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

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

令和３年８月２０日内閣府告示第１１８号

Cabinet Office Notification No. 118 of August 20, 2021

第１　はじめに

Part 1: Introduction

この指針は、公益通報者保護法（平成１６年法律第１２２号。以下「法」という。）第１１条第４項の規定に基づき、同条第１項に規定する公益通報対応業務従事者の定め及び同条第２項に規定する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に関して、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ものである。

Pursuant to the provisions of Article 11, paragraph (4) of the Whistleblower Protection Act (Act No. 122 of 2004; hereinafter referred to as the "Act"), these Guidelines set forth the matters necessary for an enterprise to appropriately and effectively implement the following measures: designating a person engaged in the activity of dealing with whistleblowing disclosures as referred to in paragraph (1) of the same Article; and establishing a necessary system or otherwise take necessary measures to respond to and appropriately deal with whistleblowing disclosures made within the enterprise, as set forth in paragraph (2) of the same Article.

第２　用語の説明

Part 2: Explanations of Terms

「公益通報」とは、法第２条第１項に定める「公益通報」をいい、処分等の権限を有する行政機関やその他外部への通報が公益通報となる場合も含む。

"Whistleblowing disclosure" means "whistleblowing disclosure" as referred to in Article 2, paragraph (1) of the Act, including cases where a report to an administrative organ with the authority to impose dispositions or the like or to any other external party constitutes a whistleblowing disclosure.

「公益通報者」とは、法第２条第２項に定める「公益通報者」をいい、公益通報をした者をいう。

"Whistleblower" means "whistleblower" as referred to in Article 2, paragraph (2) of the Act, which means a person who has made a whistleblowing disclosure.

「内部公益通報」とは、法第３条第１号及び第６条第１号に定める公益通報をいい、通報窓口への通報が公益通報となる場合だけではなく、上司等への報告が公益通報となる場合も含む。

"Internal whistleblowing disclosure" means "whistleblowing disclosure" as referred to in Article 3, item (i) and Article 6, item (i) of the Act, including not only cases where a report to a contact point for reports constitutes a whistleblowing disclosure but also cases where a report to a supervisor or the like constitutes a whistleblowing disclosure.

「事業者」とは、法第２条第１項に定める「事業者」をいい、営利の有無を問わず、一定の目的をもってなされる同種の行為の反復継続的遂行を行う法人その他の団体及び事業を行う個人であり、法人格を有しない団体、国・地方公共団体などの公法人も含まれる。

"Enterprise" means any of the "enterprises" as referred to in Article 2, paragraph (1) of the Act, which are corporations and other organizations repeatedly and continuously engaged in similar acts for certain purposes, whether or not for commercial gain, as well as individuals engaged in business, including unincorporated associations and public corporations such as the national government and local governments.

「労働者等」とは、法第２条第１項に定める「労働者」及び「派遣労働者」をいい、その者の同項に定める「役務提供先等」への通報が内部公益通報となり得る者をいう。

"Worker and/or the like" means "worker" and/or "dispatched worker" both as referred to in Article 2, paragraph (1) of the Act whose report to the "recipient of services or other designated person" as referred to in the same paragraph may constitute an internal whistleblowing disclosure.

「役員」とは、法第２条第１項に定める「役員」をいい、その者の同項に定める「役務提供先等」への通報が内部公益通報となり得る者をいう。

"Officer" means "officer" as referred to in Article 2, paragraph (1) of the Act whose report to the "recipient of services or other designated person" as referred to in the same paragraph may constitute an internal whistleblowing disclosure.

「退職者」とは、労働者等であった者をいい、その者の法第２条第１項に定める「役務提供先等」への通報が内部公益通報となり得る者をいう。

"Retiree" means a former worker or the like whose report to the "recipient of services or other designated person" as referred to in Article 2, paragraph (1) of the Act, may constitute an internal whistleblowing disclosure.

「労働者及び役員等」とは、労働者等及び役員のほか、法第２条第１項に定める「代理人その他の者」をいう。

"Workers, officers, etc." means workers or the like and officers, as well as "agent or other persons" as referred to in Article 2, paragraph (1) of the Act.

「通報対象事実」とは、法第２条第３項に定める「通報対象事実」をいう。

"Reportable fact" means "reportable fact" as referred to in Article 2, paragraph (3) of the Act.

「公益通報対応業務」とは、法第１１条第１項に定める「公益通報対応業務」をいい、内部公益通報を受け、並びに当該内部公益通報に係る通報対象事実の調査をし、及びその是正に必要な措置をとる業務をいう。

"Activity of dealing with whistleblowing disclosures" means "activity of dealing with whistleblowing disclosures" as referred to in Article 11, paragraph (1) of the Act, which activity consists of receiving internal whistleblowing disclosures, investigating the reportable facts associated with the internal whistleblowing disclosures, and taking measures necessary to rectify the reportable facts.

「従事者」とは、法第１１条第１項に定める「公益通報対応業務従事者」をいう。

"Person engaged in the activity" means "person engaged in the activity of dealing with whistleblowing disclosures" as referred to in Article 11, paragraph (1) of the Act.

「内部公益通報対応体制」とは、法第１１条第２項に定める、事業者が内部公益通報に応じ、適切に対応するために整備する体制をいう。

"System for dealing with internal whistleblowing disclosures" means a system to be established by an enterprise to respond to and appropriately deal with internal whistleblowing disclosures as set forth in Article 11, paragraph (2) of the Act.

「内部公益通報受付窓口」とは、内部公益通報を部門横断的に受け付ける窓口をいう。

"Internal whistleblowing contact point" means a contact point that receives internal whistleblowing disclosures in a cross-functional manner.

「不利益な取扱い」とは、公益通報をしたことを理由として、当該公益通報者に対して行う解雇その他不利益な取扱いをいう。

"Disadvantageous treatment" means dismissal or other disadvantageous treatment given to a whistleblower on the grounds of the whistleblowing disclosure.

「範囲外共有」とは、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行為をいう。

"Over-sharing" means sharing information that allows the identification of a whistleblower with someone beyond the minimum necessary extent.

「通報者の探索」とは、公益通報者を特定しようとする行為をいう。

To "search for the whistleblower" or "searching for the whistleblower" means to attempt to identify the whistleblower.

第３　従事者の定め（法第１１条第１項関係）

Part 3: Designation of a Person Engaged in the Activity (Re: Article 11, paragraph (1) of the Act)

１　事業者は、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、従事者として定めなければならない。

(1) An enterprise must designate as a 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 enterprise's internal whistleblowing contact points and to whom information allowing the identification of whistleblowers is conveyed in connection with such activity.

２　事業者は、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なければならない。

(2) An enterprise must 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.

第４　内部公益通報対応体制の整備その他の必要な措置（法第１１条第２項関係）

Part 4: Establishment of a system for dealing with internal whistleblowing disclosures, and other necessary measures (Re: Article 11, paragraph (2) of the Act)

１　事業者は、部門横断的な公益通報対応業務を行う体制の整備として、次の措置をとらなければならない。

(1) To establish a system for conducting cross-functional activity of dealing with whistleblowing disclosures, an enterprise must take the following measures.

（１）　内部公益通報受付窓口の設置等

1. Establishment of internal whistleblowing contact points, and related measures

内部公益通報受付窓口を設置し、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。

The enterprise must establish internal whistleblowing contact points, and must clearly designate the departments and responsible persons that are to receive internal whistleblowing disclosures received by the contact points, conduct investigations, and take measures necessary for rectification.

（２）　組織の長その他幹部からの独立性の確保に関する措置

2. Measures for securing independence from organizational heads and other executives

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。

The enterprise must take measures to ensure that in cases where an organizational head or other executives are involved, the activity of dealing with whistleblowing disclosures for internal whistleblowing disclosures received through the internal whistleblowing contact points is independent from these executives.

（３）　公益通報対応業務の実施に関する措置

3. Measures for conducting the activity of dealing with whistleblowing disclosures

内部公益通報受付窓口において内部公益通報を受け付け、正当な理由がある場合を除いて、必要な調査を実施する。そして、当該調査の結果、通報対象事実に係る法令違反行為が明らかになった場合には、速やかに是正に必要な措置をとる。また、是正に必要な措置をとった後、当該措置が適切に機能しているかを確認し、適切に機能していない場合には、改めて是正に必要な措置をとる。

The enterprise must receive internal whistleblowing disclosures through its internal whistleblowing contact points, and must conduct necessary investigations unless there is a good reason not to do so. If any of these investigations reveals any violation of the law involved in the relevant reportable fact, the enterprise must promptly take measures necessary for rectification. After these measures necessary for rectification have been taken, the enterprise must check that the measures are working appropriately and, if not, must take additional measures necessary for rectification.

（４）　公益通報対応業務における利益相反の排除に関する措置

4. Measures for eliminating conflicts of interest in the activity of dealing with whistleblowing disclosures

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。

The enterprise must 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　事業者は、公益通報者を保護する体制の整備として、次の措置をとらなければならない。

(2) To establish a system for protecting whistleblowers, an enterprise must take the following measures.

（１）　不利益な取扱いの防止に関する措置

1. Measures for preventing disadvantageous treatment

イ　事業者の労働者及び役員等が不利益な取扱いを行うことを防ぐための措置をとるとともに、公益通報者が不利益な取扱いを受けていないかを把握する措置をとり、不利益な取扱いを把握した場合には、適切な救済・回復の措置をとる。

(a) The enterprise must take measures to prevent its workers, officers, etc. from giving disadvantageous treatment to whistleblowers, must take measures to detect any disadvantageous treatment that may have been given to whistleblowers, and if any is detected, must take appropriate measures for relief and recovery.

ロ　不利益な取扱いが行われた場合に、当該行為を行った労働者及び役員等に対して、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。

(b) If any disadvantageous treatment has been given, the enterprise must take disciplinary action or other appropriate measures against the workers, officers, etc. who committed the misconduct, by taking into consideration the manner of misconduct, the degree of damage, and other circumstances such as extenuating circumstances.

（２）　範囲外共有等の防止に関する措置

2. Measures for preventing over-sharing and the like

イ　事業者の労働者及び役員等が範囲外共有を行うこと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。

(a) The enterprise must take measures to prevent over-sharing by its workers, officers, etc. and, if over-sharing occurs, must take appropriate measures for relief and recovery.

ロ　事業者の労働者及び役員等が、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、通報者の探索を行うことを防ぐための措置をとる。

(b) The enterprise must take measures to prevent its workers, officers, etc. from searching for the whistleblower, except where it is unavoidable to do so, such as where highly necessary investigations cannot be conducted without identifying the whistleblower.

ハ　範囲外共有や通報者の探索が行われた場合に、当該行為を行った労働者及び役員等に対して、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。

(c) In the event of over-sharing or search for the whistleblower, the enterprise must take disciplinary action or other appropriate measures against the workers, officers, etc. who committed the misconduct, by taking into consideration the manner of misconduct, the degree of damage, and other circumstances such as extenuating circumstances.

３　事業者は、内部公益通報対応体制を実効的に機能させるための措置として、次の措置をとらなければならない。

(3) To effectively operate the system for dealing with internal whistleblowing disclosures, an enterprise must take the following measures.

（１）　労働者等及び役員並びに退職者に対する教育・周知に関する措置

1. Measures for providing education and disseminating information to workers and the like and officers and retirees

イ　法及び内部公益通報対応体制について、労働者等及び役員並びに退職者に対して教育・周知を行う。また、従事者に対しては、公益通報者を特定させる事項の取扱いについて、特に十分に教育を行う。

(a) The enterprise must provide education and disseminate information about the Act and the system for dealing with internal whistleblowing disclosures to the enterprise's workers and the like and officers and retirees. The enterprise must particularly provide a person engaged in the activity with sufficient education on the handling of information that allows the identification of whistleblowers.

ロ　労働者等及び役員並びに退職者から寄せられる、内部公益通報対応体制の仕組みや不利益な取扱いに関する質問・相談に対応する。

(b) The enterprise must handle questions and consultation requests received from its workers and the like and officers and retirees regarding the mechanisms of the system for dealing with internal whistleblowing disclosures or regarding disadvantageous treatment.

（２）　是正措置等の通知に関する措置

2. Measures for giving notification of rectification measures and the like

書面により内部公益通報を受けた場合において、当該内部公益通報に係る通報対象事実の中止その他是正に必要な措置をとったときはその旨を、当該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、当該内部公益通報を行った者に対し、速やかに通知する。

Upon receipt of an internal whistleblowing disclosure in writing, the enterprise must promptly notify the person who made the internal whistleblowing disclosure that the enterprise has resolved the reportable fact associated with the internal whistleblowing disclosure or has taken other measures necessary for rectification, if this is the case, or that the alleged reportable fact associated with the internal whistleblowing disclosure does not exist, if this is the case, in each case to the extent that the notification will not hinder the enterprise's proper performance of its business or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons.

（３）　記録の保管、見直し・改善、運用実績の労働者等及び役員への開示に関する措置

3. Measures for retaining records, reviewing and improving the system for dealing with internal whistleblowing disclosures, and disclosing its operation results to workers and the like and officers

イ　内部公益通報への対応に関する記録を作成し、適切な期間保管する。

(a) The enterprise must keep records of its dealing with internal whistleblowing disclosures and must retain the records for an appropriate period.

ロ　内部公益通報対応体制の定期的な評価・点検を実施し、必要に応じて内部公益通報対応体制の改善を行う。

(b) The enterprise must conduct regular evaluations and inspections of its system for dealing with internal whistleblowing disclosures and must improve the system where necessary.

ハ　内部公益通報受付窓口に寄せられた内部公益通報に関する運用実績の概要を、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労働者等及び役員に開示する。

(c) The enterprise must disclose to its workers and the like and officers an overview of the results of the system's operation with respect to internal whistleblowing disclosures received through the enterprise's internal whistleblowing contact points, to the extent that the disclosure will not hinder the enterprise's proper performance of its business or the protection of the secrets, reputation, honor, privacy, etc. of the interested persons.

（４）　内部規程の策定及び運用に関する措置

4. Measures for establishing and applying internal rules

この指針において求められる事項について、内部規程において定め、また、当該規程の定めに従って運用する。

The enterprise must set forth the requirements imposed by these Guidelines in its internal rules and must apply those requirements pursuant to the provisions of the internal rules.