Incident Report / Statement of Apology (始末書)
Self-account written by the employee following a misconduct event. Records what happened, the cause, the impact, the employee's reflection, and a commitment to corrective action. Strongest evidence of acknowledgement in the disciplinary file.
Document generator
Browser-based generator coming soon
The bilingual Incident Report / Statement of Apology generator (Japanese / English preview, inline editing, PDF export) is in development. In the meantime, the explainer below covers when to issue this notice, what to include, and the legal basis. The structure mirrors how the live generator will ask for input.
Official sources
This template is built on the following primary Japanese government sources. Open each link to verify the underlying rule against the issuing authority.
- MHLW (厚生労働省) - Dismissal and disciplinary procedure MHLW guidance on disciplinary process. Incident reports complement the procedural record but cannot be compelled (Constitution Article 19, freedom of conscience).
- e-Gov 法令検索 - Constitution of Japan, Article 19 (Freedom of conscience) Constitutional basis the courts rely on when ruling that compelled written apologies are invalid.
Reference
What the Incident Report / Statement of Apology (始末書) is
An incident report (始末書 / shimatsu-sho) is a self-account written by the employee following a workplace misconduct or significant performance failure. Unlike a warning letter, which is the employer's document about the employee, the incident report is the employee's first-person statement: what happened, why, who was affected, what the employee learned, and what the employee commits to going forward. It is the strongest single piece of evidence in a disciplinary file because it documents the employee's own acknowledgement of the facts.
When to use
When to issue this notice
- After a misconduct event has been investigated and the facts established
- As part of a disciplinary process where the employee accepts the warning
- Following a significant operational error that requires structured reflection
- When the employer wants the strongest possible employee-acknowledgement record before any potential later termination
Mandatory items
What to include in the notice
- Date of the incident and date of writing
- Specific factual account of what happened
- Cause analysis (what led to the incident)
- Impact (on the company, colleagues, customers)
- Employee's reflection on the cause and personal responsibility
- Specific commitments going forward (concrete behaviors, processes the employee will adopt)
- Employee signature and date
- Receiving manager signature acknowledging receipt
Legal basis
Legal background and constraints
An incident report cannot be compelled. The Supreme Court has held that forcing an employee to write a self-reflective apology violates the freedom of conscience under the Constitution. What the employer can do is request the employee to submit one, and treat refusal as a separate factual matter for the disciplinary record. When voluntarily submitted, the incident report is among the strongest pieces of evidence the employer has if disciplinary action is later challenged, because the employee's own words document the facts and acceptance of fault.
Frequently asked
Common questions about the Incident Report / Statement of Apology
Can an employer force an employee to write an incident report?
No. The Supreme Court ruled in Saitama Bank case (1968) that compelled self-reflection violates the freedom of conscience (Article 19, Constitution). The employer can request submission and document the request; refusal becomes a separate disciplinary fact, but it cannot be compelled. Best practice is to offer the template as a structured opportunity for the employee to make their own statement, not as a mandate.
Is an incident report admissible as evidence?
Yes, voluntarily submitted incident reports are highly persuasive evidence in disciplinary disputes. The employee's own statement of facts is harder to walk back than the employer's account. Courts treat the document as the employee's contemporaneous acknowledgement of the underlying facts, which strengthens the employer's case in any later non-renewal or termination challenge.
Does an incident report count as a disciplinary sanction?
The submission of the report itself is generally not a sanction. It is a documentation tool. The disciplinary sanction (戒告 / 譴責 / suspension) is a separate decision, with its own due-process requirements. The incident report can support that decision, but the sanction must be issued separately under the work-rules disciplinary procedure.
What if the employee refuses to write an incident report?
Document the refusal (date, manner) and proceed with the disciplinary process based on the employer's own findings. Refusal does not invalidate the underlying disciplinary decision; it just means the employer's case rests on its own evidence rather than the employee's acknowledgement. Some companies treat refusal itself as an additional disciplinary issue, but that is fact-dependent and risky.
Should the incident report be paired with a warning letter?
Often yes, especially for moderate-to-serious incidents. Common pattern: the employer issues a warning letter (employer's account, notice of issue, expected change), and at the same meeting requests an incident report (employee's account, acknowledgement). Together they create the strongest disciplinary file: the employer's framing plus the employee's acknowledgement.
Important. This template is provided for general planning purposes only and is not a substitute for professional advice. Japanese employment law is complex and case-specific. Before issuing this notice in any non-routine situation, consult a Certified Social Insurance and Labor Consultant (社会保険労務士) or a qualified labor lawyer (弁護士).