Employment Equity Compliance Audits What Happens in an Initial Audit - The employer receives an audit notification letter and is then contacted by a compliance review officer. The officer negotiates an audit plan and sends a questionnaire to the employer.
- Using the questionnaire's results, the officer completes a "desk audit" that assesses compliance against the Act's twelve requirements. The officer then visits the workplace to verify the findings and review the preliminary results with the employer.
- If the employer is in compliance, a final audit report is completed. If not, the officer drafts an interim report, indicating the undertakings required for compliance and time limits of up to twelve months for their completion.
- The officer and the employer then negotiate the undertakings and time limits in the report. Once an agreement has been reached, the employer signs the report.
What Happens in a Follow-up Audit - The employer submits a progress report and a follow-up audit is conducted to assess whether the undertakings have been fulfilled.
- If the employer is then in compliance, a final report is issued. Thereafter, the Commission will monitor the employer's annual reports, and may begin a new audit if no reasonable progress is shown.
Why a Direction is Issued - When an employer refuses to agree to undertakings, or has not completed the work required by undertakings, the Commission may issue a "direction" to the employer. A direction stipulates the work required and the time limit for its completion. The employer can review the recommendation for a direction and may submit comments to the Commissioners before they decide whether to issue it. A follow-up audit after the time limit elapses will assess whether the employer has fulfilled the direction.
Employment Equity Review Tribunal - Once the Commission has issued a direction, the employer may request a tribunal to reconsider it. The Commission may also ask a tribunal to issue an order when a direction has not been fulfilled.
Federal Court of Canada - The Court may carry out a judicial review of a decision of the Commission or a tribunal.
- A tribunal order may be registered with the Federal Court, thus giving it the force of a court order.
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