Research Material-311238

Digest of Japanese Science and Technology

2015
Indicators 2021
Nov. 2021
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 2021” which was published by NISTEP in August 2021. The English version is edited by KANDA
Yumiko and IGAMI Masatsura.

【Contributors】
KANDA YumikoSenior Research Fellow, Center for S&T Foresight and Indicators,
National Institute of Science and Technology Policy (NISTEP), MEXTNISHIKAWA Kai

Research Fellow, Center for S&T Foresight and Indicators,
National Institute of Science and Technology Policy (NISTEP), MEXT

MATSUMOTO Kuniko

Research Fellow, Center for S&T Foresight and Indicators,
National Institute of Science and Technology Policy (NISTEP), MEXTOKAMURA Asako

Senior Research Fellow, Center for S&T Foresight and Indicators,
National Institute of Science and Technology Policy (NISTEP), MEXTIGAMI Masatsura

Director, Center for S&T Foresight and Indicators,
National Institute of Science and Technology Policy (NISTEP), MEXT

Please specify reference as the following example when citing this NISTEP RESEARCH MATERIAL.
“Japanese Science and Technology Indicators 2021”, NISTEP RESEARCH MATERIAL No. 311,
National Institute of Science and Technology Policy, Tokyo.
DOI：https://doi.org/10.15108/rm311e

Japanese Science and Technology Indicators 2021 (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 160 indicators.

The report is published annuallyto show the latest results of the analyses of scientific publications and patent applications conducted by
the NISTEP.
This edition of “Science and Technology Indicators 2021” includes new indicators such as "the shareof each industry in total value added in selected countries" and "the status of trademark applications toand from selected countries". As columns related to "Science, technology and society", "Science
communication by research institutes" and "People's awareness on information and confidence to online
news" were introduced.
Overviewing the latest Japan’s situation from “Science and Technology Indicators 2021,” it was foundthat 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 scientific publications in Japan(fractional counting method) is the fourth in the world. Japan continues to be the world first place in thepatent family (patent applications to more than two countries).

These trends have continued from theprevious two editions, but in terms of the number of scientific publications with high citations (fractionalcounting method), Japan has moved from ninth to tenth in the world. China surpassed the United States
for the first time and ranked first among selected countries in scientific publications with high citations(fractional counting method).

Blank page

1. Japan's trends in key indicators
Japan’s trends in key indicators are as shown below. Most of Japan’s rankings have unchanged fromthe previous edition of this report except for the number of adjusted top 10% papers, which dropped to
the 10th place. Although Japan keeps the third rank behind the U.S. and China in many indicators, Japanshows smaller growth than other selected countries in many cases as described later.
[Summary Chart 1] Japan's trends in key indicators

Indicators

Changes inJapan'sranking

Japan’s
figures

R&D expenditure

No. 3→No. 3

18.0T yenNo. 1: U.S., No. 2: China

Business enterprises

No. 3→No. 3

14.2T yenNo. 1: U.S., No. 2: China

Universities and colleges

No. 4→No. 4

2.1T yenNo. 1: U.S., No. 2: China, No. 3: Germany

Public organizations

No. 4→No. 4

1.4T yenNo. 1: China, No. 2: U.S., No. 3: Germany

Number of Researchers

No. 3→No. 3

682K

No. 1: China, No. 2: U.S.

Business enterprises

No. 3→No. 3

507K

No. 1: China, No. 2: U.S.

Universities and colleges

No. 3→No. 3

136K

No. 1: China, No. 2: U.K.

Public organizations

No. 3→No. 3

31K

No. 1: China, No. 2: Germany

No. 4→No. 4

66K

No. 1: China, No. 2: U.S., No. 3: Germany

No. 9→No. 10

4K

No. 1: China, No. 2: U.S., No. 3: U.K., No. 4: Germany,
No. 5: Italy, No. 6: Australia, No. 7: Canada, No. 8:
France, No. 9: India

No. 1→No. 1

62K

No. 6→No. 6

0.7

No. 1→No. 1

2.5

No. 6→No. 6

132K

Number of scientific papers(fractional counting)Number of adjusted top
10% scientific papers(fractional counting)Number of patent families
The trade balance ratios for
high
R&D
intensiveindustries
The trade balance ratios for
medium high R&D intensive
industries
Number of trademark
applications to countries
other than country ofresidence(Number of classes)

Note

No. 1: Korea, No. 2: Germany, No. 3: China, No. 4:
France, No. 5: U.K.

No. 1: U.S., No. 2: China, No. 3: Germany, No. 4: U.K., No.
5: France

Note:1) The “Changes in Japan's rankings” compares the latest year and the previous year. The “Japan’s figures” is for the latest year.
2) Except for the number of papers and the number of adjusted top 10% papers, the rankings are within the following selected countries: Japan, the U.S., Germany,
France, the U.K., China, and Korea.
3) As for the number of researchers, the U.S. is excluded from the rankings in “Universities and colleges” and “Public organizations” as data have not been published foruniversities and colleges since 2000 and for public organizations since 2003, so the U.S. is excluded from the said rankings. The overall number of researchers in the
U.S. is an estimate figure.
Reference: Chart 1-1-1, Japanese Science and Technology Indicators 2021 (in Japanese)-1-2. R&D expenditure: circumstances in Japan and the selected countries(1) The growth of R&D expenditure in Japan's "universities and colleges" and "public organizations"sectors is smaller compared to the other selected countries.
The U.S has maintained the top position among the selected countries in R&D expenditure in the"universities and colleges" sector. China surpassed Japan (as estimated by OECD) in 2012. The R&D
expenditure of China's "public organizations" sector surpassed that of the U.S. in 2013 and is the highest
among the selected countries in 2019. Germany's R&D expenditure has been on the rise since the mid2000s and has surpassed Japan's since 2010.
[Summary Chart 2] Nominal values of R&D expenditures by "universities and colleges" and "public organizations"(based on OECD purchase power parities data)(A) Universities and colleges
12Japan (data from theStatistics Bureau of Japanfor reference)¥ trillions

R&D expenditure (nominal values)

Japan

10
U.S.
8
Germany
6

France

4

U.K.

2

China

0
1981

85

89

93

97

01

05

09

13

17

2019Year

Reference: Chart 1-3-11, Japanese Science and Technology Indicators 2021 (in Japanese)(B) Public organizations

R&D expenditure (nominal values)

9¥ trillions

Japan

8

U.S.

7

Germany

6

France

5

U.K.

4
3

China

2

Korea

1

EU-27

0
1981

85

89

93

97

01

05

Reference: Chart 1-3-1, Japanese Science and Technology Indicators 2021 (in Japanese)

-2-

09

13

17 2019Year

(2) In Japan, Germany, China and Korea, the R&D expenditure in the manufacturing industry tends tobe larger to the expenditure in the non-manufacturing industry. In the U.S., the manufacturingindustry is the larger, but the non-manufacturing industry also has a sizeable share.
With regard to the R&D expenditure of the business enterprises sector by industry in the most recent
year, the following industries have undertaken large-scale expenditure in the respective countries: the“information and communication industry” in the United States, the “motor vehicles, trailers and semitrailers and other transport equipment industry” in Japan and Germany, the “professional, scientific andtechnical activities industry” in France and the United Kingdom, and the “computer, electronic andoptical products industry” in China and Korea.
[Summary Chart 3] Business enterprise R&D expenditure by industry in the selected countries¥ trillions

1440¥ trillions
Manufacturingnec,other

12
Motorvehicles,trailersandsemitrailersand other transport
equipment
Electricalequipment

30
10

8
5.5

20

Manufacturing

5.9

4.2

Computer,electronicandopticalproducts

4.0

6

1.1

4 3.8

2.7

2.7

6.6
7.7

0 1.2

1.0

2
1.3

1.3

1.7

0.8

1.0

4.8

5.8

0

4.3

1.2
0.9

0.7

0.5
0.5
0.3
0.5 0.3
0.9

0.6
0.9

11.4
3.0

Non-manufacturingnec,other

2.5
0.6

2.1

Pharmaceuticals,medicinal
chemicaland botanicalproducts
Chemicalsandchemical
products

4.1

8.7

10 7.1

5.6

Non-manufacturing

2.9

Servicesnec,other
0.7

0.7

1.9
0.7

0.3

0.6
0.5

0.3

0.8

0.9

0.6
1.2

0.4

0.6

1.0

0.2

0.4

1.2

Professional,scientificand
technicalactivities
Financialand insuranceactivities

2

10

Informationandcommunication

0.8
3.0

4
Non-manufacturing
6

20
08

11

14

17 19 08

U.S.
（Non-manufacturing：38%）

11

14

17 19 Year

China
(Non-manufacturing：12%)

08

11

14

17 19 08

Japan
(Non-manufacturing：13%)

11

14

17 19 08

Germany(Non-manufacturing：15%)

11

14

17 19 08

France(Non-manufacturing：51%)

14

17 19 08

U.K.
(Non-manufacturing：61%)

Note:
Figures in parentheses indicate the percentage of the non-manufacturing industry for the latest year in each country.
Reference: Chart 1-3-6, Japanese Science and Technology Indicators 2021(in Japanese)

-3-

11

11

14

17 19 Year

Korea
(Non-manufacturing：13%)

3. R&D personnel: circumstances in Japan and the selected countries(1) The growth of the number of researchers in Japan's "universities and colleges" and "publicorganizations" sectors is smaller than that in other selected countries.
The numbers of Chinese researchers in the "universities and colleges" and "public organizations" sectors
are large and growing rapidly. In the "universities and colleges" sector, the U.K. and Japan (in FTE: Fulltime equivalent) follow China; while the number of researchers in the U.K. is increasing, this number has
fallen in Japan by 1.5% compared to five years ago. In the "public organizations" sector, Germany and Japanfollow China; while the number of researchers in Germany is trending upward, in Japan this number has
increased with only 2.5% compared to five years ago.
[Summary Chart 4] Trends in the number of researchers in "universities and colleges" and "public organizations"(A) Universities and colleges
10,000 people
70
Japan(HC)60

Number of researchers

Japan(FTE)
50

Japan*U.S.

40

Germany
France

30

U.K.
China

20

Korea
10

EU-27

0
1981 84

87

90

93

96

99

02

05

08

11

14

17 2020 year

Reference: Chart 2-2-10, Japanese Science and Technology Indicators 2021 (in Japanese)(B) Public organizations

Number of researchers

10,000 people
4540Japan(HC)35

Japan(FTE)Japan*

30

U.S.

25

Germany

20

France
U.K.

15

China
Korea

10

EU-27

5
0
1981 84

87

90

93

96

99

02

05

Reference: Chart 2-2-1, Japanese Science and Technology Indicators 2021 (in Japanese)

-4-

08

11

14

17 2020 year

(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 most 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 compared with
the United States.
[Summary Chart 5] Relationship between the intensity of research personnel andthe rate of utilization of advanced research personnel by industry(A) Japan (2020）(B) U.S. (2018）30

Chemicals (excluding
pharmaceuticals andmedicines)

30

25

20
Drugs & medicines

15

10Chemical productsElectronic parts,
devices, & electronic
Electrical machinery,circuitFinance and insurance

500

Scientific research,
professional & technicalservicesequipment & supplies
General-purpose
Information &communication
machinery
Production machinery
electronics equipment
Business oriented
Information &machinerycommunications Transportationequipment

5

10

15

20

25

30

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

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.

24,000 researchers

25

Pharmaceuticals andmedicines

20

15
Electrical equipment,
appliances, and Professional, scientific,
components and technical services

Computer andelectronic products

10
Information
Machinery

5
Finance and insurance

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 2-2-10, Japanese Science and Technology Indicators 2021 (in Japanese)

-5-

30

(3) Although the percentage of female researchers in Japan is lower than that in other selected countries,
the percentage of women among newly hired researchers has been increasing.
The percentage of women among all researchers is the lowest in business enterprises in all the selected
countries. The percentage of female researchers in Japan is the lowest in each sector compared to the othercountries. In Japan, the percentage of newly hired female researchers tends to be higher than the percentageof women among all researchers regardless of the sector.
[Summary Chart 6] Shares of female researchers of the selected countries by sector

40

Business enterprises
Public organizations
Universities and colleges
Non-profit institutions
Public organizations and Non-profit institutions
46.448.0
43.9
39.9
39.1
39.6
37.0
36.4

30

27.8

％
60
50

19.5

20

10.2

10

21.6

21.3
16.1

33.1
28.2
27.2
16.9

14.7

0
(2020)(2017)(2017)(2018)(2019)

Japan

Germany

France

U.K.

Korea

Reference: Chart 2-1-11, Japanese Science and Technology Indicators 2021 (in Japanese)[Summary Chart 7] Newly hired researchers by gender in Japan
Male researcher
Female researcher
Ratio of the number of female researchers against the total

4.0

40

35.3

3.5
3.0

35
28.2

29.4

30

2.5
2.0

25
22.8
20

19.3

Businessenterprises

Publicorganizations

Universities andcolleges

Reference: Chart 2-1-18(A), Japanese Science and Technology Indicators 2021 (in Japanese)-6-

Non-profit
institutions

Total

2020

2018

2016

2014

2020

2018

2016

2014

2020

2018

2016

2014

0
2020

0.0
2018

5
2016

0.5
2014

10

2020

1.0

2018

15

2016

1.5

2014

Number of newly hired researchers％

Ratio of the number of female researchers against the
total

10,000 people

4. Students and graduate students: situations in Japan and selected countries(1) The number of new doctoral degree recipients in Japan is on the decline.
Comparing the latest year's data for each country, the U.S. had the largest number of new doctoral degree
recipients (92,000), followed by China (61,000) and Germany (28,000). Japan had 15,000 new doctoral
degree recipients. Compared to FY2000 (FY2005 for China), the number has more than doubled in Korea,
China, the U.S., and the U.K. Germany and France have remained almost flat, while Japan's number peaked
in FY2006 and has been on a slight downward trend since.
[Summary Chart 8] Changes in the number of new doctoral degree recipients in the selected countries
10,000 people

Doctoral degree holders

10
9

Japan

8

U.S.

7

Germany

6

France

5

U.K.

4

China

3

Korea

2
1
0
2000

02

04

06

08

10

12

14

16

18

2020 FY

Note:
The number of new doctoral degree recipients in the United States is the value calculated by subtracting all the figures for “Professional fields” (formerly referred to as “Firstprofessional degrees”) from the figures for “Doctor’s degrees” stated in the “Digest of Education Statistics.”
Reference: Chart 3-4-4(A), Japanese Science and Technology Indicators 2021 (in Japanese)-7-(2) The number of male students newly enrolled in doctoral courses in Japan has been declining. The
number of their female counterpart had increased over long term but has decreased slightly in thepast 10 years.
Looking at the number of students newly enrolled in undergraduate, master's, and doctoral programs inJapan at the four different points in time, the number of new female enrollees in undergraduate departments
increased throughout, while the number of those in master's and doctoral programs increased until the thirdtime point (FY 2010) and then it was slightly lower at the fourth (FY 2020). The number of new maleenrollees in undergraduate departments and doctoral programs increased until the second time point(FY2000), and then decreased. The decrease in the number of new enrollees in doctoral programs isparticularly pronounced.
[Summary Chart 9] Numbers of students enrolling in undergraduate departments,
master's programs, and doctoral programs(A)Female enrollees
Humanities, Social sciences, Others
Natural Sciences

10,000people40

635

Humanities, Social sciences, Others
Natural Sciences

10,000people

1.4

5

1.2

4

1.0

30
25

0.8

3

20

Humanities, Social sciences, Others
Natural Sciences

10,000people

0.6

15

2

10

0.4

1

5

0.2

0

0
FY1990FY2000FY2010

FY1990

FY2020FY2000FY2010

FY20200.0
FY1990

Postgraduate master's cours

University undergradute course

FY2000FY2010

FY2020

Postgraduate doctoral course(B)Male enrollees
40

10,000peopleHumanities, Social sciences, Others
Natural Sciences

7

10,000peopleHumanities, Social sciences, Others
Natural Sciences

10,000people

1.4

35

6

1.2

30

5

1.0

4

0.8

3

0.6

2

0.4

1

0.2

25
20
15
10
5
0

0.0

0
FY1990FY2000FY2010

FY2020

University undergradute course

Humanities, Social sciences, Others
Natural Sciences

FY1990FY2000FY2010

Postgraduate master's cours

Reference: Chart 3-2-7, Japanese Science and Technology Indicators 2021 (in Japanese)-8-

FY2020

FY1990FY2000FY2010

Postgraduate doctoral course

FY20205. R&D outputs: circumstances in Japan and the selected countries(1) Compared with ten years ago, the number of Japanese papers has been stable, which results in thedrop in the ranking due to the increase in the number in other countries. The decline of Japan's
ranking is noticeable in highly cited papers (the number of adjusted top 10% papers and adjusted top
1% papers). China ranked first in the world both in the number of papers and of adjusted top 10%
papers.
In terms of the number of scientific papers, which is one measure of R&D outputs, the number of Japanese
papers (the average of PY2017–2019) 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.
Japan ranked 10th in the number of adjusted top 10% papers, down one place from the previous time frame
China surpassed the U.S. and ranked first in the world in the number of adjusted top 10% papers as well.
[Summary Chart 10] Top 10 countries/regions in terms of the number of papers, the number of adjusted top 10% papers(based on the fractional counting method)
All fields
Country/Region
U.S.
Japan
Germany
U.K.
FranceCanada
Italy
RussiaChina
Spain

1997 － 1999 (PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
202,44628.3
162,6848.8
250,9317.1
350,3257.0
437,4365.2
524,3503.4
624,062
3.4
7
22,731
3.2
8
19,5752.7
916,544
2.3
101997 － 1999 (PY) (Average)
T he number of adjusted top 10% papers
Fractional counting
Country/Region
Papers
Share
World rank
U.S.
30,610
42.8
1
U.K.
5,973
8.4
2
Germany
4,847
6.8
3
Japan
4,336
6.1
4
France3,532
4.9
5Canada
2,849
4.0
6
2,046
2.9
7
Italy
Netherlands
1,797
2.5
8
Australia
1,628
2.3
9
Spain
1,309
1.8
10
All fields

All fields
Country/Region
U.S.
China
Japan
Germany
U.K.
FranceItaly
CanadaIndia
Korea

2007 － 2009(PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
242,11523.4
195,9399.3
265,612
6.3
356,7585.5
453,8545.2
541,801
4.0
635,911
3.5
733,8463.3
832,4673.1
928,4302.7
102007 － 2009(PY) (Average)
The number of adjusted top 10% papers
Fractional counting
Country/Region
Papers
Share
World rank
U.S.
36,196
34.9
1
China
7,832
7.6
2
U.K.
7,250
7.0
3
Germany
6,265
6.0
4
Japan
4,437
4.3
5
France4,432
4.3
6Canada
3,951
3.8
7
Italy
3,279
3.2
8
Australia
2,711
2.6
9
Spain
2,705
2.6
10
All fields

All fields
Country/Region
China
U.S.
Germany
Japan
U.K.
India
Korea
Italy
FranceCanada2017 － 2019 (PY) (Average)
The number of papers
Fractional counting
Papers
Share
World rank
353,17421.8
1285,71717.6
268,0914.2
365,742
4.1
463,5753.9
563,4353.9
650,2863.1
747,7722.9
844,8152.8
942,1882.6
102017 － 2019 (PY) (Average)
The number of adjusted top 10% papers
Fractional counting
Country/Region
Papers
Share
World rank
China
40,21924.8
1
U.S.
37,124
22.9
2
U.K.
8,687
5.4
3
Germany
7,248
4.5
4
Italy
5,404
3.3
5
Australia
4,879
3.0
6
Canada4,468
2.8
7France
4,246
2.6
8
India
4,082
2.5
9
Japan
3,787
2.3
10
All fields

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 2020.
Reference: Chart 4-1-6, Japanese Science and Technology Indicators 2021 (in Japanese)-9-Comparing the shares of the number of adjusted top 10% papers by field, the shares of "physics,""clinical medicine," and "chemistry" are higher in Japan than those of other fields. In the U.S., the sharesof "clinical medicine," "basic life sciences," and "physics" are high. In China, the shares of "materialscience," "chemistry," "engineering," and "computer science/mathematics" are high.
[Summary Chart 11] A comparison of the share of the papers and adjusted top 10% papers in main countries by field(%, 2017–2019, fractional counting)(A)Japan(B)U.S.

Chemistry
10.0

Chemistry
50.0

Basic life
sciences

Basic life
sciences

Materialscience

Materialscience25.0

5.0

Clinicalmedicine

Clinicalmedicine

Physics

0.0

Computerscience/
Mathematics

Environment/
Geoscience

0.0

Physics

Computerscience/
Mathematics

Environment/
Geoscience

Engineering

Engineering

Share of the number of papers
Share of the number of adjusted top 10% papers

Share of the number of papers
Share of the number of adjusted top 10% papers(C)China
Chemistry
50.0
Basic life
sciences

Materialscience25.0

Clinicalmedicine

0.0

Physics

Computerscience/
Mathematics

Environment/
Geoscience
Engineering

Share of the number of papers
Share of the number of adjusted top 10% papers
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 2020.
Reference: Chart 4-1-10, Japanese Science and Technology Indicators 2021 (in Japanese)10(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. Japan's shares in "information andcommunications technology" and "electrical engineering" are declining as China's shares
increase.
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 1994 and 1996, 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 2014 and 2016.
In terms of technological fields, Japan has high shares in "electrical engineering" and "generalmachinery"; the U.S. has high shares in "biomedical devices" and "biotechnology/pharmaceuticals"; andChina has high shares in "information and communications technology" and "electrical engineering."
Compared to 10 years ago, China's shares have expanded while Japan's shares in "information andcommunications technology" and "electrical engineering" have shrunk.
[Summary Chart 12] 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）

Share

Patent Families

World rank

Country/Region

Share

Patent Families

World 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:
Figures in ”3 countries or more” and “2 countries” correspond to patent families through joint international patent appcilation.
Reference: Chart 4-2-8, Japanese Science and Technology Indicators 2021 (in Japanese)[Summary Chart 13] Comparison of the shares of patent families by technological fields in the selected countries(％, 2004-2006 and 2014-2016, whole counting)(A)Japan(B)U.S.

(C)China

Electricalengineering

Electricalengineering

Electricalengineering

50

50

Others40

Others

ICT

20

GeneralmachineryTransport
equipment

Bio/medical
devices

Mechanicalengineering

100Mechanicalengineering
Biotechnology/
pharmaceuticals(2004-2006)

20

ICT

Others30

30

Transport
equipment

40

Chemistry(2014-2016)20

GeneralmachineryTransport
equipment

Bio/medical
devices

Mechanicalengineering

100Biotechnology/
pharmaceuticals

Chemistry(2004-2006)(2014-2016)

Generalmachinery0

Bio/medical
devices

Biotechnology/
pharmaceuticals

Note:
Same as Summary Chart12. The item "ICT" in Summary Chart 13 stands for "information and communications technology."
Reference: Chart 4-2-10, Japanese Science and Technology Indicators 2021 (in Japanese)

11

ICT
10

(2004-2006)

Chemistry(2014-2016)

(3) It is the U.S. papers that are most cited by the patent families of any of the selected countries.
To see the linkage between science and technology (science linkage), an analysis was conducted using
the information on papers cited by patent families (filed in 2009-2016). Japanese papers account for 29.8%
of all the papers cited by patent families originating from Japan. However, the largest percentage of papers
cited by Japanese patent families are from the U.S. (40.6%). It is the U.S. papers that are most cited by thepatent families of any of the selected countries. In the U.S., the U.K.'s papers are the second-most cited(10.2%), after the U.S. papers.
China's patent families tend to cite papers from their own country at a lower rate (7.8%) than patentfamilies of other selected countries do. In addition, the share of Chinese papers cited by patent families issmaller than China's share in the number of papers.
[Summary Chart 14] Linkage between science and technology among the selected countries

Reference: Chart 4-3-4, Japanese Science and Technology Indicators 2021 (in Japanese)126. Science, technology, and innovation: circumstances in Japan and the selected
countries(1) The U.S. is the largest trading partner country/region for Japan's technology imports and exports(between unaffiliated companies). For the U.S., China is the largest technology importer, and the U.K.
the largest technology exporter (between unaffiliated companies).
In terms of Japan’s international technology trade between unaffiliated companies the U.S. is the largest
importer of Japan's technology by value (249.2 billion yen), followed by China (236.3 billion yen). Also,
Japan buys technology from the U.S. more than any other country by value, and some 60% of such trade(valued 250.3 billion yen) is made between unaffiliated companies.
In terms of the U.S.’s international technology trade between unaffiliated companies, China is the largest
technology importer from the U.S. by value (451.3 billion yen), followed by Japan (383.2 billion yen). The
U.S. buys technology from the U.K. more than from any other country by value in terms of trade between
unaffiliated companies, while Japan becomes the largest technology supplier for the U.S. when it comes totrade between affiliated companies. China is not included in the largest trading partner countries/regions fortechnology imports by the U.S.
[Summary Chart 15] Technology exports and imports by partner country/region: Japan vs. the United States（2019）(A)Japan
Technology imports

Technology Exports¥ trillions¥ trillions

1.5
1.2
0.9
0.6
0.3
0.0

OthersAustralia

China

Sweden

Korea

FinlandU.K.

FranceSwitzerland

Germany

AffiliatedUnaffiliated

Netherlands

OthersNetherlands

CanadaIndia

MexicoTaiwanThailandKorea

Indonesia

U.K.

China

U.S.

AffiliatedUnaffiliated

U.S.

1.5
1.2
0.9
0.6
0.3
0.0

(B)U.S.
Technology Exports¥ trillions

1.5

AffiliatedUnaffiliated3

AffiliatedUnaffiliated

1.2
0.9

2

0.6

1

0.3

OthersAustralia

FranceSwedenIrelandNetherlands

Switzerland

India

CanadaJapan

OthersSingapore

Netherlands

MexicoSwitzerland

IrelandGermany

U.K.

Canada

Korea

Japan

China

Germany

0.0

0

U.K.

4

Technology imports¥ trillions

Note:1) The definition of affiliated companies is different between Japan and the United States, which requires attention in international comparison. The following are majordifferences in the definition of affiliated companies between the two countries.
2) Japan: A parent company owns more than 50% of the stake of its subsidiary company.
The types of Japanese technology trade include 1) patent right, utility model right, and copyright, 2) design right, 3) technical know-how service and technical guidance(except ones provided free of charge), and 4) technical assistance to developing countries (including government-commissioned assistance).
The amounts for Japan are financial-year-based.
3) U.S.: If a company directly or indirectly owns 10% or more of equity or a voting right of another company, the subsidiary company is called an affiliated company.
The types of U.S. technology trade include 1) Trademarks, 2) Franchise fees, 3）Outcomes of research and development include patents, industrial processes, and trade
secrets, 4）Computer software, 5) Movies and television programming, 6) Books and sound recordings, 7) Broadcasting and recording of live events.
Reference: Chart 5-2-4, Japanese Science and Technology Indicators 2021 (in Japanese)- 13 -

(2) The trade balance ratio shows Japan's high R&D intensive industries are in trade deficit while
medium-high R&D intensive industries are in trade surplus.
In many countries, "computer, electronic and optical products" dominate the trade in high R&D intensive
industries in terms of both import and export values. The trade balance ratio (of the latest year for eachcountry) shows that Japan and the U.S. are in trade deficit while Germany, China, and Korea are in trade
surplus. In terms of the export value of medium-high R&D intensive industries (of the latest year for eachcountry), "motor vehicles, trailers and semi-trailers" account for the largest share in Japan and Germany,"chemicals and chemical products" being the largest in the U.S. and Korea, and "electrical equipment" in
China. The trade balance ratio shows that Japan, Germany, China, and Korea are in trade surplus while theU.S. is in trade deficit.
[Summary Chart 16] Trends in the value of industrial trade in the selected countries(A) High R&D intensive industries

0.8

Basic pharmaceutical products and pharmaceutical preparations
Computer, electronic and optical products
Air and spacecraft and related machinery¥ trillions

0.6

Imports Exports

0.4
0.2
0.0
0.2
0.4
0.6
0.8

Japan

U.S.

Germany

China

Korea

Reference: Chart 5-2-3, Japanese Science and Technology Indicators 2021 (in Japanese)(B) Medium-high R&D intensive industries

1.0

Chemicals and chemical products
Machinery and equipment n.e.c.
Railroad equipment and transport equipment n.e.c.

¥ trillions

Electrical equipment
Motor vehicles, trailers and semi-trailers
others0.8

Exports

0.6
0.4
0.2

Imports

0.0
0.2
0.4
0.6
0.8
1.0

Japan

U.S.

Germany

Reference: Chart 5-2-5, Japanese Science and Technology Indicators 2021 (in Japanese)- 14 -

China

Korea

(3) In Japan, the share of "computer, electronic and optical products" is falling in the gross value addedof all industries, that of "basic pharmaceutical products and pharmaceutical preparations" is flat, andthat of "motor vehicles, trailers and semi-trailers" is on the rise.
Looking at the shares of "computer, electronic and optical products," "basic pharmaceutical products andpharmaceutical preparations," and "motor vehicles, trailers and semi-trailers" in the gross value added of allindustries in the selected countries, the share of "computer, electronic and optical products" has grownsignificantly in Korea, and the share of "basic pharmaceutical products and pharmaceutical preparations"has remained flat in all countries. In "motor vehicles, trailers and semi-trailers," Germany, Japan, and Korea
are on a long-term upward trend, while the U.K., the U.S., and France are declining slightly or remaining
flat.
[Summary Chart 17] Shares in gross value added in the selected countries（A) Computer, electronic and optical products
9.0%

％

Japan
U.S.
Germany
France
U.K.
Korea

8.0%
7.0%
6.0%
5.0%
4.0%
3.0%
2.0%
1.0%
0.0%
1991

1995

1999

2003

2007

％

5.0%

Japan
U.S.
Germany
France
U.K.
Korea

2.5%
2.0%

2015 2018 Year（C) Motor vehicles, trailers and semi-trailers(B) Basic pharmaceutical products andpharmaceutical preparations
3.0%

2011

Japan
U.S.
Germany
France
U.K.
Korea

％

4.5%
4.0%
3.5%
3.0%

1.5%

2.5%
2.0%

1.0%

1.5%
1.0%

0.5%

0.5%
0.0%
1991

1995

1999

2003

2007

2011

0.0%
1991

2015 2018 Year

1995

1999

2003

2007

2011

2015 2018 Year

Note:
Value added is calculated by subtracting intermediate input (products that are necessary to produce goods and services and are invested as costs) from gross output (products)
by residents of the country.
Reference: Chart 5-2-7, Japanese Science and Technology Indicators 2021 (in Japanese)- 15 -

(4) 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.
In Korea, the United Kingdom, and Germany, the number of trademark applications surged in the period
between 2002 and 2018.
[Summary Chart 18] 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 5-3-3, Japanese Science and Technology Indicators 2021 (in Japanese)- 16 -

Looking at the industry sector composition based on the International Classification of Goods andServices (Nice Classification) in trademark applications to the U.S., Japan has many trademark applications
related to "chemicals" and "transportation." China has many trademark applications related to "household
equipment" and "clothing and accessories."[Summary Chart 19] Industry sector composition based on Nice Classification in trademark applications from the selected
countries to the U.S. (specialization coefficient)(A)Japan
Agriculture
3.0

Business
services

Transportation
2.0
Research andtechnology

1.0

Chemicals

0.0
Clothing andaccessories

Leisure andeducation

Householdequipment

Construction
Health(B)U.S.
Agriculture
3.0
Transportation(C)China
Agriculture
3.0

Business
services

Transportation

2.0
Research andtechnology

1.0

2.0
Chemicals

Research andtechnology

1.0

0.0
Leisure andeducation

Chemicals

0.0
Clothing andaccessories

Householdequipment

Business
services

Leisure andeducation

Clothing andaccessories

Householdequipment

Construction
HealthConstruction
HealthNote:1) For a correspondence table between Nice Classification and industry sectors, "Annex B. Composition of industry sectors by Nice goods and services classes" in "WorldIntellectual Property Indicators 2020" by WIPO was consulted.
2) Applications for international registration using the Madrid System (international applications) and direct applications
3) The number of classes is measured. Data shown are specialization coefficients, which represent the ratio of applications (number of classes) to the U.S. by a particularcountry against applications to the U.S. from all countries, both in a particular industry sector. (Specialization coefficient = Composition rate of industry sector A (e.g.
household equipment) in trademark applications from a particular country to the U.S. / Composition rate of industry sector A in trademark applications from all countries tothe U.S.). The totals for 2017-2019 are used.
Reference: Chart 5-3- 4(C), Japanese Science and Technology Indicators 2021 (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 the following
two conditions: 1) the indicators should allow either of the time-series comparison or the comparison among
the selected countries and 2) the indicators should be possible to update annually in principle.

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 are marked“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 isrequired when reading chronological trends are marked “attention to trend.” Specifics for such points
requiring attention are provided in the notes of individual charts.

In order to download the collection of statistics (numerical data for the graphs in this report)
The numerical data for the graphs in this report can be downloaded from the following URL or 2D barcode.
https://www.nistep.go.jp/research/indicators
The references shown below the summary charts in this report indicate the table numbers in the collectionof statistics.

- 18 -RESEARCH MATERIAL No. 311
Digest of Japanese Science and Technology Indicators 2021

November 2021

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/rm311e

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