Institutional Certified Evaluation andAccreditation of Universities
General Principles:
2012-2019

NIAD-UE
National Institution for Academic Degrees and University Evaluation© National Institution for Academic Degrees and University Evaluation 2011
(Last revised: March 2015)

1-29-1 Gakuen-Nishimachi, Kodaira, Tokyo 187-8587 Japan
www.niad.ac.jp

Disclaimer: This document has been translated from the Japanese original drawn up by NIAD-UE to contributeto a deeper understanding of the certified evaluation and accreditation system.

In the case where any

discrepancy between this English version and the Japanese original is found, the Japanese original will prevail.

Foreword
The General Principles is a document outlining the fundamental policy and guiding implementation
method of evaluation that the National Institution for Academic Degrees and University Evaluation(NIAD-UE) follows in conducting the mandatory evaluation of universities concerning the generalconditions of their education, research and other activities (hereafter referred to as the “theinstitutional certified evaluation and accreditation of universities”).
Japanese legislation1) oblige all national, municipal/prefectural and private universities and collegesof technology to be evaluated by an organization certified by the Minister of Education, Culture,
Sports, Science and Technology (certified evaluation and accreditation organization) once every
seven years on the general conditions of their education and research, management, and facilities
for the purpose of contributing to improvement in quality of their education and research.

Under

this certified evaluation and accreditation system, universities and colleges are required to select atleast one organization from among a number of certified evaluation and accreditation
organizations.
NIAD-UE, being established in accordance with the Act on the National Institution for Academic
Degrees and University Evaluation2), undertakes the institutional certified evaluation andaccreditation of universities with a view to ensuring that every university is given equal opportunity
to undergo the evaluation stipulated by the School Education Law as well as to contribute to themaintenance and enhancement of the quality of their education and research.
The process of NIAD-UE’s institutional certified evaluation and accreditation of universities is to be
carried out in accordance with the General Principles and the Standards for Evaluation andAccreditation of Universities.

The Guidelines for Self-Assessment prepared for universities and the

Evaluation Manual for External Evaluators detail the procedures.
The institutional certified evaluation and accreditation of universities conducted by NIAD-UE is
aimed at maintaining and enhancing the quality of education and research of universities andgraduate schools, and contributing to the development of their individuality and diversity.

Guidedby these aims and its own past evaluation experience, NIAD-UE is determined to carry out its
evaluation and accreditation, and is also committed to making constant efforts to improve its
evaluation system in order to conduct a more open and evolving style of evaluation of universities,
taking into consideration views and advice from the universities and graduate schools evaluated.

1) School Education Law (Article 109, paragraph 2), and the Order for Enforcement (Article 40).
2) Article 16, paragraph 1.

Contents
Foreword
I

Purpose · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · ·2· · · · 2IIFundamental Policies · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 2· · · · Implement

III

Implementation System

IVStandards for Evaluation and Accreditation of Universities · · · · · · · · · · · · · 4· · · · 4

VMethodology · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 5· · · · 5

VI

Evaluation Schedule · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 7· · · · 7

VIIPublication of Evaluation Results · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 8· · · · 8

VIIIInformation Disclosure · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 8· · · · 8

IXApplication · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 8· · · · 8

XSupplementary Review · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 9· · · · 9

XI

Evaluation Fees · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 9· · · · 9

XII

Procedures for Revising the Standards · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 9· · · · 9· · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 4· · · · 4

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I

PurposeIn order to maintain and enhance the quality of higher education and research at universities inJapan and contribute to the development of their individuality and diversity, the National
Institution for Academic Degrees and University Evaluation (NIAD-UE) conducts the institutional
certified evaluation and accreditation of universities for the following purposes:(a) To assure the quality of education, research and other activities of universities by regularly
evaluating the institutions in accordance with the Standards for Evaluation and Accreditation of
Universities set by NIAD-UE concerning the institutional certified evaluation and accreditation ofuniversities (hereafter referred to as “the Standards”);(b) To contribute to improvement in the quality of education, research and other activities ofuniversities by providing them with high quality evaluation reports; and(c) To encourage and assist universities to gain public understanding of and support for their status
as institutions that serve the public good, by clarifying and publishing the conditions of theireducation, research and other activities.

II

Fundamental Policies

With the abovementioned purposes in mind, NIAD-UE conducts the institutional certified evaluation
and accreditation of universities based on the following fundamental policies.

(1) Standards-based evaluation and accreditation
The process of the institutional certified evaluation and accreditation of universities focuses on
judging whether the general conditions of education, research and other activities of each
university meet the Standards.

(2) Focus on educational activities
Considering international trends in university evaluation and the fact that this evaluation scheme
targets all universities, NIAD-UE evaluates the general conditions of their institutional activities,
particularly their educational activities.

(3) Contribution to the development of individuality
Although the process of the institutional certified evaluation and accreditation of universities isbased on the Standards, the mission of the university in terms of education, research and otheractivities is factored into the process to fully reflect its individual character and distinctive featuresin the evaluation.

The Standards itself is are designed to enable the evaluation to be conductedwith the university’s mission taken into account.

2(4) Evaluation and accreditation based on self-assessment
The institutional certified evaluation and accreditation of universities is aimed at encouraging andassisting universities to undertake proactive approaches for profiling distinctive features on theorientation of their mission and enhancing quality of their education, research and other activities.
In order to ensure that the evaluation is effective as well as transparent and fair, it is important that
universities assess themselves in accordance with the Standards and the Guidelines for
Self-Assessment.
NIAD-UE analyzes each university’s self-assessment report together with documents, data and othermaterials submitted as evidence and conducts the evaluation based on the analysis findings.
NIAD-UE also offers training programs for internal assessors at applying universities.

These

programs are designed to help further the understanding of evaluation and accreditation by
providing clear descriptions on how NIAD-UE’s institutional certified evaluation and accreditation
works, on how self-assessment reports are drawn up, etc.

(5) Peer review
To ensure that education, research and other activities of universities are appropriately evaluated,
peer review by academic staff at universities and other external experts on university education andresearch is exploited in the evaluation process.

(6) A highly transparent system
NIAD-UE aims to create a transparent and open evaluation system by providing universities with theopportunity to remark on and/or object to the evaluation and accreditation results and the
publishing of the final results.

With the aim of conducting a more open and evolving evaluation,

NIAD-UE makes constant efforts to improve its evaluation system, taking into consideration its pastevaluation experience and views and advice from the universities and graduate schools evaluated.

(7) Internationally acceptable evaluation and accreditation
As universities go global, internationally acceptable certified evaluation and accreditation needs tobe conducted.

Keeping this in mind, NIAD-UE carries out an evaluation that places emphasis on theuniversity’s internal quality assurance system, learning outcomes, and publication of educational
information.

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III

Implementation System(1) System for implementing the process of evaluation and accreditation
The Committee for Certified Evaluation and Accreditation of Universities (hereafter referred to as“the Committee”) is the responsible body for organizing the process of evaluation and accreditation.
The Committee is comprised of university presidents and academics as well as experts fromdifferent industries.

Subcommittees for Certified Evaluation and Accreditation are set up under

the Committee according to the condition of the targeted universities to carry out the actual
process.
Taking into account the diverse areas and conditions of university education, the Subcommittees
appoint external evaluators from among experts in various academic fields according to thesituation of the faculties and other organizations at targeted universities.

These experts are widely

nominated from national, municipal/prefectural and private universities, academic societies, andeconomic and other relevant organizations.
The members of the Committee and Subcommittees are not entitled to join the decision-making
process on any matters of universities that are associated with themselves.

(2) Training programs for external evaluators
To be more effective, the evaluation process must be highly reliable based on professional andobjective judgments.

NIAD-UE provides external evaluators with training programs that detail the

purpose, contents, methods, etc., of university evaluation for them to share a common
understanding and perform their tasks in a fair, appropriate and smooth manner.

IV

Standards for Evaluation and Accreditation of Universities(1) The Standards comprises ten criteria for the evaluation of universities concerning the generalconditions of their institutional activities, particularly their educational activities.

(2) The ten standards cover the various requirements that NIAD-UE considers every university
should satisfy, including conformity with the School Education Law, the Standards for the
Establishment of Universities, and other related laws pertaining to universities.

(3) The standards are generally described further by one or more explanatory clauses.

Eachstandard is accompanied by “viewpoints” created to assist the analysis of the conditions of theuniversity’s education and other activities in line with the explanatory clauses.
Universities may create original viewpoint(s) better suited to their purpose.

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V

Methodology(1) Outline of the evaluation process
The overall process of the institutional certified evaluation and accreditation of universities is asfollows:(a) Self-assessment process of universities
The university conducts a self-assessment and produces a report in accordance with the
Guidelines for Self-Assessment.
The conditions of education and other activities at an institutional level, and, where appropriate,at the level of faculty, graduate school and institute, are analyzed and described in the
self-assessment report for each of the ten standards in accordance with the accompanying
explanatory clauses and viewpoints.

In principle, the university is required to analyze andsummarize the conditions concerning all viewpoints.
Where appropriate, in addition to the designated viewpoints, the university may create original
viewpoint(s) better suited to its purpose for each standard, and analyze and describe theconditions in the report.
The university also appraises and describes its good practices, areas needing improvement, etc.,
in the report.

(b) NIAD-UE’s evaluation process(i)

Based on the university’s self-assessment, NIAD-UE judges whether the university as an

institution meets each of the ten standards, and states reasons for its judgment. Where
appropriate, the conditions at the level of faculty, graduate school and institute are also
analyzed and summarized.
The standards are generally explained further by one or more explanatory clauses, and eachstandard is accompanied by viewpoints. Judgment is not made for each explanatory clausebut for each standard based on a comprehensive analysis of the university’s conditions fromviewpoints set by both NIAD-UE and the university concerned.

(ii)

In the case where the university’s conditions meet the standards but require further

improvement and/or where its good practices are identified, they are described in the final
report.

(iii) A university judged to meet all ten standards set by NIAD-UE is given the status of aqualified institution.
If any one of the standards is not met, the university is judged as an unsatisfactory institution.
These results are made public.

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(2) Methods of evaluation
Evaluation and accreditation is conducted by the Subcommittees based on document analyses andsite visits.

Document analysis is conducted on the university’s self-assessment report (including

materials submitted as evidence), along with documents, data and other materials collected by
NIAD-UE, in accordance with the “Evaluation Manual.”

Site visits involve interviewing staff andstudents and inspecting facilities in order to scrutinize the university in greater depth and verify
issues unresolved during the document analysis in accordance with the “Guidelines for Site Visit.”
The findings of the document analyses and site visits are summarized by the Subcommittees, andthe summary is reviewed by the Committee to compile a draft of the evaluation results.

(3) Statement of objection(s) and finalization of evaluation results
Since the results of certified evaluation and accreditation should be made public as well as used foruniversities to improve the quality of their education, research and other activities, it is necessary
to ensure that the evaluation process is accurate as well as transparent.
In this context, NIAD-UE notifies the university of the draft of the evaluation results prior to their
finalization in order to provide it with the opportunity to make remark(s) and/or objection(s).
In the case where an objection is lodged against a failing judgment, an examination panel is set up
under the Committee to address the issue.
finalized by the Committee.

6After the examination, the evaluation results are

VI Evaluation Schedule
May to June

Briefing
End of September

Application

NIAD-UE outlines the framework and methods ofinstitutional certified evaluation andaccreditation.
NIAD-UE receives applications for evaluation fromuniversities.

Academic year in which theevaluation process is conducted
June

Training programs forexternal evaluators

NIAD-UE conducts training programs for external
evaluators as to the purpose, contents, methods,
etc., of university evaluation.

End of June

Submission of theself-assessment report

July to January

Document analysis
and site visit

Universities conduct a self-assessment and submit areport to NIAD-UE in accordance with the Guidelines
for Self-Assessment.

The Subcommittees composed of highly trained
external evaluators examine the self-assessment
reports, go on site visits, and summarize their initial
findings. The Committee reviews the summary andcompiles a draft of the evaluation results.

End of January

Notification of the draftof results

NIAD-UE notifies the university of the draft prior to
the finalization of the evaluation results.

February

Statement ofobjection(s)The university may make remark(s)/objection(s) tothe draft.

Finalization andpublication of theevaluation results

After its panel examines the objection(s), theCommittee finalizes the evaluation results. A final
report of the results is compiled, sent to theuniversity and its founder, and made public.

March

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VII

Publication of Evaluation Results(1) The results of certified evaluation and accreditation are published in the form of a final report.

(2) The report is compiled for each university, and sent to the university and its founder.
made public through publication,

It is alsoboth in print format and on the NIAD-UE website:

http://www.niad.ac.jp/(3) To ensure the transparency of the evaluation process, the universities’ self-assessment reports(except for attached documents, data and other materials submitted as evidence) are also publishedon the website.

VIII

Information Disclosure(1) Expected to be an organization open to both society and universities and to make constantefforts to enhance transparency and objectivity with the aim of creating a better university
evaluation system, NIAD-UE discloses the standards, methods and implementation system ofcertified evaluation and accreditation.

NIAD-UE also makes public as much of the otherinformation on its evaluation activities as it can through its website or in other appropriate ways.

(2) In the case where NIAD-UE receives a request for the disclosure of internal documents pertaining
to its evaluation activities, it will, in principle, comply with the request pursuant to the Act on
Access to Information Held by Incorporated Administrative Agencies, excluding non-disclosure
information such as personal data that could identify a person and corporate information that could
damage an organization’s rights and interests if disclosed.
In the case of a request for access to documents submitted by a university corporation that are in
NIAD-UE’s possession, consultation is held with the university in accordance with the Act.

IX

Application(1) The process of certified evaluation and accreditation takes place once each academic year.

(2) Universities are should apply to NIAD-UE for certified evaluation and accreditation using theprescribed form by the end of September in the academic year previous to the year in which theywish to undergo the evaluation process.

When receiving an application, NIAD-UE conducts anevaluation without delay, unless legitimate reasons exist for doing otherwise.

(3) Universities may apply for the next evaluation and accreditation after an interval of at least fiveacademic years. (This does not apply to universities judged to have fallen short of the Standards.)

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X

Supplementary Review

The supplementary review is for universities judged to have failed one or more criteria of theStandards. These universities may apply for a supplementary review conducted only on the failed
criteria item(s).

The review must be carried out within two years of the evaluation year inaccordance with the prescribed procedures.
If the results of this supplementary review are successful, the university is judged as a qualified
institution having met all criteria of the Standards with the previous successful evaluation results
also factored in.

XI

The review results are made public.

Evaluation Fees

Specific provisions for evaluation fees, fees for the supplementary review, payment procedures, etc.,
are set out separately.

XII

Procedures for Revising the Standards

NIAD-UE makes constant efforts to develop a more open and evolving evaluation system through thenecessary revision of the evaluation standards and other improvements, taking into account views
and advice from the universities evaluated, external evaluators, and other stakeholders.
When the Standards, methods and other items necessary for university evaluation are amended,stakeholders are consulted for their opinions before the Committee examines and approves theamendment(s) in order to ensure the fairness and transparency of the process.

9Institutional Certified Evaluation and Accreditation of Universities
General Principles: 2012-2019

National Institution for Academic Degrees and University Evaluation
1-29-1 Gakuen-Nishimachi, Kodaira, Tokyo 187-8587 Japan
Tel: +81-42-307-1642
http://www.niad.ac.jp/