公益通報者保護法を踏まえた地方公共団体の通報対応に関するガイドライン(内部の職員等からの通報)
Guidelines for Local Governments' Handling of Reports Based on the Whistleblower Protection Act (Reports from Internal Personnel and Others)

公益通報者保護法を踏まえた地方公共団体の通報対応に関するガイドライン(内部の職員等からの通報)
Guidelines for Local Governments' Handling of Reports Based on the Whistleblower Protection Act (Reports from Internal Personnel and Others)
公益通報者保護法を踏まえた地方公共団体の通報対応に関するガイドライン(内部の職員等からの通報)
Guidelines for Local Governments' Handling of Reports Based on the Whistleblower Protection Act (Reports from Internal Personnel 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、地方公共団体が内部の職員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、内部監査機能の強化及び組織の自浄作用の向上に寄与するなど、地方公共団体の法令遵守の確保につながるものである。
The local governments' establishment, maintenance and appropriate operation of mechanisms for handling reports from internal personnel 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 internal audit function and to the improvement of the self-cleansing function of organizations and will otherwise lead to the ensuring of compliance with laws and regulations by the local governments.
また、内部の職員等からの通報を積極的に活用したリスク管理等を通じて、地方公共団体が適切に行政事務を遂行していくことは、地方自治に対する住民の信頼の確保並びに地域住民の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 local governments' appropriate performance of administrative functions through measures such as risk management by actively utilizing reports from internal personnel and others will contribute to the ensuring of residents' trust in local autonomy as well as to the stabilization of the general welfare of the life of the local residents 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、地方公共団体において、内部の職員等からの法令違反等に関する通報を適切に取り扱うため、各地方公共団体において自主的に取り組むことが求められる基本的事項等を定めることにより、通報者の保護を図るとともに、地方公共団体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 laws and regulations by the local governments by setting forth basic approaches that are expected to be used voluntarily by each local government and other similar matters in order for the local governments to appropriately handle reports from internal personnel and others concerning violations of laws and regulations and other misconduct.
なお、本ガイドラインは、地方自治法(昭和22年法律第67号)第245条の4第1項の規定に基づく技術的な助言として位置付けられるものであり、各地方公共団体において一層充実した通報対応の仕組みを整備及び運用すること、又は各地方公共団体の規模等の実情に応じた適切な取組を行うことを妨げるものではない。
These Guidelines are positioned as technical advice under the provisions of Article 245-4, paragraph (1) of the Local Autonomy Act (Act No. 67 of 1947), and are not to preclude appropriate initiatives according to the size and other aspects of each local government or the further improvement of the introduction, maintenance and operation of means for handling reports that have already been put in place by each local government.
また、本ガイドラインにおいて「法令」とは、各地方公共団体が制定する条例、規則その他の規程を含むものとする。
For the purpose of these Guidelines, the term "laws and regulations" includes all prefectural or municipal ordinances, regulations and other rules established by each local government.
2.通報対応の在り方
2. Infrastructure for 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 各地方公共団体は、内部の職員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 local government 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 internal personnel and others while giving consideration to the confidentiality of reports and to the protection of personal information.
② 各地方公共団体は、通報対応の仕組みについて、内部規程(条例等を含む。)を作成する。
(ii) each local government will establish internal rules (including prefectural or municipal ordinances, etc.) for its mechanisms for handling reports.
③ 支庁、地方事務所、支所、出張所等(以下「出先機関等」という。)を置いている地方公共団体にあっては、当該通報対応の仕組みの下で、各出先機関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 local government with sub-prefecture offices, local offices, branches, sub-branches, etc. (hereinafter collectively referred to as "local agencies") will make information known, establish systems and take other measures necessary to appropriately handle reports at each of its local agencies under the above mechanisms for handling reports.
(2)総合的な窓口の設置
(2) Establishment of an Integrated Point of Contact
① 各地方公共団体は、当該地方公共団体における職員等からの通報を受け付ける窓口(以下「通報窓口」という。)を、全部局の総合調整を行う部局又はコンプライアンスを所掌する部局等に設置する。この場合、各地方公共団体は、当該地方公共団体内部の通報窓口に加えて、外部に弁護士等を配置した窓口を設けるよう努める。
(i) each local government will establish a point of contact to receive reports from its personnel and others (hereinafter referred to as a "point of contact for reports") at the department conducting overall coordination of all departments, the department responsible for compliance or other similar departments. In doing so, each local government will endeavor to establish an external point of contact staffed with lawyers or other professionals, beyond the point of contact for reports established within the local government.
② 各地方公共団体は、通報に関連する相談に応じる窓口(以下「相談窓口」という。)を設置する。
(ii) each local government will establish a point of contact to provide consultation on reports (hereinafter referred to as a "point of contact for consultation").
③ 人員、予算等の制約により専用の通報窓口又は相談窓口を設置することが困難な地方公共団体にあっては、通報に関する秘密保持及び個人情報の保護に留意した上で、他の類似した目的のために当該地方公共団体に設置された窓口(例えば、職員の職務に係る倫理の保持、適切な労務環境の確保を目的とするもの等)を通報窓口又は相談窓口として活用することができる。
(iii) if it is difficult for a local government to establish a dedicated point of contact for reports or point of contact for consultation due to personnel, budgetary or other constraints, the local government may utilize a point of contact established at the local government for other similar purposes (e.g., such as a point of contact intended to ensure the maintenance of ethics in its personnel's duties or to ensure an appropriate working environment) as its point of contact for reports or point of contact for consultation, while giving consideration to the confidentiality of reports and to the protection of personal information.
④ 人員、予算等の制約により単独で通報窓口又は相談窓口を設置することが困難な地方公共団体にあっては、通報に関する秘密保持及び個人情報の保護に留意した上で、他の地方公共団体と連携及び協力して事務を行う仕組み(例えば、協議会の設置、機関等の共同設置、事務の委託又は代替執行等)を活用して通報窓口又は相談窓口を設置することができる。
(iv) if it is difficult for a local government to independently establish a point of contact for reports or point of contact for consultation due to personnel, budgetary or other constraints, the local government may establish a point of contact for reports or point of contact for consultation by utilizing a mechanism to perform functions in coordination and cooperation with other local governments (e.g., such as establishment of a council, joint establishment of an agency or other organizations, delegating of services, or execution by substitute), while giving consideration to the confidentiality of reports and to the protection of personal information.
(3)担当者の配置及び育成
(3) Assignment and Training of Responsible Party
各地方公共団体は、当該地方公共団体の関係する部局に、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 local government 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 such 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 Ensuring the 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 reports 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 under similar circumstances; hereinafter the same applies) must not breach the confidentiality of 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 reports or in the provision of consultation must not, without good reason, disclose to others the details of any personal information learned or use such information for any wrongful purpose.
③ 各地方公共団体は、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、「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。)Ⅲ.1.に掲げる通報に係る秘密保持の徹底を図るための各種方策等を十分に踏まえた上で、当該地方公共団体の実情に応じて最も適切と考えられる方法により行うものとする。
(iii) in order to thoroughly ensure the confidentiality of reports or consultation and the protection of personal information, each local government 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 local government is to employ methods that are considered most appropriate for the situation of the local government by sufficiently taking into consideration the various measures to thoroughly ensure the confidentiality of reports as listed in part 3, section (1) of 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").
(5)利益相反関係の排除
(5) Eliminating Conflicts of Interest
① 各地方公共団体の職員は、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) personnel of each local government may not take part in the handling of any reported cases in which the personnel is involved.
② 各地方公共団体は、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 reported case each local government is to check whether or not any of the persons involved in the handling of the reported case has a conflict of interest with such reported case.
(6)通報対象の範囲
(6) Scope of Reports to be Received
通報窓口では、以下の通報を受け付ける。
A point of contact for reports will receive the following reports:
ア.当該地方公共団体(当該地方公共団体の事業に従事する場合における職員、代理人その他の者を含む。)についての法令違反行為(当該法令違反行為が生ずるおそれを含む。)
a. any violation of laws and regulations (including any threatened violation of laws and regulations) related to the local government (including any personnel, agent or other person engaged in the service of the local government).
イ.ア.のほか適正な業務の推進のために各地方公共団体において定める事実
b. any other fact specified by the local government for promoting a proper service.
(7)通報者の範囲
(7) Scope of Whistleblowers
① 通報窓口では、当該地方公共団体の職員及び当該地方公共団体の契約先の労働者のほか、当該地方公共団体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。
(i) the point of contact for reports will receive reports from personnel of the local government, workers of contractors of such local government, and other persons considered necessary to ensure compliance with the laws and regulations by the local government.
② 通報窓口では、①に掲げる者のほか、当該地方公共団体の住民等からの通報も受け付けることができる。この場合の通報対応の手続については、法及び本ガイドラインの趣旨を踏まえ、各地方公共団体が別に定める。
(ii) the point of contact for reports may receive reports from residents of the local government and others beyond those listed in (i) above. The procedure for handling such reports will be separately established by each local government based on the purpose of the Act and these Guidelines.
(8)匿名による通報の取扱い
(8) Handling of Anonymous Reports
各地方公共団体は、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、各地方公共団体は、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 local government 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 local government 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
(1) Receiving Reports
① 各地方公共団体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 reports, the local government 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 各地方公共団体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、通報者に対する不利益な取扱いはないこと、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④、(2)①及び④、(4)①及び②に規定する通知においても、同様とする。)。
(ii) upon receiving of a report, the local government 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, among other things: that they will not receive disadvantageous treatment; 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 (iv), (2) (i) and (iv), and (4) (i) and (ii) 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 各地方公共団体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、これを受理したときは受理した旨を、受理しないときは受理しない旨及びその理由を、通報者に対し、遅滞なく通知する。
(iv) following receiving of a report, the local government will sufficiently consider the necessity for handling the report based on the purpose of the Act and these Guidelines, and will notify the whistleblower, without delay: (a) to the effect that their report has been accepted, if the local government has chosen to accept the report; or (b) to the effect that their report is not accepted, together with the reason therefor, if the local government has chosen not to accept it.
(2)調査の実施
(2) Conduct of Investigation
① 各地方公共団体において通報を受理した後は、調査の必要性を十分に検討し、適正な業務の遂行及び利害関係人の秘密、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、調査を行う場合はその旨及び着手の時期を、調査を行わない場合はその旨及び理由を、通報者に対し、遅滞なく通知する。
(i) following acceptance of a report, the local government will sufficiently consider the necessity for investigation and excluding the case where such notification does not hinder the performance of service by the local government or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons, the local government will notify the whistleblower, without delay: (a) to the effect that investigation will be conducted and when the investigation will be started, if the local government has chosen to conduct investigation; or (b) to the effect that investigation will not be conducted, together with the reason therefor, if the local government has chosen not to conduct 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 to 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 適正な業務の遂行及び利害関係人の秘密、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 performance of service by the local government or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons are hindered, the local government 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)調査結果に基づく措置の実施等
(3) Implementation of Measures Based on Investigation Results
各地方公共団体は、調査の結果、法令違反等の事実が明らかになったときは、速やかに是正措置、再発防止策等(以下「是正措置等」という。)をとるとともに、必要があるときは、関係者の処分を行う。
If the investigation reveals any violations, etc. of laws and regulations, the local government will promptly take rectification and preventive measures, etc. (hereinafter collectively referred to as "rectification measures, etc.") and will take action against the persons involved if necessary.
(4)通報者への是正措置等の通知
(4) Notification of Rectification Measures to the Whistleblower
① 各地方公共団体が是正措置等をとったときは、その内容を、適正な業務の遂行及び利害関係人の秘密、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 local government takes rectification measures, etc., it will notify the whistleblower the details thereof without delay and to the extent that such notification will not hinder the appropriate performance of service by the local government or the protection of the secrets, reputation, honor, privacy, etc. of interested persons.
② 各地方公共団体は、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 local government will endeavor to set a standard period that is required from receipt of a report to the end of the handling of a report, or to notify the whistleblower of the expected time required, without delay.
(5)関係事項の公表
(5) Release of Relevant Information
各地方公共団体は、必要と認める事項を、適宜公表する。
The local government will timely release information that it considers necessary.
(6)是正措置等の実効性評価
(6) Evaluation of the effectiveness of Rectification Measures
各地方公共団体は、通報対応終了後、是正措置等が当該地方公共団体において十分に機能していることを適切な時期に確認し、必要があると認めるときは、新たな是正措置その他の改善を行うよう努める。
Following completion of the handling of a report, the local government will, at an appropriate time, check that the rectification measures, etc. are working sufficiently at the local government and will, if it considers necessary, endeavor to take additional rectification measures or to make other improvements.
(7)意見又は苦情への対応
(7) Handling of Feedback or Complaints
各地方公共団体は、通報対応に関して通報者又は相談者(以下「通報者等」という。)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 whistleblower or consulter (hereinafter collectively referred to as a "whistleblowers, etc."), the local government will endeavor to promptly and appropriately respond to such feedback or complaint.
4.通報者等の保護
4. Protecting of Whistleblowers
(1)通報者等の保護
(1) Protecting of Whistleblowers
① 各地方公共団体は、通報者等に対し、通報又は相談をしたことを理由として懲戒処分その他不利益な取扱い(嫌がらせ等の事実上の行為を含む。以下同じ。)をしてはならない。
(i) the local government must not take any disciplinary action or other disadvantageous treatment (including harassment and other de facto acts; hereinafter the same applies) against the whistleblowers, etc. on the basis of reports or consultation.
② 各地方公共団体は、通報者等に対し、通報又は相談をしたことを理由として懲戒処分その他不利益な取扱いを行った者に対し、懲戒処分その他適切な措置をとる。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ついても同様とする。
(ii) the local government will take disciplinary action or other appropriate measures against any person who took disciplinary action toward or gave any other disadvantageous treatment to the whistleblowers, etc. on the basis of reporting or consulting. This also applies to personnel who breached the confidentiality of reports or consultation without just cause or who, without good reason, 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
各地方公共団体は、通報対応の終了後、通報者に対し、通報したことを理由とした不利益な取扱いが行われていないかを適宜確認するなど、通報者保護に係る十分なフォローアップを行う。その結果、不利益な取扱いが認められる場合には、通報者を救済するための適切な措置を講じる。
Following completion of the handling of reports, the local government will provide sufficient follow-up to whistleblowers for their protection, such as by timely checking whether or not the whistleblower has been treated disadvantageously on the grounds of the report. If such check reveals any disadvantageous treatment, the local government will take appropriate measures to relieve the whistleblower.
(3)職員への救済制度の周知
(3) Making Relief Systems Known to Personnel
各地方公共団体は、通報又は相談したことを理由とした不利益な取扱いについて、職員が不利益な取扱いの内容等に応じて、人事委員会又は公平委員会に対する不利益処分についての審査請求(地方公務員法(昭和25年法律第261号)第49条の2)、勤務条件に関する措置の要求(同法第46条)、苦情相談制度等を利用することができる旨を周知する。
The local government will make it known to the personnel that, according to the particulars of each disadvantageous treatment given on the grounds of reporting or consulting, they will be eligible to request for administrative review with regard to the adverse disposition to the local government's personnel commission or equity commissions (Article 49-2 of the Local Public Service Act (Act No. 261 of 1950)), make a request for measures on working conditions (Article 46 of the same act) and use complaint processing systems, etc.
5.その他
5. Other Matters
(1)通報関連資料の管理
(1) Management of Materials Related to Reports
各地方公共団体は、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、適切な方法で管理する。
Each local government will set an appropriate period for preserving records and relevant materials related to the handling of each reported case and will 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)職員等への周知
(2) Making Information Known to Personnel
① 各地方公共団体は、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、当該地方公共団体における通報窓口、通報対応の仕組み等について、全ての職員等に対し、十分に周知する。
(i) under the leadership of its executive officials, each local government will make the contents of the Act and these Guidelines as well as the point of contact for reports and the mechanisms for handling reports at the local government, etc. sufficiently known to all personnel, etc., by providing such personnel with regular training to, holding information sessions for, and using other appropriate approaches to such personnel.
② 各地方公共団体は、通報者の上司である職員が通報を受けた場合、当該職員が自ら行える範囲で必要に応じ調査を行うとともに、当該職員の上司への報告、通報窓口への通報その他適切な措置を遅滞なくとるべき旨を周知する。なお、この場合の上司については、必ずしも職制上直接に指揮監督を行う地位にある者であることを要しないものとする。
(ii) each local government will make it known to all personnel that if a report is received by a staff member who is a supervisor of the whistleblower, the staff member should, as necessary, conduct investigation to the extent possible by their own efforts and should, without delay, make a report to their supervisors and the point of contact for reports and take other appropriate measures. The supervisor in this case does not have to be in a position to directly provide guidance and supervision to the relevant personnel in the organization.
③ 各地方公共団体は、通報窓口及び通報対応の仕組みに対する職員等の信頼性の向上を図るため、通報に関する秘密保持及び個人情報の保護並びに適正な業務の遂行及び利害関係人の秘密、信用、名誉、プライバシー等の保護に支障が生じない範囲において、その運用実績の概要を職員等に周知する。
(iii) in order to ensure the improvement of its personnel's and others' trust in the point of contact for reports and in the mechanisms for handling reports each local government will make it known to all personnel, etc. an outline of the performance of the point of contact for reports and such mechanisms, to the extent that such notification will not hinder the confidentiality of reports and the protection of personal information, the performance of service by the local government, or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons.
(3)協力義務
(3) Duty to Cooperate
① 各地方公共団体の職員は、正当な理由がある場合を除き、通報に関する調査に誠実に協力する。
(i) all of the personnel of local governments will cooperate, in good faith, in any investigations into reports unless there is just cause not to do so.
② 各地方公共団体及び職員は、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。
(ii) if a local government and its personnel are requested by any other government or other public agency to conduct investigation or otherwise cooperate in relation to a report as set forth in these Guidelines, the requested local government and its personnel will provide necessary cooperation unless there is just cause not to do so.
(4)通報対応の評価及び改善
(4) 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、各地方公共団体は、通報に関する秘密保持及び個人情報の保護並びに適正な業務の遂行及び利害関係人の秘密、信用、名誉、プライバシー等の保護に支障が生じない範囲において、当該地方公共団体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 local government 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 performance of service by the local government, or the protection of the secrets, reputation, honor, privacy, etc. of interested persons.
② 各地方公共団体は、通報対応の仕組みの運用状況について、職員等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、民間事業者向けガイドラインに掲げられた手法、他の行政機関及び事業者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 local government will periodically evaluate and inspect the operation of its mechanisms for handling reports by taking into account the opinions of its personnel, etc. and neutral third parties, etc. and will endeavor to continuously improve its mechanisms for handling reports while referring to the methods listed in the Guidelines for Private Enterprises and the examples of advanced practices of other local governments or business operators, etc.
(5)消費者庁の役割
(5) Role of the Consumer Affairs Agency
① 消費者庁は、地方公共団体における通報対応の仕組みの適切な整備及び運用並びに個別の通報事案に対する適切な対応を確保するため、各地方公共団体に対して必要な助言、協力、情報の提供その他の援助を行うものとする。
(i) in order to ensure the appropriate establishment, maintenance and operation of mechanisms for handling reports at local governments and to ensure the appropriate handling of individual reported cases, the Consumer Affairs Agency is to provide local governments with necessary advice, cooperation, information and other assistance.
② 消費者庁は、法の施行状況を把握するため、各地方公共団体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 local governments' 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、各地方公共団体の職員への周知、研修等を実施するとともに、各地方公共団体が当該地方公共団体の職員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 local government's personnel, and provide them with training and other assistance related to, the appropriate establishment, maintenance and operation of mechanisms for handling reports, and is to provide materials, explanations and other necessary cooperation to each local government as it makes similar approaches to its own personnel and others.
(6)都道府県の役割
(6) Role of Prefectural Governments
各都道府県は、当該都道府県の区域内の市区町村における通報対応の仕組みの適切な整備及び運用並びに個別の通報事案に対する適切な対応を確保するため、当該市区町村相互間の連絡調整及び当該市区町村に対する必要な助言、協力、情報の提供その他の援助を行うよう努める。
In order to ensure the appropriate establishment, maintenance and operation of mechanisms for handling reports by, and to ensure the appropriate handling of individual reported cases by, the municipal governments within its territory, each prefectural government will endeavor to coordinate communication between such municipal governments and to provide them with necessary advice, cooperation, information and other assistance.