1. Introduction
1.1 Purpose
This document describes the delegation and sharing of roles and responsibilities in
implementing the new employment equity legislation in the federal Public Service. Roles
and responsibilities are shared between the Treasury Board Secretariat (TBS), the Public
Service Commission (PSC) and departments/agencies for which Treasury Board is the
employer. This sharing of roles and responsibilities is the result of consultations with
bargaining agents, as well as with departments/agencies by means of a discussion paper in
March 1997 and through a special session on March 24, 1997 and other meetings. It is
consistent with subsection 4(7) of the Employment Equity Act (EEA) of 1995 and supports
compliance with the legislation.
1.2 Background
The EEA and its general regulations came into force in October 1996, bringing the
Public Service and federally regulated employers in the private sector under the same
employment equity legislation. It also gives the Canadian Human Rights Commission (CHRC)
powers to conduct compliance audits of employers in both sectors. This change in regime
offers an opportunity to review how employment equity is managed within the Public
Service, especially in relation to activities required by the new legislation. Effective
implementation of the Act and Regulations requires agreement on the respective roles and
responsibilities of departments/agencies, the TBS and the PSC.
In many cases, it is only necessary to formalize existing practice under the Employment
Equity Program of the Public Service. In others, there is a need to define
responsibilities more clearly, as well as to improve accountability and performance to
meet the challenge of increased public scrutiny through CHRC audits. The Act specifies a
process where the content of employment equity plans is clearly related to the results of
the required workforce analysis, employment systems review, employee consultations and
collaboration and monitoring of progress.
1.3 Scope of document
Under the Employment Equity Program, TBS and departments/agencies share roles and
responsibilities that are critical to the success of employment equity in the Public
Service but may not be stipulated by the new Act. Examples are: the goals of achieving an
equitable distribution and participation of designated group members and of creating a
conducive corporate culture; strategic planning and orientation for the Program; the
implementation of a Public Service-wide accountability framework; the development,
interpretation and implementation of legislative/regulatory frameworks and policies;
consultations with designated group members; and support mechanisms such as the Special
Measures Initiatives Program (SMIP) and various tools. This document covers roles and
responsibilities that are mainly relate
2. Shared employment equity responsibilities under the
legislation
2.1 Rationale
It is the mandate of TBS to provide, on behalf of the Treasury Board, strategic
direction for the Employment Equity Program of the federal Public Service, to foster a
supportive environment, to develop useful tools, to define performance expectations, to
monitor results, and to provide feedback to departments/agencies. Departments/agencies
will continue to manage activities and adapt strategic goals according to their business
context. Responsibility for individual activities under the Employment Equity Program and
the new legislation is based on who can perform the tasks most effectively, eliminating
overlap and duplication. Where an activity is most effectively or logically carried out
centrally, such as the generation of numerical performance assessment, the task will be
assumed centrally.
2.2 Summary of roles
The resulting roles are consistent with past practice:
- Treasury Board, as employer, is ultimately responsible for employment equity performance
in the Public Service and for reporting to Parliament on results through its Secretariat.
TBS intends to increase its provision of strategic direction and priorities for employment
equity in the Public Service. TBS will provide policy advice and guidance in carrying out
the Employment Equity Program, as well as coordination, monitoring and evaluation of the
implementation of the employment equity legislation. It will also continue to provide
strategic support to departments/agencies by coordinating the exchange of best practice
information and by administering critical central agency employment equity
activities.
- The Public Service Commission shares with the Treasury Board employer obligations under
the Act within its powers, duties and functions under the Public Service Employment Act
(PSEA). It is accountable to Parliament for the appointment of qualified persons to and
from within the Public Service. Pursuant to section 5.1 of the PSEA, the PSC has
discretion to approve employment equity programs requiring special appointment authority
at the request of the Treasury Board or deputy head. In addition, the PSC is responsible
for the handling of complaints regarding staffing irregularities and the hearing of
appeals in closed competition processes. In partnership with TBS, it also provides support
to departments/agencies in those areas of the Employment Equity Program where it is deemed
more efficient to provide the services centrally (Special Measures Initiatives
Program).
- Departments/agencies, on behalf of Treasury Board, have primary responsibility for the
implementation of employment equity and its integration into corporate culture and human
resources management practices. The head of each organization will be accountable for
achieving results in relation to responsibilities delegated under the Employment Equity
Act and, where applicable, under the Staffing Delegation and Accountability
Agreement with the PSC and in relation to the other components of the Employment
Equity Program. Departments/agencies will continue to be responsible for informing
employees in their organizations about employment equity. For their part, employees will
continue to have primary responsibility for their own personal development and career
advancement.
2.3 Nine-step approach
The principal obligations of the EEA and its general regulations may be
met in nine "steps" as illustrated in the following figure. The first step
covers communication which is important at all stages in implementing employment equity.
Ideally, steps 2, 3 and 4 should be accomplished by October 24, 1997, the end of the
transition period allowed by the Act, if they have not already been carried out.
Afterwards, the information and analysis must be maintained and updated in the manner
prescribed by the Employment Equity Regulations. The remaining tasks must be repeated on a
cyclical basis, with records retained to demonstrate compliance for audit purposes.
Communication is repeated to stress its importance in the successful implementation of the
measures contained in the employment equity plan and other activities.
Most departments/agencies will have addressed the above steps to some degree under the
Employment Equity Program and previous legislated obligations prior to the end of the
transition period leading to the coming into full force of the new legislation (October
24, 1997). Whether or not this is the case, it is recommended that departments/agencies
assess their situation to determine if any of the steps need to be undertaken again or
carried out in more depth. In particular, the workforce survey, the workforce analysis,
and the employment systems review should be assessed to determine if they comply with the
legislation. It is expected that departmental plans for the planning cycle commencing in
April 1998 will fully comply with the legislation, both in process and content.
Roles and responsibilities for each of the nine steps are discussed in the following
sections
Step 1: Communication with employees
The Act requires the employer to inform employees about: the purpose of employment
equity; measures which are planned and undertaken to implement employment equity; and the
progress which is made in the implementation of employment equity. Good communication is
also critical to the successful implementation of employment equity, including the
collection of self-identification data. TBS and PSC will work closely with
departments/agencies and employee representatives in the area of communications.
TBS will:
- Disseminate the President's Annual Report to Parliament, entitled Employment Equity in
the Public Service, to a wide audience.
- Prepare and disseminate EE communication material in consultation with
departments/agencies and employee representatives.
- Hold information sessions or other activities for the purpose of advancing employment
equity in the Public Service.
- Coordinate the exchange of best practice information.
- Provide feedback on departmental communication materials, as requested.
- Retain the required records to show that these responsibilities have been carried out.
Departments will:
- Prepare and disseminate communication materials to their employees in consultation with
employee representatives (ensuring appropriate regional coverage) such as the employment
equity plan and progress report.
- Hold information sessions or other activities for the purpose of advancing employment
equity in the Public Service.
- Assist in the dissemination of public-service wide communication materials provided or
approved by TBS, particularly in the regions.
- Maintain records of communication activities.
Step 2: Workforce survey
The legislation requires that employers survey their workforce, if this has not already
been done, to allow employees to self-identify as being an Aboriginal person, a member of
a visible minority or a person with a disability. The provision of such information must
be voluntary and its confidentiality must be protected. TBS will continue to define
relevant policies, develop guidelines and provide tools (such as the survey questionnaire,
self-identification brochure and confidentiality and privacy guidelines).
Departments/agencies will continue to be responsible for the conduct of workforce surveys.
More specifically:
TBS will:
- Define policies on survey practice with respect to the collection of self-identification
information and provide definitions of the designated groups for inclusion in the
survey
- Develop a code governing confidentiality of self-identification information and monitor
its implementation.
- Develop generic instruments (including questionnaires) to ensure consistent data
collection.
- Maintain an EE Self-Identification Database, consolidating self-identification
information on three designated groups received from departments/agencies with data
concerning women, and protecting its confidentiality.
- Actively promote self-identification by employees through initiatives supported by TBS
Employment Equity Program.
- Retain the required records to show that these responsibilities have been carried out.
Departments will:
- Communicate TBS self-identification policy and guidelines and actively promote
self-identification
- Adapt the generic questionnaire and supporting material to individual department needs,
as appropriate.1
- Conduct the surveys2
and/or keep the self-identification information up to date by providing questionnaires on
an ongoing basis to new employees and current employees who request it, or wish to change
their information.
- Retain and update self-identification information, protecting its confidentiality as per
the code of confidentiality.
- Forward self-identification information on three designated groups to TBS, protecting
its confidentiality as per the code of confidentiality.
- Retain the survey questionnaire used and other appropriate records to show that a survey
was undertaken and that the self-identification data was updated in compliance with the
legislation. TBS recommends that departments/agencies retain questionnaires received,
including those filled out by non-designated group members.
Step 3: Workforce analysis
An analysis of the workforce must be conducted following a survey or before a new plan
is developed. The legislation requires that the data on designated groups in the
organization be compared to the labour market availability of qualified persons in the
designated groups. This comparison must be undertaken to identify areas of
under-representation within the employer's workforce which in turn should be
addressed through an employment equity plan. TBS will continue to provide the appropriate
labour market information as well as representation data to support the establishment of
numerical goals for each department/agency where under-representation exists.
Departments/agencies will determine areas of under-representation and carry out more
thorough analysis to isolate their sources and causes. Departments/agencies will also
prepare the required summary of their analysis. More specifically:
TBS will:
- Determine and provide departments/agencies with labour market availability data on each
designated group by each of the six occupational categories for each department/agency for
the purpose of the workforce analysis. Further breakdowns may be undertaken, usually in
response to an audit. National Occupation codes and other necessary information will also
be provided so that departments/agencies can analyze representation by region.
- Review its numerical goal-setting strategy to determine what modifications are required
as a result of the EEA. The present numerical goals for 1995-1998 will remain in place
until new goals are developed.
- Forward updated data to departments/agencies on departmental representation (annually)
and performance related to numerical goals (twice yearly through statistical progress
reports).
- Retain the required records to show that these responsibilities have been carried out.
Departments will:
- Analyze data provided by TBS as well as other departmental data, to determine
under-representation for each designated group by occupational category and to isolate
sources and causes of under-representation.
- Prepare the summary of workforce analysis required by the Regulations and keep it up to
date as new surveys are carried out or new plans are developed (send a copy to TBS upon
request).
- Determine corrective measures to be taken (i.e. in the employment equity plan).
- Retain the required records to show that these responsibilities have been carried out.
Step 4: Employment systems review
Where there is under-representation of designated group members, the legislation
requires employers to review related employment systems, policies and practices in order
to identify barriers not permitted by law. TBS, PSC and departments/agencies will each
review employment systems, i.e. policies and practices, under their respective
administrations. Given the fluid nature of organizations, TBS recommends that the review
be carried out in relation to the four designated groups, even if one designated group is
not currently under-represented. More specifically:
TBS will provide a guide to departments/agencies to support the review of employment
policies and practices.3
In addition, TBS will review central employment policies and practices under its
authority, identify employment barriers and develop appropriate measures to address them.
The employment policies that are relevant to TBS are those which relate to the following
areas listed in the Regulations:
- the development and training of employees;
- the retention and termination of employees; and
- the reasonable accommodation of the special needs of members of designated groups.
TBS will also:
- Review new central employment systems as they are introduced, identify employment
barriers and develop appropriate measures to address them
- Retain a record describing the activities undertaken to conduct the employment systems
reviews.
PSC will provide departments/agencies with a guide on the review of employment policies
and practices and itself review the components for which it is responsible,
identifying employment barriers and solutions with respect to its obligations under
the Employment Equity Act and its authorities under the Public Service Employment Act,
including the following areas:
- recruitment to the Public Service;
- promotion and transfer within the Public Service;
- executive appointment;
- training and development programs administered on behalf of the TBS such as language
training, the Management Trainee Program and the Career Assignment Program.
PSC will also:
- Review new central employment systems as they are introduced, identify employment
barriers and develop appropriate measures to address them.
- Retain a record describing the activities undertaken to conduct employment systems
reviews.
Departments/agencies will review the components for which they are responsible with
respect to the same employment systems as described above for the TBS and PSC, identify
employment barriers and develop appropriate measures to address them.
Departments will also:
- Review new internal employment policies and practices as they are introduced, identify
employment barriers and develop appropriate measures to address them.
- Retain a record describing the activities undertaken to conduct employment systems
reviews (and send a copy to TBS upon request).
Step 5: Consultation and collaboration
The Act requires the employer to consult with employee representatives (both bargaining
agents and representatives of non-unionized employees) on various issues, including the
implementation of employment equity and communications with employees.
The responsibility to consult with bargaining agents4 will be carried out by departments/agencies
within their organization and TBS will supply a guide to assist them. TBS will continue to
consult nationally with unions by using the forum of the Employment Equity Committee of
the National Joint Council (NJC-EE), which represents the bargaining agents of all
departments/agencies for which Treasury Board is the employer.
The Act also requires the employer to collaborate with employee representatives on the
preparation, implementation and revision of employment equity plans. The responsibility to
collaborate with bargaining agents will be carried out mainly by department / agencies and
TBS will supply a guide to assist them.
Employee representatives are required by the EEA to participate in consultations (if
they are bargaining agents) and to collaborate on the preparation, implementation and
revision of employment equity plans.
TBS will:
- Consult and collaborate5
with bargaining agents at the national level on Public Service-wide issues, through the
NJC-EE.
- Prepare a guide to assist departments/agencies in consulting and collaborating with
bargaining agents in their organizations. This will be undertaken with the assistance of
the NJC-EE, and in consultation with departments/agencies.
- Retain the required records to show that these responsibilities have been carried out.
PSC will:
- Consult unions nationally through its Joint Consultation Committee, which includes
participation of representatives from department/agencies.
- Provide guidance to departments/agencies with respect to consultation and collaboration
at their level with employee representatives regarding matters pertaining to authorities
delegated to deputy heads pursuant to the Public Service Employment Act.
Departments will:
- Support the work of the NJC-EE (including participation of three departmental
representatives).
- Consult with bargaining agents in their organization, in addition to the consultations
carried out within the NJC-EE.
- Collaborate at the departmental level with bargaining agents in the spirit of the TBS
guide.
- Maintain records of consultation and collaboration with bargaining agents at the
departmental level.
Step 6: Preparing employment equity plans
The Act requires employers to prepare an employment equity plan containing positive
policies and practices designed to address areas of under-representation identified in the
workforce analysis and to remove employment barriers not permitted by law found during the
employment systems review. The plan is to incorporate short-term numerical goals, and
longer-term qualitative employment equity goals. Departments/agencies will each develop
their own plan 6 as
before. TBS and the PSC will provide support in the form of priorities, guidelines and
recommendations. Starting in April 1998, plans will generally be three years in length to
take into account the maximum duration of three years for the short-term numerical goals
in the plans. More specifically:
TBS will:
- Develop a strategic framework that provides the employer's vision of employment equity
in the federal Public Service over the next five years, including strategic orientations
(longer-term goals).
- Provide guidelines and tools to departments/agencies for plan development, including new
or revised Public Service-wide priorities (horizontal or inter-departmental issues) and
record-keeping requirements.
- Provide representation data to support the establishment of 3-year short term numerical
goals for departmental plans.
- Acknowledge receipt of departmental plans.
- Retain the required records to show that these responsibilities have been carried out.
PSC will:
- Advise TBS on government-wide staffing priorities for inclusion in TBS guidelines and
tools to departments/agencies for plan development.
- Conduct selected reviews of departmental plans, and provide comments to TBS.
Departments will:
- Prepare a plan allowing for reasonable progress and addressing the department's
needs, containing measures to address under-representation and barriers (and related
timetables) as well as to provide reasonable accommodation, and incorporating short-term
numerical goals and Public Service-wide priorities.
- Develop optional longer-term qualitative goals to be incorporated in their plan.
- Provide a copy of the plan to TBS.
- Maintain a record of the current version of their plan. Previous plans must be kept on
file for two years after the end of the period covered.
Steps 7/8: Monitoring, progress reports, plan revisions
After an employment equity plan is established, the Act requires that progress be
monitored and revisions undertaken as needed. Progress and revisions are to include
consultation and collaboration with employee representatives (see also Step 5 above).
Under a multi-year plan, revisions to the plan need only be made once during the duration
of the plan, preferably in the last six months, with the revisions being reflected in the
following plan. Departments/agencies will continue to provide a progress report each year
to TBS to report on achievements during the previous year. It will facilitate the
preparation of the Annual Report to Parliament of the President of the Treasury Board. The
progress report will include noteworthy initiatives and the updated departmental plan as
required. More specifically:
TBS will:
- Provide guidelines and tools for progress reports and revision of plans (including
updated Public Service-wide strategic priorities from time to time).
- Review and comment on departmental progress reports.
- Interact with departments/agencies to reconcile self-identification data in the Public
Service.
- Monitor Public Service-wide progress in implementing plans, in consultation with
bargaining agents at the national level.
- Monitor retention of designated group members as affected by changes in the size of the
total Public Service workforce and by rates of turnover among public servants.
- Prepare the Annual Report of the President of the Treasury Board to Parliament, entitled
Employment Equity in the Public Service. For the year covered, this report will include
highlights, consultations with employee representatives and data on the representation of
designated groups.
- Share updates on TBS review of employment systems with PSC.
- Retain the required records to show that these responsibilities have been carried out.
PSC will:
- Provide data relating to appointments (to be used in data analysis for Annual Report of
the President to Parliament and for TBS to discharge its responsibilities).
- Share updates on PSC review of employment systems with TBS.
- Report annually to Parliament on activities within the PSEA mandate to meet EEA
obligations.
- Conduct selected reviews of departmental progress reports and provide comments to
TBS.
- Monitor Public Service-wide progress and application of PSEA-related authorities,
policies and systems to achieve EEA objectives.
Departments will:
- Monitor the progress of their plan in order to ensure that all reasonable efforts have
been made to implement the plan in collaboration with bargaining agents as per the TBS
guide.
- Monitor retention of designated group members as affected by changes in the size of the
departmental workforce and by rates of employee turnover within the department/agency and
inform TBS of major changes.
- Interact with TBS to reconcile self-identification data in their organization.
- Reconcile departmental appointment data with PSC data annually.
- Prepare an annual progress report on the employment equity plan and forward it to TBS
under the signature of the deputy head. The document should also detail consultation and
collaboration with employee representatives during that year.
- Revise as required their plan in light of the progress report, and in collaboration with
employee representatives as per the TBS guide.
- Include the review of the administration of employment equity activities in the
departmental internal audit plan, including the implementation of the employment equity
management and accountability frameworks as well as of EEA obligations.
- Retain records of the monitoring, implementation and revision of plans, including
consultation and collaboration efforts, and progress reports.
Step 9: Audits by the Canadian Human Rights Commission
The Act requires the CHRC to ensure compliance of the Public Service with the Act.
Because departments/agencies are primarily responsible for the implementation of
employment equity, audits will be conducted by the CHRC on a department-by-department
basis. Details of respective audit roles and responsibilities of TBS, the CHRC and
departments/agencies will be governed, in part, by a Memorandum of Understanding (MOU)
between TBS and the CHRC already distributed to departments/agencies.
In general departments/agencies will take primary responsibility for dealing with
audits and responding to directions issued by the CHRC. TBS will receive copies of key
correspondence and assist organizations where necessary. The CHRC will consult with TBS,
the PSC and departments/agencies over audit process, guidelines, standards, criteria, and
related policies, provide TBS, the PSC and departments/agencies with advance notification
of the departments or agency it intends to audit, cooperate with TBS, the PSC and
departments/agencies over issues of interdepartmental or financial significance, and be
guided during audits by a policy of persuasion and negotiation. More specifically:
TBS will:
- Keep the required records to create an audit trail.
- Provide the CHRC with information on the sharing of responsibilities between TBS and
departments/agencies.
- Deal with audit issues of cross-departmental significance or significant budgetary
impact.
- Provide the CHRC with annual data on Public Service representation and performance as
detailed in the MOU.
- Provide the CHRC with copies of departmental plans, statistical progress reports, and
questionnaires and forms for self-identification developed by TBS.
- Provide departments/agencies with additional analysis of representation and numerical
performance data, as required, in support of responses to an audit.
- Define acceptable alternatives for demonstrating designated group participation in the
workforce in the event survey data are felt to be unrepresentative (section 25(1.1) to
(1.3) of the Act).
- Assist departments/agencies in relation to the negotiation of undertakings, in
responding to directions and in determining the need to ask for a review by a Tribunal or
for a judicial review.
PSC will:
- Consult with CHRC on the scheduling of audit-related activities in
departments/agencies.
- Deal with audit issues of cross-departmental significance or significant budgetary
impact.
- Assist departments/agencies in relation to the negotiation of undertakings, in
responding to directions and in determining the need to ask for a review by a Tribunal or
for a judicial review.
- Be directly accountable to Parliament for its employment systems and activities under
its administration through the Employment Equity Act and the Public Service Employment
Act.
- Keep records to create an audit trail in collaboration with TBS and
departments/agencies.
- (Other responsibilities to be determined based on elements relevant to PSC to be
included later in the MOU with CHRC.)
Departments will:
- Keep the required records to create an audit trail.
- Designate persons to cooperate with the compliance officers by providing the required
information and responding to the audit questionnaire.
- Provide compliance officers with reasonable access/assistance as required by the Act,
ensuring security requirements are met.
- Provide early warning to TBS and PSC of audit issues of cross-departmental significance
or significant budgetary impact.
- Provide TBS and PSC with the opportunity to attend meetings with the CHRC on audit
issues, findings, and undertakings.
- Review undertakings and audit responses with TBS and PSC before entering final
negotiations with the CHRC or an undertaking with the CHRC or providing comments in the
final audit report.
- Consult with TBS and PSC before requesting a review of a direction to a Tribunal, or
requesting a judicial review.
- Request in camera Tribunal hearings as required by security considerations.
- Provide TBS and PSC with names of departmental persons handling the audit, and copies of
key communications with the CHRC related to the audit, to directions, or requests for a
review by a Tribunal or for a judicial review.
1 In order to
ensure consistency of data collection for the Public Service, departments/agencies should
not amend boxes B, C or D of the questionnaire or add questions without prior consultation
with TBS. However, they may choose to make returning the forms mandatory (including forms
not completed), if they feel, based on their particular situation, that this would
increase their response rate.
2 Departments/agencies
that have already distributed the October 1995 Government of Canada self-ID form to all of
their employees do not need to do a workforce survey, if they have kept their data up to
date.
3 Given that
policies are usually a central agency responsibility, unless departmental policies vary
greatly from those of the respective central agency, departments/agencies should
concentrate on the employment practices which flow from the policies.
4 As for
consultation and collaboration with representatives of non-unionized employees, a similar
sharing of responsibilities is under consideration and a proposal will be shared with
departments/agencies.
5 The definition
of "collaboration" is under discusion with bargaining agents.
6 Departments/agencies
may combine their employment equity plan with other planning vehicles, such as the
business plan, if they wish to, so long as the sections devoted to employment equity
adhere to the requirements of the Employment Equity Act.
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