公益通報者保護法を踏まえた国の行政機関の通報対応に関するガイドライン(外部の労働者等からの通報)
  法令番号: 改正: 辞書バージョン:13.0 翻訳日:平成31年2月1日
Guidelines for National Administrative Organs' Handling of Reports Based on the Whistleblower Protection Act (Reports from External Workers and Others)
Law number: Amendment: Dictionary Ver: 13.0 Translation date: February 1, 2019


公益通報者保護法を踏まえた国の行政機関の通報対応に関するガイドライン(外部の労働者等からの通報)
Guidelines for National Administrative Organs' Handling of Reports Based on the Whistleblower Protection Act (Reports from External Workers and Others)
公益通報者保護法を踏まえた国の行政機関の通報対応に関するガイドライン(外部の労働者等からの通報)
Guidelines for National Administrative Organs' Handling of Reports Based on the Whistleblower Protection Act (Reports from External Workers and Others)
1.本ガイドラインの意義及び目的
1. Significance and Purpose of These Guidelines
公益通報者保護法(平成16年法律第122号。以下「法」という。)を踏まえ、国の行政機関が外部の労働者等からの通報に対応する仕組みを整備し、これを適切に運用することは、事業者に対する行政の監督機能の強化並びにそれを契機とした事業者における内部通報制度の整備及び改善に向けた自主的な取組の促進に寄与するなど、事業者の法令遵守の確保につながるものである。
The national administrative organs' establishment, maintenance and appropriate operation of mechanisms for handling reports from external workers and others based on the Whistleblower Protection Act (Act No. 122 of 2004; hereinafter referred to as the "Act") will contribute to the reinforcement of the governmental supervisory function over business operators and to the promotion of business operators' voluntary efforts to establish and improve their own reporting system prompted by such government supervision, and will otherwise lead to the ensuring of compliance with laws and regulations by business operators.
また、外部の労働者等からの通報を積極的に活用した情報の早期把握を通じて、国の行政機関が適切な法執行を行っていくことは、国民生活の安定及び社会経済の健全な発展にも資するものである。
In addition, the national administrative organs' appropriate law enforcement through early check of information by actively utilizing reports from external workers and others will contribute to the stabilization of the general welfare of the life of the citizens and to the sound development of society and the economy.
本ガイドラインは、以上の意義を踏まえて、国の行政機関において、外部の労働者等からの法に基づく公益通報及びその他の法令違反等に関する通報を適切に取り扱うため、各行政機関が取り組むべき基本的事項を定めることにより、通報者の保護を図るとともに、事業者の法令遵守を推進することを目的とする。
Based on the above significance, these Guidelines intend to ensure the protection of whistleblowers and to promote compliance with the laws and regulations by business operators by setting forth basic approaches to be used by each administrative organ in order for the national administrative organs to appropriately handle whistleblowing under the Act and other reports concerning violations of laws and regulations and other misconduct from external workers and others.
2.通報対応の在り方
2. Infrastructure to Handling Reports
(1)通報対応の仕組みの整備及び運用
(1) Establishing, Maintenance and Operation of Mechanisms for Handling Reports
① 各行政機関は、外部の労働者等からの通報事案への対応を、通報に関する秘密保持及び個人情報の保護に留意しつつ、迅速かつ適切に行うため、その幹部を責任者とし、部署間横断的に通報に対応する仕組みを整備し、これを適切に運用する。
(i) each administrative organ will establish, maintain and appropriately operate mechanisms for handling reports in a cross-sectional manner by appointing its executive official as the responsible person, in order to promptly and appropriately handle reported cases from external workers and others while giving consideration to the confidentiality of reports and the protection of personal information.
② 各行政機関は、通報対応の仕組みについて、内部規程を作成し公表する。
(ii) each administrative organ will establish and announce internal rules for its mechanisms for handling reports.
③ 地方支分部局等を置いている行政機関にあっては、当該通報対応の仕組みの下で、各地方支分部局等においても適切に通報対応を行うための周知、体制整備その他必要な措置を講じる。
(iii) each administrative organ with local branches, etc. will make information known, establish systems and take other measures necessary to appropriately handle reports at each of its local branches etc. under the above mechanisms for handling reports.
(2)通報受付窓口の設置
(2) Establishment of a Point of Contact to Receive Reports
① 各行政機関は、外部の労働者等からの通報を受け付ける窓口(以下「通報窓口」という。)及び通報に関連する相談に応じる窓口を、通報者及び相談者(以下「通報者等」という。)に明確になるよう設置する。
(i) each administrative organ will establish a point of contact to receive reports from external workers and others (hereinafter referred to as a "point of contact for reports") and a point of contact to provide consultation on reports, so that these points of contact will be clearly identified as such by whistleblowers and consulters (hereinafter collectively referred to as "whistleblowers, etc.").
② 通報を受け付ける部局と通報に基づく調査や法令に基づく措置をとる部局等が異なるときは、通報者との連絡が円滑に行われるような措置をとる。
(ii) if the department in charge of receiving reports is different from such departments as the departments in charge of conducting investigation based on reports or those in charge of taking measures under laws and regulations, the administrative organ will take measures to ensure smooth communication with whistleblowers.
(3)担当者の配置及び育成
(3) Assignment and Training of Responsible Party
各行政機関は、当該行政機関の関係する部局に、通報対応に必要な適性及び能力を有する担当者を配置(当該部局の職員を担当者として指定することを含む。)し、所要の知識及び技能の向上を図るための教育、研修等を十分に行う。
Each administrative organ will assign to each of its relevant departments persons responsible for reports who have the required aptitudes and abilities to handle reports (including appointing personnel at each of the departments as such responsible persons) and will provide such persons with sufficient education and training, etc. to improve required knowledge and skills.
(4)秘密保持及び個人情報保護の徹底
(4) Thoroughly Ensure Maintaining of Confidentiality and Protection of Personal Information
① 通報又は相談への対応に関与した者(通報又は相談への対応に付随する職務等を通じて、通報又は相談に関する秘密を知り得た者を含む。以下同じ。)は、通報又は相談に関する秘密を漏らしてはならない。
(i) the persons involved in the handling of a report or in the provision of consultation (including all persons who learned secrets from reports or consultation in the course of duties related to the handling of reports or to the provision of such consultation or under similar circumstances; hereinafter the same applies) must not breach the confidentiality of the reports or consultation.
② 通報又は相談への対応に関与した者は、知り得た個人情報の内容をみだりに他人に知らせ、又は不当な目的に利用してはならない。
(ii) the persons involved in the handling of a report or in the provision of consultation must not, without good reason, disclose to others the details of any personal information learned or use the information for any wrongful purpose.
③ 各行政機関は、通報又は相談に関する秘密保持及び個人情報保護の徹底を図るため、通報対応の各段階(3.に規定するもののほか、相談及び通報対応終了後の段階を含む。以下同じ。)において遵守すべき事項をあらかじめ取り決めて、通報又は相談への対応に関与する者に対して十分に周知するものとする。この場合、以下に掲げる事項については、特に十分な措置を講じるものとする。
(iii) in order to thoroughly ensure the confidentiality of reports or consultations and the protection of personal information, each administrative organ is to determine, in advance, rules to be complied with at each of the stages of the handling of reports (including the stage after completion of the provision of consultation or the handling of reports beyond the stages set forth in 3. below; hereinafter the same applies) and is to fully make these rules known to the persons involved in the handling of reports or in the provision of consultations. In doing so, each administrative organ is to particularly take sufficient measures with respect to the matters listed below.
ア.情報を共有する範囲及び共有する情報の範囲を必要最小限に限定すること
a. the scope of information sharing and the scope of information to be shared should be limited to the minimum necessary.
イ.通報者等の特定につながり得る情報(通報者等の氏名、所属等の個人情報のほか、調査が通報を端緒としたものであること、通報者等しか知り得ない情報等を含む。以下同じ。)については、調査等の対象となる事業者に対して開示しないこと(通報対応を適切に行う上で真に必要な最小限の情報を、ウ.に規定する同意を取得して開示する場合を除く。)
b. information that could lead to the identification of the whistleblower, etc. (including name of the whistleblowers, etc., affiliation and other personal information as well as the fact that the investigation was triggered by a report, information that only the whistleblower, etc. could know, etc.; hereinafter the same applies) must not be disclosed to the business operator subject to the investigation or otherwise (excluding cases where minimum information truly necessary to appropriately handle the report is disclosed after obtaining the consent as set forth in c. below).
ウ.通報者等の特定につながり得る情報を、情報共有が許される範囲外に開示する場合には、通報者等の書面、電子メール等による明示の同意を取得すること
c. if any information that could lead to the identification of the whistleblowers, etc. is to be disclosed to any party outside the scope of permitted information sharing, the express consent of the whistleblowers, etc. must be obtained in writing, via e-mail, etc.
エ.ウ.に規定する同意を取得する際には、開示する目的及び情報の範囲並びに当該情報を開示することによって生じ得る不利益について、明確に説明すること
d. when obtaining the consent as set forth in c. above, the whistleblower should be clearly informed of the purpose for which the information is disclosed, the scope of information disclosed, and any disadvantage that may be suffered by the whistleblower as a result of the intended disclosure of such information.
オ.通報者等本人からの情報流出によって通報者等が特定されることを防ぐため、通報者等に対して、情報管理の重要性について十分に理解させること
e. in order to prevent the whistleblowers, etc. from being identified due to that whistleblowers, etc. leaking information, the whistleblowers, etc. should be given a full understanding of the significance of information management.
(5)利益相反関係の排除
(5) Eliminating Conflicts of Interest
① 各行政機関の職員は、自らが関係する通報事案への対応に関与してはならない。
(i) none of the personnel of each administrative organ may be involved in the handling of reported cases related to them.
② 各行政機関は、通報対応の各段階において、通報事案への対応に関与する者が当該通報事案に利益相反関係を有していないかどうかを確認するものとする。
(ii) at each of the stages of the handling of a report, each administrative organ is to check regarding whether or not any of the persons involved in the handling of the reported case has a conflict of interest relationship with such reported case.
(6)通報対象の範囲
(6) Scope of Reports to be Received
通報窓口においては、法第2条第3項に規定する通報対象事実(以下「通報対象事実」という。)が生じ、又はまさに生じようとしている場合における通報のほか、(8)に規定する通報を受け付ける。
The point of contact for reports will receive reports made when a reportable fact as referred to in Article 2, paragraph(3) of the Act (hereinafter referred to as a "reportable fact") has occurred or is about to occur, as well as any of the reports listed in (8) below.
(7)通報者の範囲
(7) Scope of Whistleblowers
通報窓口では、通報対象事実又はその他の法令違反等の事実に関係する事業者に雇用されている労働者、当該事業者を派遣先とする派遣労働者及び当該事業者の取引先の労働者のほか、当該事業者の法令遵守を確保する上で必要と認められるその他の者からの通報を受け付ける。
The point of contact for reports will receive reports from workers who are employed by a business operator involved in a reportable fact or other facts of violation of laws and regulations, dispatched workers dispatched to such business operator, workers employed by a business partner of such business operator, and other persons considered necessary to ensure compliance with laws and regulations by the business operator.
(8)公益通報以外の通報の取扱い
(8) Handling of Reports Other than Whistleblowing
① 各行政機関は、法に基づく公益通報以外の通報であっても、以下に掲げる場合には、法に基づく公益通報に準ずる通報として、法第10条第1項に規定する必要な調査を行い、通報対象事実又はその他の法令違反の事実があると認めるときは、法令に基づく措置その他適当な措置をとるものとする。
(i) upon receipt of any report that is not a whistleblowing under the Act but falls under any of the following, the administrative organ is to deem such report equivalent to a whistleblowing disclosure under the Act, and is to conduct the necessary investigations as referred to in Article 10, paragraph (1) of the Act and, if the administrative organ finds that a reportable fact or other facts of violations of laws and regulations exist, then it is to take measures under laws and regulations and/or other appropriate measures.
ア.(7)に掲げる事業者の法令遵守を確保する上で必要と認められるその他の者が、通報対象事実が生じ、又はまさに生じようとしている旨を、当該通報対象事実について処分又は勧告等をする権限を有する行政機関に対し、法第3条第2号に掲げる要件(以下「真実相当性の要件」という。)を満たして通報するものである場合
a. a report whereby the fact that a reportable fact has occurred or is about to occur is reported by any of the other persons from whom the receipt of reports is considered necessary to ensure compliance with the laws by the business operator as referred to in (7) above to an administrative organ authorized to impose a disposition or recommendations, etc. with respect to the reportable fact, and which fulfills the requirement specified in Article 3, item (ii) of the Act (hereinafter referred to as the "requirement of reasonable belief").
イ.(7)に掲げる者が、通報対象事実以外の法令違反の事実が生じ、又はまさに生じようとしている旨を、当該法令違反の事実について処分又は勧告等をする権限を有する行政機関に対し、真実相当性の要件を満たして通報するものである場合
b. a report whereby the fact that any violation of laws and regulations which is not a reportable fact has occurred or is about to occur is reported by any of the persons listed in (7) above to an administrative organ authorized to impose a disposition, recommendations, etc. with respect to the fact of violation of laws and regulations, and which fulfills the requirement of reasonable belief.
② ①のほか、各行政機関は、法令遵守を図るため、法に基づく公益通報以外の通報を受け付けることができる。この場合において、通報対象となる事実や通報者の範囲、通報対応手続その他必要な事項については、法及び本ガイドラインの趣旨を踏まえ、各行政機関が別に定める。
(ii) beyond those listed in (i) above, each administrative organ may receive reports other than whistleblowing under the Act in order to ensure compliance with the laws and regulations. In such case, the administrative organ will separately specify the scope of reportable facts and whistleblowers, the procedure for handling such reports, and other necessary matters, based on the purpose of the Act and these Guidelines.
(9)匿名による通報の取扱い
(9) Handling of Anonymous Reports
各行政機関は、通報に関する秘密保持及び個人情報保護の徹底を図るとともに、通報対応の実効性を確保するため、匿名による通報についても、可能な限り、実名による通報と同様の取扱いを行うよう努める。この場合、各行政機関は、通報者と通報窓口担当者との間で、適切に情報の伝達を行い得る仕組みを整備するよう努める。
Each administrative organ will endeavor to handle, as far as possible, anonymous reports in the same manner as non-anonymous reports in order to thoroughly ensure the confidentiality of reports and the protection of personal information and to ensure the effectiveness of the handling of reports. In doing so, each administrative organ will endeavor to establish mechanisms to enable anonymous whistleblowers and persons responsible for the point of contact for reports to appropriately communicate information between them.
3.通報への対応
3. Handling Reports
(1)通報の受付と教示
(1) Receipt Reports and Provision of Information
① 各行政機関に通報があったときは、法及び本ガイドラインの趣旨を踏まえ、誠実かつ公正に通報に対応しなければならず、正当な理由なく通報の受付又は受理を拒んではならない。
(i) upon receipt of a report, the administrative organ must handle the report fairly and in good faith based on the purpose of the Act and these Guidelines, and must not refuse to receive or accept the report without just cause.
② 各行政機関において通報を受け付けたときは、通報に関する秘密保持及び個人情報の保護に留意しつつ、通報者の氏名及び連絡先(匿名による通報の場合を除く。)、通報の内容となる事実等を把握するとともに、通報に関する秘密は保持されること、個人情報は保護されること、通報受付後の手続の流れ等を、通報者に対し説明する。ただし、通報者が説明を望まない場合、匿名による通報であるため通報者への説明が困難である場合その他やむを得ない理由がある場合はこの限りでない(以下、(1)③及び⑤、(2)④、(5)①及び②に規定する通知、(1)④に規定する教示、(3)に規定する教示及び資料の提供においても、同様とする。)。
(ii) upon receipt of a report, the administrative organ will check the name and contact details of the whistleblower (unless the report is made on an anonymous basis) and information on the facts constituting the reported matter while giving consideration to the confidentiality of the report and to the protection of personal information, and will also explain to the whistleblower: that the confidentiality of the report will be kept; that their personal information will be protected; and the flow of the procedure after receipt of the report; provided, however, that the foregoing does not apply if the whistleblower does not wish to receive such explanation or if it is difficult to so explain the whistleblower because the report is made on an anonymous basis or if there is any other compelling reason (hereinafter the same applies to the notification as referred to in (1) (iii) and (v), (2) (iv), and (5) (i) and (ii) below, the provision of information as referred to in (1) (iv) below, and the provision of information and documents as referred to in (3) below).
③ ②において、書面、電子メール等、通報者が通報の到着を確認できない方法によって通報がなされた場合には、速やかに通報者に対して通報を受領した旨を通知するよう努める。
(iii) in the case of (ii) above, if a report is made in writing, via e-mail or another method where the report's receipt cannot be confirmed by the whistleblower, the administrative organ will endeavor to promptly notify the whistleblower that their report has been received.
④ 通報内容となる事実について、当該行政機関が権限を有しないときは、権限を有する行政機関を、通報者に対し、遅滞なく教示する。
(iv) if the administrative organ has no authority over the reported fact, it will, without delay, inform the whistleblower of the administrative organ(s) having authority over this fact.
⑤ 各行政機関において通報を受け付けた後は、法及び本ガイドラインの趣旨並びに当該行政機関の所管法令及び所掌事務を踏まえて当該通報に対応する必要性について十分に検討し、これを法に基づく公益通報又はそれに準ずる通報等として受理したときは受理した旨を、受理しないとき(情報提供として受け付けることを含む。)は受理しない旨及びその理由を、通報者に対し、遅滞なく通知しなければならない。
(v) following receipt of a report, the administrative organ must sufficiently consider the necessity for handling the report based on the purpose of the Act and these Guidelines as well as on the laws and regulations and administrative function under the jurisdiction of the administrative organ, and must notify the whistleblower, without delay: (a) to the effect that their report has been accepted, if the administrative organ has chosen to accept the report as a whistleblowing disclosure under the Act or as a report, etc. equivalent to such whistleblowing disclosure; or (b) to the effect that their report is not accepted, together with the reason therefor, if the administrative organ has chosen not to accept it (including choosing to accept it as the provision of information).
⑥ ⑤において、通報への対応の必要性について検討するに当たっては、真実相当性の要件が、通報内容を裏付ける内部資料、関係者による供述等の存在のみならず、通報者本人による供述内容の具体性、迫真性等によっても認められ得ることを十分に踏まえ、柔軟かつ適切に対応するものとする。
(vi) when considering the necessity for handling the report in the case of (v) above, the administrative organ is to deal with the matter flexibly and appropriately by taking fully into account the fact that the requirement of reasonable belief may be met based not only on the existence of internal records supporting the reported facts, of statements of persons involved, etc. but also on the concreteness, verisimilitude, etc. of the whistleblower's statements.
また、通報が真実相当性の要件を満たしているかどうかが直ちに明らかでない場合においても、個人の生命、身体、財産その他の利益に重大な影響を及ぼす可能性が認められる場合には、同様に対応するものとする。
Even if it is not immediately clear whether the report meets the requirement of reasonable belief, the administrative organ is to handle the report in the same manner if it considers that the report may have significant impact on the life, body, property or any other interest of an individual.
(2)調査の実施
(2) Conduct of Investigation
① 各行政機関において通報を受理した後は、必要な調査を行う。
(i) following acceptance of a report, the administrative organ will conduct necessary investigation.
② 調査の実施に当たっては、通報に関する秘密を保持するとともに、個人情報を保護するため、通報者が特定されないよう十分に留意しつつ、遅滞なく、必要かつ相当と認められる方法で行う。
(ii) investigation will be conducted without delay and using necessary and appropriate methods, while giving sufficient consideration to prevent the whistleblower from being identified in order to keep the confidentiality of the report and protect personal information.
③ 調査の方法、内容等の適正性を確保するとともに、調査の適切な進捗を図るため、通報対応の仕組みの整備及び運用に責任を有する幹部等が調査について適宜確認を行う等の方法により、通報事案を適切に管理する。
(iii) in order to ensure the appropriateness of the methods and contents, etc. of such investigation and to ensure the appropriate progress of the investigation, the executive official or their equivalent who is responsible for establishing and operating the mechanisms for handling reports will appropriately manage the reported case by such means as checking the investigation from time to time.
④ 適切な法執行の確保及び利害関係人の営業秘密、信用、名誉、プライバシー等の保護に支障がある場合を除き、調査中は、調査の進捗状況について、通報者に対し、適宜通知するとともに、調査結果は可及的速やかに取りまとめ、その結果を、遅滞なく通知する。
(iv) unless the ensuring of appropriate law enforcement or the protection of the trade secrets, reputation, honor, privacy, etc. of the interested persons are hindered, the administrative organ will notify the whistleblower of the progress of such investigation from time to time during the investigation and will put together the investigation results as promptly as possible, notifying them to the whistleblower without delay.
(3)受理後の教示
(3) Provision of Information After Acceptance
通報事案の受理後において、当該行政機関ではなく他の行政機関が処分又は勧告等をする権限を有することが明らかになったときは、権限を有する行政機関を、通報者に対し、遅滞なく教示する。この場合において、当該教示を行う行政機関は、適切な法執行の確保及び利害関係人の営業秘密、信用、名誉、プライバシー等の保護に支障がない範囲において、自ら作成した当該通報事案に係る資料を通報者に提供する。
If it is found, after an administrative organ has accepted a reported case, that another administrative organ instead of that administrative organ has authority to impose a disposition, recommendation, etc. on the case, the accepting administrative organ will, without delay, inform the whistleblower of the administrative organ having such authority. In such case, the informing administrative organ will provide the whistleblower with documents relating to the reported case prepared by it to the extent the provision will not hinder the ensuring of appropriate law enforcement or the protection of the trade secrets, reputation, honor, privacy, etc. of the interested persons.
(4)調査結果に基づく措置の実施
(4) Implementation of Measures Based on Investigation Results
各行政機関は、調査の結果、通報対象事実又はその他の法令違反等の事実があると認めるときは、速やかに、法令に基づく措置その他適当な措置(以下「措置」という。)をとる。
If, as a result of the investigation, the administrative organ considers that a reportable fact or any other violations, etc. of laws and regulations exist, the administrative organ will promptly take measures under law and/or other appropriate measures (hereinafter collectively referred to as "measures").
(5)通報者への措置の通知
(5) Notification of Measures to the Whistleblower
① 各行政機関が措置をとったときは、その内容を、適切な法執行の確保及び利害関係人の営業秘密、信用、名誉、プライバシー等の保護に支障がない範囲において、通報者に対し、遅滞なく通知する。
(i) if the administrative organ takes measures, it will notify the whistleblower of the details thereof without delay to the extent that such notification will not hinder the ensuring of appropriate law enforcement or the protection of the trade secrets, reputation, honor, privacy, etc. of the interested persons.
② 各行政機関は、通報の受理から通報対応の終了までに要する標準的な期間を定め、又は必要と見込まれる期間を、通報者に対し、遅滞なく通知するよう努める。
(ii) the administrative organ will endeavor to set a standard period that is required from the acceptance of a report to the end of its handling, or to notify the whistleblower of the expected time required, without delay.
(6)意見又は苦情への対応
(6) Handling of Feedback or Complaints
各行政機関は、通報対応に関して通報者等から意見又は苦情の申出を受けたときは、迅速かつ適切に対応するよう努める。
Upon receipt of any feedback or complaint from a whistleblowers, etc., the administrative organ will endeavor to promptly and appropriately respond to such feedback or complaint.
4.通報者等の保護
4. Protection of Whistleblowers
(1)通報者等の保護
(1) Protection of Whistleblowers
各行政機関は、正当な理由なく、通報又は相談に関する秘密を漏らした職員及び知り得た個人情報の内容をみだりに他人に知らせ、又は不当な目的に利用した職員に対し、懲戒処分その他適切な措置をとる。
The administrative organ will take disciplinary action or other appropriate measures against any personnel who breached the confidentiality of any report or consultation without just cause or who recklessly disclosed any personal information learned or who used such information for any wrongful purpose.
(2)通報者のフォローアップ
(2) Follow-up of the Whistleblower
各行政機関は、通報対応の終了後においても、通報者からの相談等に適切に対応するとともに、通報者が、通報したことを理由として、事業者から解雇その他不利益な取扱いを受けていることが明らかになった場合には、消費者庁の公益通報者保護制度相談ダイヤル等を紹介するなど、通報者保護に係る必要なフォローアップを行うよう努める。
Even after completion of the handling of reports, the administrative organ will endeavor to provide necessary follow-up to the whistleblowers for their protection, such as by appropriately responding to any request for consultation or other assistance from the whistleblower and, if it is found that the whistleblower has been dismissed or has received other disadvantageous treatment by the relevant business operator on the grounds of the report, by referring the whistleblower to the Consumer Affairs Agency's whistleblower protection system consultation service line or other services.
5.その他
5. Other Matters
(1)通報関連資料の管理
(1) Management of Materials Related to Reports
各行政機関は、各通報事案への対応に係る記録及び関係資料について、適切な保存期間を定めた上で、通報に関する秘密保持及び個人情報の保護に留意して、適切な方法で管理しなければならない。
Each administrative organ must set an appropriate period for preserving records and relevant materials related to the handling of each reported case and must manage such records and materials in an appropriate manner by giving consideration to the confidentiality of reports and to the protection of personal information.
(2)職員への周知
(2) Making Information Known to Personnel
各行政機関は、幹部職員等のリーダーシップの下、職員に対する定期的な研修の実施、説明会の開催その他適切な方法により、法及び本ガイドラインの内容、当該行政機関における通報対応の仕組み等について、全ての職員に対し、十分に周知する。
Under the leadership of its executive officials, each administrative organ will make the contents of the Act and these Guidelines as well as the mechanisms for handling reports at the administrative organ, etc. sufficiently known to all personnel, by providing regular training to, holding information sessions for, and using other appropriate approaches to the personnel.
(3)事業者及び労働者等への周知等
(3) Making Information Known to Business Operators and Workers
① 各行政機関は、当該行政機関の所管事業に係る事業者及び労働者等に対する広報の実施、説明会の開催その他適切な方法により、法及び「公益通報者保護法を踏まえた内部通報制度の整備・運用に関する民間事業者向けガイドライン」(平成28年12月9日 消費者庁。以下「民間事業者向けガイドライン」という。)の内容並びに当該行政機関における通報窓口、通報対応の仕組み等について、周知するよう努める。
(i) each administrative organ will endeavor to make the relevant persons aware of the contents of the Act and the Guidelines for Private Enterprises Regarding the Development and Operation of Internal Reporting Systems Based on the Whistleblower Protection Act (dated December 9, 2016 issued by the Consumer Affairs Agency; hereinafter referred to as the "Guidelines for Private Enterprises") as well as the point of contact for reports and the mechanisms for handling reports at the administrative organ, by conducting publicity activities towards, holding information sessions for, and using other appropriate approaches to business operators, workers, etc. involved in businesses under the jurisdiction of the administrative organ.
② 各行政機関は、当該行政機関の契約の相手方又は補助金等の交付先(以下「相手方事業者」という。)における法令遵守及び不正防止を図るために必要と認められる場合(過去に不正が発生し同種の事案の再発防止の必要性が高い場合、事業者の専門性に大きく依存する事業など外部からの監督だけでは不正の発見が困難な場合、不正が発生すると個人の生命、身体、財産その他の利益が侵害されるおそれがある場合など。)には、相手方事業者に対して、民間事業者向けガイドラインに基づく取組の実施を求めることなどに努める。
(ii) if an administrative organ deems it necessary for its contractual party or a recipient of its subsidy, etc. (hereinafter collectively referred to as the "partner business operator") to ensure compliance with laws and regulations and to prevent misconduct (including cases where misconduct occurred in the past and it is highly necessary to prevent the recurrence of a similar case, or a case where it is difficult to discover any misconduct solely by external supervision such as a project relying heavily on the business operator's expertise, or a case where the occurrence of any misconduct may damage the life, body, property or any other interest of an individual), the administrative organ will endeavor to request the partner business operator to make efforts according to the Guidelines for Private Enterprises.
(4)協力義務等
(4) Duty to Cooperate
① 各行政機関及び職員は、本ガイドラインに定める通報について、他の行政機関その他公の機関から調査等の協力を求められたときは、正当な理由がある場合を除き、必要な協力を行う。
(i) if an administrative organ and its personnel are requested by any other administrative organ or other public agency to conduct investigation or otherwise cooperate in relation to a report as set forth in these Guidelines, the requested administrative organ and its personnel will provide necessary cooperation unless there is just cause not to do so.
② 各行政機関は、通報対象事実又はその他の法令違反の事実に関し、処分又は勧告等をする権限を有する行政機関が複数ある場合においては、連携して調査を行い、措置をとるなど、相互に緊密に連絡し協力する。
(ii) if there are two or more administrative organs having authority to impose a disposition, recommendation, etc. with respect to a reported fact or any other fact of violation of laws and regulations, these administrative organs will closely communicate and cooperate with each other by such means as working together to conduct investigation and to take measures.
③ 各行政機関は、所管法令に違反する事実について処分又は勧告等をする権限を他の行政機関に委任等をしている場合において、当該所管法令違反の事実に関する通報がなされたときは、通報に関する秘密保持及び個人情報の保護に留意しつつ、当該他の行政機関と通報及び通報への対応状況に関する情報を共有し、通報対応への助言を行うなど、適切な法執行を確保するために必要な協力、支援等(委任庁が受任庁に対して指揮監督権限を有する場合においては、当該権限の適切な行使も含む。)を行うものとする。
(iii) if an administrative authority has delegated or otherwise assigned its authority to impose a disposition, recommendation, etc. with respect to facts violating any laws and regulations under its jurisdiction to any other administrative authority and if a report has been received a fact of any violation of any such laws and regulations under the delegating administrative authority's jurisdiction, then the delegating administrative authority is to provide the delegated administrative authority with cooperation, support, etc. necessary to ensure appropriate law enforcement (including, if the delegating administrative authority has authority to provide guidance and supervision to the delegated administrative authority, appropriate exercise of such authority), by such means as sharing information on the report and its handling with the delegated administrative authority and providing the delegated administrative authority with advice on the handling of such report, while giving consideration to the confidentiality of the report and to the protection of personal information.
(5)通報対応の評価及び改善
(5) Evaluation and Improvement of the Handling of Reports
① 通報対応の仕組みの運用状況についての透明性を高めるとともに、客観的な評価を行うことを可能とするため、各行政機関は、通報に関する秘密保持及び個人情報の保護並びに適切な法執行の確保及び利害関係人の営業秘密、信用、名誉、プライバシー等の保護に支障がない範囲において、当該行政機関における通報対応の仕組みの運用状況に関する情報(例えば、通報受付件数、通報事案の概要、通報事案の調査結果の概要、調査の結果とった措置、調査対応状況の概要、通報対応に要した期間等)を、定期的に公表する。
(i) in order to improve the transparency of the operation of its mechanisms for handling reports and in order to make objective evaluation possible, each administrative organ will periodically release information regarding the operational status of its mechanisms for handling reports (e.g., the number of reports received, an outline of reported cases, an outline of the results of investigations into reported cases, measures taken as a result of investigations, an outline of the status of investigations, and time taken to handle reports), to the extent that such release will not hinder the confidentiality of reports and the protection of personal information, the ensuring of appropriate law enforcement, or the protection of the trade secrets, reputation, honor, privacy, etc. of interested persons.
② 各行政機関は、通報対応の仕組みの運用状況について、職員及び中立的な第三者の意見等を踏まえて定期的に評価及び点検を行うとともに、他の行政機関による先進的な取組事例等も参考にした上で、通報対応の仕組みを継続的に改善するよう努める。
(ii) each administrative organ will periodically evaluate and inspect the operation of its mechanisms for handling reports by taking into account, the opinions of its personnel and neutral third parties, etc. and will endeavor to continuously improve its mechanisms for handling reports while referring to the examples of advanced practices of other administrative organs, etc.
(6)消費者庁の役割等
(6) Role of the Consumer Affairs Agency
① 消費者庁は、国の行政機関における通報対応の仕組みの適切な整備及び運用を図るため、又は個別の通報事案に対する適切な対応を確保するために必要があると認めるときは、通報に関する秘密保持及び個人情報の保護に留意しつつ、各行政機関に対し、資料の提出、説明その他必要な協力を求めることができる。
(i) if it deems necessary to ensure the appropriate establishment, maintenance and operation of mechanisms for handling reports at a national administrative organ or to ensure the appropriate handling of an individual reported case, the Consumer Affairs Agency may request each administrative organ to submit materials, provide explanations or other necessary cooperation, while giving consideration to the confidentiality of reports and the protection of personal information.
② 消費者庁は、法の施行状況を把握するため、国の行政機関における通報窓口の設置及び運用状況、通報への対応状況、職員への研修の実施状況等について調査を行い、その結果を公表するものとする。
(ii) in order to monitor the implementation of the Act, the Consumer Affairs Agency is to research the status of national administrative organs' establishment, maintenance and operation of points of contact for reports, handling of reports, provision of training to their personnel, etc. and make the results public.
③ 消費者庁は、通報対応の仕組みの適切な整備及び運用に関して、各行政機関の職員への周知、研修等並びに事業者及び労働者等への広報、説明会等を実施するとともに、各行政機関が当該行政機関の職員並びに所管事業に係る事業者及び労働者等に対して同様の取組を行うに際して、資料の提供、説明その他必要な協力を行うものとする。
(iii) the Consumer Affairs Agency is to make it known to each administrative organ's personnel, and provide them with training and other assistance related to the appropriate establishment, maintenance and operation of mechanisms for handling reports, as well as conducting publicity activities towards, holding information sessions for, and using other approaches to business operators, workers, etc. in relation to that establishment, maintenance and operation, and is to provide materials, explanations and other necessary cooperation to each administrative organ in making similar approaches to its own personnel and towards business operators, workers, etc. involved in businesses under its jurisdiction.