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Part IV
SURVEY QUESTIONNAIRE The following is a sample survey questionnaire that a compliance review officer will send to all employers at the beginning of an audit. Employers are given 30 days to complete and return the survey questionnaire with any supporting documentation. EMPLOYMENT EQUITY AUDIT — QUESTIONNAIRE The questionnaire should be viewed as a first step in the audit process aimed at assessing the degree of compliance of your organization with the legislated requirements. This phase of the process is a very important one, as your answers and supporting documentation will enable the compliance review officer to draw initial conclusions on the extent of your compliance with the Act and to identify issues requiring further analysis. Please feel free to provide additional comments in any area where you believe further input would facilitate this preliminary analysis and clarify different elements of your employment equity plan. Should you have any questions, please contact
NAME OF OFFICER, at (613) TELEPHONE NUMBER. | EMPLOYER IDENTIFICATION | File #: |
Name of Organization: _______________________________________________________ Industrial Sector: ___________________________________________________________ Location of Headquarters and Human Resources department: _____________________________________________
Chief Executive Officer / President / Deputy Minister: _____________________________
Director of Human Resources or Manager responsible for Employment Equity Name: _______________________________________________________ Position Title: _______________________________________________________ Telephone: ______________ Fax: __________________ E-Mail: ___________________ Contact person for the Employment Equity Audit, if different from above Name: _______________________________________________________ Position Title: _______________________________________________________ Telephone: ______________ Fax: __________________ E-Mail: ___________________ Alternative formats available upon request | 1. WORKFORCE SURVEY & DATA SYSTEMS | | | | | 1.1 Has your organization conducted a self-identification survey of the
entire workforce? ..................................................................................... |
qYes qNo
qIn part | | | | | If so, in what year? ______ What was the return rate?* ( ___%)(If no, go to section 2.) | | * The return rate is calculated by dividing the number of identifiable questionnaires which have been returned (completed or not) by the full population of the organization. | | | | | 1.2 Do you have a process to invite new employees to self-identify ?.......... | qYes qNo | | If so, please provide a copy of the self-identification package for new employees. | | | | | 1.3 If your survey took place more than one year ago, have the results beenupdated ............................................................................................ |
qYes qNo | | If so, please include a description of the update process and its frequency. | | | | 1.4 Please provide a copy of the self-identification package including the questionnaire,
any accompanying material or campaign communications, used at the time of the full
survey. Please include a description of the process, including any lead-up or
follow-up strategy used. | | | | | 1.5 How do you store the information collected? Manually q Electronically q | | | | | Does this data system allow you to generate up-to-date representation data: | | | | | a) on the whole work force ? .................................................................... | qYes qNo
qIn part | | b) for each designated group ? .................................................................. | qYes qNo
qIn part | | c) by occupational group or category ? ...................................................... | qYes qNo
qIn part | | | | 1.6 Please indicate the percentage of current employees for which a record of a self-
identification questionnaire exists __________________ | | | | 1.7 Do you collect data for designated groups on the following:
(Please check all appropriate boxes) | | | Hiring q Applications q Screening/Selection q
Promotions q Terminations q Salary q |
2. WORKFORCE ANALYSIS
| | | 2.1 Has your organization conducted a workforce analysis ? ...................... | qYes qNo | (If no, please go to section 3.) | 2.2 Please provide a copy of the report on your workforce analysis and, if not
included in the report, a copy or description of the following:
| a) the availability estimates and a description of how they were developed
and calculated; .......................................................................................... |
Incl.q Not avail.q | | | | | b) how appropriate geographic areas and occupational qualifications were considered in this process; ........................................................................ |
Incl.q Not avail.q | | | | c) a copy of any background calculations and data (4-digit NOC group
and regional) which were used to prepare the available estimates ............... |
Incl.q Not avail.q | | | | d) summary table(s) listing total workforce, representation anad availability,
and the gap, in actual numbers as well as percentages, by occupational
group/category for all designated groups; ................................................... |
Incl.q Not avail.q | | | | e) summary tables listing the results of the analysis of hires, promotions and
terminations if applicable; .......................................................................... |
Incl.q Not avail.q | | | | f) a description of the results of your analysis and its conclusions including
identification of gaps. ................................................................................ |
Incl.q Not avail.q | | | | | 2.3 Did your analysis include the following | | a) calculation of the internal representation of all designated groups in
each occupational group/category ............................................................. |
qYes qNo | | | | b) development of external representation/availability estimates for all
designated groups in each occupational group/category.............................. |
qYes qNo | | | | c) a comparison of internal representation with external availability
to determine degree of under-representation (gap), if any, for each
designated group in each occupational group / category ............................. |
qYes qNo | | | | 2.4 In those occupational groups/categories where under-representation was found,
have you done a comparative analysis of the affected designated groups in terms of: | | | | | a) shares* of hiring/recruitment with external representation? ...................... | qYes qNo | | b) shares of promotions with internal representation? ................................. | qYes qNo | c) shares* of terminations/separations with internal representation or
termination/separation rates* with those of non-designated group
members? ................................................................................................. |
qYes qNo | | d) clustering in the lower levels? ................................................................ | qYes qNo | | | | * "Share" means the % of total hiring or promotions received by members of a particular designated group."Rate" means the % of employees from a particular group who have been terminated over a defined period of time. | | | | 2.5 Please provide the name and telephone number of a person who can answer detailed
questions about the analysis. | | | | |
| 3. EMPLOYMENT SYSTEMS REVIEW | | | | | 3.1 Have you conducted a review of employment systems and related
policies and practices? .............................................................................. |
qYes qNo | (If no, go to section 4) | | | | 3.2 Have you conducted a review of policies and practices which cover the
workforce as a whole but may contribute to under-representation in
specific occupational groups/categories? .................................................... |
qYes qNo | | | | 3.3 Have you conducted a review of policies and practices in those
occupational groups /categories in which under-representation was found?- |
qYes qNo | | | | | 3.4 When was the systems review conducted ? ___________ | | | | |
| Check the systems that were included in your review: | | | | Workforce
as a
whole | Specific
occupational
groups | | a) recruitment, selection and hiring/appointments | q | q | | b) promotion and transfer | q | q | | c) training and development | q | q | | d) working conditions | q | q | | e) accommodation | q | q | | f) retention | q | q | | g) termination | q | q |
3.5 As a result of the systems review(s), have you identified for those occupational
groups / categories where under-representation has been found: | | a) any employment barriers? ..................................................................... | qYes qNo | | b) adequate explanations of the causes of under-representation? ................ | qYes qNo | | | | 3.6 Please provide a copy of your report on the systems review as well as the
following, if not already included in the report: | | a) a detailed description of the methodology used for your employment systems review | | b) a list of the specific policies, practices and systems reviewed | | c) the results of the review including the barriers identified, the causes of under-representation | | d) the conclusions and recommendations for corrective action | | | | 3.7 Please provide the name and telephone number of a person who can answer detailed
questions about the review. __________________________ ____________ | | | | 3.8 Do you have a process to ensure that all new policies and procedures
are reviewed to ensure they create no new employment barriers? ............... |
qYes qNo | | | | If so, please include a description of this process and provide an example of its
implementation. |
EMPLOYMENT EQUITY PLAN | | | | | Have you developed an employment equity plan ? ..................................... | qYes qNo | | If so, please provide a copy of it. (If no, go to section 5.) | | | | | What is the period covered by the plan ? ______________________ | |
| 4. ELIMINATION OF BARRIERS | | | | | 4.1 Have you developed and implemented steps to remove the identified
employment barriers in all occupational groups / categories in which
under-representation was found ? .............................................................. |
qYes qNo
qIn part | | | | 4.2 Does the plan fully address all of the barriers identified through the
systems review ? ....................................................................................... |
qYes qNo
qIn part | | | | 4.3 Does the plan include a timetable for the implementation of each of
these steps? .............................................................................................. |
qYes qNo |
| 5. ACCOMMODATION | | | | | | 5.1 Do you have a written policy on: | | | a) Accommodation of persons with disabilities? ......................................... | qYes qNo | | b) Accommodation of special needs for all designated groups? .................. | qYes qNo | | | | | 5.2 Have these policies been communicated to all employees? ................... | qYes qNo | | | | 5.3 Are these policies being communicated to new employees at the point
of hire? ..................................................................................................... |
qYes qNo | | | | 5.4 Have you adopted clear procedures to ensure that accommodation
takes place ? ............................................................................................ |
qYes qNo | Please provide a copy of your accommodation policy and any other relevant
policies and procedures. |
| 6. POSITIVE POLICIES AND PRACTICES | | | | | 6.1 Have you developed positive policies and practices related to the
findings of the systems review? .................................................................. |
qYes qNo | | | | 6.2 Do you have any special measures in place related to substantial areas
of under-representation? ........................................................................... |
qYes qNo | | | | | 6.3 Do you have a written policy on: | | | a) Employment Equity ............................................................................... | qYes qNo | | b) Harassment in the workplace ................................................................ | qYes qNo | | | | | If so, please provide a copy of them (6.1 to 6.3) | |
| 7. HIRING AND PROMOTION GOALS | | | | | | 7.1 Have you developed and implemented short-term (one to three years) hiring goals: | | a) for all under-represented designated groups ? ........................................ | qYes qNo | b) in each occupational group/category where there is
under-representation ................................................................................. |
qYes qNo | | | | | 7.2 Have you developed and implemented short-term (one to three years) promotion goals: | | a) for all under-represented designated groups ?......................................... | qYes qNo | b) in each occupational group/category where there is
under-representation ................................................................................. |
qYes qNo | | | | | 7.3 Were the following factors taken into consideration: | | | (Please check all appropriate boxes) | | | | | | a) external representation .......................................................................... | q | | b) their impact on non-designated group members ..................................... | q | | c) the effect of special measures in the plan ................................................ | q | | d) current hiring & promotion shares ......................................................... | q | e) the degree of under-representation and the time required to reach full
representation ........................................................................................... |
q | | f) anticipated turnover/workforce growth or reduction ................................ | q | | | | Please include a description of how the above factors were taken into
consideration and how they have impacted on the level of your goals. | | | | | 7.4 If you have established goals under 7.1, are the positive and special measures sufficient to ensure these goals are met? ...................................... |
qYes qNo |
| 8. REPRESENTATION GOALS | | | | | 8.1 Have you developed and implemented long-term (three to five years)
representation goals ? ............................................................................... |
qYes qNo | | | | | If so, please check what type: Numerical q Qualitative q | | | | | 8.2 In your planning, have you fixed a point in time by which you expect
your plan to result in full representation? .................................................... |
qYes qNo | | | | | If so, by what year: ___________ | | | | | | Please include a description of what these goals are based on. | |
| 9. MONITORING, REVIEW AND REVISION OF PLAN | | | | | 9.1 Have you established a system and/or procedures: ............................... | qYes qNo | | a) For the regular monitoring of your employment equity plan? ................... | qYes qNo | | b) For the implementation of adjustments to your plan as required? ............ | qYes qNo | c) For a review of your plan (including numerical goals) within a 3 years
period of implementation? ......................................................................... |
qYes qNo | | | | | 9.2 Have you completed a review of your plan, its measures and goals? | qYes qNo | | If so, in what year was the last one conducted? ___________ | | | | | Please include a description of the findings of that exercise and any revisions
that were made to the plan. | | | | 9.3 Do you have a process to ensure the accountability of managers for
their results in meeting goals and implementing employment equity? ............ |
qYes qNo | | | | | If so, please include a description of that process, provide examples and supporting documentation. |
| 10. INFORMATION TO WORKFORCE | | | | | | 10.1 Do you provide information to your employees about: | | | | | | a) the contents of the employment equity plan ............................................ | qYes qNo | b) the progress made towards attaining the goals and objectives of
the plan .................................................................................................... |
qYes qNo | | | | | 10.2 Is the information provided on a regular and continuing basis? ............ | qYes qNo | | If so, please indicate how often. | | | | | | 10.3 Is this information provided: | | | to current employees ............................................................................... | qYes qNo | | to new hires .............................................................................................. | qYes qNo | | | | 10.4 Are employment equity related materials made available
in alternate format? ................................................................................... |
qYes qNo | | | | Please attach a description of the methods used to communicate employment
equity related information to employees. |
| 11. CONSULTATION | | | | | | 11.1 Do you have a consultation strategy for employment equity? .............. | qYes qNo | | If so, please include a description of that strategy and its impact. | | | | | | 11.2 Do you have an employment equity committee? ................................. | qYes qNo | | | | | 11.3 Are any of your employees unionized? ............................................... | qYes qNo | | | | 11.4 If so, please indicate the name(s) of the union(s), and what percentage of the
workforce are members: | | |
| Number | % | Name of union and locals | | ______ | ___ | ___________________________________________________ | | ______ | ___ | ___________________________________________________ | | ______ | ___ | ___________________________________________________ | | | | Please attach a list of name and phone numbers of union representatives. |
| | | 11.5 Have non-unionized staff designated some employees to act as their
representatives? ........................................................................................ |
qYes qNo | | | | If applicable, please include a description of how non-union representatives
were designated. | | | | 11.6 Have you invited all bargaining agents and/or employee representatives to provide
their views regarding the: | | | | a) the development, implementation and revision of
the employment equity plan ....................................................................... |
qYes qNo | | | | b) assistance they could provide with respect to the
communication strategy/activities ............................................................... |
qYes qNo | | | | c) assistance they could provide with the implementation
of employment equity ................................................................................ |
qYes qNo |
| 12. MAINTENANCE OF RECORDS | | | | | | 12.1 Do you maintain the following employment equity records? | | a) Copy of the current self-identification questionnaire and
related materials ........................................................................................ |
qYes qNo | | | | b) Documentation pertaining to the last
complete survey of the workforce ............................................................. |
qYes qNo | | | | | c) Information used for the workforce analysis ........................................... | qYes qNo | | | | | d) Summary report on the results of workforce analysis ............................. | qYes qNo | | | | | e) Report describing method and results of the systems review ................... | qYes qNo | | | | | f) The employment equity plan ................................................................... | qYes qNo | | | | g) The record of monitoring activities, their results
and any subsequent action ......................................................................... |
qYes qNo | | | | h) Communication/consultation activities & the
documentation distributed or posted .......................................................... |
qYes qNo | | | | 12.2 Please provide the name and telephone number of a person who can answer
detailed questions about record keeping:
__________________________________________________ _________________ |
| DOCUMENTATION CHECKLIST | | | The following is a checklist of all the documentation requested in the questionnaire as well as
some additional documents that would be useful. Please feel free to provide any other documents that you consider pertinent or that could be useful to the compliance review. | | | | Any documentation provided will be returned to your organization upon completion of this audit. | | | | Please check the box next to any documents you have enclosed. | | | | Documents or descriptions requested in the questionnaire: | | |
| A) | A copy of the self-identification survey package used at the time of the last survey
of the whole workforce as well as any related materials (See 1.4) ......................... |
q | | | | | B) | A copy of the current self-identification package used
with new employees (See 1.2) ............................................................................. |
q | | | | | C) | A description of: | | | the survey process including any lead-up or follow-up strategies (See 1.4) ............ | q | | the update process (See 1.3) ............................................................................... | q | | | | | D) | The workforce analysis report and/or relevant explanations (See 2.2 to 2.4) ......... | q | | | | | E) | The report on the systems review and/or relevant explanations (See 3.6) .............. | q | | | | | F) | The Employment Equity Plan ............................................................................... | q | | | | | G) | A description of the process for the review of
new policies and procedures (See 3.8) ................................................................ | q | | | | | H) | Any policy (ies) and procedures related to accommodation (See 5.4) ................... | q | | | | | I) | The policy (ies) and procedures related to : | | | harassment in the workplace (See 6.3) ................................................................. | q | | employment equity (See 6.3) ............................................................................... | q | | | | | J) | Documents relating to positive policies, practices or special measures (see 6.3)
specifically designed for the benefit of designated group members ......................... | q | | | | | K) | The hiring, promotion and representation goals (See 7.1 and 7.2) ......................... | q | | | | | L) | A description of different factors that you have taken into consideration and how
they have impacted on the level of your goals (See 7.3) ........................................ | q | | | | | M) | A description of what those goals were based on (See 8.1 and 8.2) ..................... | q | | | | | N) | The monitoring reports on the employment equity plan (See 9.1 and 9.2) ............. | q | | | | | O) | A description of the accountability measures and their implementation (See 9.3) .... | q | | | | | P) | Communication strategy and related details (See 10.1 and 10.4) .......................... | q | | | | | Q) | Consultation strategy and related details (See 11.4 and 11.5) ............................... | q | | | | | Other useful documents: | | | | | | Copy of organizational chart ........................................................................................ | q | | | | | Copy of collective agreement(s) .................................................................................. | q | | | | | Current regional distribution of employees .................................................................... | q | | | | | Copy of the organization's annual repor ....................................................................... | q | | | | | Others (e.g., general prospectus describing the organization - please include a list) ................ | q | | | | Web Site Address ___________________________________________________________ | | | | Thank you for completing this questionnaire. | |
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