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 ReportsBased on the Whistleblower Protection Act(Reports from Internal Personnel and Others)

令和４年６月１日

June 1, 2022

消費者庁

Consumer Affairs Agency

１．本ガイドラインの意義等

1. Significance of These Guidelines

（１）本ガイドライン改正の経緯と内容

(1) Background and Content of Amendments to 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。）は、令和２年改正前においては、事業者（地方公共団体を含む。以下同じ。）に対し、内部公益通報への対応体制整備を義務付けてはいなかったところ、地方公共団体における内部通報への対応体制については、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「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）」（平成２９年７月３１日。以下「地公体向けガイドライン（内部通報用）」という。）を作成し、各地方公共団体は、同ガイドラインを踏まえて内部公益通報への対応体制等を含む通報への対応の在り方を定めてきた。

Prior to the 2020 amendment, the Whistleblower Protection Act (Act No. 122 of 2004; hereinafter referred to as the "Act") did not require an enterprise (including a local government; the same applies hereinafter) to establish a system for dealing with internal whistleblowing disclosures. With respect to local governments' systems for dealing with internal reports, the "Guidelines for Local Governments' Handling of Reports Based on the Whistleblower Protection Act (Reports from Internal Personnel and Others)" (dated July 31, 2017; hereinafter referred to as the "Guidelines for Local Governments (for Internal Reports)") were developed as technical advice under the provisions of Article 245-4, paragraph (1) of the Local Autonomy Act (Act No. 67 of 1947), based on which each local government has established appropriate ways to handle reports, including, among other things, a system for dealing with internal whistleblowing disclosures.

令和２年６月に成立した「公益通報者保護法の一部を改正する法律」（令和２年法律第５１号）により改正された法において、公益通報対応業務従事者を定めること（法第１１条第１項）及び事業者内部における公益通報に応じ、適切に対応するために必要な体制の整備その他の必要な措置をとること（法第１１条第２項）を事業者に義務付けており（常時使用する労働者の数が３００人以下の事業者については努力義務）、さらに、その適切かつ有効な実施を図るために必要な事項を定めた「公益通報者保護法第１１条第１項及び第２項の規定に基づき事業者がとるべき措置に関して、その適切かつ有効な実施を図るために必要な指針」（令和３年内閣府告示第１１８号。以下「指針」という。）が策定された。

After the amendment by the "Act Partially Amending the Whistleblower Protection Act" (Act No. 51 of 2020) enacted in June 2020, the Act requires an enterprise to designate a person engaged in the activity of dealing with whistleblowing disclosures (Article 11, paragraph (1) of the Act) and to establish a necessary system or otherwise take necessary measures to respond to and appropriately handle whistleblowing disclosures made within the enterprise, and to take other necessary measures (Article 11, paragraph (2) of the Act) (an enterprise regularly employing 300 or fewer workers is required to endeavor to take these measures). Furthermore, the "Guidelines Necessary for the Appropriate and Effective Implementation of the Measures to Be Taken by Enterprises Pursuant to Article 11, Paragraphs (1) and (2) of the Whistleblower Protection Act" (Cabinet Office Notification No. 118 of 2021; hereinafter referred to as the "Cabinet Office Guidelines") were established, which set forth the matters necessary for an enterprise to appropriately and effectively implement these measures.

指針は、事業者における内部公益通報対応体制等の具体的な内容について定めており、地公体向けガイドライン（内部通報用）が定める事項と重複しているため、同ガイドラインに指針により新たに義務付けられた事項を付記する等、指針との整合性を確保するために必要最小限の修正を行い、その他の事項については同ガイドラインの規定をそのまま維持している。

The Cabinet Office Guidelines set forth the specific details of an enterprise's system for dealing with internal whistleblowing disclosures, which overlap with some of the matters set forth in these Guidelines for Local Governments (for Internal Reports). For this reason, the minimum necessary amendments have been made to these Guidelines in order to ensure consistency with the Cabinet Office Guidelines, such as by adding to these Guidelines the new requirements imposed by the Cabinet Office Guidelines, with no changes being made to the remaining provisions of these Guidelines.

地方公共団体は、本ガイドラインを踏まえながら、各地方公共団体の実情等も勘案し、法及び指針が求める措置を講ずる必要がある。また、指針が求める事項の検討に当たっては「公益通報者保護法に基づく指針（令和３年内閣府告示第１１８号）の解説」（令和３年１０月１３日消費者庁。以下「指針の解説」という。）も踏まえる必要がある。

A local government must take the measures required by the Act and the Cabinet Office Guidelines based on these Guidelines, while taking into account the actual circumstances of the local government. In addition, when considering the requirements imposed by the Cabinet Office Guidelines, a local government must also take into account the "Commentaries on the Guidelines under the Whistleblower Protection Act (Cabinet Office Notification No. 118 of 2021)" (published by the Consumer Affairs Agency on October 13, 2021; hereinafter referred to as the "Commentaries on the Cabinet Office Guidelines").

（２）内部公益通報制度の意義

(2) Significance of the System for Dealing with Internal Whistleblowing Disclosures

地方公共団体が職員等（法第２条第１項に定める役務提供先等への通報が内部通報となり得る者。以下同じ。）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 and appropriate operation of mechanisms for handling reports from personnel and others (i.e., persons whose reports to the "recipient of services or other designated person" as referred to in Article 2, paragraph (1) of the Act may constitute internal whistleblowing disclosures; the same applies hereinafter) 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、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 their 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.

以上の意義も踏まえ、地方公共団体において、職員等からの法令違反等に関する通報を適切に取り扱い、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が求められる。

Based on the significance described above, among other things, the local governments are expected to ensure the protection of whistleblowers and to promote the local governments' compliance with laws and regulations, by appropriately handling reports from 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 constitute technical advice under the provisions of Article 245-4, paragraph (1) of the Local Autonomy Act, and do not preclude a local government from establishing and operating more advanced mechanisms for handling reports or from taking appropriate approaches according to the size and other conditions of the 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し、その他本ガイドラインにおいて使用されている用語は、本ガイドラインにおいて定義されている用語を除き、指針及び指針の解説の例による。

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. All other terms used in these Guidelines have the meanings ascribed to them in the Cabinet Office Guidelines and the Commentaries on the Cabinet Office Guidelines, unless otherwise referred to in these Guidelines.

２．通報対応の在り方

2. Infrastructure for Handling Reports

（１）内部公益通報対応体制の整備及び運用

(1) Establishment and Operation of a System for Dealing with Internal Whistleblowing Disclosures

①　各地方公共団体は、内部公益通報を部署間横断的に受け付ける窓口（以下「内部公益通報受付窓口」という。）を設置し、当該窓口に寄せられる内部公益通報を受け、調査をし、是正に必要な措置をとる部署及び責任者を明確に定める。なお、責任者は幹部とする。

(i) Each local government will establish contact points to receive internal whistleblowing disclosures in a cross-functional manner (hereinafter referred to as "internal whistleblowing contact points") and will clearly designate the departments and responsible persons that will receive internal whistleblowing disclosures received by the contact points, conduct investigations, and take measures necessary for rectification. These responsible persons shall be executive officials.

②　各地方公共団体は、法、指針及び本ガイドラインにおいて求められる事項について、内部規程（条例を含む。）を作成し、また、当該規程の定めに従って運用する。

(ii) Each local government will establish internal rules (including prefectural or municipal ordinances) for the requirements imposed by the Act, the Cabinet Office Guidelines, and these Guidelines, and will apply those requirements pursuant to the provisions of the internal rules.

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、当該地方公共団体が定める内部公益通報対応体制の下で、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とる。

(iii) Each local government with sub-prefecture offices, local offices, branches, sub-branches, etc. (hereinafter collectively referred to as "local agencies") will disseminate information, establish systems, and take other measures necessary to appropriately handle reports at each of its local agencies under the system for dealing with internal whistleblowing disclosures established by the local government.

④　内部公益通報体制の整備及び運用に当たっては、指針の解説に掲げる事項も踏まえた上で、各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。

(iv) Each local government will establish and operate its system for dealing with internal whistleblowing disclosures by adopting methods that are considered most appropriate for its situation by also taking into consideration the provisions of the Commentaries of the Cabinet Office Guidelines.

（２）総合的な窓口の設置

(2) Establishment of an Integrated Contact Point

①　各地方公共団体は、内部公益通報受付窓口を、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内部公益通報受付窓口に加えて、外部に弁護士等を配置した内部公益通報受付窓口を設けるよう努める。

(i) Each local government will establish an internal whistleblowing contact point at the department conducting overall coordination of all departments, the department responsible for compliance, or such other department. In addition to this internal whistleblowing contact point established within the local government, the local government will endeavor to establish, outside itself, an internal whistleblowing contact point staffed with lawyers or other professionals.

②　各地方公共団体は、職員等から寄せられる、内部公益通報対応体制の仕組みや不利益な取扱い（通報又は相談をしたことを理由として行われる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。）をいう。以下同じ。）、その他通報に関連する質問・相談に応じる窓口（以下「相談窓口」という。）を設置し、これらに対応する。

(ii) Each local government will establish contact points to deal with questions and consultation requests received from its personnel and others regarding any of the following matters (hereinafter referred to as "contact points for consultation"), and will respond to these questions and consultation requests through these contact points: the mechanisms of the system for dealing with internal whistleblowing disclosures; disadvantageous treatment (meaning any disciplinary action or other disadvantageous treatment (including harassment and other non-official acts) taken by reason of making a report or requesting consultation; the same applies hereinafter); or any other matter related to reporting.

③　各地方公共団体は、内部公益通報受付窓口において受け付ける内部公益通報に係る公益通報対応業務に関して、組織の長その他幹部に関係する事案については、これらの者からの独立性を確保する措置をとる。

(iii) Each local government will take measures to ensure that in cases where an organizational head or other executive officials are involved, the activity of dealing with whistleblowing disclosures for an internal whistleblowing disclosure received through an internal whistleblowing contact point is independent from these executive officials.

④　人員、予算等の制約により専用の内部公益通報受付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）を内部公益通報受付窓口又は相談窓口として活用することができる。

(iv) If it is difficult for a local government to establish a dedicated internal whistleblowing contact point or contact point for consultation due to personnel, budgetary, or other constraints, the local government may, after giving consideration to the confidentiality of reports and the protection of personal information, utilize a contact point established at the local government for other similar purposes (e.g., such as a contact point intended to ensure the maintenance of ethics in its personnel's duties or to ensure an appropriate working environment) as its internal whistleblowing contact point or a contact point for consultation.

⑤　人員、予算等の制約により単独で内部公益通報受付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）を活用して内部公益通報受付窓口又は相談窓口を設置することができる。

(v) If it is difficult for a local government to independently establish an internal whistleblowing contact point or a contact point for consultation due to personnel, budgetary, or other constraints, the local government may, after giving consideration to the confidentiality of reports and the protection of personal information, establish an internal whistleblowing contact point or contact point for consultation by utilizing a mechanism to perform functions in coordination and cooperation with other local governments (e.g., such as establishing a council, jointly establishing an agency or other organization, or delegating services to, or having services performed on behalf of the local government by, other local governments).

（３）公益通報対応業務従事者の配置及び育成

(3) Assignment and Training of a Person Engaged in the Activity of Dealing with Whistleblowing Disclosures

①　各地方公共団体は、内部公益通報受付窓口において受け付ける内部公益通報に関して公益通報対応業務を行う者であり、かつ、当該業務に関して公益通報者を特定させる事項を伝達される者を、公益通報対応業務従事者（以下「従事者」という。）として定める。

(i) Each local government will designate as a person engaged in the activity of dealing with whistleblowing disclosures (hereinafter referred to as "person engaged in the activity") a person who conducts the activity of dealing with whistleblowing disclosures with respect to internal whistleblowing disclosures received by the local government's internal whistleblowing contact points and to whom information allowing the identification of whistleblowers is conveyed in connection with such activity.

②　各地方公共団体は、従事者を定める際には、書面により指定をするなど、従事者の地位に就くことが従事者となる者自身に明らかとなる方法により定める。

(ii) Each local government will designate a person engaged in the activity in writing or in any other manner that makes it clear to each person becoming a person engaged in the activity that he/she is to take the post of a person engaged in the activity.

③　各地方公共団体は、公益通報対応業務に必要な適性及び能力を有する者を従事者として定める。

(iii) Each local government will designate as a person engaged in the activity a person who has the required aptitudes and abilities to perform the activity of dealing with whistleblowing disclosures.

④　各地方公共団体は、従事者に対し、所要の知識及び技能の向上を図るための教育、研修等を十分に行い、公益通報者を特定させる事項の取扱いについては特に十分に教育を行う。

(iv) Each local government will provide its persons engaged in the activity with sufficient education, training, etc. to improve required knowledge and skills and, in particular, sufficient education to deal with information that allows the identification of whistleblowers.

（４）範囲外共有等の防止、秘密保持及び個人情報保護の徹底

(4) Prevention of Over-sharing; Thorough Protection of Confidentiality and Personal Information

①　各地方公共団体は、職員等（法第２条第１項に定める「代理人その他の者」を含み、退職者は除く。②においても同じ。）が公益通報者を特定させる事項を必要最小限の範囲を超えて共有すること（以下「範囲外共有」という。）を防ぐための措置をとり、範囲外共有が行われた場合には、適切な救済・回復の措置をとる。

(i) Each local government will take measures to prevent its personnel and others (including "agent or other persons" as referred to in Article 2, paragraph (1) of the Act and excluding retirees; the same applies in (ii) below) from sharing information that allows the identification of a whistleblower with someone beyond the minimum necessary extent (hereinafter referred to as "over-sharing") and, if any over-sharing occurs, will take appropriate measures for relief and recovery.

②　各地方公共団体は、職員等が、公益通報者を特定した上でなければ必要性の高い調査が実施できないなどのやむを得ない場合を除いて、公益通報者を特定しようとする行為（以下「通報者の探索」という。）を行うことを防ぐ措置をとる。

(ii) Each local government will take measures to prevent its personnel and others from attempting to identify a whistleblower (hereinafter referred to as "search for the whistleblower"), except where it is unavoidable to do so, such as where highly necessary investigations cannot be conducted without identifying the whistleblower.

③　①及び②に加え、各地方公共団体は、秘密保持及び個人情報の保護のために次の事項を徹底する。

(iii) In addition to the measures set forth in (i) and (ii) above, each local government will thoroughly ensure the following in order to protect confidentiality and personal information:

ア．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こと。

a. The persons involved in the handling of a report or in the provision of consultation (including all persons who learned of secrets related to the report or consultation through duties incidental to the handling of the report or to the provision of consultation or under similar circumstances; hereinafter the same applies) must not breach the confidentiality of the report or consultation.

イ．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こと。

b. 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 such information for any wrongful purpose.

④　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。

(iv) In order to thoroughly ensure the confidentiality of a report or consultation and the protection of personal information, each local government will formulate, in advance, rules to be complied with at each stage of handling a report (including the stage after completion of the provision of consultation or the handling of a report, in addition to the stages set forth in 3. below; hereinafter the same applies) and will make these rules fully known to the persons who will be involved in the handling of reports or in the provision of consultations.

（５）利益相反関係の排除

(5) Elimination of Conflicts of Interest

①　各地方公共団体は、内部公益通報受付窓口において受け付ける内部公益通報に関し行われる公益通報対応業務について、事案に関係する者を公益通報対応業務に関与させない措置をとる。

(i) Each local government will take measures to prevent persons involved in a case from being involved in the activity of dealing with whistleblowing disclosures conducted in connection with the relevant internal whistleblowing disclosure received through an internal whistleblowing contact point.

②　各地方公共団体は、通報対応の各段階において、公益通報対応業務に関与する者が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。

(ii) At each stage of handling a report, each local government will check whether or not any of the persons involved in the activity of dealing with whistleblowing disclosures has a conflict of interest relationship with the reported case.

（６）通報対象の範囲

(6) Scope of Reports to Be Received

各地方公共団体が設置した内部公益通報受付窓口では、以下の通報を受け付ける。

The following reports will be received through an internal whistleblowing contact point established by a local government:

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等（法第２条第１項に定める「代理人その他の者」を含み、退職者は除く。））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) in which the local government (including any personnel and others (including "agent or other persons" as referred to in Article 2, paragraph (1) of the Act and excluding retirees) engaged in the service of the local government) is involved.

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 proper business.

（７）通報者の範囲

(7) Scope of Whistleblowers

①　内部公益通報受付窓口では、職員等のほか、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) A local government's internal whistleblowing contact points will receive reports from its personnel and others as well as other persons whose reports are considered necessary to ensure compliance with the laws and regulations by the local government.

②　各地方公共団体が設置した内部公益通報受付窓口では、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、指針及び本ガイドラインの趣旨を踏まえ、当該地方公共団体が別に定める。

(ii) The internal whistleblowing contact points established by each local government 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 the local government based on the purpose of the Act, the Cabinet Office Guidelines, 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、実名による通報と同様の取扱いを行う。この場合、各地方公共団体は、通報者との間で、適切に情報の伝達を行い得る仕組みを整備する。

Each local government will handle 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 establish mechanisms that allow the local government to communicate information with anonymous whistleblowers appropriately.

３．通報への対応

3. Handling of Reports

（１）通報の受付

(1) Receipt of Reports

①　各地方公共団体に通報があったときは、法、指針及び本ガイドラインを踏まえ、誠実かつ公正に通報に対応しなければならず、通報の受付を拒んではならない。

(i) Upon receipt of a report, the local government must handle the report fairly and in good faith based on the Act, the Cabinet Office Guidelines, and these Guidelines, and must not refuse to receive the report.

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、通報者に対して不利益な取扱いは行われないこと、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 receipt of the report, the local government will collect 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 the protection of personal information, and will also explain to the whistleblower, among other things: that the whistleblower will not face disadvantageous treatment; that the confidentiality of the report will be protected; that the whistleblower's 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 provide such explanation to the whistleblower because the report is made on an anonymous basis or if there is any other compelling reason not to provide such explanation (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け付けた旨を通知するよう努める。

(iii) In the case of (ii) above, if the report is made in writing, via e-mail or any other method that does not allow the whistleblower to confirm receipt of the report, the local government 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、指針及び本ガイドライン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 receipt of the report, the local government will sufficiently consider the necessity for handling the report based on the Act, the Cabinet Office Guidelines, and these Guidelines, and will notify the whistleblower, without delay: (a) to the effect that the report has been accepted, if the local government has chosen to accept it; or (b) to the effect that the 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、指針第４．１（３）に定める正当な理由がある場合を除いて、必要な調査を実施する。また、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 the report, the local government will sufficiently consider the necessity for investigation and, unless there is good reason not to do so as referred to in Part 4, 1 (3) of the Cabinet Office Guideline, will conduct necessary investigations. Except where giving the following applicable notification would hinder the local government's proper performance of its business 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 the investigations will be conducted and when the investigations will start, if the local government has chosen to conduct the investigations; or (b) to the effect that no investigations will be conducted, together with the reason therefor, if the local government has chosen not to conduct investigations.

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) The investigations will be conducted without delay and using necessary and appropriate methods, while giving sufficient consideration to the protection of the identity of the whistleblower 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、内部公益通報対応体制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, contents, etc. of the investigations and to ensure the appropriate progress of the investigations, the executive official or equivalent who is responsible for establishing and operating the system for dealing with internal whistleblowing disclosures will appropriately manage the reported case by such means as checking the investigations 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) The local government will notify the whistleblower of the progress of the investigations from time to time during the investigations and will put together the investigation results as promptly as possible and notify them to the whistleblower without delay, except where these actions would hinder the local government's proper performance of its business or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons.

（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 any of these investigations reveals any violation of laws and regulations or other misconduct, the local government will promptly take rectification measures, recurrence prevention measures, etc. (hereinafter collectively referred to as "rectification measures and other similar actions") 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、内部公益通報に係る通報対象事実がないときはその旨を、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、速やかに通知する。

(i) The local government will promptly notify the whistleblower of the details of the rectification measures and other similar actions taken by the local government, if this is the case, or the fact that the alleged reported fact does not exist, if this is the case, in each case to the extent that such notification will not hinder the local government's proper performance of its business or the protection of the secrets, reputation, honor, privacy, etc. of the 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 required for a report to be handled to completion after acceptance, or to notify, without delay, the whistleblower of the expected period required therefor.

（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 whose release 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。

Following completion of the handling of the report, the local government will, in a timely manner, check that the rectification measures and other similar actions are working well at the local government and will, if it considers necessary, take additional rectification measures or otherwise engage in remediation.

（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 the whistleblower or consulter (hereinafter collectively referred to as the "whistleblower or the like"), the local government will endeavor to promptly and appropriately respond to such feedback or complaint.

４．通報者等の保護

4. Protection of the Whistleblower or the Like

（１）通報者等の保護

(1) Protection of the Whistleblower or the Like

①　各地方公共団体は、職員等（法第２条第１項に定める「代理人その他の者」を含み、退職者は除く。②においても同じ。）が、通報者等に対し、不利益な取扱いを行うことを防ぐ措置をとる。

(i) The local government will take measures to prevent its personnel and others (including "agent or other persons" as referred to in Article 2, paragraph (1) of the Act and excluding retirees; the same applies in (ii) below) from giving disadvantageous treatment to the whistleblower or the like.

②　各地方公共団体は、通報者等に対し不利益な取扱いを行った者に対し、行為態様、被害の程度、その他情状等の諸般の事情を考慮して、懲戒処分その他適切な措置をとる。範囲外共有や通報者の探索を行った職員等、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等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等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 gave disadvantageous treatment to the whistleblower or the like, by taking into consideration the manner of misconduct, the degree of damage, and other circumstances such as extenuating circumstances. This also applies to any personnel and others who: engaged in over-sharing or in a search for the whistleblower; breached the confidentiality of a report or consultation without just cause; or disclosed any personal information learned to others without good reason or 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、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、適切な救済・回復の措置をとる。

Following completion of the handling of the report, the local government will provide sufficient follow-up to protect the whistleblower, such as by timely checking whether or not the whistleblower has received disadvantageous treatment. If such check reveals any disadvantageous treatment, the local government will take appropriate measures for relief and recovery.

（３）職員への救済制度の周知

(3) Notification of Relief Systems Known to All Personnel

各地方公共団体は、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 notify all its personnel that, depending on the details and other aspects of any disadvantageous treatment given to them, they will be eligible to: make a request for administrative review of the adverse disposition to the personnel commission or the equity commission (Article 49-2 of the Local Public Service Act (Act No. 261 of 1950)); make a request for administrative action on working conditions (Article 46 of the same act); and use complaint processing systems and the like.

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を作成し、これらについて、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 create, and set an appropriate retention period for, 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) Dissemination of Information to Personnel and Others

①　各地方公共団体は、幹部職員等のリーダーシップの下、職員等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、指針及び本ガイドラインの内容、当該地方公共団体における内部公益通報受付窓口、内部公益通報対応体制等について、全ての職員等に対し、十分に教育・周知する。

(i) Under the leadership of its executive officials and the like, each local government will provide sufficient education and disseminate sufficient information to all of its personnel and others about the contents of the Act, the Cabinet Office Guidelines, and these Guidelines, as well as about the internal whistleblowing contact points, the system for dealing with internal whistleblowing disclosures, etc. of the local government, by providing regular training to, and holding information sessions for, its personnel and others and by using other appropriate methods.

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、内部公益通報受付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。

(ii) Each local government will notify all its 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 on the staff member's own and should, without delay, make a report to the staff member's own supervisor and to an internal whistleblowing contact point and take other appropriate measures. The supervisors in this case do not have to be in a position to provide guidance and supervision directly to the whistleblower or the supervisor thereof, as the case may be, in the hierarchical structure of the organization.

③　各地方公共団体は、内部公益通報受付窓口及び内部公益通報対応体制に対する職員等（退職者は除く。本項において同じ。）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 improve the trust of its personnel and others (excluding retirees; the same applies hereinafter in this paragraph) in its internal whistleblowing contact points and system for dealing with internal whistleblowing disclosures, each local government will notify all its personnel and others of an overview of the performance of these contact points and the system, to the extent that such notification will not hinder: the confidentiality of reports and the protection of personal information; the local government's proper performance of its business; 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 personnel of a local government will cooperate in investigation into reports in good faith, unless there is just cause not to do so.

②　各地方公共団体及びその職員は、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 or any of its personnel is requested by another administrative organ or other public agency to cooperate in an investigation or the like in relation to a report covered by these Guidelines, the local government or 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　内部公益通報対応体制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内部公益通報対応体制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 system for dealing with internal whistleblowing disclosures and in order to make objective evaluation possible, each local government will periodically release information regarding the operational status of its system for dealing with internal whistleblowing disclosures and the like (e.g., the number of reports received, an overview of reported cases, an overview of the results of investigations into reported cases, measures taken as a result of investigations, an overview 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 local government's proper performance of its business; or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons.

②　各地方公共団体は、内部公益通報対応体制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、指針の解説や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、必要に応じて、内部公益通報対応体制を継続的に改善する。

(ii) Each local government will periodically evaluate and inspect the operation of its system for dealing with internal whistleblowing disclosures by taking into account the opinions and other suggestions of its personnel and others and neutral third parties, and will continuously improve its system for dealing with internal whistleblowing disclosures as necessary, by consulting, among other things, the Commentaries on the Cabinet Office Guidelines and examples of administrative organs' and enterprises' advanced practices.

（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内部公益通報対応体制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 and operation of the local governments' respective system for dealing with internal whistleblowing disclosures and to ensure the local governments' appropriate handling of individual reported cases, the Consumer Affairs Agency shall provide each local government 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内部公益通報受付窓口の設置及び運用状況、通報への対応状況、職員等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。

(ii) In order to monitor the implementation of the Act, the Consumer Affairs Agency will research, among other things, the status of the local governments' establishment and operation of internal whistleblowing contact points, the status of their handling of reports, and the status of their provision of training to their personnel and others, and will publish the research results.

③　消費者庁は、内部公益通報対応体制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。

(iii) The Consumer Affairs Agency will disseminate information and provide training and other assistance to each local government's personnel with respect to the appropriate establishment and operation of a system for dealing with internal whistleblowing disclosures, and will provide materials, explanations, and other necessary cooperation to each local government when the local government 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内部公益通報対応体制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 and operation of the system for dealing with internal whistleblowing disclosures of the municipal governments within the territory of each prefectural government, and to ensure the appropriate handling of individual reported cases by these municipal governments, the prefectural government will endeavor to coordinate communication between these municipal governments and to provide them with necessary advice, cooperation, information, and other assistance.