"The field team acted on their own" — this defense does not hold under the Guidelines. Chapter 2, Section 1 is unambiguous: senior management bears responsibility for the business conduct of every officer and employee engaged in sales information activities. Field violations trace back to the top.
The key contribution of this provision is not a checklist of things to do, but the identification of who is accountable. Placing accountability at the executive level is the starting point from which all downstream obligations — systems, evaluation, training, response, and reporting — derive their authority.
01Accountability for All Staff Conduct — Why It Falls on Management
The first and foundational requirement is straightforward but carries significant weight: senior management bears responsibility for the business conduct of all officers and employees in their sales information activities. This accountability cannot be delegated away or diluted through organizational layers. Whether a representative misuses a promotional material or a line manager turns a blind eye, the legal and regulatory accountability ends with the executive team.
So what (what this means in practice): When a representative's violation comes to light, it cannot be contained as "an isolated individual issue." It is treated as a management failure and accountability is directed upward.
So why (the rationale): Without fixed upward accountability, companies can quietly tolerate borderline conduct while maintaining plausible deniability. Anchoring responsibility at the CEO and board level converts compliance into a genuine executive priority — the only register at which organizational behavior reliably changes.
02Building Internal Systems — Leadership, Not Delegation
Management must take a leadership role in building and maintaining systems that support appropriate sales information activities. This means active involvement in evaluating and training staff, creating and overseeing SOPs and activity records, and responding to identified problems. Assigning these tasks to a compliance department while remaining disengaged does not satisfy this requirement.
So what (what this means in practice): "The compliance team handles it" is not a complete answer for management. Directing that appropriate systems be built and verified is itself an executive obligation.
So why (the rationale): Compliance departments often lack the organizational standing to push back against sales leadership. When management owns the obligation, it elevates compliance requirements to the level where resource allocation and priority-setting actually occur.
03Regulatory Responsiveness — MHLW, Prefectures, and PMDA
When the Ministry of Health, Labour and Welfare, prefectural governments, or PMDA request reports or information relating to sales information activities, companies must respond appropriately. When subject to administrative guidance or regulatory action, management must take prompt corrective measures. This is explicitly framed as a management responsibility, not a departmental one.
So what (what this means in practice): Regulatory inquiries and guidance are corporate-level matters, not operational ones to be fielded by individual staff. Delayed corrective action after administrative guidance creates a secondary compliance failure on top of the original one.
So why (the rationale): When regulatory interactions are handled at the departmental level without executive ownership, information becomes fragmented and response timelines slip. Requiring management accountability ensures coordinated, timely responses that take the regulatory relationship seriously.
04Contractors and Partners — Securing Cooperation Through Contracts
Where contractors or affiliated companies are involved in sales information activities, management must ensure that contractual arrangements are in place that enable the necessary cooperation to comply with the Guidelines. "We outsourced it, so it is their problem" is not a position the Guidelines recognize.
So what (what this means in practice): When a contractor problem arises, having a contract clause is not enough. Management must have secured the practical ability to obtain cooperation before the relationship begins — this means contract negotiation as a compliance design activity.
So why (the rationale): Outsourcing can be used to obscure accountability — a company can conduct problematic activities through a contractor while maintaining distance. Requiring that cooperation be structurally ensured through contracts means the marketing authorization holder cannot shed responsibility simply by adding an intermediary.
05Cooperation from Healthcare Professionals — An Endeavor Obligation
Management must also endeavor to obtain cooperation from healthcare professionals (physicians, pharmacists, etc.) in ensuring that sales information activities are conducted appropriately. The phrasing "endeavor" signals a best-efforts obligation rather than an absolute requirement — but its inclusion signals that the scope of appropriate governance extends beyond the company's own personnel.
So what (what this means in practice): The Guidelines recognize that problematic information exchange is not solely a company-side failure. Healthcare professionals who are willing to flag concerns or push back on misleading presentations are part of the quality-assurance ecosystem.
So why (the rationale): Inappropriate interactions between representatives and prescribers tend to persist when both parties remain silent. Treating healthcare professionals as potential partners in appropriate conduct — rather than simply as recipients of promotional content — creates a social accountability mechanism that no internal audit can fully replicate.
Section 1 of Chapter 2 structurally eliminates the option of treating compliance as a field-level issue that management can hold at arm's length. Systems, evaluation, training, records, corrective action, regulatory reporting, contract management, and external cooperation — every failure in these areas is attributed upward to the executive team.
The phrase "bears responsibility" is the provision's cornerstone, but what follows it is a dense cluster of specific operational obligations that management must actively discharge. A formal system that management knows is dysfunctional but leaves unaddressed is as culpable as having no system at all.