Research Material-295
238

Digest of Japanese Science and Technology

2015
Indicators 2020
Nov. 2020
Research Unit for Science and Technology Analysis and Indicators

National Institute of Science and Technology Policy, MEXTThis document is the English version of the executive summary of the “Japanese Science and Technology
Indicators 2020” which was published by NISTEP in August 2020. The English version is edited by KANDA
Yumiko and IGAMI Masatsura.

【Contributors】
KANDA YumikoSenior Research Fellow, Research Unit for Science and Technology Analysis andIndicators, National Institute of Science and Technology Policy, MEXTMURAKAMI Akiyoshi

Senior Research Fellow, Research Unit for Science and Technology Analysis andIndicators, National Institute of Science and Technology Policy, MEXT

MATSUMOTO Kuniko

Research Fellow, Research Unit for Science and Technology Analysis andIndicators, National Institute of Science and Technology Policy, MEXTNISHIKAWA kai

Research Fellow, Research Unit for Science and Technology Analysis andIndicators, National Institute of Science and Technology Policy, MEXTIGAMI Masatsura

Director, Research Unit for Science and Technology Analysis and Indicators,
National Institute of Science and Technology Policy, MEXT

Please specify reference as the following example when citing this NISTEP RESEARCH MATERIAL.
“Japanese Science and Technology Indicators 2020”, NISTEP RESEARCH MATERIAL No. 295,
National Institute of Science and Technology Policy, Tokyo.
DOI：https://doi.org/10.15108/rm295e

Japanese Science and Technology Indicators 2020 (ABSTRACT)“Science and Technology Indicators” is a basic resource for understanding Japanese science andtechnology activities based on objective and quantitative data. It classifies science and technology
activities into five categories, such as R&D Expenditure; R&D Personnel; Higher Education and S&T
personnel; Output of R&D; and Science, Technology, and Innovation and shows the state of Japanesescience and technology activities with approximately 170 indicators.

The report is published annuallyand shows the latest results of the analyses of scientific publications and patent applications conductedby the NISTEP.
This edition of “Science and Technology Indicators 2020” includes new indicators such as “thenumber of mature age and non-mature age doctoral students by major” and “doctoral holders among
newly hired researchers in Japanese companies by industrial classification.”

In response to theworldwide pandemic of the COVID-19, the column related to “analyses of scientific publications andpatent applications on infectious diseases,” “status of immigration of foreign researchers in Japan,” and“potential of digital technologies and challenges in promoting their utilization” are included.
Compared with the previous edition, there are approximately 20 new or revised indicators in total.
Overviewing the latest Japan’s situation from “Science and Technology Indicators 2020,” it was
found that the R&D expenditure and the number of researchers in Japan are the third largest in selected
countries (Japan, U.S., Germany, France, U.K., China and Korea).

The number of scientificpublications in Japan (fractional counting method) is the fourth in the world and the number ofscientific publications with high citations is the ninth. Japan continues to be the world first place in thepatent family (patent applications to more than two countries/regions).

These trends continue fromthe previous two editions. China surpassed the United States for the first time and ranked first amongmajor countries in scientific publications (fractional counting method). The United States holds firstplace in the number of scientific publications with high citations.

Blank page

1. R&D expenditure: circumstances in Japan and the selected countries(1) Japan's total R&D expenditure was 17.9 trillion yen in 2018 (Estimated by the OECD), the world's
third largest after the United States and China.
Japan’s total R&D expenditure (nominal value) was 17.9 trillion yen (Estimated by OECD) in 2018,
increased by 2.3% from the previous year. That of the United States was 60.7 trillion yen in the same
year, which was the world’s largest and increased by 5.1% from the previous year. The R&D
expenditure of China marked 58.0 trillion yen in 2018, increased by 10.3% year on year andapproaching the level of the United States.
Germany and Korea also have shown long-term upward trends. In 2018, the R&D expenditure ofGermany was 14.8 trillion yen, 4.4% more than the previous year, while that of Korea was 10.3 trillion
yen, 8.1% more.
[Summary Chart 1] Trends in total R&D expenditure in the selected countries:
nominal values (converted using OECD purchase power parities data)

R&D expenditure (nominal values)

70

Attention tointernational
comparisonJapan¥ trillions

Japan(estimated by the OECD)

60

U.S.
Germany

50

France
40

U.K.

30

China

20

Korea
EU-15

10

EU-28

0
1981

85

89

93

97

01

05

09

13

17 2018Year

Note: The value for Japan was 19.5 trillion yen in 2018 (increased by 2.5% from the previous year), according to the Survey of Research and Development by the Ministryof Internal Affairs and Communications. For comparison with other countries, the OECD-estimated R&D expenditure of universities and colleges, which is adjusted toequivalent is used.
Reference: Chart 1-1-1, Japanese Science and Technology Indicators 2020 (in Japanese)(2) In terms of sectors, the “business enterprises” sector accounted for the largest percentage of
R&D expenditure in all the selected countries.
“Business enterprises” sector accounted for the largest percentage of R&D expenditure in all theselected countries in 2018. It is especially clear in China, Korea, and Japan (estimated by the OECD).
China overtook the United States to take the No. 1 spot in R&D expenditure in business enterprises.
The R&D expenditure of Japan (estimated by the OECD) was the third largest in “businessenterprises,” following China and the United States, the fourth largest in “universities and colleges,”following the United States, China, and Germany, and the fourth largest in “public organizations,”
following China, the United States, and Germany.

-1-[Summary Chart 2] R&D expenditure by sector in the selected countries (2018): nominal values(converted using OECD purchase power parities data)
Businessenterprises
Japan (estimated by the OECD)
U.S.
Germany
France
U.K.
China
Korea

14.2
44.2
10.2
4.7
3.8
44.9
8.3

Nominal values (¥ trillions)
Universities
Publicand colleges organizations

2.1
7.8
2.6
1.5
1.3
4.3
0.8

Non-profit
institutions

Businessenterprises

0.2
2.5

79.4
72.8
68.8
65.4
69.1
77.4
80.3

1.4
6.2
2.0
0.9
0.3
8.8
1.0

0.1
0.1
0.1

( ％)
Universities
Publicand colleges organizations

11.6
12.9
17.7
20.5
22.5
7.4
8.2

7.8
10.2
13.5
12.5
6.1
15.2
10.1

Non-profit
institutions

1.3
4.2
1.6
2.2
1.4

Reference: Chart 1-1-6, Japanese Science and Technology Indicators 2020 (in Japanese)(3) The growth of R&D expenditure by sector differs among the selected countries. While thebusiness enterprises sector has had strong growth in Asian countries, the “universities andcolleges” sector and “non-profit institutions” sector have risen significantly in European
countries and the United States. Among the selected countries, the R&D expenditure growth of
China has been the most significant in all sectors, followed by Korea.
Regarding the growth of R&D expenditure from 2000 to 2018 by sector, which shows R&D
expenditure in 2018 relative to that in 2000, the “business enterprises” sector had the highest growth inChina, Korea and Japan (estimated by the OECD), while the “universities and colleges” sector grew themost in the United States and Germany. Although the “universities and colleges” sector saw growth inFrance and the United Kingdom, the growth of their “non-profit institutions” sector was even greater.
Nonetheless, the R&D expenditure of the “non-profit institutions” sector is rather small in all theselected countries. Furthermore, among the selected countries, the R&D expenditure growth of China
was the most significant in all sectors, followed by Korea.
The growth of Japan’s R&D expenditure was the smallest among the selected countries in the sectorsof “universities and colleges” and “non-profit institutions,” and was relatively low in “publicorganizations”.
[Summary Chart 3] R&D expenditure by sector in the selected countries:
the R&D expenditure in 2018 relative to that in 2000

Real values (Index: Growth from 2000)
Business
Universities
PublicNon-profit
enterprises
and colleges organizations
institutions
Japan (estimated by the OECD)
U.S.
Germany
France
U.K.
China
Korea

1.5
1.5
1.6
1.4
1.5
15.3
4.6

Note: For Germany, public organizations include non-profit institutions.
Reference: Chart 1-1-6, Japanese Science and Technology Indicators 2020 (in Japanese)

-2-

1.0
1.8
1.8
1.4
1.6
10.2
3.1

1.0
1.5
1.6
1.0
0.7
5.7
3.2

0.4
1.8
1.5
1.8
4.4

(4) The proportion of R&D expenditure type in “universities and colleges” sector has been stable inJapan, whereas not in other selected countries.
R&D expenditure in the “business enterprises” sector is the largest in “experimental development”
whereas much smaller in “basic research” in all the countries. In the “universities and colleges” sector,“basic research” accounts for the largest part in most countries except for China, where “appliedresearch” accounts for the largest; “basic research” has been stable in Japan whereas it has declined in
the United States and France and increased in China. In the “public organizations” sector,“experimental development” is the largest in many countries except for France and the United
Kingdom, where “applied research” accounts for the largest part.
[Summary Chart 4] Breakdown of sector-specific R&D expenditure of selected countries by type(A) Business enterprises
Applied researchExperimental development

Capital expenditure notelsewhere recorded

year

10

15
2018
2000

10

FranceFrance

15
2017
2002
05

10

05
10

10
15
2018
2000
05
10
15
2017
2002
05

05

2016
2000

10

05

China

U.K.

2016
2000

China

15
2017
2000

10

15
2018
2000

15
2018
2000

Korea

10

0%

20%

40%

60%

80%

100%

10

05

10
15
2018

15
2018

10

15
2018
2000

05

05

Capital expenditure notelsewhere recorded

05

10

05

Applied researchExperimental development

05

05

15
2018
2000

10

Basic research

15
2018
2000

Korea

France

05

year
2000

U.S.

U.S.

U.S.

10

05

U.K.

Capital expenditure notelsewhere recorded

15
2018
2000

05

China

Applied researchExperimental development

10

15
2018
2000

Korea

Basic research

2000

05

(C) Public organizations

Japan

Basic research

Japan

Japan

year
2000

(B) Universities and colleges

0%

20%

40%

60%

Note: Universities and colleges in the United Kingdom are excluded as the data are estimations.
Reference: Chart 1-4-2, Japanese Science and Technology Indicators 2020 (in Japanese)

-3-

80%

100%

10
15
2018
0%

20%

40%

60%

80%

100%

(5) R&D expenditure by Japanese business enterprises in “basic research” is the largest in “drugs
and medicines” industry and is growing in “transportation equipment” industry.
Regarding the R&D expenditure by Japanese business enterprises in “basic research” by industry,“drugs & medicines” was the largest (256 billion yen) in FY2018, followed by “transportationequipment” (226.3 billion yen) and “information & communication electronics equipment” (142.4
billion yen). The largest growth from FY2007 to FY2018 was in “transportation equipment” (2.8
times).
[Summary Chart 5] Trends in “basic research” R&D expenditure of Japanese business enterprises by industry¥ trilions
1.2

Othernon-manufacturing
Scientificresearch,professional& technicalservices
Information& communications

1.0

Othermanufacturing
0.8

Transportationequipment

0.6

Information& communicationelectronics
equipment
Electricalmachinery,equipment& supplies
Electronicparts,devices,& electroniccircuit
Businessorientedmachinery

0.4

Ironandsteel
Petroleumandcoalproducts

0.2

Chemicalproducts
Drugs& medicines

0.0
2007

2008

2009

2010

2011

2012

2013

2014

2015

Reference: Chart 1-4-3, Japanese Science and Technology Indicators 2020 (in Japanese)

-4-

2016

2017

2018 FY2. R&D personnel: circumstances in Japan and the selected countries(1) The number of researchers in Japan was 678,000 in 2019, which is the third largest in the world
after China and the United States. “Business enterprises” sector has the largest number of
researchers in most countries.
The number of researchers in Japan is 678,000 (in FTE: Full-time equivalent) in 2019, which is thethird largest following China and the United States. The number of researchers in Korea has continued
to rise, becoming on a par with Germany in the latest year.
Like R&D expenditure, the “business enterprises” sector accounts for the largest part in terms ofnumber of researchers in most countries, except for the United Kingdom, where “universities andcolleges” has the largest number of researchers.
[Summary Chart 6] Trends in the number of researchers in the selected countries
Attention tointernational
comparison

10,000 people
220200Japan*
Japan(FTE)Japan(HC)U.S.
Germany
France
U.K.
China
Korea
EU-15
EU-28

180

Number of researchers

160
140
120
100
80
60
40
20
0
1981 84

87

90

93

96

99

02

05

08

11

14

17 2019 year

Note: 1)China's definition of a researcher up to 2008 was not fully compatible with the OECD's definition, and consequently its method of measurement was changed in2009. For that reason, there is a break between the years leading up to 2008 and 2009 onward.
2) Japan (HC) denotes the headcount of researchers in Japan.
Reference: Chart 2-1-3, Japanese Science and Technology Indicators 2020 (in Japanese)[Summary Chart 7] The number of researchers by sector in the selected countries

100％

Business enterprises
1.2
4.5
19.9

Universities and colleges
1.5
13.1

9.5

Public organizations
1.5
2.3
19.8

28.7

75

26.5

26.7

60.4

62.3

55.6

Non-profit institutions
1.3
6.7

Others

1.1

1.0

9.2

9.7

36.0

36.6

53.7

52.7

EU-15
(2018)

EU-28(2018)

10.0

18.9

50
74.4

71.3

25

82.0
61.3
40.6

0
Japan
(2019)

U.S.
(2017)

Germany(2018)

France(2018)

U.K.
(2018)

China(2018)

Korea(2018)

Note: 1) All the countries are based on FTE values.
2) The values of the U.S. are those estimated by the OECD. Since no value for recent years is available aside from those for the business enterprise sector, thevalues shown pertain to business enterprises and other sectors.
3) The figure of public organizations in Germany includes non-profit institutions.
Reference: Chart 2-1-7, Japanese Science and Technology Indicators 2020 (in Japanese)-5-

Attention totrend

(2) The rate of utilization of advanced research personnel (the proportion of researchers with doctorate
degrees among all researchers) is low in Japan, compared with the United States.
The proportion of researchers with doctorate degrees among all researchers is at least 5% in all theindustries shown in the figure in the United Stetes, while the proportion is less than 5% in many industries
in Japan. It suggests that Japan tends to be low in utilization of advanced research personnel comparedwith the United States.
[Summary Chart 8] Relationship between the intensity of research personnel andthe rate of utilization of advanced research personnel by industry(A) Japan (2019）(B) U.S. (2017）

30

30

25

20

4,000 researchers
Drugs & medicines

15

10

Scientific research,
professional & technicalservices

Chemical productsElectrical machinery,equipment & supplies

Finance and insurance

5

Information &communications
General-purpose
machinery

0
0

5

10

22,000 researchers

Chemicals (excluding
pharmaceuticals andmedicines)

Electronic parts,
devices, & electronic
circuitInformation &Production machinery Business oriented communicationelectronics equipment
Transportation
machineryequipment

15

20

25

Rate of utilization of advanced research personnel[Proportion of researchers with doctorates among all researchers (%)]

Rate of utilization of advanced research personnel[Proportion of researchers with doctorates among all researchers (%)]

Circle areas correspond to the numberof researchers with doctorates.

30

Intensity of research personnel [proportion of researchers among employees (%)]

25
Pharmaceuticals andmedicines

20

Professional, scientific,
and technical services

15

Computer andelectronic products

10
Machinery

Finance andinsurance

5

Electrical equipment,
appliances, andcomponents

Information

Transportationequipment

0
0

5

10

15

20

25

Intensity of research personnel [proportion of researchers among employees (%)]

Note: The intensity of research personnel is the proportion of researchers (HC) among employees. The rate of utilization of advanced research personnel is the proportion ofresearchers with doctorate degrees among all researchers (HC). For both Japan and the United States, this analysis covered business enterprises engaging in R&D.
Orange circles denote manufacturing sectors, yellow circles non-manufacturing sectors.
<Japan> For the industrial classification of Japan, an industrial classification system for scientific and technological research and surveys based on the Japan Standard
Industry Classification was used.
<U.S.> For the industrial classification of the United States, the North American Industry Classification System (NAICS) was used.
Reference: Chart 2-2-9, Japanese Science and Technology Indicators 2020 (in Japanese)

-6-

30

(3) Fresh hiring of PhD holders is increasing in manufacturing industries in Japan while stagnating in
non-manufacturing industries.
The number of PhD holders newly hired and their share in all newly hired researchers vary dependingon the industries. The number is increasing in manufacturing insudtries whereas stagnating in
non-manufacturing ones. The figures tend to be high in “drugs and medicines” and “chemical products.”
The number of newly hired PhD holders grew significantly between 2017 and 2019 in “petroleum andcoal products” and “electrical machinery, equipment & supplies.”[Summary Chart 9] PhD holders among newly hired researchers of business enterprises (by industry)

1,000

People10% 250

No. of PhD holders among newly hired researchers (All industries
No. of PhD holders among newly hired researchers (Manufacturing)
No. of PhD holders among newly hired researchers (Non-manufacturing)

People% of PhD holders among newly hired researchers
25%

Data of 2017 to 2019 presented from left to right

0

0%

0

0%

Reference: Chart 2-1-19, Japanese Science and Technology Indicators 2020 (in Japanese)-7-

Other non-manufacturing

5%

Scientific research, professional &technical services

50

Information services

2%

Other manufacturing

200

Transportation equipment

10%

Information & communicationelectronics equipment

100

Electrical machinery,equipment & supplies

4%

Electronic parts, devices,& electronic circuit

400

Business oriented machinery

15%

Iron and steel

150

Petroleum and coal products

6%

Chemical products

600

Drugs & medicines20%

Non - manufacturing

200

Manufacturing

8%

All industry

800

(4) The percentage of non-permanent female researchers tends to be higher than that of
non-permanent male researchers in universities and colleges in Japan, which mostly applies tonational and private universities and colleges regardless of fields of study.
The percentage of non-permanent female researchers in universities and colleges tends to be higher thanthat of non-permanent male researchers both in national and private. Similar trends can be observed inalmost all fields of study. The percentage of non-permanent researchers is especially high in medical
sciences. While the difference between male and female is relatively small in medical sciences, it issignificant in natural sciences, engineering, and agricultural sciences. This trend is particularly evident innational universities and colleges.
[Summary Chart 10] The situation of non-permanent researchers in universities and colleges in Japan (2019)(A) National(B) Private
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%

Reference: Chart 2-2-14 Japanese Science and Technology Indicators 2020 (in Japanese)-8-

OthersSocial sciences
and humanities

Medical sciences

Agriculturalsciences

Engineering

Non-permanent researchers（Male）
Non-permanent researchers（Female）

Natural sciences

OthersSocial sciences
and humanities

Medical sciences

Agriculturalsciences

Engineering

Natural sciences

Total

Non-permanent researchers（Male）
Non-permanent researchers（Female）

Total

100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%

3. Students and graduate students: situations in Japan and selected countries(1) The number of PhD students excluding mature age students is decreasing while the number ofmature age PhD students is growing.
The number of PhD students excluding mature age students is decreasing. Looking into the majors, thenumber of “engineering” students had been gently fluctuating up to FY2010 and has been slightly
decreasing since FY2011. The numbers of students in many other fields have been on downtrends.
The number of mature age PhD students is growing, especially in “medical sciences”.
[Summary Chart 11] Trends in the number of PhD students by major who are or are not mature age students

6.0(B) Mature age students

10,000 people
Others5.0

Humanities

4.0

Social sciences

3.0

Medicalsciences
Agriculturalsciences
Engineering

2.0
1.0

Naturalsciences

0.0
2000

03

06

09

12

15

18

PhD students who are working professionals

PhD students excluding those who are working professionals(A) Other than mature age students
6.0

10,000 people
Others5.0

Humanities

4.0

Social sciences

3.0

Medicalsciences
Agriculturalsciences
Engineering

2.0
1.0

Naturalsciences

0.0

2019FY

2000

03

06

09

12

15

18

2019FY

Notes: 1) Others include “merchant marine,” “domestic science,” “education,” “fine arts,” and “others.”2) “Mature age students” include 1) people who are employed (those who are currently working to earn salaries, wages, remunerations or other regular income), 2) those
who are retired from positions in which they earned salaries, wages, remunerations or other regular income, and 3) housewives/househusbands.
Reference: Chart 3-2-10, Japanese Science and Technology Indicators 2020 (in Japanese)-9-(2) Around 4.2 million students in the world receive higher education in countries or regions different
from those of their origin (as of 2016).
China sends the highest proportion of students abroad among all the selected countries, accounting for20.1% of all students studying abroad. The United States is the largest country receiving the highest
proportion of such Chinese students. In terms of the receiving countries/regions, the United States receives
the largest number of foreign students, 23.3% of all students studying abroad, followed by the United
Kingdom, receiving 10.3%.
The data of foreign students in the selected countries show that China and Korea send more students
abroad than what they receive from abroad. On the other hand, the United States and the United Kingdom
receive more than what they send. Japan relatively does not send or receive many students.
[Summary Chart 12] Countries/regions of origin and host countries/regions of foreign students
with higher education (ISCED2011 level 5–8) (2016)

Notes:1) Students with education level equivalent to ISCED 2011 level 5–8 (such as Japanese colleges including two-year colleges and technical colleges)2) Foreign students refer to students who do not hold nationality of their host countries/regions.
3) China includes Hong Kong.
4) As information is not available for the countries/regions of origin of foreign students studying in China, those students are all included in “NA.” Therefore, Japanese
students who study in China are also included in “NA.” According to the announcement by the Ministry of Education of the People's Republic of China as of April 12,
2019 (http://www.moe.gov.cn/jyb_xwfb/gzdt_gzdt/s5987/201904/t20190412_377692.html, accessed on June 12, 2019), the number of Japanese students studying in
China’s higher-education institutions (1,004 institutions), not including those in Hong Kong, Macao, or Taiwan, was 14,230 (2018).
Reference: Chart 3-5-2, Japanese Science and Technology Indicators 2020 (in Japanese)- 10 -

4. R&D outputs: circumstances in Japan and the selected countries(1) Compared with ten years ago, the number of papers from Japan slightly declined (counted by thefractional counting method). Due to the growth of other countries, the position of Japan in the world
rankings has moved down. The decline of Japan's ranking is noticeable in highly cited papers (thenumber of adjusted top 10% papers and adjusted top 1% papers). China overtook the United States
to become the world’s top in terms of number of papers.
In terms of number of scientific papers, which is one measure of R&D outputs, the number of Japanese
papers (the average of PY2016–2018) is ranked 4th after China, the United States, and Germany, whencounted by the fractional counting method that measures the degree of contribution to paper production.
China overtook the United States to take the top in the world. Japan is ranked 9th both in the number ofadjusted top 10% papers and the number of adjusted top 1% papers.
Compared with ten years ago, the number of Japanese papers has slightly declined. It is clear thatJapan's ranking has moved down because of the growth of other countries in terms of the number of
papers. The decline of Japan's ranking is particularly noticeable in highly cited papers such as adjusted top
10% papers and adjusted top 1% papers.
[Summary Chart 13] Top 10 countries/regions in terms of the number of papers, the number of adjusted top 10% papers,
and the number of adjusted top 1% papers (based on the fractional counting method)
All fields
Country/Region
U.S.
Japan
U.K.
Germany
FranceCanada
Italy
RussiaChina
Spain
All fields
Country/Region
U.S.
U.K.
Germany
Japan
FranceCanada
Italy
Netherlands
Australia
Switzerland
All fields
Country/Region
U.S.
U.K.
Germany
Japan
FranceCanadaNetherlands
Italy
Australia
Switzerland

1996 － 1998 (PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
202,53028.9
160,7048.7
249,9207.1
349,3057.0
436,6685.2
524,7993.5
623,5083.4
723,061
3.3
8
17,0342.4
915,5092.2
101996 － 1998 (PY) (Average)
The number of adjusted top 10% papers
Fractional counting
Papers
Share
World rank
30,791
44.0
1
5,880
8.4
2
4,619
6.6
3
4,237
6.1
4
3,432
4.9
5
2,939
4.2
6
1,955
2.8
7
1,755
2.5
8
1,539
2.2
9
1,247
1.8
10
1996 － 1998 (PY) (Average)
T he number of adjusted top 1% papers
Fractional counting
Papers
Share
World rank
3,669
52.5
1
585
8.4
2
392
5.6
3
338
4.8
4
298
4.3
5
274
3.9
6
175
2.5
7
154
2.2
8
146
2.1
9
134
1.9
10

All fields
Country/Region
U.S.
China
Japan
Germany
U.K.
FranceItaly
CanadaIndia
Spain
All fields
Country/Region
U.S.
U.K.
China
Germany
Japan
FranceCanadaItaly
Spain
Australia
All fields
Country/Region
U.S.
U.K.
Germany
China
FranceCanadaJapan
Netherlands
Italy
Australia

2006 － 2008(PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
238,91224.2
184,587
8.6
266,460
6.7
355,6745.6
453,7355.4
540,733
4.1
634,5173.5
732,7183.3
829,1102.9
926,447
2.7
102006 － 2008(PY) (Average)
The number of adjusted top 10% papers
Fractional counting
Papers
Share
World rank
35,516
36.0
1
7,086
7.2
2
6,598
6.7
3
6,079
6.2
4
4,461
4.5
5
4,220
4.3
6
3,802
3.9
7
3,100
3.1
8
2,503
2.5
9
2,493
2.5
10
2006 － 2008(PY) (Average)
The number of adjusted top 1% papers
Fractional counting
Papers
Share
World rank
4,251
43.1
1
765
7.8
2
600
6.1
3
470
4.8
4
385
3.9
5
383
3.9
6
351
3.6
7
259
2.6
8
255
2.6
9
249
2.5
10

All fields
Country/Region
China
U.S.
Germany
Japan
U.K.
India
Korea
Italy
FranceCanadaAll fields
Country/Region
U.S.
China
U.K.
Germany
Italy
Australia
FranceCanadaJapan
India
All fields
Country/Region
U.S.
China
U.K.
Germany
Australia
CanadaFranceItaly
Japan
Netherlands

2016 － 2018 (PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
305,92719.9
1281,48718.3
267,0414.4
364,8744.2
462,443
4.1
559,2073.9
648,6493.2
746,3223.0
845,3873.0
941,0712.7
102016 － 2018 (PY) (Average)
T he number of adjusted top 10% papers
Fractional counting
Papers
Share
World rank
37,87124.7
133,831
22.0
2
8,811
5.7
3
7,460
4.9
4
5,148
3.4
5
4,686
3.1
6
4,515
2.9
7
4,423
2.9
8
3,865
2.5
9
3,672
2.4
10
2016 － 2018 (PY) (Average)
The number of adjusted top 1% papers
Fractional counting
Papers
Share
World rank
4,501
29.3
1
3,358
21.9
2
976
6.4
3
731
4.8
4
507
3.3
5
434
2.8
6
427
2.8
7
390
2.5
8
305
2.0
9
288
1.9
10

Note: The number of Articles and Reviews was counted. Papers were sorted by publication year (PY). The number of citations was as of the end of 2019.
Reference: Chart 4-1-6, Japanese Science and Technology Indicators 2020 (in Japanese)- 11 -

(2) Japan has maintained the 1st position in the world in the number of patent families (patents filed in
two or more countries/regions) in the past ten years.
This section examines the status of patent applications by analyzing the number of patent families,
which is the number of inventions created in each country/region measured in an internationallycomparable manner.
Between 1993 and 1995, the United States was ranked the first and Japan the second. Between 2003
and 2005 and between 2013 and 2015, Japan was ranked the first and the United States the second. The
increase in the number of Japanese patent families is attributable to the increase of patent applications tomultiple countries instead of any single country. China’s number of patent families has been steadily
increasing although it was ranked fifth between 2013 and 2015.
[Summary Chart 14] The number of patent families by selected country/region: top 10 countries/regions

Country/Region

1993 - 1995(Average)

2003 - 2005(Average)

2013 - 2015(Average)

Number of patent families（Whole counting）

Number of patent families（Whole counting）

Number of patent families（Whole counting）

Patent Families

ShareWorld rank

Country/Region

Patent Families

ShareWorld rank

Country/Region

Patent Families

ShareWorld rank

U.S.

26,066

28.7

1

Japan

57,034

29.6

1

Japan

61,753

26.3

Japan

24,470

26.9

2

U.S.

48,219

25.0

2

U.S.

54,15023.0

12Germany

15,147

16.7

3

Germany

27,678

14.4

3

Germany

26,895

11.4

3

France

5,839

6.4

4

Korea

15,979

8.3

4

Korea

23,963

10.2

4

U.K.

4,894

5.4

5

France10,210

5.3

5

China

21,191

9.0

5

Italy

2,658

2.9

6

U.K.

8,569

4.4

6

France11,167

4.8

6
7

Korea

2,582

2.8

7

T aiwan

6,890

3.6

7

Taiwan10,760

4.6

Switzerland

2,254

2.5

8

China

5,921

3.1

8

U.K.

8,754

3.7

8

Netherlands

1,914

2.1

9

Netherlands

5,034

2.6

9

Canada

5,253

2.2

9

Canada

1,904

2.1

10

Canada

4,924

2.6

10

Italy

4,232

1.8

10

Note: A patent family is a group of patents filed in two or more countries/regions, directly or indirectly related to each other by priority rights. In many cases, the same patents
filed in multiple countries belong to the same patent family.
Reference: Chart 4-2-5, Japanese Science and Technology Indicators 2020 (in Japanese)- 12 -

(3) While international collaboration is being strengthened concerning patent families, Japan ranks thelowest among the selected countries in the percentage of patent families filed through joint
international applications.
Regarding the state of international cooperation in patent families in the world, the number of patentfamilies filed through joint international applications (by inventors from two, three or more different
countries/regions, hereinafter these countries are referred to as joint applicant countries), is growing, and it
is clear that international collaboration is strengthening concerning patent families.
Looking at the breakdown of patent families of selected countries by number of joint applicant
countries, Japan had only 3.8% of patent families jointly applied with other countries, the lowest among
the selected countries. Compared to other selected countries, Japan stands particularly low at 0.7% interms of patent families jointly applied by three or more countries.
[Summary Chart 15] Number of patent families
by number of joint applicant countries[Summary Chart 16] Breakdown of patent familiesof selected countries by number of joint
applicant countries (2006-2015)

10,000 cases
3 countries or more

Number of patent families by number of joint applicant countries

25

2 countries

1 country

0%

20%

40%

Japan

20

71.3%

Germany

U.K.

89

93

97

01

05

09

Note: Figures in ”3 countries or more” and “2 countries” correspond to patentfamilies through joint international patent appcilations.
Reference: Chart 4-2-7, Japanese Science and Technology Indicators 2020 (inJapanese)

23.4%
90.4%

1 country

13 2015 Year

27.1%

66.3%

Korea

85

7.7%

17.5%

58.0%

5

1981

21.0%
15.4%

73.3%

China

0

100%
3.1% 0.7%

78.4%

France

10

80%

96.2%

U.S.

15

60%

2 countries

6.1%
9.2%

14.9%
10.3%
7.2% 2.4%

3 countries or more

Note: Figures in ”3 countries or more” and “2 countries” correspond to patentfamilies through joint international patent appcilation.
Reference: Chart 4-2-8, Japanese Science and Technology Indicators 2020 (inJapanese)- 13 -

(4) Although the number of Japanese patent families that cite papers is the world's second largest,these patent families account for only a small proportion of the total patent families of Japan.
In order to examine the linkage between science and technology, information on papers cited by patentfamilies (the total in the 2008-2015 period) was analyzed. Japan ranks second in the world in terms of thenumber of patent families that cite papers. However, the number of Japanese patent families that cite
papers accounts for only 8.5% of its total patent families, suggesting that Japan's technologies do not cite
scientific output as much as other countries' technologies do.
While, the number of Japanese papers cited by patent families during the 2008-2015 period (the total in
the 1981-2015 period) is the world's second largest after the United States, meaning that many Japanese
papers are cited by technologies around the world.
[Summary Chart 17] The number of patent families that are
citing papers: top 10 countries/regions
Whole counting

No.

Country /Region[Summary Chart 18] The number of papers that are cited bypatent families: top 10 countries/regions

2008–2015 (Total)(A) Patent families citing(B) Total number of patentpapersfamilies

Whole counting

No. of patent Global share No. of patent Percentage of patentfamilies citing papers
familiesof (A)
families(A) / (B)No.

Country /Region

1981-2015 (T otal)(A) Papers cited by patent(B) Total number of papers
families
No. ofpapersGlobal shareof (A)

Percentage of papers
cited by patentfamilies (A) / (B)No. ofpapers

1 U.S.

101,435

28.4

393,094

25.8

1 U.S.

380,07835.2

8,129,640

4.7

2 Japan

41,272

11.6

487,497

8.5

2 Japan

77,471

7.2

2,054,783

3.8

3 Germany
4 France
5 China
6 U.K.
7 Korea
8 Canada
9 Netherlands
10 India

36,366
21,711
18,764
18,141
13,844
10,819
9,569
8,832

10.2
6.1
5.3
5.1
3.9
3.0
2.7
2.5

217,22986,933
132,457
67,353
163,638
43,21932,70728,201

16.7
25.0
14.2
26.9
8.5
25.0
29.3
31.3

3 Germany
4 U.K.
5 France
6 China
7 Canada
8 Italy
9 Netherlands
10 Korea

75,03974,55349,24745,21740,15432,62026,38323,003

7.0
6.9
4.6
4.2
3.7
3.0
2.4
2.1

2,122,707
2,115,855
1,545,747
2,105,866
1,183,810
1,085,464
635,482
598,185

3.5
3.5
3.2
2.1
3.4
3.0
4.2
3.8

Reference: Chart 4-3-2, Japanese Science and Technology Indicators 2020 (inJapanese)

Reference: Chart 4-3-3, Japanese Science and Technology Indicators 2020 (inJapanese)(5) Japanese scientific knowledge may not sufficiently be utilized from Japanese technologies
Regarding Japanese papers cited by Japanese patent families, the most cited fields are “physics (56.0%)”and “material science (48.2%)”. While, the fields of “environment/geoscience (12.9%),” “basic life
sciences (15.4%)” and “clinical medicine (15.5%)” are relatively less cited by Japanese patent families.
[Summary Chart 19] Connection between Japanese papers and the selected countries’ patent families
Japan

U.S.

Chemistry

Germany

27.3

U.K.

36.9

Material science

Scientific field

France10.9

48.2

Physics

41.2
36.1

Environment/Geoscience

12.9

56.9

Clinical medicine

15.5

50.3

Basic life sciences

15.4

47.8

0%

10%

20%

30%

Reference: Chart 4-3-7, Japanese Science and Technology Indicators 2020 (in Japanese)- 14 -

40%

8.9
10.9
50%

60%

7.5 3.3

4.8 2.73.0 6.4 3.4

9.7

38.8

7.5

6.4 4.2 3.8 5.5 4.9
23.7

23.4

Engineering

Korea

6.7

27.0

56.0

Computer science/Mathematics

China

6.4

6.6

6.6

5.3 3.8 5.5 3.9

8.6

5.5 5.1

4.2

6.7 4.1

7.0

7.8

6.3 2.1

11.8

7.9

8.6

6.3 2.2

70%

80%

90%

100%

5. Science, technology, and innovation: circumstances in Japan and the selected
countries(1) Japan's trade balance ratio for high‐technology industries is the 2nd lowest among the selected
countries. However, in medium high‐technology industries, Japan maintains the highest among theselected countries.
The latest trade balance ratio in Japan’s high-technology industry is 0.76 (trade deficit). That of Japan’s
medium high-technology industry is 2.59 (trade surplus), the highest among the selected countries. The
trade balance ratio shows a gradual decline following a rapid drop in the mid-1990s.
[Summary Chart 20] Trends in the trade balance ratios for high-technology industries in the selected countries

The trade balance of high technology industry

4

Japan
U.S.

3

Germany
France
2

U.K.
China
Korea

1

0
1990

93

96

99

02

05

08

11

14

17 2018 Year

Note: 1) High-technology industries refer to "pharmaceutical," "computer, electronic and optical," and "aerospace."
2) Trade balance ratio = export value / import value
Reference: Chart 5-2-4, Japanese Science and Technology Indicators 2020 (in Japanese)[Summary Chart 21] Trends in the trade balance ratios for medium high‐technology industries in the selected countries

The trade balance of
medium-high technology industry

6

Japan

5

U.S.
Germany

4

France
U.K.

3

China
2

Korea

1
0
1990

93

96

99

02

05

08

11

14

17

2019 Year

Note: 1) Medium high-technology industries refer to "chemicals and chemical products," "electrical equipment," "machinery and equipment n.e.c.," "motor vehicles, trailers andsemi-trailers," "railroad equipment and transport equipment n.e.c.," and "other."
2) Trade balance ratio = export value / import value
Reference: Chart 5-2-6, Japanese Science and Technology Indicators 2020 (in Japanese)- 15 -

(2) Japan has strength in technology yet with a possibility of lagging other selected countries in termsof international launching of new products or services based on their technologies
When comparing the numbers of cross-border applications for trademarks and patent families per
million populations, Japan is the only country with fewer trademark applications than patent family
applications in the latest year.
Countries with more trademark applications than patent family applications in the latest year are theUnited Kingdom, the United States, France, Korea, and Germany. In Korea, the United Kingdom, andGermany, the number of trademark applications surged in the period between 2002 and 2017.
[Summary Chart 22] Cross-border trademark applications and patent applications (per 1 million population)

Japan

U.S.

Germany

France

U.K.

Korea

Cross-border trademarks * per 1 million population

160[Meaning of the number of trademark
applications as an indicator]
The number of trademark applications is related
to concretizations of innovations in the forms of
new product or service introductions, ormarketing activities thereof. In this sense, thenumber of trademark applications is considered
as data that reflect the relationship between
innovations and markets.

140
''17

120

100

80

'17

60

'17

'02
'17

'17 '02
40
'17

'02
'02

20

'02
'02

0
0

20

40

60

80

100

120

140

160

Triadic patent families** per 1 million population
Note: 1)* For the definition of cross-border trademarks, “Measuring Innovation: A New Perspective” released by the OECD is followed. The specific definition is as follows.
・The number of trademarks in Japan, Germany, France, the U.K. and Korea is the number filed with the U.S. Patent and Trademark Office (USPTO).
・The number of trademarks for the U.S. is the average of (i) and (ii).
(i) The corrected number of the U.S. applications, based on the ratio of Japanese and the U.S. applications to the Office for Harmonization in the Internal Market (OHIM)= (number of the U.S. applications to the OHIM / number of Japanese applications to the OHIM) × number of Japanese applications to the USTPO(ii) The corrected number of the U.S. applications, based on the ratio of European and the U.S. applications to the Japan Patent Office (JPO) = (number of the U.S.
applications to the JPO / number of EU-15 applications to the JPO) × number of EU-15 applications to the USTPO
2)**Cross-border patent applications mean the number of triadic patent families (patents with the same content submitted to Japan, the U.S. and Europe).
Reference: Chart 5-3, Japanese Science and Technology Indicators 2020 (in Japanese)- 16 -

(3) The number of joint research projects implemented by Japanese universities and private
businesses, and the amount of research funds that Japanese universities received, are rapidly
increasing.
In Japan, among various types of university-industry collaborations, the amount of funds received for“joint research” was the largest, reaching 70.1 billion yen, with 28,000 joint research projects
implemented in 2018. A large amount of such funds was provided by large enterprises, amounting to 54.7
billion yen in the latest year. The total amount of funds received for “joint research” has increased by 10%
or more each year since FY2015.
[Summary Chart 23] Trends in the funds received (breakdown) and number of projects implemented for joint research, etc., by
Japanese universities and private businesses, etc.
¥ billions

80,0007070,00060

60,00050

50,00040

40,00030

30,00020

20,00010

10,000

0

06

09

12

15

Joint research

18 06

09

12

15

Contract research

18 06

09

12

15

Clinical research, etc.

018 FY
Endowed lecture/endowed
research division

18 06

09

12

15

Endowed lecture/endowed
research division：
Public/Private Universities
Endowed lecture/endowed
research division：National
Universities

Number of projects

Amount of research funds received

80

Foreign enterprises

Domestic：microenterprises

Domestic：small andmedium enterprises

Domestic：large
enterprises

Number of projects

Note: Joint research: Joint research and development by universities and private business, etc., in which the other party (i.e. other than universities) bears the expenses. Until
FY2008, the amount of funding and the number of projects were classified according to the size of the enterprises - small and medium, micro and large enterprises.
Contract research: R&D conducted primarily by universities, etc., under a commission from private enterprises, etc., the costs of which are paid for by the private
enterprises, etc.
Clinical research, etc.: Clinical research on pharmaceuticals and medical equipment, etc., conducted primarily and independently by universities, etc., based on a contract
with outside parties, the costs of which are paid for by the consignee. Clinical research includes histopathological examination outside the range of clinical research aswell as similar tests and surveys.
Endowed lecture/endowed research division: Values only for national universities up until FY2016. The measurement of values for public/private universities started in
FY2017.
Recalculation by NISTEP using the individual data of the “Status of Industry-Academic Collaboration at Universities, etc.” published by the Ministry of Education, Culture,
Sports, Science and Technology
Reference: Chart 5-4-7, Japanese Science and Technology Indicators 2020 (in Japanese)- 17 -

Characteristics of the Japanese Science and Technology Indicators“The Japanese Science and Technology Indicators” is published annually to present the most recent
statistics/indicators at the time of publication. The statistics/indicators are selected considering thefollowing two conditions: 1) the indicators should allow either of the time-series comparison or thecomparison among the selected countries and 2) the indicators should be possible to update annually inprinciple.

NISTEP conducted analysis of paper and patent databases
Paper data were aggregated and analyzed by NISTEP using Web of Science provided by Clarivate
Analytics. Patents family data were aggregated and analyzed by NISTEP using PATSTAT (the patent
database of the European Patent Office).

Use of “reminder marks” for international comparisons and time-series comparisons
The reminder marks “attention to international comparison”

and “attention to trend”

have been attached to graphs where they are required. Generally, the data for each country arecollected in line with the OECD’s manuals. However, differences in methods or scope of collecting data
exist, and therefore attention is necessary when making comparisons in some cases.

Such cases aremarked “attention to international comparison.” Likewise, for some time series data, data could not be
continuously collected under the same conditions due to changes in statistical standards. Cases where
special attention is required when reading chronological trends are marked “attention to trend.” Specifics
for such points requiring attention are provided in the notes of individual charts.

- 18 -RESEARCH MATERIAL No. 295
Digest of Japanese Science and Technology Indicators 2020

November 2020

Research Unit for Science and Technology Analysis and Indicators
National Institute of Science and Technology Policy (NISTEP)
Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan
https://doi.org/10.15108/rm295e

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