated Cancers in Patients With Type 2 Diabetes. JAMA Netw Open. 2024;7(7):e2421305. doi:10.1001/jamanetworkopen.2024.21305

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Glucagon-Like Peptide 1 Receptor Agonists and 13 Obesity-Associated Cancers in Patients With Type 2 Diabetes

• 1 Center for Science, Health, and Society, Case Western Reserve University School of Medicine, Cleveland, Ohio
• 2 Center for Artificial Intelligence in Drug Discovery, Case Western Reserve University School of Medicine, Cleveland, Ohio
• 3 Case Comprehensive Cancer Center, Case Western Reserve University School of Medicine, Cleveland, Ohio
• 4 Departments of Internal Medicine, Pediatrics, and Population and Quantitative Health Sciences and the Center for Clinical Informatics Research and Education, The MetroHealth System, Cleveland, Ohio

Question   Is there clinical evidence supporting the potential benefits of glucagon-like peptide receptor agonists (GLP-1RAs) for the prevention of 13 obesity-associated cancers (OACs)?

Findings   This cohort study of more than 1.6 million patients with type 2 diabetes (T2D) who had no prior diagnosis of 13 OACs found that patients with T2D treated with GLP-1RAs vs insulin had a significant risk reduction in 10 of 13 OACs, including esophageal, colorectal, endometrial, gallbladder, kidney, liver, ovarian, and pancreatic cancer as well as meningioma and multiple myeloma. No decrease in cancer risk was associated with GLP-1RAs compared with metformin.

Meaning   This study provides clinical data suggesting that GLP-1RAs may reduce the risk of specific OACs compared with insulins.

Importance   Thirteen human malignant neoplasms have been identified as obesity-associated cancers (OACs), ie, the presence of excess body fat is associated with increased risk of developing cancer and worse prognosis in patients with these specific tumors. The glucagon-like peptide receptor agonist (GLP-1RA) class of pharmaceuticals are effective agents for the treatment of type 2 diabetes (T2D) and for achieving weight loss, but the association of GLP-1RAs with the incident risk of 13 OACs is unclear.

Objective   To compare the incident risk of each of the 13 OACs in patients with T2D who were prescribed GLP-1RAs vs insulins or metformin.

Design, Setting, and Participants   This retrospective cohort study was based on a nationwide multicenter database of electronic health records (EHRs) of 113 million US patients. The study population included 1 651 452 patients with T2D who had no prior diagnosis of OACs and were prescribed GLP-1RAs, insulins, or metformin during March 2005 to November 2018. Data analysis was conducted on April 26, 2024.

Exposures   Prescription of GLP-1RAs, insulins, or metformin.

Main Outcomes and Measures   Incident (first-time) diagnosis of each of the 13 OACs occurring during a 15-year follow-up after the exposure was examined using Cox proportional hazard and Kaplan-Meier survival analyses with censoring applied. Hazard ratios (HRs), cumulative incidences, and 95% CIs were calculated. All models were adjusted for confounders at baseline by propensity-score matching baseline covariates.

Results   In the study population of 1 651 452 patients with T2D (mean [SD] age, 59.8 [15.1] years; 827 873 [50.1%] male and 775 687 [47.0%] female participants; 5780 [0.4%] American Indian or Alaska Native, 65 893 [4.0%] Asian, 281 242 [17.0%] Black, 13 707 [0.8%] Native Hawaiian or Other Pacific Islander, and 1 000 780 [60.6%] White participants), GLP-1RAs compared with insulin were associated with a significant risk reduction in 10 of 13 OACs, including in gallbladder cancer (HR, 0.35; 95% CI, 0.15-0.83), meningioma (HR, 0.37; 95% CI, 0.18-0.74), pancreatic cancer (HR, 0.41; 95% CI, 0.33-0.50), hepatocellular carcinoma (HR, 0.47; 95% CI, 0.36-0.61), ovarian cancer (HR, 0.52; 95% CI, 0.03-0.74), colorectal cancer (HR, 0.54; 95% CI, 0.46-0.64), multiple myeloma (HR, 0.59; 95% CI, 0.44-0.77), esophageal cancer (HR, 0.60; 95% CI, 0.42-0.86), endometrial cancer (HR, 0.74; 95% CI, 0.60-0.91), and kidney cancer (HR, 0.76; 95% CI, 0.64-0.91). Although not statistically significant, the HR for stomach cancer was less than 1 among patients who took GLP-1RAs compared with those who took insulin (HR, 0.73; 95% CI, 0.51-1.03). GLP-1RAs were not associated with a reduced risk of postmenopausal breast cancer or thyroid cancer. Of those cancers that showed a decreased risk among patients taking GLP-1RAs compared with those taking insulin, HRs for patients taking GLP-1RAs vs those taking metformin for colorectal and gallbladder cancer were less than 1, but the risk reduction was not statistically significant. Compared with metformin, GLP-1RAs were not associated with a decreased risk of any cancers, but were associated with an increased risk of kidney cancer (HR, 1.54; 95% CI, 1.27-1.87).

Conclusions and Relevance   In this study, GLP-1RAs were associated with lower risks of specific types of OACs compared with insulins or metformin in patients with T2D. These findings provide preliminary evidence of the potential benefit of GLP-1RAs for cancer prevention in high-risk populations and support further preclinical and clinical studies for the prevention of certain OACs.

Thirteen human malignant neoplasms have been identified as obesity-associated cancers (OAC), ie, the presence of excess body fat is associated with increased risk of developing cancer and worse prognosis in patients with these specific tumors. 1 Obesity also contributes to insulin resistance and type 2 diabetes (T2D), which may further increase the risk and worsen the prognosis of the OACs. 2 , 3

The glucagon-like peptide 1 receptor agonist (GLP-1RA) class of pharmaceuticals are highly effective agents for the treatment of T2D and for achieving weight loss. 4 - 9 GLP-1RAs have further been shown to reduce the risk of adverse cardiovascular outcomes in patients with obesity 10 and to contribute to the resolution of nonalcoholic steatohepatitis. 11 Because of their efficacy in controlling T2D, obesity, and related comorbidities, we hypothesized that these agents might reduce the risk of the OACs. We recently reported that GLP-1RAs were associated with lower risks for colorectal cancer, 12 an OAC. Otherwise, clinical evidence of the potential clinical benefits of GLP-1RA in preventing OAC has not been systematically assessed. Here we conducted a nationwide multicenter retrospective cohort study in patients with T2D who were prescribed GLP-1RAs vs insulins or metformin to determine whether GLP-1RAs were associated with changes in the risk of each of 13 OACs, including esophageal, breast, colorectal, endometrial, gallbladder, stomach, kidney, ovarian, pancreatic, and thyroid cancer as well as hepatocellular carcinoma, meningioma, and multiple myeloma. 1

We used the TriNetX platform to access deidentified electronic health records (EHRs) of 113 million patients from 64 health care organizations across 50 states, covering diverse age, racial and ethnic, income, and insurance groups and clinical settings. 13 , 14 The platform’s built-in analytic functions allow patient-level analyses, while only reporting population-level data. The platform has been used for retrospective cohort studies. 15 - 26 Similar to this study, we have examined the association of GLP-1RAs with colorectal cancer incidence in patients with T2D 12 and the associations of GLP-1RA (semaglutide) with suicidal ideations 27 and with cannabis use in patients with obesity and those with T2D. 28 The MetroHealth System institutional review board determined that the research as described in this study was not human participant research and institutional review board approval and informed consent were not required. This cohort study followed the Strengthening the Reporting of Observational Studies in Epidemiology ( STROBE ) reporting guideline.

Available data elements of EHRs include extensive information on demographics, diagnoses ( International Statistical Classification of Diseases and Related Health Problems, Tenth Revision ), medications (Anatomical Therapeutic Chemical and medical prescription normalized medical prescription or RxNorm), procedures ( Current Procedural Terminology ), laboratory tests (Logical Observation Identifiers Names and Codes), genomics, visits, and socioeconomic and lifestyle information. The data on the analytic platform have been expanded to include oncology-specific data from cancer registry data from North American Association of Central Cancer Registries (NAACCR) records and other data resources. 14

Self-reported sex, race, and ethnicity data from contributing health care systems are mapped by according to Office of Management and Budget standards into (1) race, American Indian or Alaska Native, Asian, Black or African American, Native Hawaiian or Other Pacific Islander, White, and unknown race; and (2) ethnicity, Hispanic or Latinx, not Hispanic or Latinx, or unknown ethnicity. All covariates are either binary, categorical, or continuous but essentially guaranteed to exist. Age is guaranteed to exist. Missing sex values are represented using “unknown sex.” The missing data for race and ethnicity are presented as “unknown race” or “unknown ethnicity.” For other variables, including medical conditions, procedures, laboratory tests, and socioeconomic determinants of health, the value is either present or absent so missing is not pertinent.

The study population comprised 1 651 452 patients with a diagnosis of T2D who had medical encounters with health care organizations and were prescribed GLP-1RAs vs insulin or metformin between March 2005 and November 2018 and had no history of any of the 13 OACs. The study population was divided into exposure and comparison groups. For comparing GLP-1RAs with insulins, the study population was divided into a GLP-1RA/no insulin group (48 983 patients prescribed a GLP-1RA but not insulins) and a insulin/no GLP-1RA group (1 044 745 patients prescribed insulins but not GLP-1RAs). For comparing GLP-1RAs with metformin, the study population was divided into a GLP-1RA/no metformin group (32 365 patients prescribed a GLP-1RA but not metformin) and a metformin/no GLP-1RA group (856 160 patients prescribed metformin but not GLP-1RAs) ( Figure 1 ).

The 13 OACs are esophageal, breast, colorectal, endometrial, gallbladder, stomach, kidney, ovarian, pancreatic, and thyroid cancer as well as hepatocellular carcinoma, meningioma, and multiple myeloma. 1 Each of the 13 OACs was examined as a separate outcome in groups that were propensity-score matched for covariates related to the specific OAC. For each OAC outcome, the exposure and comparison groups (ie, GLP-1RA/no insulin vs insulin/no GLP-1RA groups and GLP-1RA/no metformin vs metformin/no GLP-1RA groups) were propensity-score matched (1:1 using nearest neighbor greedy matching) for baseline covariates related to the specific OAC, including demographic characteristics (age, sex, race, and ethnicity); adverse socioeconomic determinants of health; family and personal history of cancer; genetic susceptibility to cancer; preexisting medical conditions, including obesity and overweight; and medical procedures, including cancer screening, bariatric surgery, and prior prescription of antidiabetes medications. Each eligible individual was followed up from the index event (the first prescription of GLP-1RAs, insulins, or metformin during March 2005 to November 2018) until the occurrence of the outcomes, death, loss to follow-up, or 15 years after the index event, whichever occurred first. Cox proportional hazard analyses were used to compare rates of time to events on a daily basis during the follow-up time after the index event. Hazard ratios (HRs) and 95% CIs were calculated. Cumulative incidences were estimated using the Kaplan-Meier survival analysis. All models are adjusted for confounders at baseline by propensity-score matching baseline covariates.

The data were collected and analyzed on April 26, 2024, within the analytics platform. All statistical analyses in this study, including propensity-score matching, Kaplan-Meier survival analysis, and Cox proportional hazard analysis were done using built-in functions within the platform that are implemented using Survival version 3.2-3 in R version 4.0.2 (R Project for Statistical Computing) and libraries and utilities for data science and statistics in Python version 3.7 (Python Software Foundation) and Java version 11.0.16 (Oracle). Details of clinical codes for eligibility criteria, treatment strategies, outcomes, and baseline covariates are in eTable 1 in Supplement 1 .

The study population included 1 651 452 patients with T2D (mean [SD] age, 59.8 [15.1] years; 827 873 [50.1%] male and 775 687 [47.0%] female participants; 5780 [0.4%] American Indian or Alaska Native, 65 893 [4.0%] Asian, 281 242 [17.0%] Black, 13 707 [0.8%] Native Hawaiian or Other Pacific Islander, and 1 000 780 [60.6%] White participants). For comparing GLP-1RAs with insulins in patients with T2D, the study population included 1 093 728 patients with T2D who had no prior diagnosis of any OAC and were prescribed GLP-1RAs or insulins but not both between March 2005 and November 2018. The GLP-1RA/no insulin group (n = 48 983) compared with the insulin/no GLP-1RA group (n = 1 044 475) was younger; included more women and White participants; had a higher prevalence of family history of cancer, obesity or overweight, medical encounters for cancer screening, and prior prescriptions of other antidiabetic agents, including insulins, metformin, dipeptidyl peptidase 4 (DPP-4) inhibitors, sodium-glucose cotransporter 2 (SGLT2) inhibitors, sulfonylureas, thiazolidinediones, and α-glucosidase inhibitors. For each OAC outcome, the GLP-1RA/no insulin and the insulin/no GLP-1RA groups were separately matched for covariates associated with the OAC. The Table shows the characteristics of the GLP-1RA/no insulin and insulin/no GLP-1RA groups before and after propensity-score matching for covariates related to colorectal cancer. The characteristics of the exposure and comparison groups before and after matching for each of the other 12 OACs are in eTables 2 to 13 in Supplement 1 .

Compared with insulins, GLP-1RAs were associated with a significantly lower risk of 10 of the 13 OACs, including gallbladder cancer (HR, 0.35; 95% CI, 0.15-0.83), meningioma (HR, 0.37; 95% CI, 0.18-0.74), pancreatic cancer (HR, 0.41; 95% CI, 0.33-0.50), hepatocellular carcinoma (HR, 0.47; 95% CI, 0.36-0.61), ovarian cancer (HR, 0.52; 95% CI, 0.03-0.74), colorectal cancer (HR, 0.54; 95% CI, 0.46-0.64), multiple myeloma (HR, 0.59; 95% CI, 0.44-0.77), esophageal cancer (HR, 0.60; 95% CI, 0.42-0.86), endometrial cancer (HR, 0.74; 95% CI, 0.60-0.91), and kidney cancer (HR, 0.76; 95% CI, 0.64-0.91). The HR for stomach cancer among patients taking GLP-1RAs vs those taking insulin was less than 1, but it was not statistically significant (HR, 0.73; 95% CI, 0.51-1.03). GLP-1RAs were not associated with risk of postmenopausal breast cancer or thyroid cancer ( Figure 2 ). Figure 3 shows the cumulative incidences of colorectal cancer and liver cancer comparing GLP-1RAs with insulins. The mean (SD) follow-up time for the outcome of colorectal cancer was 2074.7 (435.3) days for the GLP-1RA/no insulin group and 1981.8 (471.1) days for the insulin/no GLP-1RA group. The mean (SD) follow-up time for the outcome of liver cancer was 2023.1 (1112.6) days for the GLP-1RA/no insulin group and 2037.9 (766.4) days for the insulin/no GLP-1RA group.

For comparing GLP-1RAs with metformin in patients with T2D, the study population included 888 525 patients with T2D who had no prior diagnosis of any OAC and were prescribed GLP-1RAs or metformin but not both between March 2005 and November 2018. For each OAC outcome, the GLP-1RA/no metformin group (n = 32 365) and the metformin/no GLP-1RA group (n = 856 160) were separately matched for covariates related to the OAC (eTables 14-26 in Supplement 1 ). Compared with metformin, GLP-1RAs were not associated with a lower risk of colorectal cancer, gallbladder cancer, and meningioma but were associated with an increased risk of kidney cancer ( Figure 4 ). Figure 3 shows the cumulative incidences of colorectal cancer and liver cancer by comparing GLP-1RAs with metformin. The mean (SD) follow-up time for the outcome of colorectal cancer was 1967.2 (592.2) days for the GLP-1RA/no metformin group and 2101.6 (576.0) days for metformin/no GLP-1RA group. The mean (SD) follow-up time for the outcome of liver cancer was 1970.9 (426.0) days for the GLP-1RA/no metformin group and 2129.8 (514.7) days for metformin/no GLP-1RA group.

Using a data platform 29 to analyze more than 15 years of longitudinal EHRs of a US population-based cohort of more than 100 million individuals, we found that in patients with T2D who had no history of any OAC, GLP-1RAs compared with insulins were associated with a significant risk reduction in 10 of 13 OACs, including esophageal, colorectal, kidney, pancreatic, gallbladder, ovarian, endometrial, and liver cancers as well as meningioma and multiple myeloma. Decreased risk reduction that did not reach statistical significance was also noted for stomach cancer. Of those cancers that showed decreased risk of GLP-1RAs compared with insulin, risk reduction was also noted for GLP-1RAs relative to metformin for colorectal cancer, gallbladder, and meningiomas, although these findings were not statistically significant.

Our observations on the reduction in the incidence of OACs in patients with T2D treated with GLP-1RAs compare favorably with the OAC-reducing effects of intensive lifestyle intervention (ILI) observed in the Look AHEAD trial (Action for Health in Diabetes) 30 and with the results of metabolic-bariatric surgery as recently reported in the SPLENDID (Surgical Procedure and Long-term Effectiveness In Neoplastic Disease Incidence and Death) trial. 31 The Look AHEAD study, a randomized clinical trial in which 4859 patients with T2D and overweight or obesity (age, 45-76 years; median follow-up, 11 years) were randomized to an ILI or diabetes support and education group, found a 16% reduction in risk for OAC (HR, 0.84; 95% CI, 0.68-1.04). 30 The SPLENDID trial, a matched cohort study, compared 5053 patients with obesity with 25 265 nonsurgical matched controls, with a median age of 46 years and median follow-up of 6.1 years, showed an OAC risk reduction of 32%, (HR, 0.68; 95% CI, 0.53-0.87). 31

A recent 9-year follow-up population-based historical cohort study 32 conducted in Israel reported a decrease (although not statistically significant) in incidence of pancreatic cancer (HR, 0.50; 95% CI, 0.15-1.71) in patients with T2D treated with GLP-1RAs compared with insulin. 32 Our US population-based study, with 15 years of follow-up and a larger sample size, now extends these observations, suggesting that treatment of patients with T2D with GLP-1RAs vs insulin is associated with a significantly decreased incidence of pancreatic cancer (HR, 0.41; 95% CI, 0.33-0.50).

In contrast to the risk reduction shown for most of the OACs, thyroid cancer showed no statistically different risk in patients treated with GLP-1RAs compared with insulins. Studies in rodents indicate that GLP-1RAs promote thyroid C-cell hyperplasia and medullary thyroid carcinoma (MTC) by a GLP-1R mediated increase in calcitonin synthesis. 33 High levels of fasting serum insulin and insulin resistance are associated with an increased risk of thyroid cancer. 34 Although clinical evidence for an association of thyroid cancer with the use of GLP-1RAs has been reported as inconclusive, 35 the findings from our study together with previous reports of insulins promoting cancer growth suggest that GLP-1RAs might be associated with increased risk of thyroid cancer. Our results are further supported by a recent report 36 by the French National Health Cancer Data System showing that the use of GLP-1RAs for 1 to 3 years was associated with increased risk of all thyroid cancers (adjusted HR, 1.78; 95% CI 1.04-3.05). 36 These studies support the package warnings included with GLP-1RAs that these agents are contraindicated in patients with multiple endocrine neoplasia syndrome type 2 and that patients should be counseled regarding the potential risk of MTC and symptoms of thyroid tumors.

Kidney cancers showed an increased risk with GLP-1RA treatment relative to that with metformin (HR, 1.54; 95% CI 1.27-1.87) but a decrease relative to insulin (HR, 0.76; 95% CI 0.64-0.91). GLP-1RAs have direct effects on kidney function mediated by GLP-1Rs in renal vasculature; however, these are not associated with increased mitogenesis, 37 and to our knowledge, there have been no previous reports of kidney cancers with the use of GLP1-RAs. These divergent risks require further clinical and mechanistic studies for full evaluation. Nonetheless, they suggest the need for continued monitoring in patients being treated with GLP-1RAs.

Our study, with follow-up over 15 years, found no signs of increase or decrease in risk for breast cancer in postmenopausal women with T2D being treated with GLP-1RAs compared with those being treated with insulin or metformin. GLP-1RAs have been shown to reduce the growth of murine and human breast cancer cell lines in vitro and in vivo murine models. 38 However, a meta-analysis of more than 50 randomized clinical trials, evaluating GLP-1RAs in women aged between 45 to 70 years and followed up from 24 weeks to 7.5 years, showed no differences in benign, premalignant, or malignant breast neoplasms in patients treated with GLP-1RAs compared with other antidiabetic agents or placebos. 39 A more recent population-based cohort study of 44 984 women 40 years and older treated with GLP-1RAs or other antidiabetic agents for a mean of 3.5 years showed no overall significant difference in the risk for breast cancer occurrence. However, an increased risk (HR, 2.66; 95% CI, 1.32-5.38) was noted for those treated between 2 to 3 years with a return to null after more than 3 years’ treatment. 40 Interestingly, the SPLENDID trial of bariatric surgery for weight reduction, which found an overall 32% risk reduction for OACs, showed no significant difference among women for incidence of overall or postmenopausal breast cancer. 31 This lack of effect on breast cancer risk needs to be further investigated to determine the impact of longer duration of therapy as well as to more fully understand the relation between GLP-1RAs and estrogen metabolism. The lack of breast cancer risk reduction by GLP-1RAs and the similar lack of protection by bariatric surgery may also suggest the possibility that factors determining the incidence of breast cancer in patients with overweight or obesity may have been initiated long before intervention with GLP-1RAs and/or bariatric surgery and therefore require earlier intervention to affect risk reduction. The concept that early intervention might reduce breast cancer incidence is supported by the observation that both pregnancy and breastfeeding reduce the incidence of breast cancer. 41 , 42

Our study has several limitations. First, this is a retrospective observational study of patient EHRs, which has inherent limitations including overdiagnosis, underdiagnosis, and misdiagnosis; unmeasured or uncontrolled confounders; and biases. Although we controlled for an extensive list of variables, these limitations and biases could not be fully eliminated; therefore, no causal inferences can be drawn. Second, patients in our study represented those who had medical encounters with health care systems contributing to the data platform. Although both the exposure and comparison groups were drawn from the same EHR database and from the same time period, which should not significantly affect the HR calculations, results from the platform need to be validated in other EHR databases and analytics platforms. Third, the status of incident cancer was based on the presence of first-ever diagnosis codes of OACs documented in patient EHRs, which also included oncology-specific data from cancer registry data, such as NAACCR records. However, it is unknown how well cancer diagnoses are captured in patient EHRs. For this study, the main interest was the relative risk (or HR) of cancer diagnosis. Since all patients in the study population were drawn from the same health care organizations in the data platform, cancer underdiagnosis, misdiagnosis, or overdiagnosis should not have a substantial impact on the relative risk analysis. Fourth, the built-in functions did not allow us to control for variables (eg, weight loss) that occurred after the index event and to identify individual patient data, which precludes our ability to correlate risk reduction with a degree of weight loss, which was demonstrated to be particularly important in the SPLENDID bariatric study. 25 In addition, we could not explicitly control for health care utilization and insurance type although the study population included patients who had medical encounters with health care organizations and were withdrawn from the same 64 health care organizations in the network. Finally, due to the lack of patients’ medication adherence information in EHRs, we used intention-to-treat (medication prescriptions) as a causal contrast of interest regardless of whether the individuals adhered to their medications and the duration of the medication use.

In this study of patients with T2D who were cancer free at baseline, taking GLP-1RAs compared with insulin was associated with a lower risk of 10 of 13 OACs. The potential cancer-preventative effects of OACs by GLP-1RAs warrant further long-term studies as well as studies of individual newer and possibly more effective antidiabetic and weight loss agents as well as those with multihormone agonist activities. Studies are also warranted to evaluate the preventive effects of these agents on non-OACs. In addition, the associations of the GLP-1RA targeted pharmacologic agents with cancer risk should be compared with the use of ILI and metabolic-bariatric surgery for the control of obesity and diabetes. As noted previously, it will be important to correlate these associations with the control of T2D and obesity. Moreover, given that T2D and overweight or obesity have negative impacts on patients during cancer therapy, GLP-1RAs should be evaluated for control of these comorbid conditions during cancer therapy as well as for secondary prevention to delay cancer recurrence.

Accepted for Publication: May 9, 2024.

Published: July 5, 2024. doi:10.1001/jamanetworkopen.2024.21305

Open Access: This is an open access article distributed under the terms of the CC-BY License . © 2024 Wang L et al. JAMA Network Open .

Corresponding Authors: Nathan A. Berger, MD, Center for Science, Health, and Society, Case Comprehensive Cancer Center ( [email protected] ), and Rong Xu, PhD, Center for Artificial Intelligence in Drug Discovery, Case Western Reserve University School of Medicine, 10900 Euclid Ave, Cleveland, OH 44106 ( [email protected] ).

Author Contributions: Dr Xu and Ms Wang had full access to all of the data in the study and take responsibility for the integrity of the data and the accuracy of the data analysis.

Concept and design: Xu, Berger.

Acquisition, analysis, or interpretation of data: All authors.

Drafting of the manuscript: Xu, Berger.

Critical review of the manuscript for important intellectual content: All authors.

Statistical analysis: Wang, Xu.

Obtained funding: Xu, Berger.

Administrative, technical, or material support: Xu, Kaelber, Berger.

Supervision: Xu, Kaelber, Berger.

Conflict of Interest Disclosures: Drs Kaelber and Berger reported receiving grants from the National Institutes of Health (NIH) during the conduct of the study. No other disclosures were reported.

Funding/Support: We acknowledge support from National Cancer Institute Case Comprehensive Cancer Center (grant Nos. CA221718 and CA043703), American Cancer Society (grant No. RSG-16-049-01–MPC), The Landon Foundation–American Association for Cancer Research (award No. 15-20-27-XU), NIH Director’s New Innovator Award Program (award No. DP2HD084068), National Institute on Aging (grant Nos. AG057557, AG061388, AG062272, and AG07664), and the National Institute on Alcohol Abuse and Alcoholism (grant No. AA029831).

Role of the Funder/Sponsor: The funders had no role in the design and conduct of the study; collection, management, analysis, and interpretation of the data; preparation, review, or approval of the manuscript; and decision to submit the manuscript for publication.

Data Sharing Statement: See Supplement 2 .

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• Published: 05 July 2024

Exploring the ecological security evaluation of water resources in the Yangtze River Basin under the background of ecological sustainable development

• Jie-Rong Zhou 1   na1 ,
• Xiao-Qing Li 1   na1 ,
• Xin Yu 1 , 2 ,
• Tian-Cheng Zhao 1 &
• Wen-Xi Ruan 3  

Scientific Reports volume  14 , Article number:  15475 ( 2024 ) Cite this article

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• Environmental social sciences

The Yangtze River (hereafter referred to as the YZR), the largest river in China, is of paramount importance for ensuring water resource security. The Yangtze River Basin (hereafter referred to as the YRB) is one of the most densely populated areas in China, and complex human activities have a significant impact on the ecological security of water resources. Therefore, this paper employs theories related to ecological population evolution and the Driving Force-Pressure-State-Impact-Response (DPSIR) model to construct an indicator system for the ecological security of water resources in the YRB. The report evaluates the ecological security status of water resources in each province of the YRB from 2010 to 2019, clarifies the development trend of its water resource ecological security, and proposes corresponding strategies for regional ecological security and coordinated economic development. According to the results of the ecological population evolution competition model, the overall indicator of the ecological security of water resources in the YRB continues to improve, with the safety level increasing annually. Maintaining sound management of water resources in the YRB is crucial for sustainable socioeconomic development. To further promote the ecological security of water resources in the YRB and the coordinated development of the regional economy, this paper proposes policy suggestions such as promoting the continuous advancement of sustainable development projects, actively adjusting industrial structure, continuously enhancing public environmental awareness, and actively participating in international ecological construction and seeking cooperation among multiple departments.

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Introduction.

Water is the primary resource for sustaining living organisms and also an important contributor to the ecological environment and the global economy. However, the current status of water resources is facing formidable challenges owing to rapid global population growth, sustained economic development, and extreme climatic conditions triggered by climate change. According to reports from the World Economic Forum and the United Nations, currently, over 2 billion people worldwide inhabit water-scarce regions, a figure projected to increase to as much as 3.5 billion by the year 2025. Approximately a quarter of the global population is confronting a “water stress” crisis, with water scarcity issues gradually becoming commonplace, defying prior expectations 1 . The report assessed the water risks in almost 200 countries and regions. Seventeen regions and countries around the world consume more than 80% of the available water supply, putting them at risk of experiencing severe water scarcity. The scarcity, uneven distribution, and deteriorating environmental quality of water resources have emerged as significant impediments to human sustainable development and societal progress, posing severe threats to water resource security across various regions. Consequently, there is an urgent imperative to engage in interdisciplinary research and foster collaborative innovation to devise scientifically sound water resource management strategies, thereby advancing the societal attainment of sustainable development goals.

Water resources are a strategic asset for ensuring economic and social development. Water is not only a fundamental element for human survival but also a crucial guarantee for economic and social development. If industry is the foundation of the national economy, then water is its “lifeblood”, essential for the development of all industries. As the largest river in China, the YZR originates from the Qinghai‒Tibet Plateau, traverses three major economic zones, and finally flows into the East China Sea. The YZR the world’s third-longest river and also has the widest basin area in China, accounting for approximately 36% of the country's total water resources. Thus, it is one of China’s most critical rivers. The YZR runs through eleven regions, including an autonomous region, eight provinces, and two municipalities directly under the central government, namely, Qinghai Province, the Tibet Autonomous Region, Yunnan Province, Sichuan Province, Hunan Province, Hubei Province, Jiangxi Province, Anhui Province, Jiangsu Province, Chongqing Municipality, and Shanghai Municipality. Due to the complex terrain and low population density in the Tibet Autonomous Region, human activities in the area have a relatively minor impact on water resource ecological security. Considering the integrity of administrative divisions, this paper selects ten provinces (municipalities), namely, Qinghai, Yunnan, Sichuan, Hunan, Hubei, Jiangxi, Anhui, Jiangsu, Chongqing, and Shanghai, as the research area, representing the YRB as the research object. The YRB currently has hundreds of millions of residents, meaning that the supply and demand of water resources in the basin are crucial for people’s livelihoods and industrial and agricultural production. As one of the most economically developed regions in China, the YRB has important economic centres and industrial bases. The rational utilization and management of water resources are crucial for the economic development of this region. Assessing the security of water resources in the YRB is the foundation for ensuring high-quality development in this area. To actively address the challenges posed by water security issues and achieve sustainable development, it is essential to prioritize and resolve water security challenges 2 .

By investigating research progress on water resource security both domestically and internationally, it has been found that the majority of studies primarily focus on the ecological system aspect, while a minority are based on the social attributes of water resources. Particularly within the realm of human–water relationships 3 , research examining the impact of socioeconomic factors on water resource ecological security from temporal and spatial perspectives is relatively limited. This study introduces the Lotka–Volterra biological concept to explore the competitive or symbiotic relationships between two populations concerning ecological resources within the same temporal and spatial context. Here, we assume that the changes in socioeconomic factors have an impact on the ecological security of water resources, and at the same time, the continuous improvement of water resource ecological security is also a sign of the advancement of socioeconomic development. The two mutually influence each other. Meanwhile, the water resource ecosystem possesses a certain degree of resilience, meaning that it can recover to a certain level through natural restoration or human intervention after being damaged to a certain extent. Building upon this foundation, the DPSIR model is employed to establish a symbiotic assessment index system for socioeconomic factors and water resources. The entropy weight method was utilized to calculate the weights of the indicators. Furthermore, the Lotka–Volterra coexistence model was employed to conduct an in-depth evaluation of the ecological security of water resources in the YRB from 2010 to 2019. The results indicate that during the period of 2010–2015, the ecological security status of water resources in the YRB was highly sensitive and even approached a dangerous state. However, with national governance and policy adjustments, the ecological security of water resources in the YRB has shown a trend of orderly recovery, currently stabilizing at a state of security or near-security. Nevertheless, challenges still exist in the management of water resource ecological security. It is vital not only to maintain and protect the YRB but also to further research and safeguard other water source areas. In summary, future efforts to govern and maintain the ecological security of water resources will be arduous, requiring the collaborative participation and governance of multiple stakeholders. Establishing a sound management system and calling for concerted efforts from the entire society to protect the YZR are crucial. Active participation in comprehensive ecological security protection projects in the YRB is essential. This lays the groundwork for constructing a healthier and more sustainable water resource ecological security management system.

Research progress at domestic and abroad

Interspecific competition model foundation—logistic model.

The logistic curve, also known as the “S-shaped curve, ” is a graphical representation of the growth pattern of a population 4 . This logistic growth model was constructed by Verhulst 5 . The logistic model describes the development of many phenomena in nature, showing continuous growth within a certain period 6 . Generally, in the initial stages of species development, the population grows rapidly. After a certain period, the growth rate reaches its peak. Due to internal factors, the rate gradually slows until it no longer increases, reaching a stable state at the limit. This process of changing population size is referred to as a finite growth process, namely, the logistic growth process. According to the research results of scholars such as Haibo et al. 7 , Lingyun and Jun 8 , and Tao 9 , the basic interspecies competition model, the logistic model, is represented by the following equation:

The constant \({\upgamma } > 0\) in the equation represents the self-intrinsic growth rate of the population, indicating the maximum growth rate of a single population without external environmental limitations. This variable reflects the difference between the average birth rate and the average death rate of individuals in a population who are not subjected to external inhibitory effects. This constant reveals the intrinsic growth characteristics of a species population. The parameter K reflects the abundance of available resources within an ecosystem. When the population size K of a species equals K, the population will no longer grow. Therefore, the K value represents the maximum number of individuals of a species that the ecosystem environment can accommodate, also known as the carrying capacity.

According to the logistic equation, we can observe that the relative growth rate of a population is proportional to the remaining resource capacity in the ecological system environment. When the remaining resources are abundant, the relative growth rate of the species population is high. This phenomenon, where the rate of population growth slows as population density gradually increases, is known as density-dependent regulation. As the ecological system capacity K approaches infinity, the growth rate of the population approaches exponential growth, and this change in the population growth curve is known as the logistic curve.

Lotka–Volterra ecological model

In 1925, Lotka introduced a significant model in his research titled “Elements of Physical Biology”, the predator‒prey interaction model. This model quantitatively elucidates the interactions between organisms 10 . In 1926, Volterra, in his study “Variazionie fluttuazioni del numero d’individui in specie animali conviventi,” described the population dynamics of two interacting species in the biological realm 11 . These contributions laid the theoretical foundation for interspecific competition models and significantly influenced the development of modern ecological competition theories.

The interactions between species can be classified into three main types: competitive relationships, predator–prey relationships, and mutualistic cooperation relationships 12 . The Lotka–Volterra model was initially developed to describe predator‒prey relationships. However, with the increasingly widespread application of differential equation theory, this ecological model has evolved to encompass a broader range of applicability.

• DPSIR model

In 1993, the research group OECD innovatively proposed the DPSIR model, which is the “driving force-pressure-state-influence-response” model based on previous research models and has since been widely promoted in policy-making and research. Combining the characteristics of both the DSR (Driving Force-State-Response) and PSR frameworks, the DPSIR model effectively reflects causal relationships within systems, integrating elements such as resources, development, environment, and human health. As a result, it is considered a suitable method for evaluating watershed ecological security.

Consistent with the PSR framework, the DPSIR model organizes information and relevant indicators based on causal relationships with the aim of establishing a chain of causality: driving force (D)-pressure (P)-state (S)-impact (I)-response (R). In this context, “Driving Force (D)” primarily refers to potential factors reflecting changes in the health of the water cycle system, such as socioeconomic and population growth. “Pressure (P)” mainly refers to the impacts on the structure and functioning of the water cycle system, such as the utilization of water resources. “State (S)” represents changes in the water cycle system resulting from the combined effects of driving forces and pressures, serving as the starting point for impact and response analysis. “Impact (I)” reflects the effects of the hydrological cycle system on human health and social development. “Response (R)” refers to the feedback provided by the water cycle system to driving forces and pressures.

This model describes the causal chain between activities conducted by humans and the water environment, illustrating the mutually constraining and influencing processes between the two. It can encompass elements such as society, economy, and environment to indicate the threats posed by social, economic, and human activities to watershed ecological security. It can also utilize response indicators to demonstrate the feedback of the environment to society resulting from human activities and their impacts, as shown in Fig.  1 13 .

DPSIR model framework.

Overview of water resource ecological security

Water resources are a vital strategic asset for sustainable development and a key factor influencing human survival and socioeconomic development. The security of water resources is intricately linked to national economies and social stability 14 , 15 , 16 , 17 , 18 . As the population and economy grow rapidly, as well as due to the influence of climate change, water scarcity and deterioration of the water environment have become increasingly prevalent, posing a critical constraint to human survival and development 19 . Currently, research on water resource ecological security issues primarily revolves around the following three aspects.

The first aspect involves the evaluation of the water resources carrying capacity (hereafter referred to as the WRCC) and vulnerability.

Regarding the WRCC, some studies consider that the WRCC implies the need for water resources to sustain a healthy societal system 20 . Other researchers argue that the WRCC is the maximum threshold for sustaining human activities 21 .

In terms of calculation methods, various quantification methods for the WRCC have gradually emerged. For example, Qu and Fan 22 considered the available water volume in water demand, national economic sectors and the ecological environment. They employed the traditional trend approach to obtain the population and development scales of industry and agriculture. Zhou Fulei adopted the entropy weight method, an objective weight determination method, to determine the weights of each evaluation indicator, utilized the analytic hierarchy process (AHP) to adjust the weights, constructed composite weights, and then used the TOPSIS model to evaluate the water resources carrying capacity of Qingdao city from 2015 to 2021 23 . Ma et al. 24 and Xiong et al. 25 analysed and evaluated the WRCC using the entropy weight method and provided suggestions for regional sustainable development. Wang et al. 26 , under the traditional TOPSIS model, used an improved structural entropy weighting method to determine the weights of evaluation indicators. They then constructed a grey-weighted TOPSIS model using a grey correlation matrix to specifically evaluate the current state of the agricultural WRCC in Anhui Province. Zhang X and Duan X combined the weights obtained from the entropy and CRITIC methods using the geometric mean method. They applied these combined weights to a model integrating grey relational analysis (GRA), the technique for order preference by similarity to an ideal solution (TOPSIS), and the coupling coordination degree model (CCDM) to calculate the evaluation value of the water resource carrying capacity 27 . Zhang and Tan 28 and Fu et al. 29 separately used optimization models and projection tracking models to evaluate the WRCC in their study areas and conducted comprehensive assessments of the regional WRCC. Gong and Jin 30 , Meng et al. 31 , Wang et al. 32 , and Gao et al. 33 applied fuzzy comprehensive evaluation methods to assess the influencing factors of the WRCC by establishing a fuzzy comprehensive evaluation matrix. On this basis, they analysed the factors affecting the WRCC and evaluated and predicted the future carrying capacity of water resources in the study area. Additionally, other methods have been employed, such as multidimensional regulation 34 , neural network genetic algorithms 35 , 36 , multi-index evaluation models 37 , and nonparametric analysis models 38 .

Ait-Aoudia and Berezowska-Azzag 39 conducted an assessment of the WRCC to analyse the balance between domestic demand and water supply. To assess the WRCC of specific regions, the assessment factors were determined by evaluating the relevant factors of water usage and availability. The conceptual framework for assessing the capacity of water resources was developed based on the supply–demand relationship. Yan et al. 40 focused on the previous decade’s regional water resource data of Anhui Province in China. They constructed a framework for the Driving Force-Pressure-State-Impact-Response Management (DPSIRM) model and conducted a comprehensive evaluation of the WRCC using the entropy weight method and variable weight theory. Based on the derived comprehensive evaluation values and incorporating the modified Gray–Markov combined forecasting, they made predictions about the local WRCC for the coming years. In 2020, Zhengqian 41 discussed the concept and research methods of regional WRCC. The research methodology has evolved from a singular and static approach to a dynamic, multilevel, and comprehensive study with various indicators. Jiajun et al. 42 , starting from a systemic perspective, studied the coordinated development relationships among China’s economy, social development, ecological environment, and water resources. They applied the WRCC Comprehensive Evaluation Model, calculating the comprehensive evaluation index for specific years based on relevant data. This allowed them to describe the WRCC status of provinces and regions in China, providing a comprehensive analysis and evaluation of China’s WRCC. Ren et al. 43 introduced the concept of biological metabolism to the regional WRCC and proposed the theory of regional water resource metabolism. Additionally, they established an evaluation indicator system for the WRCC considering regional water resource characteristics, socioeconomic systems, and sustainable development principles.

Raskin et al. 44 assessed the extent of water resource security by using the proportion of water extraction relative to the total water resources, defined as the water resource vulnerability index. Rui 45 constructed a water resource vulnerability model based on the theory of mutation series. They utilized the principles of mutation series to redefine grading standards and assessed the vulnerability status of water resources in Shanxi Province from 2004 to 2016. The aim was to offer technical assistance for the scientific management of water resources.

The second aspect involves the measurement of the sustainable utilization and efficiency of regional water resources.

Over the last few years, numerous domestic researchers have actively conducted research on the sustainable utilization of water resources, focusing primarily on two aspects:

First, research on evaluation indicator systems for the sustainable utilization of water resources should be conducted. Li Zhijun, Xiang Yang, and others addressed the lack of connection between water resource ecology and socioeconomic development in traditional water resource ecological footprint methods. They introduced the water resource ecological benefit ratio and analysed the water resource security and sustainable development status through an improved water resource energy value ecological footprint method 46 . Zhang et al. 47 established a fuzzy comprehensive evaluation model based on entropy weight, providing recommendations for the sustainable utilization of water resources in Guangxi Province. Liu Miliang, aiming for sustainable development, quantitatively analysed the current situation and influencing factors. Based on the DPSIR model, they established an evaluation system for the sustainable utilization of water resources 48 .

Second, in terms of evaluation methods and research on the sustainable utilization of water resources, Yunling et al. 49 constructed an evaluation indicator system for the WRCC to assess the comprehensive water resource carrying status in Hebei Province. Xuexiu et al. 50 , based on both domestic and international research on water resource pressure theory, analysed the connotation of water resource pressure, introduced commonly used methods for water resource pressure evaluation, and provided a comprehensive overview and comparative analysis of water resource pressure evaluation methods from aspects such as calculation principles, processes, and applications. Guohua et al. 51 established an entropy-based fuzzy comprehensive evaluation model of water resource allocation harmony and evaluated the water resource allocation status of various districts and counties in Xi’an city. Shiklomanov 52 used indicators such as available water resources, industrial and agricultural water usage, and household water consumption to assess water resource security.

The SBM-DEA model was used by Deng et al. 53 to appraise the efficiency of water resource utilization across nearly all provinces in China. They proposed factors influencing water resource utilization efficiency, including the added value of the agricultural sector, per capita water usage, the output-to-pollution ratio of polluting units, and import–export dependency. Yaguai and Lingyan 54 employed a two-stage model combining superefficiency DEA and Tobit to assess water resource efficiency in China from 2004 to 2014. They analysed regional differences and influencing factors. Mei et al. 55 separately used stochastic frontier analysis and data envelopment analysis to measure the absolute and relative efficiencies of water resource utilization in 14 cities in Liaoning Province. They employed a kernel density estimation model to analyse the dynamic evolution patterns of water resource utilization efficiency. Xiong et al. 56 adopted an iterative correction approach to modify and apply water resource utilization efficiency evaluation models based on single assessment methods such as entropy, mean square deviation, and deviation methods.

The third aspect involves investigating the relationship between water resource security and other societal systems.

Shanshan et al. 57 laid the foundation for the rational construction of an urbanization and water resource indicator system. Through the establishment of a dynamic coupled model, they conducted an analytical study on the harmonized development trends between the urbanization system and the water resource system in Beijing. Wei 58 utilized a coordination degree model to explore the coupling relationship between the quality of new urbanization and water resource security in Guangdong Province. Caizhi and Xiaodong 59 combining coupled scheduling models with exploratory spatial data analysis and conducted an analysis of the security conditions and spatial correlations among water resources, energy, and food in China. Additionally, Xia et al. 60 employed the Mann–Kendal test method to study the degrees of matching between water resources and socioeconomic development in six major geographical regions of China.

A review of the relevant literature reveals that scholars have explored the issues of water resource ecological security and regional socioeconomic development from various perspectives and fields, which is one of the urgent problems to be addressed in the current process of social development. These research findings not only have learning and reference significance but also provide insights for the writing of this paper.

Summarizing the achievements of previous research, the essence of water resource security evaluation mainly includes three aspects: ensuring water quantity, sustainability, and water quality. Evaluation methods include principal component analysis, fuzzy comprehensive evaluation methods, analytic hierarchy processes, and system dynamics modelling methods, among others, among which the analytic hierarchy process has certain advantages in addressing multilevel problems and is widely used in constructing multilevel analysis models. Therefore, this paper introduces the Lotka–Volterra biological concept and continues to explore this topic further. It can effectively combine the relationships between indicators and weights and study the competition or symbiotic relationship between two populations competing for ecological resources in the same time and space context 61 . Drawing from the DPSIR model, this study devises a comprehensive evaluation framework to assess the interdependence of socioeconomic factors and water resources. Through the application of the entropy weight method, this study determines the relative importance of various indices within this framework. Employing the Lotka–Volterra symbiotic model, this research scrutinizes and quantifies the ecological security status of water resources in the YRB from 2010 to 2019. The overarching objective is to furnish technical insights that can catalyse efforts to enhance the ecological security of regional water resources.

Methodology

• Lotka–Volterra symbiosis model

In the 1940s, A. J. Lotka and V. Volterra jointly introduced the Lotka–Volterra model 62 , which serves as a method for studying the relationships between biological populations. Its basic form is as follows:

In the given equation, \({\text{N}}_{1} \left( {\text{t}} \right), {\text{N}}_{2} \left( {\text{t}} \right)\) denote the populations of species \({\text{S}}_{1}\) and \({\text{S}}_{2}\) , respectively. \({\text{K}}_{1}\) and \({\text{K}}_{2}\) represent the carrying capacities of populations \({\text{S}}_{1}\) and \({\text{S}}_{2}\) in their respective environments. \({\text{r}}_{1}\) and \({\text{r}}_{2}\) represent the growth rates of populations \({\text{S}}_{1}\) and \({\text{S}}_{2}\) , respectively. \(\alpha\) denotes the competitive intensity coefficient of species \({\text{S}}_{2}\) on species \({\text{S}}_{1}\) , while \(\beta\) represents the competitive intensity coefficient of species \({\text{S}}_{1}\) on species \({\text{S}}_{2}\) .

By replacing the socioeconomic relationships within the entire YRB with the provinces within the basin, the Lotka–Volterra model is introduced into the regional water resource ecological security assessment. This allows for the construction of a symbiotic model between socioeconomic factors and water resources within the YRB. The specific formula is as follows:

In the equation, \({\text{F}}\left( {\text{k}} \right)\) denotes the comprehensive socioeconomic development status, \({\text{E}}\left( {\text{k}} \right)\) signifies the comprehensive development status of water resources, \({\text{C}}\) represents the ecological environment, \({\text{r}}_{{\text{F}}}\) signifies the socioeconomic growth rate, \({\text{r}}_{{\text{E}}}\) represents the growth rate of water resources, \(\alpha\) denotes the coefficient of water resources’ impact on the socioeconomy, and \(\beta\) denotes the coefficient of the impact of the socioeconomy on water resources. Therefore, solving for the coefficients \(\alpha\) and \(\beta\) in the model is essential for examining the interaction between the socioeconomy and water resources. The specific steps for solving the equation are as follows.

Discretizing Eqs. ( 4 ), ( 5 ) yields:

The solution is:

Different values of \(\alpha\) and \(\beta\) correspond to different symbiotic relationships between the socioeconomy and water resources, as illustrated in Fig.  2 .

Symbiotic model between the socioeconomic and water resources in the YRB.

Construction of the DPSIR model and indicator system

To construct a water resource ecological security index system for the 10 provinces in the YRB, this paper is based on the research of relevant scholars and introduces the DPSIR model to evaluate water resource ecological security. This model was proposed to describe the concept of environmental systems and the structure of complex cause-and-effect relationships by the European Environment Agency (EEA) in 1999. It is mainly applied in assessments of ecological security, regional sustainable development, and water resource ecological security.

The establishment of the DPSIR model in this paper is illustrated in Fig.  3 .

DPSIR model.

Generally, the driver (D) in the socioeconomic system tends to improve the environmental and resource states (S), while the economic pressure (P) tends to disrupt the resource and environmental states (S). The states of resources and the environment contribute essential production materials to the socioeconomic system. Simultaneously, drivers (D) and pressures (P) reflect two different aspects of socioeconomic development. Therefore, these factors can indicate the level of socioeconomic development. Based on these definitions, the following indicators are selected to assess the DPSIR model for water resource ecological security. The weights of various indicators calculated through the entropy weight method are presented in Table 1 . A more significant role played by the corresponding indicator in the comprehensive assessment of regional ecological security will have a greater weight.

On this basis, the socioeconomic stress index \({\text{S}}_{{\text{F}}} \left( {\text{k}} \right)\) and water resource stress index \({\text{S}}_{{\text{E}}} \left( {\text{k}} \right)\) are defined as follows:

The comprehensive index between socioeconomic and water resources, also called the symbiosis index \({\text{S}}\left( {\text{k}} \right)\) , is calculated as follows:

According to Eq. ( 14 ), \({\text{S}}\left( {\text{k}} \right) \in \left[ { - \sqrt 2 ,\sqrt 2 } \right]\) , a larger value of A indicates that the symbiotic state between the socioeconomy and water resources is better; conversely, a smaller value of A indicates that the symbiotic state between the two is worse.

The water resources force index can illustrate the direction of the socioeconomic impact on water resources, and the symbiotic index can illustrate the magnitude of the socioeconomic impact on water resources. Therefore, these two indices serve as the basis for evaluating the water resource security status. Formula ( 14 ) implies that the symbiotic index \({\text{S}}\left( {\text{k}} \right)\) falls within the range of \(\left[ { - \sqrt 2 ,\sqrt 2 } \right]\) . A larger numerical value indicates a better symbiotic relationship between the two subsystems, while a smaller value suggests a poorer symbiotic relationship. However, the relationship between the symbiotic index and regional ecological security is not straightforward. Regional ecological security must be judged according to specific criteria grounded in both the measure of symbiosis \({\text{S}}\left( {\text{k}} \right)\) and the ecological force index \({\text{S}}_{{\text{E}}} \left( {\text{k}} \right)\) . This approach comprehensively characterizes the ecological security of the YRB urban agglomeration. In our study, a two-dimensional symbiotic model of socioeconomic–natural ecology is employed to depict the evolution of ecological security under dual-characteristic indices.

Within this model, ecological security is divided into six regions that progress in a sequential manner, conforming to the progressive law of ecological security evolution. In the safe zone, the socioeconomic and natural ecological systems mutually benefit, and both experience robust development. In the subsafe zone, although the natural ecological system is still in a growing state, this occurs at the expense of socioeconomic development, leading to an unstable ecological security status. If the socioeconomic system continues to suffer damage, it falls into the sensitive zone, where the harm to the socioeconomic system outweighs the benefits to the natural ecological system. If this condition persists, both systems enter a state of competition, resulting in harm to both, and they are situated in the danger zone. In unfavourable zones, the socioeconomic system gains weak benefits, while the natural economy suffers damage. If humanity recognizes this situation and takes measures to improve the environment, it may transition from the unfavourable zone to the cautious zone, leading to an improvement in ecological security and potential entry into the safe zone. For ease of analysis and based on the relevant literature 63 , following expert discussions, this study classifies ecological security into six categories corresponding to six ecological security early warning levels, as shown in Table 2 .

Discrimination of water resource ecological security levels

The YZR originates from the Qinghai‒Tibet Plateau, considered the “Roof of the World,” traversing three major economic regions before ultimately flowing into the East China Sea. For our study area, we selected the eight provinces and two municipalities through which the YZR flows. These regions are Shanghai, Jiangsu, Anhui, Jiangxi, Hubei, Hunan, Chongqing, Sichuan, Yunnan, and Qinghai. In the subsequent text, they will be referred to collectively as the YRB. The data for this study primarily originate from statistical yearbooks, water resource bulletins, and development reports spanning the years 2010 to 2019.

According to the criteria for water resource security status presented in Table 2 , the corresponding information is summarized in Table 3 for the years 2011 to 2018, indicating the water resource security status in the YRB during this period. It is observed that from 2011 to 2018, the water resources security status in the YRB initially experienced a decline but later recovered to a secure level. In recent years, the country has not only emphasized economic development but also placed significant importance on environmental protection. Rapid industrial development in earlier years led to an exacerbation of water pollution issues. However, the government promptly recognized this problem and implemented a series of measures to address water pollution. Stringent controls were also imposed on industrial water usage. Consequently, the water resource status quickly returned to a level considered safe.

The water resource security evaluation values obtained using the entropy method range from 0 to 1. Ideally, a value closer to 1 indicates a better water resource security situation, while a value closer to 0 suggests a poorer water resource security situation.

After standardizing the processed data, we can plug them into Eq. ( 15 ) to sequentially obtain the basic indices for socioeconomic, ecological environment, and water resource security in the YRB. The specific process involves substituting the basic indices for socioeconomic, ecological environment, and water resource ecological security into Eqs. ( 12 )–( 14 ). This approach yields comprehensive indices, including the socioeconomic stress index, water resource stress index, and symbiotic degree index. These indices serve as the basis for evaluating the water resource security status in the assessment region, with the water resource stress index and symbiotic degree index being the key indicators.

In the equation, f i represents the comprehensive level of water resource ecological security, \({\text{x}}_{{\text{i}}}^{\prime }\) signifies the standardized values obtained from the original data, and \({\text{w}}_{{\text{i}}}\) denotes the weights assigned to each indicator. When the value of f i falls between 0 and 1, the closer the value is to 1, the better the ecological security of water resources. In contrast, it shows a poorer ecological security status. Similarly, according to this equation, the classification of water resource ecological security can be divided into six categories: 0–0.16 denotes a dangerous state, 0.16–0.32 indicates a deteriorating state, 0.32–0.48 signifies a sensitive state, 0.48–0.64 represents a vigilant state, 0.64–0.8 implies a subsecure state, and 0.8–1.0 corresponds to a safe state. Different levels of water resource ecological security entail varying relationships with the national economy and society. For specific characteristics corresponding to each security level, please refer to Table 4 .

Informed consent statement

Informed consent was obtained from all subjects involved in the study.

Evaluation of water resource ecological security levels in the Yangtze River Basin

Overall, the evaluation values of water resource security in the YRB from 2010 to 2019 showed a fluctuating upwards trend (refer to Table 5 ). From 2010 to 2013, the evaluation values fluctuated between 0.2 and 0.4, reaching the lowest level at Grade V. In 2011, the evaluation value was only 0.2201, indicating that during this period, the water resources in the YRB were in an unsafe state, resulting in water scarcity. These results indicate that economic and social development are not being met on a sustainable basis at the watershed scale. In 2014, the water resource security evaluation value for the YRB reached 0.4243, classified as Grade III. Subsequently, there was a significant upwards trend, with the evaluation value reaching 0.6746 in 2017, which was classified as Grade II, indicating a relatively secure state. These results suggest that the water resources of the YRB appeared to be more secure than they were before, and the YRB could essentially fulfil the requirements for sustainable economic and social development at the national level. This upwards trend continued, reaching 0.7215 in 2019. From 2010 to 2019, the water resource security status in the YRB improved from Grade V to Grade II, demonstrating significant improvement. However, it has not yet reached Grade I, indicating that there is still room for improvement in the future.

The DPSIR model was used to analyse the reasons for the improvement in the ecological security of water resources in the YRB based on five criteria. Table 5 shows that the evaluation values for driving forces significantly increased from 2010 to 2019, while the values for pressure and response slightly increased, and those for state and impact fluctuated, resulting in a slight overall improvement. Specifically, the evaluation values for driving forces fluctuated from 0.0543 to 0.2370, indicating the significant contributions of indicators such as per capita GDP, the proportion of primary industry, population density, and the urbanization rate to the enhancement of water resource security. The assurance provided by economic and social development for water resource security is evident. The evaluation value for pressure fluctuated from 0.0403 to 0.1149, suggesting a reduction in pressure on water resources from economic development, agricultural and industrial production, and residents' lifestyles, leading to a decrease in basin water pollution and an alleviation of water quality deterioration. The response increased from 0.0527 to 0.1665, indicating relatively significant growth. These results suggest that measures taken by the government and society to address water resource issues have been effective, resulting in improvements in both the quantity and quality of water resources and an enhancement of water resource security levels. The evaluation value for impact fluctuated from 0.0261 to 0.0349, indicating a standardized industrial wastewater discharge volume and an improvement in water resource security conditions. The evaluation value for state initially decreased from 0.1633 to a minimum of 0.0656 before increasing to approximately 0.17. These results suggest that, considering indicators such as per capita sewage discharge and per capita water consumption, the status of water resources initially declined but gradually improved after governance measures were implemented.

In summary, from 2010 to 2019, the improvement in water resource security in the YRB can be attributed mainly to the enhancement of driving forces and response indicators. Economic and social development has provided ample assurance for water resource security, while water resources have imposed constraints on economic and social development to a certain extent. In the YRB, the current governance of water resources has reached a relatively high level, making it challenging to achieve significant breakthroughs in the future. The efficiency of water use in the existing industrial structure is difficult to substantially improve. Therefore, adjusting the industrial structure to enhance water resource security is a future research focus. These findings align with the conclusions of other domestic scholars. For instance, a study by Xiaotao and Fa-wen 64 revealed that water consumption per unit of production energy and agricultural production in the YRB contributed the same proportion of GDP. They argued that future water conservation efforts should focus on adjusting industrial structures and developing water-saving technologies. Another study by Wang Hao revealed that the water resource utilization efficiency in the YRB was second only to that in the Beijing-Tianjin-Hebei region 65 . These authors suggested that the potential for mitigating the contradiction between water supply and demand through deep water conservation is limited.

According to the above methods and steps, further calculations were conducted to determine the water resource ecological security status of each province in the YRB from 2010 to 2019, as shown in Tables 6 and 7 . Information gleaned from Tables 6 and 7 suggests that the overall improvement in the water resource ecological security status of each province in the YRB from 2010 to 2019 was significant. There was a discernible improvement from 2014 to 2015, with a clear boundary line. Before 2015, the water resources in most areas were relatively sensitive, and some regions even experienced deterioration. However, after 2015, almost all areas reached subsafe or safe states.

Calculation results of the water resource security status of each province in the YRB from 2010 to 2019.

Trends in water resource ecological security in the Yangtze River Basin

According to Eq. ( 15 ), and by empirically examining the ecological status of water resources in the YRB from 2010 to 2019, the comprehensive levels of the ecological environment, socioeconomic development, and water resources in ten provinces of the YRB were obtained, as shown in Fig.  4 .

Development of the basic indices in the YRB.

The information gleaned from Table 4 suggests that the economic development in the YRB from 2010 to 2019 showed a positive trend, increasing from 0.09 to 0.35. This increase is attributed to the favourable current economic development environment and robust support from national directives. Policies such as the 2013 “Guiding Opinions on Building China’s New Economic Support Belt Based on the Yangtze River”, the 2018 speech at the Symposium on Deepening the Development of the YZR Economic Belt, the “Development Plan for the Huaihe River Ecological Economic Belt”, and the 2019 “Outline of the Development Plan for the Regional Integration of the Yangtze River Delta” have played crucial roles in driving industrial restructuring and achieving quality economic development in the YRB.

The ecological environment comprehensive level in the YRB exhibited a fluctuating development trend from 2010 to 2019, resembling an “M” shape, increasing from 0.24 to 0.37 with a relatively small amplitude. Ecological civilization construction, as a fundamental national policy, has provided important guidance for the economic development of the YRB. This development includes intensified efforts in the treatment of industrial pollutants and urban wastewater, along with increased levels of regional afforestation and greenery. Notably, significant improvements were observed in indicators such as per capita park green space, the urban green space ratio, and the harmless disposal of waste in the YRB in 2015.

The comprehensive level of water resources in the YRB increased slightly from 0.19 to 0.20 from 2010 to 2019. Although there was an upwards trend, the magnitude of the increase was minimal, indicating an unfavourable water resource status in the YRB. The primary factor in this slight increase is the accelerated consumption of water resources. As a part of the ecological environment, a decrease in the comprehensive level of water resources is also an important factor restricting the overall improvement of the ecological environment. In future development, the YRB should leverage favourable national policies to promote breakthrough development in the regional economy. Simultaneously, efforts should be intensified towards the protection and management of regional water resources and the ecological environment, striving to enhance the comprehensive level of water resources and the ecological environment.

Based on the previously calculated comprehensive socioeconomic, ecological environment, and water resource levels, the stress indices for socioeconomic and water resources, as well as the symbiotic index for the YRB during the years 2010–2019, were computed, and the results are presented in Fig.  5 .

Development status of comprehensive indices in the YRB.

Figure  5 clearly shows that, except for the years 2012, 2014, and 2016, the impact of water resources on the socioeconomy remained consistently positive, indicating that during this period, water resources positively contributed to economic growth. The water resources force index has been consistently positive in recent years, signifying the promotion by socioeconomic development, with a relatively minor hindrance from socioeconomic development during this period. The symbiotic index values between the two factors were 1.05, 1.24, 1.40, 1.26, and 1.07 in the years 2011, 2013, 2015, 2017, and 2018, respectively, reaching an optimal state of mutual benefit and symbiosis. However, a slight decline was observed in subsequent years, suggesting the need for further improvement.

Spatial pattern analysis of water resource ecological security in the Yangtze River Basin

Using the ArcGIS10.4 tool, which is provided by the Environmental Systems Research Institute, Inc (commonly known as ESRI), several representative years were selected to visualize the ecological security status of water resources in the YRB. The computational results are visualized in Figs.  6 , 7 and 8 .

Ecological security status of water resources in the YRB in 2011(map were generated with software ArcMap10.4 http://www.esri.com/ ).

According to the division standards for administrative regions along the YZR in 2014, the YRB studied in this paper can be categorized into three main regions: the upper, middle, and lower reaches. The upper reach includes three provinces: Qinghai, Sichuan, and Yunnan. The middle reach comprises four provinces and municipalities: Chongqing, Hunan, Hubei, and Jiangxi. The lower reach consists of three provinces and municipalities: Anhui, Jiangsu, and Shanghai.

Figures  6 , 7 and 8 show that from 2011 to 2019, the overall ecological security status of water resources in the YRB transitioned from “deteriorating,” “sensitive,” and “vigilant” states to “subsecure” and “safe” states. The range of comprehensive evaluation values for water resource ecological security (hereafter referred to as evaluation values) increased from 0.16–0.64 to 0.64–1.

As illustrated in Fig.  6 , notable disparities were present in the distribution of the ecological security status of water resources among provinces and municipalities in the YRB, with the ecological security status of water resources in the upper and lower reaches of the YZR notably superior to that in the middle reaches. The data indicate that the water resource utilization efficiency levels in the upper and lower reaches of the YZR were greater than that in the middle reaches in 2011, exhibiting a pattern of high efficiency at both ends and lower efficiency in the middle. Regions with high comprehensive water resource utilization efficiency are mainly concentrated in the upper and lower reaches of the YZR.

Although the upstream regions have limited economic strength, they also have relatively fewer water-intensive industries. Meanwhile, these regions actively respond to green development policies and prioritize energy conservation and environmental protection industries. Underdeveloped regions can also achieve higher water resource efficiency by controlling total water consumption and improving the output of water per unit used.

The areas with low comprehensive utilization efficiency of water resources are primarily concentrated in the middle reaches of the YZR, where the proportions of traditional industries such as steel, chemicals, and nonferrous metals are relatively large, leading to high industrial water consumption and consequently the lowest efficiency in water resource utilization. Provinces such as Hunan and Hubei, with large populations and rapid economic development, exhibit high demands for water resources, resulting in increased regional water resource consumption and persistently high per capita sewage discharge indicators.

The downstream regions of the YZR boast strong economic progress, with high levels of industrial technological innovation and governance capabilities. This region exhibits the highest level of economic development, which can drive improvements in the utilization efficiency of water resources. Consequently, Shanghai and Jiangsu provinces have the highest water resource utilization efficiency. As a result, the ecological security status of water resources in Shanghai has improved rapidly.

As shown in Fig.  7 , in 2015, the overall ecological security status of water resources notably improved in the YRB. The fundamental reason for this improvement is that in recent years, regions across the basin have recognized the importance of the ecological environment for overall development. They have gradually undertaken regional industrial restructuring and upgrading and accelerated urbanization and simultaneously emphasized the preservation of water resources and the environment. The three major regions exhibit regional disparities in water resource utilization efficiency due to differences in geographical environment, economic foundation, and industrial structure. In terms of the total water consumption of each province and municipality, agricultural water usage accounts for more than half of the total water consumption, which is significantly greater than the water usage in the industrial, domestic, and ecological sectors. However, compared to other industries' output values, the overall water resource utilization efficiency in agriculture is lower. Therefore, regions with greater proportions of primary industry output tend to have lower water resource utilization efficiency.

Ecological security status of water resources in the YRB in 2015(map were generated with software ArcMap10.4 http://www.esri.com/ ).

The industrialization level in the upstream regions is relatively low, with relatively outdated production technologies. As industrialization progresses, the negative impact on water resources' ecological security is gradually increasing. The industrialization in the middle and lower reaches of the YZR has reached relatively high levels. Control measures have been gradually implemented to manage the resource consumption and environmental pollution generated during the industrial development process. With advancements in technology, the negative impact on water resource ecological security is gradually diminishing. Among these provinces, Hunan Province and Hubei Province in the middle reaches of the YZR experienced the greatest increases in water resource ecological security status, transitioning from “deteriorating” to “subsecure.” The regions in the middle reaches emphasize considering the resource and environmental carrying capacity to ensure the coordination between water resource allocation and regional sustainable development, achieving rational distribution and efficient utilization of water resources within the region.

The lower reaches of the YZR are characterized by developed economies, advanced technologies, and high levels of both urbanization efficiency and water resource efficiency, maintaining harmonious development. This region exhibits the strongest economic development and hosts the highly integrated YZR Delta urban agglomeration. With a solid foundation in secondary and tertiary industries, high levels of technological innovation, and openness, the overall ecological security status of water resources in this region is at a relatively high level.

Across the provinces and municipalities in the YRB, efforts have been intensified to control the discharge of pollutants such as phosphorus, leading to reduced pollutant emissions and improved water quality. Moreover, improvements in water resource allocation have been made, reducing the risks associated with pollution factors through increased water volume and dilution effects, thereby ensuring the supply and safety of drinking water downstream of Shanghai. The stable proportion of GDP in the YZR Economic Belt indicates a balanced relationship between economic development and the ecological protection of water resources. While maintaining economic growth, downstream cities also prioritize environmental protection and water resource management.

Figure  8 clearly shows that the overall ecological security status of water resources in the YRB has been developing at an accelerated pace, trending towards overall coordinated development by 2019, with mutual promotion between socioeconomic and water resources. This trend can be attributed to various factors. This positive influence is exemplified in agricultural water use efficiency, which has improved in recent years due to various factors, such as changes in agricultural production methods, organizational structures, cropping patterns, and water-saving practices. As a result, the negative impact of the proportion of the output value of the primary industry on water resource efficiency has been mitigated.

Ecological security status of water resources in the YRB in 2019(map were generated with software ArcMap10.4 http://www.esri.com/ ).

However, despite efforts, China still faces serious water pollution issues, with poor water environmental quality and significant pollution discharge loads from industrial, agricultural, and domestic sources. These factors pose severe challenges to the ecological security of water resources. To address these challenges, China has formulated a series of plans aimed at strengthening water pollution prevention and control and ensuring national water resource ecological security. These plans were officially announced and implemented after 2015.

Based on the analysis results, each province and city in the YRB should embrace a people-centred approach to new urbanization and the scientific development concept of water resource protection and utilization. While focusing on promoting new urbanization construction, efforts should be intensified to enhance ecological environmental protection and explore new paths for coordinated regional economic development and resource utilization. Provinces and cities should rely on the golden waterway of the YZR to establish cross-regional and cross-provincial basin cooperation mechanisms and long-term mechanisms, actively promoting coordinated development among the three major regions of the YRB.

Against the backdrop of the global environmental crisis, the Lancang-Mekong River, as Asia’s largest transboundary river, also faces certain water security issues. Specifically, the “status” of water resources is relatively low, as manifested by the polluted state of the water quality of the river. Additionally, factors such as the uneven distribution of precipitation within the year and the weakness of storage facilities such as wetlands and reservoirs contribute to seasonal water shortages and serious water disasters in the basin. Moreover, the response levels of basin countries are limited, and there is room for improvement in the level of water resource management. Countries in the Lancang-Mekong River Basin are in a stage of rapid economic and social development, and population growth, economic activities, and changes in land use (such as urbanization) will have direct or indirect impacts on water resources in the basin. The Ganges River Basin faces similar ecological and environmental problems. In recent years, India’s economic prosperity and urbanization process have had significant impacts on the Ganges River Basin. Soil erosion and insufficient drinking water under population pressure have plagued the people of the Ganges River Basin. Additionally, the serious problem of surface water pollution caused by the discharge of industrial and domestic wastewater has led to a certain degree of land salinization.

Climate change, land use, human consumption of water resources, and government management of water resources are all factors that can directly or indirectly affect the water security situation in a region. Given that the Lancang-Mekong River spans China and five Southeast Asian countries, its water resource ecological security is particularly influenced by socioeconomic factors. Therefore, we believe that the methods we propose are equally applicable to the evaluation of water resource ecological security in this basin. By introducing the Lotka–Volterra symbiotic model and using the DPSIR model to construct a system of evaluation indicators for the symbiosis between socioeconomic factors and water resources in the study area, this system will help us to thoroughly assess the water resource ecological security of the Lancang-Mekong River Basin and provide a scientific basis for the implementation of region-specific water security strategies. These approaches are highly important for promoting regional sustainable development and maintaining basin ecological security.

Research has revealed that over a decade ago, the water resource ecological security status in the YRB initially fell within a relatively poor range. However, with close attention from the government and the implementation of various regulations, as well as active participation from the public in protecting the YZR, the water resource ecological security status in the YRB has improved rapidly. It is now generally maintained at levels of safety or near safety, with prospects for further improvement in the future. Comprehensive analysis of data from 2010 to 2019 revealed continuous trends in improvement in water resource security. To further enhance water resource security, we propose the following recommendations:

The industrial structure should be adjusted to achieve sustainable utilization of water resources. Governments should strongly support the green economy and environmental protection industries by providing tax incentives for enterprises, encouraging them to invest in water resource management and protection projects. By establishing corresponding financial funds and reward mechanisms, more social forces can be guided to participate, achieving a mutually beneficial outcome for water resource security and economic development. The Chinese government has called for all citizens to actively respond to carbon peak and carbon neutrality strategies and has formulated specific and feasible emission reduction plans. Enterprises are encouraged to adopt clean production technologies to improve resource utilization efficiency and achieve carbon emission reduction goals. There should be a focus on strengthening sewage resource utilization, integrating atypical water sources into unified water resource allocation, and encouraging locations with the necessary conditions to fully utilize unconventional water sources. Water-deficient cities should actively expand the scale and scope of recycled water utilization. The principles of demand-driven supply, water quality division, and local utilization should be followed to promote the use of recycled water in industrial production, municipal miscellaneous use, land greening, ecological replenishment, and other areas.

Focusing on agricultural water use and preventing water source pollution. As one of the main rice-producing regions in China, to further enhance water resource security in the YRB, agricultural measures should be taken. With respect to water conservation, water-saving irrigation techniques combined with smart irrigation systems should be adopted to achieve precise irrigation and improve water resource utilization efficiency. Moreover, enhancing rainwater collection and utilization by establishing rainwater collection systems and storing water for agricultural irrigation can effectively utilize rainwater resources and alleviate irrigation pressure during the dry season.

Agricultural pesticide use is also an issue that cannot be ignored. Excessive use and improper handling of pesticides can often lead to serious water pollution, posing a threat to the water resource security of the YRB. To address this issue, we need to strengthen pesticide use management, promote scientific pesticide application techniques, reduce excessive pesticide use, raise farmers' environmental awareness to prevent pesticide waste from being directly discharged into water bodies, and strengthen water quality monitoring and treatment to promptly detect and address pesticide pollution problems.

Improve people’s education level and strengthen environmental awareness. As people's living standards and education levels improve, concerns about ecological water security have increased, and higher demands are being placed on water safety and quality. The incomplete assessment and mismanagement of water resources, coupled with wasteful practices, have led to water resources becoming uncontrollable variables. Recognizing, measuring, and expressing the value of water and incorporating it into decision-making processes are particularly important against the backdrop of increasingly scarce water resources, population growth, and the pressures of climate change. It is essential to achieve sustainable and equitable water resource management and meet the development goals of the United Nations' 2030 Agenda.

Actively participate in international ecological construction. According to Maximo Torero of the FAO, strengthening water resource protection and management requires enhanced cooperation among countries, the integration of various stakeholders' interests, multipronged approaches, and the consideration of social, economic, and environmental factors. It also involves a focus on technology, legal frameworks, and overall policy environments. We recommend that governments actively engage in international cooperation projects, sharing experiences and technologies in managing water resources in the YRB while drawing lessons from successful ecological initiatives in other countries. Such cross-border collaboration can foster global ecological sustainability, address global environmental issues collectively, share innovative technologies and research achievements, and achieve global governance of ecological environments.

Data availability

Our data is sourced from the provincial data in the China Statistical Yearbooks from 2011 to 2019 published by the National Bureau of Statistics of China ( https://www.stats.gov.cn/sj/ndsj/ ), as well as the Water Resources Bulletins ( http://www.mwr.gov.cn/sj/tjgb/szygb/ ). Figures  6 , 7 , and 8 were created by us using ArcGIS 10.4 software, which is provided by the Environmental Systems Research Institute, Inc. (commonly known as ESRI). Our vector boundary data and the Yangtze River data are sourced from the National Catalogue Service For Geographic Information ( www.webmap.cn ), using the 1:1,000,000 public version of basic geographic information data (2021). The tiled data is processed according to GB/T 13989-2012 “National Fundamental Scale Topographic Map Tiling and Numbering”.

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This research was supported by the Project of Social Science Foundation of Jiangsu Province (No. 22TQC005).

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Jie-Rong Zhou, Xiao-Qing Li, Xin Yu & Tian-Cheng Zhao

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Zhou, JR., Li, XQ., Yu, X. et al. Exploring the ecological security evaluation of water resources in the Yangtze River Basin under the background of ecological sustainable development. Sci Rep 14 , 15475 (2024). https://doi.org/10.1038/s41598-024-65781-z

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JSmol Viewer

A reference paper collection system using web scraping.

1. Introduction

2. related work, 2.1. scholarly databases, 2.2. web scraping for big data collection, 3. adopted tools, 3.1. google scholar, 3.2. selenium.

• The sentence transformer model encodes each input text into the vector representation, which is also known as embedding , using a pre-trained transformer model such as BERT or the Robustly Optimized BERT Approach (RoBERTa) .
• After generating embedding for the two texts, the sentence transformer model computes the similarity score using a metric like Cosine similarity or Euclidean distance.
• The similarity score is based on the chosen similarity metric, with the higher score indicating a greater similarity between texts.

3.4. Angular

3.5. python flask, 4. proposal of reference paper collection system, 4.1. software architecture, 4.2. client-side implementation.

Connection between Server Side and Client Side

4.3. server-side implementation, 4.3.1. web scraping as input data processing, 4.3.2. html output processing with automation scripts.

• Process of Automation Script: After the Google Scholar results list loads, the automation script locates the URL link of the PDF using XPath [ 36 ]. The dynamic nature of locating DOM (document object model) elements on the website arises due to some tags lacking unique IDs or names. XPath is employed to pinpoint the PDF keywords among the DOM elements. Subsequently, the regular expression and the Python PDF reader library are utilized to extract keywords from the PDF’s online URL. Once the keywords are obtained, the sentence-transformer -based BERT model is used to calculate the similarity score. Further details on data processing using the sentence transformer model will be provided in the next section. If a found paper is determined to be relevant, then key information is collected from Google Scholar , including the paper title, the citation count, and the link to the PDF’s online URL according to Algorithm 2. Then, these data are transformed into a JSON array for the further visualization of the results.

4.3.3. Keyword Matching and Similarity Score Calculation

4.4. Source Code Implementation for Back End Automation

4.5. user interface for displaying result papers list, 5. evaluations, 5.1. system performance evaluation, 5.2. accuracy evaluation.

• Relevance: For Google Scholar and Semantic Scholar , we downloaded 100 papers from the first 10 pages of the result. For the proposed system, we downloaded all the papers suggested by the system. Then, the relevance of each paper was judged based on user preference, applicability to the target research, and similarity with the research.
• Accessibility: We compared the number of accessible and inaccessible papers within the first 10 pages of Google Scholar , Semantic Scholar , and the suggested papers by the proposed system.
• Required time: We compared the total time required to search the candidates, open the links to the PDF files, download them, and read them to determine relevance for the 100 papers from Google Scholar and Semantic Scholar , and all the suggested papers for the proposed system.

5.2.1. Case 1

5.2.2. case 2, 5.2.3. case 3, 5.2.4. case 4, 5.2.5. case 5, 5.2.6. case 6, 5.2.7. case 7, 5.3. system usability evaluation, 5.4. feedback from students, 6. discussion and conclusions, author contributions, institutional review board statement, informed consent statement, data availability statement, conflicts of interest.

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Naing, I.; Aung, S.T.; Wai, K.H.; Funabiki, N. A Reference Paper Collection System Using Web Scraping. Electronics 2024 , 13 , 2700. https://doi.org/10.3390/electronics13142700

Naing I, Aung ST, Wai KH, Funabiki N. A Reference Paper Collection System Using Web Scraping. Electronics . 2024; 13(14):2700. https://doi.org/10.3390/electronics13142700

Naing, Inzali, Soe Thandar Aung, Khaing Hsu Wai, and Nobuo Funabiki. 2024. "A Reference Paper Collection System Using Web Scraping" Electronics 13, no. 14: 2700. https://doi.org/10.3390/electronics13142700

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Research on energy storage capacity optimization of rural household photovoltaic system considering energy storage sharing

• Research Article
• Published: 10 July 2024

Cite this article

• Weijun Wang 1 &
• Keyi Kang 1  

With the promotion of the photovoltaic (PV) industry throughout the county, the scale of rural household PV continues to expand. However, due to the randomness of PV power generation, large-scale household PV grid connection has a serious impact on the safe and stable operation of the distribution network. Based on this background, this paper considers three typical scenarios, including household PV without energy storage, household PV with distributed energy storage, and household PV with centralized energy storage. Then, a calculation model for PV local consumption rate and annual net cost under different scenarios is constructed. Combined with a natural village in Shandong Province, the PV local consumption rate and annual net cost under three scenarios are compared and analyzed, and the potential of energy storage sharing in reducing storage capacity and improving PV local consumption is explored. The results show that configuring energy storage for household PV can significantly improve the power self-balancing capability. When meeting the same PV local consumption, household PV centralized energy storage can achieve smaller energy storage configuration and lower cost compared to household PV distributed energy storage. Finally, suggestions are proposed to further promote the development of household PV energy storage system. The research results can provide reference for improving the local consumption of rural household PV and accelerating the application of household PV energy storage system.

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Data availability

The datasets used or analyzed during the current study are available from the corresponding author on reasonable request.

Abbreviations

The amount of rural households

Household PV power generation of the i -th household at the j -th hour (kWh)

Load demand of the i -th household at the j -th hour (kWh)

The amount of power mismatch for the i -th household at the j -th hour (kWh)

Household PV direct consumption of the i -th household at the j -th hour (kWh)

PV local consumption rate in Scenario 1 (%)

PV local consumption rate in Scenario 2 (%)

PV local consumption rate in Scenario 3 (%)

Charging power of the energy storage battery of the i -th household at the j -th hour in Scenario 2 (kWh)

Discharging power of the energy storage battery of the i -th household at the j -th hour in Scenario 2 (kWh)

Charging limit of the energy storage battery (%)

Discharging limit of the energy storage battery (%)

Capacity of the distributed energy storage battery of the i -th household in Scenario 2 (kWh)

Energy storage battery charging efficiency (%)

Energy storage battery discharging efficiency (%)

The amount of electricity stored in the energy storage battery of the i -th household at the j -th hour in Scenario 2 (kWh)

Energy storage battery maximum state of charge (%)

Energy storage battery minimum state of charge (%)

The amount of electricity sold or purchased by the i -th household from the power grid at the j -th hour in Scenario 2 (kWh)

Charging power of the energy storage battery of the i -th household at the j -th hour in Scenario 3 (kWh)

Discharging power of the energy storage battery of the i -th household at the j -th hour in Scenario 3 (kWh)

Capacity of centralized energy storage in Scenario 3 (kWh)

The amount of electricity stored by the centralized energy storage at the j -th hour in Scenario 3 (kWh)

Total charging capacity of the centralized energy storage battery in the j -th hour (kWh)

Total discharging capacity of the centralized energy storage battery in the j -th hour (kWh)

The amount of electricity sold or purchased from the power grid at the j -th hour in Scenario 3 (kWh)

Total amount of power mismatch at the j -th hour (kWh)

Annual PV grid-connected income in Scenario 1 (CNY)

Annual PV grid-connected income in Scenario 2 (CNY)

Annual PV grid-connected income in Scenario 3 (CNY)

Electricity price of PV grid connection (CNY/kWh)

Sales electricity price of the power grid (CNY/kWh)

Annual power purchase cost in Scenario 1 (CNY)

Annual power purchase cost in Scenario 2 (CNY)

Annual power purchase cost in Scenario 3 (CNY)

Subsidy income of energy storage in Scenario 2 (CNY)

Subsidy income of energy storage in Scenario 3 (CNY)

Subsidy electricity price of energy storage (CNY/kWh)

Subsidy period of energy storage (Year)

Energy storage unit capacity cost (CNY/kWh)

Energy storage investment cost in Scenario 2 (CNY)

Annual operation and maintenance cost in Scenario 2 (CNY)

The discount rate (%)

Energy storage investment cost in Scenario 3 (CNY)

Annual operation and maintenance cost in Scenario 3 (CNY)

Operating cycle of energy storage (Year)

Operating cost per unit capacity (CNY/kWh)

Annual net cost of household PV system in Scenario 1 (CNY)

Annual net cost of household PV energy storage system in Scenario 2 (CNY)

Annual net cost of household PV energy storage system in Scenario 3 (CNY)

Power of solar PV panels (kW)

Solar radiation intensity (W/m 2 )

Incidence angle efficiency (%)

PV panel area (m 2 )

Solar transmittance (%)

Efficiency of PV conversion to electricity (%)

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This research is supported by the National Social Science Foundation of China (Grant No. 23BGL024).

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Weijun Wang & Keyi Kang

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Weijun Wang: conceptualization, methodology, supervision, visualization, investigation, and validation. Keyi Kang: data curation, writing—original draft, software, and writing—review and editing.

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Wang, W., Kang, K. Research on energy storage capacity optimization of rural household photovoltaic system considering energy storage sharing. Environ Sci Pollut Res (2024). https://doi.org/10.1007/s11356-024-34206-9

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Received : 16 May 2023

Accepted : 29 June 2024

Published : 10 July 2024

DOI : https://doi.org/10.1007/s11356-024-34206-9

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