Fences or stacks: theoretical considerations regarding references in patents

Abstract

Patent citations are an important indicator for studying science and technology interaction. Yet, empirical and conceptual studies of referencing practices in patents are largely lacking, which has resulted in an under-theorised understanding of patent citations. This study analyses previous research on patent citations and discusses these in relation to citation theories developed within science studies and bibliometrics. The ambition is, however, to advance beyond a comparative approach by adding an additional layer of analysis in which the overarching rhetorical function of references in patents and papers is considered. The analysis shows how referencing in patents have distinguishing characteristics in terms of who cites, the temporality of referencing, national and international context, quantity of references, and incentives for citing. These characteristics are discussed using the concept of fencing and stacking. Fencing illustrates how references in patents are used to demarcate claims, while the stacking of references in scientific papers is an act of cumulative persuasion. Substantial rhetorical and epistemological differences exist in how references are used in patents and papers, and these differences have implications for how citations patterns can be interpreted. The conceptualisation of referencing as fencing and stacking is suggested as a possible framework for interpreting empirical studies of patent citations. Overall, it is argued that a further theoretical, and empirical, understanding of referencing practices in patents are need in order to contextualise and problematise patent citations, and their current use in research and policy.