Institutional Certified Evaluation andAccreditation of Universities
General Principles:
2019-2026

NIAD-QE
National Institution for Academic Degrees and Quality Enhancement of Higher Education© National Institution for Academic Degrees and Quality Enhancement of Higher Education
October 2004 (Last revised: March 2018)
1-29-1 Gakuen-Nishimachi, Kodaira, Tokyo 187-8587 Japan
http://www.niad.ac.jp
Disclaimer: This document has been translated from the Japanese original drawn up by NIAD-QE tocontribute to 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 shallprevail.

Foreword
Japanese legislation (School Education Act, Article 109, Paragraph 2 and the Order for Enforcement Article 40)
oblige all national, municipal/prefectural and private universities to be evaluated by an organization certified by
the Minister of Education, Culture, Sports, Science and Technology (certified evaluation and accreditation
organization) within seven years after the last evaluation on general conditions of their education and research,
management, and facilities. Each university selects at least one organization from among a number of certified
evaluation and accreditation organizations.
The National Institution for Academic Degrees and Quality Enhancement of Higher Education (NIAD-QE)
conducts institutional certified evaluation and accreditation of universities as a certified evaluation andaccreditation organization, in accordance with the Act on the National Institution for Academic Degrees andQuality Enhancement of Higher Education, Article 16, Paragraph 1, in order to ensure that all universities aregiven an opportunity to undergo the evaluation, and that the quality of their education and research is assuredand enhanced.
NIAD-QE has formulated fundamental policies, Standards for Evaluation and Accreditation of Universities(hereinafter referred to as the Standards), and other documents for certified evaluation and accreditation as
detailed below. The General Principles is a document outlining the fundamental policies and guiding
implementation method of evaluation that NIAD-QE follows in conducting the mandatory evaluation ofuniversities concerning the general conditions of their education and research activities (hereinafter referred toas the “institutional certified evaluation and accreditation of universities (CEA)”). The Standards focuses oneducational activities in university programs that award bachelor’s, master’s, doctoral, and professional degrees.
It identifies the conditions which NIAD-QE deems necessary for universities to satisfy, and to be compliant
with in regards to relevant legislation including the Standards for the Establishment of Universities. Evaluation
and accreditation is conducted as to whether universities meet these standards. The Instructions for SelfAssessment outlines the methods of self-assessment for universities when they are the subject of CEA based on
the Standards stipulated by NIAD-QE. The Evaluation Manual is to be used by those who are engaged in NIADQE’s evaluation. It allows evaluation to be conducted with a common understanding and an adequate grasp of
the methods and significance of the evaluation, as well as to be conducted transparently through universities andNIAD-QE sharing detailed procedures of evaluation.
The CEA conducted by NIAD-QE is aimed at maintenance and enhancement of the quality of education andresearch of universities, as well as the development of their individuality and diversity. Guided by these aims
and its own past evaluation experience, NIAD-QE is determined to carry out its evaluation and accreditation,
being committed to constant efforts to improve its evaluation system in order to conduct a more open andevolving style of evaluation of universities, taking into consideration views and advice from the universities.
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Contents

1. Purposes .....................................................................................................................................................- 1 2. Fundamental Policies .................................................................................................................................- 1 3. Structure of the Evaluation and Accreditation Standards...........................................................................- 3 4. The Methodology of Evaluation and Accreditation ...................................................................................- 3 5. The Methods...............................................................................................................................................- 4 6. Publication of Evaluation Results ..............................................................................................................- 6 7. Continuing Verification of Improvement ...................................................................................................- 6 8. Supplementary Review ..............................................................................................................................- 6 9. Information Disclosure ...............................................................................................................................- 6 10. Temporal Constraints ...............................................................................................................................- 7 11. Evaluation Schedule .................................................................................................................................- 8 12. Evaluation Fees ........................................................................................................................................- 9 13. Revision of the Standards ........................................................................................................................- 9 -ii− iii −

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1. Purposes
The National Institution for Academic Degrees and Quality Enhancement of Higher Education(NIAD-QE) evaluates and accredits universities as regards the general conditions of education,
research and other activities at the request of the universities, for the following purposes:
・To assure the quality of education and research of universities;

・To enhance the quality of education and research of universities in keeping with theirrespective missions, promote improvement, and develop their strengths; and・To assist universities in gaining public understanding of and support for their education
and research activities.

2. Fundamental Policies
With the aim of achieving the purposes mentioned above, NIAD-QE follows thefundamental principles below in conducting its institutional certified evaluation andaccreditation of universities (CEA):(1) Establishment of the Standards for Evaluation and Accreditation of Universities
In order to assure the quality of education and research of universities, NIAD-QE stipulates
the Standards and evaluates the general condition of their activities. In the process of drafting
the Standards, NIAD-QE seeks opinions not only from academics on campus but also from a
broad range of sectors in society so that the standards may lead to a deeper understanding ofeducation and research activities of universities.

(2) Focus on educational activities
NIAD-QE evaluates the general condition of education, research and other activities ofuniversities with a primary focus on their educational activities, which all universities arerequired to carry out as their common role in society.

(3) Contribution to the development of individuality and enhancement of quality
NIAD-QE evaluates the initiatives carried out by universities in education and research
activities and the outcomes thereof, in keeping with their respective missions. In this process,with a view to encouraging universities to enhance the quality of their activities, NIAD-QE
highlights “good practices” and also points out the “areas for improvement” for which specific-1−1−

efforts for improvement need to be made.
NIAD-QE conducts ongoing checks of improvement measures implemented by universities.

(4) Emphasis on internal quality assurance
The university’s practice of reviewing its own education, research and other activities andof maintaining and enhancing the quality of the activities in light of the review results, viewed
as “internal quality assurance,” shall be prioritized in the processes of the CEA with focus on
the organization and functionality of the system.
In the process of CEA, NIAD-QE analyzes the self-assessment report, together with theverifying materials and data that describes the results of self-assessment by the university as
part of their internal quality assurance activities. It also checks supplementary information,
visits campuses for interviews with students and other stakeholders, and makes decisions
according to the Standards.

(5) Emphasis on learning outcomes
NIAD-QE’s CEA mainly concerns the learning outcomes achieved by students by inviting
students as well as graduates, their employers and other stakeholders to submit their opinions,
given the importance of the knowledge and skills students have acquired and the quality ofstudents’ experience.

(6) Fair evaluation by peers
For the appropriate evaluation of highly professional education and research activities ofuniversities to be ensured, peer professionals with experience and insights in the area are toplay a major role in the process of CEA. Furthermore, with a view to gaining widespread
understanding and support from the public, NIAD-QE invites participation in the evaluation
process from experts in various fields in society, economy, and culture, while eliminating
conflicts of interests among academics, in order to assure fairness in evaluation.

(7) Consistency with international trends in quality assurance
In formulating the Standards as well as conducting CEA, NIAD-QE pursues consistency
with international standards in perspectives and techniques for quality assurance of higher
education, so that its evaluation can serve as a reference for the international community.

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3. Structure of the Evaluation and Accreditation Standards
The Evaluation and Accreditation Standards are designed to evaluate the overall status ofeducation and research activities of universities, with a focus on their educational activities.
The Evaluation and Accreditation Standards are composed of 27 standards, which areclassified into six areas:
Area One:

Standards for Basic Organizations for Education and Research

Area Two:

Standards for Internal Quality Assurance

Area Three:Standards for Financial Management, Administrative Management, andPublication of Information
Area Four:Standards for Facilities and Equipment, and Student Support

Area Five:

Standards for Student Admissions

Area Six:

Standards for Academic Programs and Learning OutcomesStandards concerning internal quality assurance as prescribed in the Evaluation andAccreditation Standards are priority evaluation items.

4. The Methodology of Evaluation and Accreditation(1) The organization for evaluation and accreditation
The Committee for Certified Evaluation and Accreditation of Universities (hereafterreferred to as the "Committee") is constituted as the body which is responsible for the processof evaluation and accreditation. The Committee comprises academics from national,
municipal/prefectural and private universities, as well as experts from various fields in society,industry, and culture. Subcommittees for Certified Evaluation and Accreditation (hereafterreferred to as the "Subcommittees") are set up under the Committee to carry out the evaluation
process for individual universities and are tailored to the characteristics of the universities
under evaluation.
The Subcommittees comprises evaluators from among academics and experts in various
fields, appointed based on the condition of organizational structure and characteristics ofeducation and research of the universities under evaluation. In light of the diversity ofacademic fields and the conditions of universities, NIAD-QE invites nominations of experts
from a wide range of national, municipal/prefectural and private universities, academic
societies, and other relevant organizations.
(2) Training of evaluators
To ensure reliable evaluation and accreditation based on professional and objective-3−3−

judgment, NIAD-QE provides evaluators with training programs that detail the purpose,content, and methods of CEA, so they can share a common understanding and perform theirtasks in a fair, appropriate and smooth manner.

5. The Methods(1) The basic components of NIAD-QE’s evaluation and accreditation
NIAD-QE's process of CEAconsists of self-assessment by the university and its review byNIAD-QE.
・Self-assessment by the university
1) A university conducts self-assessment as part of its internal quality assurance activities,
preparing a self-assessment report of the results together with the evidential materials anddata included, following with the Instructions for Self-Assessment. As such evidential
materials and data, the university can reuse the materials used for third-party evaluations
other than those conducted in compliance with the present General Principles or quote
the results thereof.
2) In preparing a self-assessment report, the university analyzes, for each standard, thecondition of its education, research and other activities as an entire institution or, ifnecessary, at the level of individual organization for education and research withreference to the condition of their academic programs, and decides whether the university
meets each standard.
3) The university identifies good practices and areas for improvement for each standard.

・Review by NIAD-QE
1) On the analysis of the self-assessment report and necessary verification of obligations in
the document analysis and the on-site inspection and confirmation in site visit, NIADQE decides as to whether the university meets each standard stipulated in the Standards
and shows the reasons for the decision.
2) With regard to the standards for academic programs and learning outcomes, NIAD-QE
analyzes the status of education, research and other activities at each basic organizationof education and research with reference to the condition of academic programs, anddecides as to whether the university meets the standards.
3) The university shall fail to meet a standard if any areas for improvement are found withregard to it.
4) The university that meets all standards shall meet the Standards stipulated by NIAD-QE.
If it fails to meet any of the standards, it shall meet the Standards on condition that it is-4−4−

confirmed, all the things concerning all the standards considered, that the quality ofeducation and research of the university is assured to live up to the condition required ofa university. Otherwise, the university shall not meet the Standards. Should the university
be found not to have a system or a procedure for internal quality assurance, either ofwhich is deemed to be a priority requirement, the university would not meet the Standards
regardless of whether it meets other standards.
5) In the evaluation results, NIAD-QE explicitly identifies good practices and areas forimprovement, in addition to the decision as to whether the university meets the Standards.
Internal quality assurance is a priority item, and if the system functions excellently, thisis reflected favorably in the evaluation results.

(2) Methods employed by NIAD-QE
In NIAD-QE’s evaluation process, the Subcommittees conduct document analysis and sitevisits. Document analysis analyzes, in accordance with the Evaluation Manual, theuniversity's self-assessment report (including materials and data given as evidence), as wellas other third-party documents and material collected by NIAD-QE. To supplement thedocument analysis, site visits concentrate on the issues about which document analysis has
failed to provide full understanding as well as on the interviews with various kinds ofstakeholders, following the "Guidelines for Site Visit." The Subcommittees draft theevaluation results based on the findings from the document analysis and site visit for eachuniversity. The Committee reviews the draft evaluation results, and decides on the final draftof evaluation results.

(3) Statement of objections and finalization of evaluation results
Before finalizing the results, the Committee sends the university under evaluation the final
draft of evaluation results so that the university is provided with an opportunity for correction
and objection. All corrections and objections would be given due consideration by theCommittee.
If a university filed an objection to the Committee's decision on any standard to the effectthat the university does not meet the standard, an independent panel, set up under theCommittee, would scrutinize the decision and the objection and report its findings to theCommittee.
The Committee appropriately finalizes the evaluation following the necessary procedures,including the review of the report from the independent panel.

-5−5−6. Publication of Evaluation Results(1) The Evaluation results are compiled for each university and reported to the university and its
establishing corporation. The results are made accessible widely to the public on the NIAD-QE
website and by other means.
(2) Along with the publication of evaluation results, the university's self-assessment report is also
posted on the website in order to ensure the transparency of the evaluation process.

7. Continuing Verification of Improvement
Universities that are decided to meet the Standards in spite of the identification of areas for
improvement are required to report subsequently to NIAD-QE about the condition of theimprovement on the identified areas.
The Committee examines the report of the improvement and ostensibly adds theconfirmation of improvement to the publicized evaluation results if it verifies the improvement.

8. Supplementary Review
Universities that are decided not to meet the Standards may apply for a supplementary
review within two academic years after the evaluation, in accordance with procedures
stipulated separately.
If a university is decided in the supplementary review to meet the standards that it has failed
to meet in the original evaluation, NIAD-QE decides and makes publicly known that it meets
the Standards together with the original results.

9. Information Disclosure(1) NIAD-QE makes publicly available the facts as stipulated in Article 169, paragraph (1) of theOrdinance for Enforcement of the School Education Act, including the Standards, evaluation
methods, the structure of evaluation system and other related matters, and provides furtherinformation it holds concerning evaluation and accreditation by way of appropriate methods
such as its website.
(2) In cases where a request for disclosure of corporate documents regarding the evaluation of auniversity is filed, NIAD-QE discloses the relevant documents it holds in compliance with the-6−6−

Act on Access to Information Held by Independent Administrative Agencies.

10. Temporal Constraints(1) The evaluation procedure is conducted once each academic year.
(2) Universities shall apply to NIAD-QE by the end of September of the academic year which isprior to the one in which they wish to undergo CEA. Receiving applications from a university,
NIAD-QE conducts CEA without undue delay.
(3) Universities are required to abide by the prescriptions on the period of CEA in the relevant laws
and regulations in applying for the CEA to NIAD-QE.

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−8−12. Evaluation Fees
Evaluation fees, fees for the supplementary review, payment procedures, and other mattersconcerning fees are each prescribed separately.

13. Revision of the Standards
NIAD-QE is making efforts to develop a more open and flexible, evolving evaluation
system by making the necessary revisions to the Standards and other improvements, taking
into account the views of universities evaluated, external evaluators, and other stakeholders.
When revising the Standards, evaluation methods and other matters necessary for theevaluation of universities, the Committee deliberates and decides on the revisions after
consulting stakeholders for their opinions, in order to ensure the fairness and transparency of
the revision process.

9−9−Institutional Certified
andandAccreditationof Universities
Institutional
CertifiedEvaluation
Evaluation
Accreditationof Universities
Standardsforfor Evaluation
Evaluation andAccreditationof Universities:
2019-2026
Standards
andAccreditationof Universities:
2019-2026

National Institution for Academic Degrees and Quality Enhancement of Higher Education
1-29-1 Gakuen-Nishimachi, Kodaira, Tokyo 187-8587 Japan

National Institution for Academic Degrees and Quality Enhancement of Higher Education

http://www.niad.ac.jp/

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