ETHICS RULES FOR NATIONAL GOVERNMENT OFFICIALS IN
JAPANOTANI Junichiro *I. INTRODUCTION
If the politicians and public officials who bear the responsibility of sustaining thefoundation of their country lack integrity, and bribery is pervasive, the basis of democracy
will be endangered. Thus, one of the most important duties of a criminal justice system isto detect corruption and impose appropriate punishment on corrupt politicians and publicofficials.
The prevention of corruption is no less important than detection and punishment.
Confidence in politicians and public officials can be damaged quite easily, but rebuilding
it takes considerable time and effort. The punishment of corrupt politicians and public
officials does not necessarily help prompt restoration of public confidence.
Taking into account the importance of confidence, public officials should never besuspected of allowing themselves to be influenced in their work by inappropriate requests
or considerations. Public officials should refrain from doing anything that may incur
suspicion. In this regard, there is an old saying: “Do not touch your hat under a plum tree.”(By doing so, you will be suspected of stealing a plum.)
What harm is caused when the public loses confidence in its public officials? One ofthe harms is a negative effect on the administration of government, and the other is anegative effect on the morale of government officers. It should be noted that not only thecorrupted officer, but also the whole ministry, or even the whole government, will beaffected.
II. ETHICS RULES FOR GOVERNMENT OFFICIALS IN JAPANA. Background
According to Transparency International’s Corruption Perceptions Index 2019, Japanranks 20th out of 198 countries. It is fair to say that Japan is a relatively clean country.
Nonetheless, Japan is not free from corruption, and some corruption cases have been
detected over the years.
In 1996, the Vice-Minister of Health was arrested for receiving money from a social
welfare service corporation in exchange for providing subsidies. In 1998, high-ranking
officials of the Ministry of Finance in charge of inspection of banks were entertained bybanks and securities companies.

*Professor, UNAFEI.

- 67 - 67 -These cases provoked criticism from the public and led to the enactment of the National
Public Service Ethics Act of 1999 and the National Public Service Ethics Code of 2000.
The ethics rules in Japan consist of two major components: the code of conduct and thereporting system.
B. Applicable Public Officials
The National Public Service Ethics Act is applicable to national government officials.
Although it is not applicable to local government officials, local governments have similarrules.
C. Prohibited Conduct
The following conduct is prohibited by the Act and the Code:(1) Receiving gifts (money, goods or real estate) from interested parties
However, as an exception, it is allowed to accept promotional goods or commemorative
items that are widely distributed to the public, or to accept congratulatory money for awedding or condolence money for a funeral (based on the general social courtesy andspecial relationship between the interested parties).
(2) Accepting food and drinks from interested parties
However, as an exception, it is allowed to attend a buffet-style party that has many
participants (around 20 persons or more), or to accept modest food and drinks (e.g.
lunchbox or tea) at a business meeting. Government officials are allowed to eat anddrink with interested parties if they pay their own expenses. However, advance
notification to the Ethics Supervisory Officer is required if the expense for food anddrinks exceeds 10,000 yen.
(3) Borrowing money from interested parties
However, as an exception, it is allowed to borrow money from a financial institution asa customer.
(4) Borrowing or renting goods or real estate for free from interested parties
However, as an exception, it is allowed to borrow goods (e.g. stationery) when anofficer visits an interested party in the regular course of the officer’s business.
(5) Accepting a service free of charge from interested parties
However, as an exception, it is allowed to ride in a company’s vehicle when an officer
visits an interested party in the regular course of the officer’s business and there is no
public transportation available.
(6) Receiving unlisted stocks from interested parties
It is prohibited even if a government officer pays for unlisted stocks.
(7) Traveling or playing golf with interested parties.
However, as an exception, it is allowed to travel for official duty or to travel together
when an officer participates in a tour arranged by a travel agent and an interested party
happens to be on the same tour. With regard to playing golf, it is allowed to play golfwith an interested party when an officer joins a golf competition (the number ofparticipants is more than 30 and the participation of an interested party is unpredictable)
and the officer happens to have a chance to play golf with an interested party.
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(8) Requesting interested parties to engage in “prohibited conduct” for a third party.
(9) General exception
In addition to the exceptions stated above in items (1) through (8), if there is a private
relationship between a government officer and an interested party, the “prohibitedconduct” may be exceptionally permissible on the condition that the conduct does notinvite any suspicion or distrust of the general public. In deciding whether there is a
private relationship, factors such as (i) degree of “conflict of interest,” (ii) relationshipbetween the two parties, and (iii) type of conduct are considered.
(10) Receiving remuneration for editing services of the following books:
Books that are produced through subsidies or government expenses; books when themajority of them will be purchased by the government.
D. Interested Party
An interested party with respect to a government official means an entity or anindividual who is the counterpart of the government official with respect to permission,
subsidy, inspection or audit, disposition, administrative guidance, contract or intergovernmental regulation.
E. Conduct Prohibited with Non-interested Parties
The following conduct with non-interested parties is prohibited:(1) Accepting gifts beyond the level of general social norms, e.g. repeatedly accepting
gifts from the same company.
(2) Having someone (who is not present) pay for food, drinks or other charges.
(Accepting payment for food, drinks or other charges from someone who is notpresent.)
F. Responsibility of Supervisors
Supervisors should take action if they suspect one of their subordinates has violated thecode of conduct. The examples of such actions are:- Giving instructions to the subordinate.
- Reporting misconduct to the Ethics Supervisory Officer (e.g. the Vice-Minister ofeach ministry).
G. Responsibility of Other Officers
It is also a responsibility of a government official not to receive benefits that are theresult of violations of Ethics Rules, and not to hide or to make false reports with regard toviolations of the Code of Ethics.
III. REPORTING RULES
A. Types of Reports
There are three types of reports that a government official should submit: (i) reports on
the receipt of gifts, (ii) reports on the exchange of stocks, and (iii) reports on income.
B. Reports on the Receipt of Gifts
A government official who is at the rank of assistant director or above at the- 69 - 69 -

headquarters should submit a quarterly report on the receipt of gifts if they receive gifts,
food and drink, remuneration for lectures, or any other benefits from business operatorsthat exceeds 5,000 yen.
C. Reports on the Exchange of Stocks
A government official who is at the rank of deputy director general or above at theheadquarters should submit a report on the exchange of stocks once a year in March.
D. Reports on Income
A government official at the rank of deputy director general or above at the headquarters
throughout the previous year should submit a report on income once a year in March.
E. Reporting Procedure
Government officials should submit the above reports to the heads of the ministry oragency to which they belong. Copies of those reports are sent to the National Public ServiceEthics Board. The general public may request the disclosure of reports on gifts exceeding
20,000 yen.
IV. NATIONAL PUBLIC SERVICE ETHICS BOARD
The National Public Service Ethics Board is composed of five members. As of January
2021, the President of the Ethics Board is a former judge, and other members are a journalist,a professor, etc. Although the Ethics Board is established under the National Personnel
Authority, the Ethics Board works independently. One of the major functions of the Ethics
Board is to examine copies of the reports sent from each ministry or agency. Whenreviewing these reports, the key considerations are whether an inappropriate acceptance ofgifts or an inappropriate exchange of stocks which could distort the fair execution of thenational public service has taken place, and whether the reports have been properlysubmitted. The Ethics Board has also established the Public Service Ethics Hotline, throughwhich it accepts information from the public on suspicious acts that might be a violation ofthe Ethics Act or the Ethics Code. In handling such information, due consideration is given
to the protection of whistle-blowers (e.g. maintaining confidentiality of the whistle-blowers’identity etc.).
V. DISCIPLINARY ACTIONS
In case of violation of the ethics rules, a disciplinary action, such as dismissal,
suspension from duty, salary reduction or warning, will be imposed. The National
Personnel Authority has established criteria for disciplinary actions. When an officer
receives money or gifts from an interested party, dismissal, suspension from duty, salary
reduction, or warning may be imposed. As a past example, in case of receiving “beervouchers” of 66,000 yen, a 10 per cent salary reduction was imposed for one month. When
an officer is entertained, salary reduction may be imposed or a warning may be issued. Asa past example, in case of being entertained at a restaurant costing 10,672 yen, a warning
was imposed. The effects of disciplinary actions are both direct and indirect. For example,
in case of the sanction of salary reduction, not only the salary is reduced, but also there arenegative impacts on future promotion, wage increase or the amount of bonus.

- 70 - 70 -VI. CONCLUSION
Learning the ethics rules is not limited to obtaining knowledge on prohibited acts, but
it is an opportunity to reflect on ethics in one’s role as a government official. In this regard,
it is not enough to simply learn the ethics rules once, but it is necessary to review them
periodically. In Japan, government officials are requested to take a self-learning training
course on the ethics rules every year.
Reflection on ethics leads not only to the prevention of violations of ethics regulations
and corruption. It is an opportunity to think about how we, as government officials, should
act and how we can improve our motivation to carry out our duties and serve the public.

References
Rules for Maintaining National Public Employees’ Ethical Conduct (National PublicService Ethics Board) (October 2020), available in Japanese at<https://www.jinji.go.jp/rinri/siryou/rule2020.pdf>.
Rules for Maintaining National Public Employees’ Ethical Conduct (National PublicServiceEthicsBoard)(April2015),
availableinEnglishat<https://www.jinji.go.jp/rinri/eng/engrule1504.pdf>.
Activities of the National Public Service Ethics Board (National Public Service EthicsBoard), available at <https://www.jinji.go.jp/rinri/eng/engactivities1504.pdf>.
Ethics for National Public Employees (National Public Service Ethics Board), available inJapanese at <https://www.jinji.go.jp/rinri/kensyu/03_H29ippansyoku.pdf>.
Ethics for National Public Employees Case Studies (National Public Service Ethics Board),
available in Japanese at <https://www.jinji.go.jp/rinri/kensyu/jireikenkyu22.pdf>.
National Public Employees’ Ethics Manual (National Public Service Ethics Board),
available in Japanese at <https://www.jinji.go.jp/rinri/siryou/2020_kyohonmanga.pdf>.

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