Marginal note:Compliance audits
Marginal note:Guiding policy
(2) The Commission shall, in discharging its responsibility under subsection (1), be guided by the policy that, wherever possible, cases of non-compliance be resolved through persuasion and the negotiation of written undertakings pursuant to subsection 25(1) and that directions be issued under subsection 25(2) or (3) and applications for orders be made under subsection 27(2) only as a last resort.
Marginal note:Compliance officers designated
(3) The Commission may designate any person or category of persons as employment equity compliance review officers for the purposes of conducting compliance audits of employers.
Marginal note:Where compliance officer may not act
(4) No person who has been designated as an investigator under section 43 of the Canadian Human Rights Act to investigate a complaint under that Act in respect of an employer may, during the investigation, conduct a compliance audit of that employer.
Marginal note:Delegation by Commission
(5) The Commission may authorize any officer or employee of the Commission whom the Commission considers appropriate to exercise any power and perform any duty or function of the Commission under this Act and any power so exercised and any duty or function so performed shall be deemed to have been exercised or performed by the Commission.
Marginal note:Powers of compliance officers
(a) at any reasonable time, enter any place in which the officer believes on reasonable grounds there is any thing relevant to the enforcement of any of those provisions; and
(b) require any person to produce for examination or copying any record, book of account or other document that the officer believes on reasonable grounds contains information that is relevant to the enforcement of any of those provisions.
Marginal note:Data processing systems and copying equipment
(2) In conducting a compliance audit, a compliance officer may
(a) reproduce or cause to be reproduced any record from a data processing system in the form of a print-out or other intelligible output and remove the print-out or other output for examination and copying; and
(b) use or cause to be used any copying equipment at the place to make copies of any record, book of account or other document.
Marginal note:Certificate to be produced
(3) Compliance officers shall be furnished with certificates in a form established by the Commission certifying their designation as compliance officers and, on entering a place under paragraph (1)(a), a compliance officer shall show the certificate to the person in charge of the place if the person requests proof of the officer’s designation.
Marginal note:Assistance to compliance officers
(4) The person in charge of a place entered pursuant to paragraph (1)(a) and every person found in the place shall
Marginal note:Security requirements
24 Every compliance officer or any other person acting on behalf of or under the direction of the Commission who receives or obtains information relating to a compliance audit under this Act shall, with respect to access to and use of that information by that compliance officer or person, satisfy any security requirements applicable to, and take any oath of secrecy required to be taken by, persons who normally have access to and use of that information.
Undertakings and Directions
Marginal note:Employer undertaking
(a) has not collected information or conducted an analysis referred to in paragraph 9(1)(a) or conducted a review referred to in paragraph 9(1)(b),
(b) has not prepared an employment equity plan referred to in section 10,
(c) has prepared an employment equity plan that does not meet the requirements of sections 10 and 11,
(d) has not made all reasonable efforts to implement its employment equity plan in accordance with section 12,
(e) has failed to review and revise its employment equity plan in accordance with section 13,
(f) has failed to provide information to its employees in accordance with section 14,
(g) has failed to consult with its employees’ representatives in accordance with section 15, or
(h) has failed to establish and maintain employment equity records as required by section 17,
the compliance officer shall inform the employer of the non-compliance and shall attempt to negotiate a written undertaking from the employer to take specified measures to remedy the non-compliance.
Marginal note:Information re underrepresentation
(a) an employer has been informed of a non-compliance by a compliance officer under subsection (1) and the finding of non-compliance is based, in whole or in part, on the apparent underrepresentation of aboriginal peoples, members of visible minorities or persons with disabilities in the employer’s work force, as reflected in the employer’s work force analysis conducted pursuant to paragraph 9(1)(a), and
(b) the employer believes that the apparent underrepresentation is attributable to the decision of employees who may be members of the designated groups concerned not to identify themselves as such or not to agree to be identified by the employer as such under subsection 9(2),
the employer may inform the compliance officer of such belief.
Marginal note:Reason for underrepresentation to be considered
(1.2) Where the employer satisfies the compliance officer that the finding of non-compliance is attributable, in whole or in part, to the reason described in paragraph (1.1)(b) and that the employer has made all reasonable efforts to implement employment equity, the compliance officer shall take the reason into account in exercising any powers under this section.
Marginal note:No employer identification of individual employees
(1.3) In satisfying the compliance officer under subsection (1.2) that the finding of non-compliance is attributable, in whole or in part, to the reason mentioned in paragraph (1.1)(b), the employer must do so by means other than the identification of individual employees in its work force that the employer believes are members of designated groups who have not identified themselves as such, or agreed to be identified by the employer as such, under subsection 9(2).
(2) Where a compliance officer fails to obtain a written undertaking that, in the opinion of the compliance officer, would be sufficient to remedy the non-compliance, the compliance officer shall notify the Commission of the non-compliance and the Commission may issue and send, by registered mail, a direction to the employer
Marginal note:Breach of undertaking
(3) Where a compliance officer obtains a written undertaking and the compliance officer is of the opinion that the employer has breached the undertaking, the compliance officer shall notify the Commission of the non-compliance and the Commission may issue and send, by registered mail, a direction to the employer requiring the employer to take such actions as are specified in the direction to remedy the non-compliance.
Marginal note:Amendment of direction
(4) The Commission may rescind or amend a direction issued by the Commission pursuant to subsection (2) or (3) on the presentation of new facts or on being satisfied that the direction was issued without knowledge of, or was based on a mistake as to, a material fact.
Marginal note:Direction of Commission
26 (1) Where a compliance officer is of the opinion that an employer has failed to give reasonable assistance or to provide information as required by subsection 23(4), the compliance officer shall notify the Commission of the non-compliance and the Commission may issue and send, by registered mail, a direction to the employer
Marginal note:Amendment of direction
(2) The Commission may rescind or amend a direction issued pursuant to subsection (1) on the presentation of new facts or on being satisfied that the direction was issued without knowledge of, or was based on a mistake as to, a material fact.
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