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Archived - Step 1 – Initiating an Employment Equity Program

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Introduction

Having read the Introduction document, your organization is now ready to begin the process of initiating an employment equity program in your workplace. The purpose of this process is to ensure that your organization is one where no person is denied employment opportunities for reasons unrelated to ability and where every person can pursue meaningful, barrier-free employment.

Developing an organizational strategy to carry out employment equity in your workplace is a crucial first step. Step 1 provides instructions that your organization must follow to meet the first four requirements of the Federal Contractors Program. The detailed tasks listed include information on how to adopt an accountability mechanism and assign a senior official; how to develop a communication strategy to provide information about employment equity to all staff; and how to consult with bargaining agents and employee representatives.

The distribution and collection of a self-identification questionnaire are key elements of this step, and are explained in detail in the last two tasks. The results of this questionnaire are the basis of the analysis carried out in Step 2 and the eventual development of your organization’s employment equity plan.

This introductory section to Step 1 provides background and summary information on how to initiate an employment equity program, including:

• a summary of the legislative framework, including requirements under the Employment Equity Act, the Employment Equity Regulations and the Federal Contractors Program;
• a series of key points to remember;
• a list of tools and templates; and
• a summary of the basic methodology to be used to initiate employment equity, further detailed in the five task sections for Step 1.

Legislative Framework

As an organization implementing employment equity, you are required to take the necessary steps to adopt an accountability mechanism; communicate with employees; consult and collaborate with employee representatives and bargaining agents; and collect workforce data in a manner that complies with the Employment Equity Act, the Employment Equity Regulations and the Federal Contractors Program Requirements.

The Employment Equity Act

Section 9 of the Employment Equity Act requires your organization to:

• collect information on your workforce;
• collect data on the number of employees who self-identify as Aboriginal peoples, members of visible minorities or persons with disabilities (note however that data on women can be retrieved through human resource personnel files); And
• hold data collected through self-identification confidential and use it for the sole purpose of implementing employment equity.

Section 14 of the Act requires your organization to provide information to employees explaining the purpose of employment equity. Employers must also keep employees informed of the measures their organization has taken, or is planning to take, to implement employment equity, and the progress made toward it.

Section 15 of the Act requires your organization to consult with employee representatives by inviting them to provide their views on how best to implement employment equity in your workplace and on how to communicate matters relating to employment equity to employees. The Act clarifies the point that consultation and collaboration are not to be considered forms of co-management.

Section 17 of the Act requires your organization to maintain employment equity records with respect to your workforce, your employment equity plan and the implementation of employment equity.

Employment Equity Regulations

Section 3 of the Regulations requires your organization to conduct a workforce survey using a self-identification questionnaire to identify members of designated groups in your workforce.

Section 4 of the Regulations requires your organization to ensure that there is a means of identifying employees who respond to your self-identification questionnaire by name or otherwise.

Section 5 of the Regulations requires your organization to keep your workforce survey results up to date by:

• providing a self-identification questionnaire to new employees, employees who wish to change information on their questionnaire, or any employee who requests it;
• making necessary adjustments to the questionnaire results to take into account the responses of individuals listed above; and
• making necessary adjustments to the questionnaire results to take into account members of designated groups who have been terminated.

Section 11 of the Regulations requires your organization to maintain a record of activities undertaken and information provided by your organization, such as:

• a record of each employee’s designated group membership, if any;
• a record of each employee’s occupational group classification;
• a record of each employee’s salary and salary increases;
• a record of each employee’s promotions; and
• a copy of the self-identification questionnaire that was provided to employees.

Section 12 of the Regulations requires your organization to maintain records on terminated employees for two years after the date of termination.

Federal Contractors Program Requirements

Under Requirement 1, your organization must adopt accountability mechanisms for employment equity and assign a senior official.

Under Requirement 2, your organization must provide information to employees on the purpose of employment equity and what actions your organization has taken, or plans to take, to initiate employment equity in the workplace.

Under Requirement 3, your organization must consult with bargaining agents and/or employee representatives.

Under Requirement 4, your organization must collect workforce information using a self-identification questionnaire.

Key Points to Remember

Focusing on communication, consultation and record keeping throughout the initiation of employment equity in your workplace is crucial to creating a firm foundation on which to build your employment equity program and plan. These elements enforce your organization’s commitment to a fair and equitable workplace for all and provide for greater transparency and accountability.

Communication

Communicating regularly with employees, managers, bargaining agents and employee representatives fosters an environment of understanding, commitment and support that will contribute to the successful initiation of an employment equity program in your workplace. These communications should explain employment equity and describe the activities and measures your organization will undertake to implement it.

Consultation

Especially during the initiation stage, it is important to ask employee representatives and bargaining agents for their opinion about how best to implement employment equity in your workplace and how to communicate with employees on matters related to employment equity.

Record Keeping

Appropriate record keeping of the steps your organization has taken to initiate employment equity is crucial. Keeping electronic or hard-copy records of the process will allow your organization to update data retrieved through your workforce survey easily and use this data as evidence of correct procedure during a compliance review.

Tools and Templates

Step 1 provides a number of tools and templates that will help your organization initiate an employment equity program effectively in your workplace.

Summary of Methodology

To initiate employment equity in your workplace in accordance with the Employment Equity Act, the Regulations and the Federal Contractors Program Requirements, your organization must:

• Establish an accountability mechanism and choose a senior official to be held accountable for initiating and implementing employment equity in your workplace.
• Provide information to all employees about the purpose of employment equity and the measures your organization has undertaken, and will undertake, to initiate employment equity in your workplace.
• Consult with bargaining agents and employee representatives to solicit feedback and ideas for the initiation of employment equity in your workplace. You must also consult and collaborate with bargaining agents and employee representatives to develop an employment equity committee to oversee the initiation and implementation process.
• Distribute to all employees a self-identification questionnaire that meets the Federal Contractors Program Requirements, to determine the number of designated group members in your workforce.
• Code the workforce data collected by employment status, National Occupational Classification code, Employment Equity Occupational Group and geographic location.

Initiating Employment Equity: A–E Task Outline

Task A Adopt an accountability mechanism for employment equity and assign a senior official

Adopt an accountability mechanism for employment equity that is appropriate for the needs and circumstances of your organization. This will ensure that commitments to employment equity objectives are taken seriously. In addition, you must assign accountability to a senior official. The name and contact information of this individual is to be communicated to employees, bargaining agents and employee representatives, along with an explanation of the purpose of employment equity.

Task B Establish an effective communication strategy

A solid communication strategy is key to the success of your organization’s employment equity initiatives. In this task, you will receive information on the communication requirements your organization must meet under the legislation.

Task C Consult and collaborate with bargaining agents and employee representatives

Consulting and collaborating with bargaining agents and employee representatives is a crucial step in establishing support for your organization’s employment equity program

Task D Collect workforce data

To determine the representation of designated group members in your organization’s workforce, you must distribute a self-identification questionnaire asking employees to self-identify as belonging to one or more of the designated groups.

Task E Code workforce data

The workforce data collected using your organization’s self-identification questionnaire must be coded by employment status, National Occupational Classification coding, Employment Equity Occupational Group and geographic location. Coding your workforce data is a necessary step in preparing for the Workforce Analysis in Step 2.

Task A: Adopt an Accountability Mechanism for Employment Equity and Assign a Senior Official

As with any corporate initiative, it is crucial to adopt an accountability mechanism and assign accountability to a senior official who is to be responsible for overseeing the implementation of the program through various stages in the employment equity process.

An effective employment equity program requires the ongoing commitment of your entire organization, starting with senior management. This commitment will filter throughout the organization, ensuring that everyone takes employment equity seriously.

Senior management can demonstrate that it supports employment equity through tangible actions. These include delegating appropriate authority to those responsible for developing the employment equity plan, allocating sufficient human and financial resources to ensure the effective functioning of the accountability mechanism and setting clear performance standards.

Types of Accountability Mechanisms

Your organization must, at a minimum, assign a senior official as a mechanism for accountability. Beyond this, however, you should also adopt one or more accountability mechanisms appropriate for your organization’s specific needs and circumstances. You are strongly encouraged to be as creative and innovative as possible when deciding on a mechanism. Here are a few suggestions that may be beneficial to your organization:

• establishing a sub-committee or working group;

  Some organizations will find that a small sub-committee of the main employment equity committee or a clearly delegated employment equity coordinator—frequently situated in the HR area—can take on the day-to-day responsibility for managing the employment equity process.

• linking employment equity goals and measures to the hiring managers’ year-end bonuses;
• requiring managers of areas with gaps in representation to report on efforts and progress made toward removing barriers and eliminating gaps; and
• requiring people responsible for hiring processes to report on how they considered employment equity objectives in their decisions.

Note: Although outside consultants may be helpful to some employers, accountability for the program and the work completed must always reside within the organization.

Assigning a Senior Official

Under the Federal Contractors Program Requirements, accountability for employment equity must be assigned to a senior official within your organization. Most organizations find that investing lead responsibility in one person provides the most consistency and control.

It is important to note that this measure goes beyond simply assigning accountability; your organization must ensure that the assigned person is aware that there are clear roles and responsibilities required of them.

Qualities of the Senior Official

It is important to choose the senior official carefully. The senior official should have:

• credibility with your organization’s employees and with other members of the senior management team;
• senior-level capability;
• excellent communication, negotiation and program management skills;
• a commitment to employment equity as a concept; an understanding of the problems, concerns and aspirations of
• designated group members; and
• flexibility to modify human resource policies and practices without feeling threatened by change.

Roles and Responsibilities of the Senior Official

The roles and responsibilities of the senior official accountable for employment equity in your organization might include:

• taking on the role of champion of employment equity within your organization;
• carrying out, personally or through delegation, the next steps in employment equity implementation (i.e., forming an employment equity committee);
• chairing or participating in the employment equity committee or other related committees;
• requiring managers to report directly on how they are working to achieve employment equity-related goals and objectives within their own divisions;
• requiring those involved in the staffing process to report directly on how they considered employment equity-related goals and objectives in their staffing decisions; and signing employment equity communications sent to staff and answering staff questions or concerns related to employment equity.

Ideally, the assigned senior official should report directly to the chief executive officer to demonstrate to the rest of the organization that top management supports employment equity objectives. The higher the management level, the greater the probability of effecting positive change.

Announcing the Employment Equity Program

Once an accountability mechanism is in place and a senior official is assigned, you must announce the purpose of an employment equity program to all employees.

The initial announcement of the program should:

• state that an employment equity program will be implemented in the organization;
• explain why the program is being implemented;
• indicate that the employment equity program will continue to incorporate your organization’s fundamental principle of filling vacancies based on merit;
• announce the senior official responsible for employment equity; assure employees that they will receive ongoing information about the program’s implementation; and
• provide the name and contact information of a person who can be reached to obtain further information. This person (the employment equity contact) will handle enquiries and assist the senior official responsible for employment equity.

To view an example of a communication that introduces employment equity to employees and announces the assignment of a senior official, see Appendix 1A.

Task B: Develop an Effective Communication Strategy

Once you have established an accountability mechanism in your workplace and assigned accountability to a senior official, the next step is to develop and implement a communication strategy. Communication with respect to employment equity is not only a requirement, it is also essential to the success of the employment equity program. An informed and supportive workforce can help ensure that employment equity activities produce effective results. Good communication will also ensure that those with direct responsibility for carrying out activities receive co-operation.

Structure and Elements of the Communication Strategy

Purpose of the Communication Strategy

The strategy should ensure that your communications to employees provide a clear message on:

• a workforce that is representative of the Canadian population and free of barriers for the four designated groups;
• the measures your organization has undertaken or will undertake to develop an employment equity program and meet this corporate objective; and
• the progress made toward employment equity implementation. Target Audience

The type of audience affects the content of and approach to communications. Internal audiences can include one or more of the following groups: all employees, new employees, job applicants, managers and supervisors, bargaining agents, employee representatives, employees from each of the four designated groups, and the board of directors.

Methods of Communication

Personal communication

Personal communications is especially important in the early stages of the employment equity program to ensure that employees understand the reasons for employment equity, their roles and responsibilities, and the level of commitment of senior management to the program. Personal communication methods may include one-on-one discussions, meetings, information sessions, management briefings, presentations, conference calls, annual meetings, union meetings and hotlines.

Non-personal communication

Non-personal communication may be appropriate for providing progress reports on the implementation of the employment equity program and may include: e-mail, notice boards, posters, videos, memos, newsletters, pamphlets, brochures and Web sites.

Keys to Communication Success

Effective communication in the employment equity context is dependent on two core principles:

1. Flexibility: It is important that your organization’s communication strategy has the flexibility to address unexpected issues as they arise.
2. Continuity: Effective communication with employees and employee representatives regarding employment equity should take place on a continuous basis through ongoing education and training. In order to gain support and assistance from employees, communication must be frequent at the beginning of the employment equity process and take place at least twice a year thereafter.

Although communication with all involved throughout the employment equity process is strongly encouraged, there are instances where communication is required.

Required Communications

Your organization is required to communicate with employees, managers, bargaining agents and employee representatives when:

1. providing introductory information about the purpose of employment equity and the name and contact information of the senior official who is to be held accountable for the implementation of employment equity in your workplace;
2. inviting interested individuals to participate in the formation of an employment equity committee, or equivalent, in your workplace;
3. introducing and explaining the self-identification questionnaire and providing contact information if there are questions or concerns; and
4. providing follow-up information related to the self-identification questionnaire.

Details on what is required in each communication and the circumstances that surround each release are discussed in the tasks that follow.

Task C: Consult and Collaborate with Bargaining Agents and Employee Representatives

All employers covered under the Federal Contractors Program are required to consult and collaborate with bargaining agents and employee representatives about specific matters related to employment equity implementation. The employment equity plan may have some effect on the collective agreement; the union is a key element in communicating with all workers and enlisting their support.

Purpose of Consultation and Collaboration

Consultation and collaboration ensures that all workplace partners play an active role in employment equity implementation. Workplace initiatives and innovations developed and supported by management, bargaining agents and employee representatives have a better chance of succeeding than unilateral employer initiatives. In general, the policy of the federal government is to encourage labour-management co-operation in the workplace.

The co-operation and support of bargaining agents and employee representatives is essential to creating a favourable environment for the designated groups, especially when asking employees to self-identify as designated group members. Bargaining agent and employee representative involvement in the development of employment equity policies and procedures should result in policies and programs that will achieve employment equity goals when implemented in the workplace.

Scope of Consultation and Collaboration

The legislation specifies that employers must consult with bargaining agents and employee representatives in the development, implementation and revision of the employment equity plan. Therefore, continuous involvement by bargaining agents and employee representatives is required at each stage of the employment equity process, including:

• communications to employees;
• the workforce survey, using the self-identification questionnaire;
• the employment systems review;
• the preparation of the employment equity plan (including updates to your workforce analysis and employment systems review, as necessary);
• the implementation of the employment equity plan;
• monitoring progress during the implementation of the employment equity plan; and
• the review and revision of the employment equity plan.

The legislation requires employers to consult with bargaining agents and employee representatives regarding two types of assistance that they may provide.

Assist in communicating with employees

Bargaining agents and employee representatives can:

• provide valuable input to company publications, as well as company or employee newsletters;
• identify issues that management may not be aware of;
• participate in setting up joint labour-management information sessions;
• participate in regular staff meetings at various levels throughout the organization;
• help ensure that designated group members are aware of training programs, other targeted measures and procedures for obtaining reasonable accommodation; and
• provide assistance to employees completing the self-identification questionnaires.

Assist in facilitating the implementation of employment equity

Though this type of assistance is important throughout the process, it is critical during the initial phases. Bargaining agents and employee representatives can:

• Educate employees about employment equity and promote positive attitudes prior to distributing the self-identification questionnaire, to ensure the best possible response rate. Employee representatives can undertake much of the actual work and organization themselves.
• Provide input into communications strategies, employment systems reviews, the development of the employment equity plan and the review of results and progress.

Methods of Consultation and Collaboration

The legislation does not specify what type of process must be established for consultation and collaboration. Employers are, however, encouraged to build on successful labour-management structures that already exist or to introduce a new structure that will allow them to meet their responsibilities under the Act. Options include:

• a joint labour-management committee or working group;
• a number of joint labour-management sub-committees;
• task forces devoted to exploring specific aspects of employment equity;
• regional employment equity committees;
• focus groups; or
• a combination of these structures, depending on your organization’s size, geographical distribution, number of bargaining units and employee representatives.

Your organization should move as quickly as possible to determine a structure that will operate effectively in the workplace. Several mechanisms are presented.

Employment Equity Committee

An employment equity committee is a very useful mechanism for consulting and collaborating with bargaining agents and employee representatives. It establishes a forum for sharing information and developing other mechanisms to ensure that all employees are aware of the objectives of employment equity.

The purpose of the employment equity committee is to oversee the implementation of the employment equity program in order to develop fair, equitable and barrier-free employment practices in accordance with the Federal Contractors Program and its requirements. The employment equity committee is not to be considered a form of co-management. Although employees and bargaining agents and/or employee representatives are encouraged to actively participate in the employment equity process, the organization (i.e. management) is to be held accountable for the employment equity plan.

Composition of the committee

The committee should:

• consist of at least four members, but not become too large and hard to manage;
• be co-chaired by a manager, an employee and/or an employee representative to increase collaboration and to promote a sense of inclusion;
• include the senior official responsible for employment equity;
• have representative(s) from one or more designated groups; and
• be adequately representative of the unionized and non-unionized portions of the workplace, all designated groups, occupational groups within the workplace and various geographic locations and sectors.

Organizations might also invite individuals from outside the workplace to sit on the committee for reasons of inclusiveness or expertise. Such a measure might be particularly useful in seeking a representative from a designated group that is significantly under-represented in the workplace.

Unionized workplaces:

In workplaces where all or part of the workforce is unionized, each union, through its bargaining agents, should be invited to participate as a full member in the employment equity committee. In such cases, a coordinating committee consisting of representatives from each of the sub-committees could also be established to oversee the process and provide a forum for sharing information.

In smaller workplaces with multiple bargaining agents, it may not be necessary to have a coordinating committee as long as each of the bargaining agents can be represented on the employment equity committee.

Non-unionized workplaces:

Where committee seats are assigned to non-unionized employees, some options include:

• Selection by unit: Assigning a seat to a unit or a branch in the case of small workplaces; for larger organizations, a regional or provincial seat can be established.
• Nomination: Inviting employees to nominate possible representatives.
• Invitation for volunteers: Seeking expression of interest in volunteering from employees.

To view an example of a memorandum inviting employees to participate in the employment equity committee, see Appendix 1B.

Functions of the Committee

Your organization’s employment equity committee is encouraged to participate extensively throughout the process by:

• helping to establish, communicate, promote and implement employment equity in your workplace;
• assisting in the development of the self-identification questionnaire and promotion of the workforce survey;
• identifying specific needs of designated groups within your organization;
• reviewing all employment policies and practices, written and unwritten, to ensure they do not present employment barriers for designated group members;
• consolidating all of your organization’s employment equity activities and goals;
• assisting in the development, implementation and review of the employment equity plan; and
• preparing and/or organizing presentations and/or training sessions on employment equity for managers and staff in your organization.

Ensuring the Effectiveness of the Employment Equity Committee

How the committee operates will depend a great deal on the size of your organization and its culture. Your organization can maximize the committee’s effectiveness by:

• providing training to the members of the committee on employment equity and on interest-based, non-adversarial collaboration;
• developing clear terms of reference for the committee, which define its primary purposes and lay out how the committee will function;
• developing a general action plan for the committee;
• providing opportunities for committee members to identify and understand the issues, review and consider proposals before the committee, and formulate an informed response to proposals before the committee;
• presenting alternative or additional proposals to the committee for consideration;
• giving consideration to all proposals, advice, suggestions and other comments provided by employee representatives during the consultation and collaboration process; and
• making the committee process a part of committee members’ work-related duties.

  This means:

  • committee meetings should take place during working hours;
  • employee representatives should receive their normal pay for time spent at committee meetings; and
  • employee representatives should be compensated at regular overtime rates if meetings exceed normal working hours.

Employment Equity Coordinator

Your organization may wish to appoint an employment equity coordinator after the committee is created so that its members can be involved in the selection.

Functions of the Employment Equity Coordinator

The employment equity coordinator is responsible for undertaking the following tasks with the advice and help of the employment equity committee:

• organizing committee meetings;
• developing a corporate policy on employment equity;
• collecting data and preparing employee surveys;
• carrying out the statistical and qualitative analysis;
• coordinating the review of the human resource policies and
• practices to assess their impact on designated group members;
• drafting the organization’s employment equity plan;
• organizing awareness training or other employment equity training for employees;
• helping line managers develop individual plans for promoting employment equity within their sphere of responsibility;
• keeping employment equity records;
• preparing reports for senior management;
• keeping lists of local designated group associations up to date to inform them of job openings;
• advising the senior official responsible for employment equity of the progress of the program;
• representing the organization at outside meetings and functions; and
• acting as a primary contact during a Federal Contractors Program compliance review.

Qualities of the Employment Equity Coordinator

Your organization is encouraged to select an employment equity coordinator who understands and is knowledgeable about organizational policies and procedures. The coordinator should also be aware of the concerns of designated group members working in your organization. This individual should be competent in the area of negotiation.

Please note that if the coordinator is hired from outside the organization because of expertise in employment equity, the individual must acquire knowledge of the business lines of the organization to be able to make realistic proposals.

Points to Remember in the Consultation Process

• Confidentiality
  Consultation and collaboration requires an open dialogue and sharing of information between the employer, bargaining agents and employee representatives. Therefore, it is recommended that employers provide bargaining agents and employee representatives with the information that is necessary to allow them to participate meaningfully and effectively in the consultation and collaboration processes. At the same time, confidentiality requirements must be respected.

  The information provided should include items such as:

  • employer policies and practices regarding recruitment, retention, promotion, transfers, and terms and conditions of employment;
  • collective agreements in place;
  • wage and salary rates (where appropriate), benefits and classification systems;
  • results of the workforce survey, workforce analysis and employment systems review; and
  • measures in the employment equity plan and timetables for their implementation.

• Bargaining agent participation
  The bargaining agent has an obligation to participate in these consultations. In order for the consultation process to be meaningful, the collaboration of the bargaining agents must be sought while the policies and plans for the employment equity process are being finalized rather than after they have been finalized. If the bargaining agent declines to participate or provide an alternative, you must keep detailed records to demonstrate that all reasonable efforts were made to consult.
  
• Decision-making power
  The Employment Equity Act clarifies that consultation and collaboration are not forms of co-management. This means that decision-making power and full responsibility for fulfilling the legislative requirements ultimately rest with the employer.

  Although the employer retains the right to make the final decision in all matters and is only bound to seek the views of employee representatives, it is recommended that advice and input from bargaining agents and employee representatives be respected and considered.

Now that decisions related to the involvement of bargaining agents and the role of a committee or similar structure have been made, your organization will proceed to the crucial task of collecting workforce data using the self-identification questionnaire.

Task D: Collect Workforce Data

All organizations under the Federal Contractors Program are required to collect information about their workforce in order to determine the level of representation of designated group members. This task will explain in detail how your organization is to use a self-identification questionnaire to collect workforce data in a way that is consistent with the Federal Contractors Program Requirements. The information collected will later form the basis of your Workforce Analysis, which will determine areas of possible under-representation in your organization.

Surveying Your Workforce: The Self-Identification Questionnaire

Collecting information on the internal representation of designated group members in your workforce is a key component for many other tasks that your organization is required to undertake in the employment equity process. You will find that workforce data collected at this time will be used later to identify occupational groups where designated groups are under-represented and help to identify the barriers that have caused this under-representation. This data will be used to develop measures and establish short- and long-term goals to improve the representation of designated groups in your workforce.

You can fulfil this requirement by collecting and recording the following workforce information for all employees:

• internal representation data (stock data) taken from the self-identification questionnaire (note that a high response rate is required as a foundation for further analysis);
• hire, promotion and termination data (flow data) that will allow you to track the progress of employment equity over time; and
• salary data, including top and bottom salary quarters.

To collect internal representation data on the designated group members in your workforce, you must conduct a workforce survey using a voluntary self-identification questionnaire. It is recommended that the survey be redone every three years; however, an employer who maintains records as employees are hired, moved or terminated is not required to do so. Information on gender can be obtained by means other than the workforce survey, including through personnel records.

The following steps should be followed to conduct an effective workforce survey:

Steps of a Workforce Survey

• Prepare a survey action plan
• Determine employees to be surveyed
• Consult with employee representatives and bargaining agents
• Provide information to employees
• Ensure self-ID questionnaire meets the Employment Equity Act requirements

  Administer the survey process

  • Distribute the questionnaire
  • Assist employees in completing the questionnaire
  • Collect questionnaires
  • Follow-up on non-returned questionnaires
• Determine results of survey and provide feedback
• Keep survey results up to date

Prepare a Survey Action Plan

A key factor in ensuring a successful and effective workforce survey is commitment to the process by the senior management. An effective workforce survey is one in which:

• employees, employee representatives and bargaining agents understand the purpose of the survey and how the results will be used;
• all, or at least a very strong majority of employees (80+ percent) complete and return the self-identification questionnaire; and
• respondents provide accurate self-identification information.

In order to encourage these results, an organization must prepare the groundwork for the workforce survey well in advance of survey distribution. The following questions about the questionnaire should be considered ahead of time:

• Who will be responsible for coordinating the survey process?
• Who will distribute the questionnaires?
• Who will answer questions that arise?
• Who will ensure that the right assistance is provided?
• Who will collect or receive the questionnaires?
• Who will open the questionnaires?
• Who will track returns and monitor responses? (return and response rate)
• Who will do the follow-up that is necessary?
• How will the information collected from the questionnaires be recorded?
• What record management system will be used to store and maintain employees’ records?
• If a computerized system is used, who will enter the data?
• Who will determine results?
• Who will be the custodian of the data?

Determine Employees to Be Surveyed

Everyone employed for a period totalling 12 weeks or more during a calendar year (except for students and individuals working on contract) must be given a self-identification questionnaire once they have been hired. This includes full-time, part-time and temporary employees, and employees on any form of long-term leave, including long-term disability leave.

Consult with Bargaining Agents and Employee Representatives

Employers are required to consult with bargaining agents and employee representatives on the preparation, implementation and revision of the employment equity plan. In addition, they should consult on the assistance employee representatives could provide to the employer in implementing employment equity and in communicating with employees on matters relating to employment equity.

Assistance from bargaining agents and employee representatives in communicating with employees regarding the upcoming workforce survey and consulting with them during the various stages of the survey can help generate interest and ensure a high response rate.

In particular, bargaining agents and employee representatives should be involved in disseminating general information to all employees on the purpose of the upcoming workforce survey and the importance of completing and returning the self-identification questionnaire.

Provide Information to Employees

Through a preliminary information package or information sessions, your organization may also wish to provide additional material related to employment equity to address any concerns that employees may have regarding information disclosure, including:

• apprehension about revealing information that is generally not known in their workplace;
• worry that self-identification may jeopardize their present status or opportunities for advancement;
• impression that their work environment does not value diversity;
• perception of having been hired or promoted solely because of their designated group membership as opposed to their qualifications; or
• concerns of employees who are not members of designated groups that employment equity will remove or seriously reduce their promotion, training and other career development opportunities.

The information provided to employees should be aimed at addressing these concerns; in particular, it should address the idea that employment equity means giving preferential treatment to unqualified members of designated groups. The mechanisms established in the communication strategy should be used to communicate this information (for example, through employer and union newsletters, special information sessions, e-mail or inserts in pay envelopes).

The information provided should also:

• confirm senior management’s commitment to employment equity;
• reassure employees that the main objectives of employment equity are to ensure fair hiring and promotion procedures and to provide a workplace environment that is respectful and accommodating of all employees’ needs;
• point out that special initiatives targeted at designated group members may be undertaken where there is clear evidence that members of these groups are significantly under-represented in an occupational group; and
• indicate that any special initiatives are temporary and undertaken in order to address an existing issue. When the under-representation is corrected, the special initiatives will normally be phased out.

In addition, the information package could:

• give a brief background on employment equity—give evidence of the systemic barriers faced by members of the four designated groups;
• state that goals and timetables are part of employment equity planning and are used to measure progress toward full representation; and
• explain that employment equity goals are flexible targets, like other business goals.

To view an example of a memorandum to be sent to employees informing them of the upcoming workforce survey, see Appendix 1C.

You might also attach Appendix 1D, Self-Identification Survey: Frequently Asked Questions to the memorandum to answer any questions or concerns that your employees may have.

Self-Identification Questionnaire Requirements

The information and instructions included with the questionnaire itself can have a significant impact on response rates and accuracy. At the time of the survey, attach a cover letter that reiterates the fundamental purposes of employment equity, explains the role of the self-identification questionnaire and emphasizes the importance of accurate responses for effective planning and implementation of employment equity.

Mandatory

In order to meet the following requirements as set out in Sections 3 to 5 of the Employment Equity Regulations, the self-identification questionnaire must:

• be provided to all employees;
• include a question on gender, if unable to obtain accurate data on women from payroll or personnel records;
• include definitions of Aboriginal peoples, persons with disabilities and visible minorities that are consistent with those outlined under the Employment Equity Act. It is recommended that you use the definitions suggested in the Regulations.
• indicate that identification in more than one designated group is possible, since each designated group faces particular kinds of employment barriers and a person who belongs to more than one of these groups is likely to experience multiple barriers;
• indicate completion is voluntary;
• indicate that information will be kept confidential;
• indicate that employees can change information at any time;
• include an employee identifier;
• be provided to employees upon request; and
• be available in alternate formats upon request.

Confidentiality: Information collected by an employer is confidential and can be used only for the purpose of implementing the employer’s obligations under the Act. [Act, s. 9(3)] Self-identification: Employee self-identification is voluntary. Only employees who identify themselves as a member of a designated group, or agree to be identified, may be counted. [Act, s. 9(2)]

Optional

To ensure a better response rate, the questionnaire could also:

• Indicate that returning the questionnaire is mandatory (even if left blank).
• Provide the name of the employment equity contact and senior official.
• Include a check-off box where employees can agree that the information provided can be used for other human resource management purposes related to employment equity. (This would help you contact the designated group members who respond positively to this question to participate in special initiatives intended to address the under-representation of their group in a specific occupation. Such initiatives may be more successful if designated group members can be directly approached—something which, given the confidentiality requirements, cannot be done without prior consent.)
• Include extra questions relating to employment equity. If additional questions are included on the questionnaire (e.g., sub-groups of visible minorities), they must be closely linked to employment equity, be separated from self-identification questions and clearly state that the provision of this information is optional.

To view an example of a self-identification questionnaire for collecting workforce information, see Appendix 1E. You may wish to develop your own version of the questionnaire, adapted to your own particular workforce. However, any variation must retain the mandatory information specified above.

Administering the Questionnaire

Distribute the Questionnaire

Suggestions for distributing the questionnaire:

• ensure that all employees receive a self-identification questionnaire;
• set aside a specific time to distribute the self-identification questionnaire;
• pick a time when most employees are available, (i.e., avoid holidays or peak business periods);
• set a deadline for the return of the questionnaire;
• distribute the questionnaire in electronic and/or paper format;
• include additional educational material;
• include the name and telephone number of the employment equity contact, the employment equity coordinator and the senior official, to respond to employee questions;
• mail a survey package in a self-addressed envelope to employees who are not centrally located or who are on extended leave; and
• develop a distribution control sheet to track when each employee receives and returns the questionnaire.

Suggested distribution methods:

• distribute the questionnaire during regular staff meetings, training sessions or special employment equity information sessions;
• use internal mail;
• use the pay distribution system; or
• create a Census Day or Census Week to distribute the questionnaire.

Assist Employees in Completing the Questionnaire

To help employees understand and complete the questionnaire, employers may consider:

• appointing advisers to help employees;
• conducting information meetings in consultation with bargaining agents and employee representatives;
• establishing a hotline to answer questions;
• consulting with employees regarding the accommodation they need to complete the questionnaire; and
• using creative ways to communicate, such as posters and videos.

Collect the Questionnaires

• A high return rate can be ensured by requiring that every employee return the questionnaire, whether or not it is completed. This is specifically sanctioned by the Regulations.
• It may be useful to provide a deadline by which all questionnaires must be returned, and implement follow-up procedures to track missing returns and encourage employees to submit their questionnaires.

Follow-up to the Workforce Survey

It is important for your organization to aim for a 100% return and response rate to identify where gaps exist and develop an appropriate employment equity plan. The return rate is a measure of the percent of self-identification questionnaires that were returned (the number of questionnaires returned blank, partially completed and fully completed/number of questionnaires distributed). The response rate is a measure of the percent of questionnaires returned completed compared to the total number of employees given the questionnaire (number of questionnaires returned partially and fully completed/number of questionnaires distributed).After the completion of the survey, if you have not achieved a minimum 80% return and response rate, then you need to:

• send a communication to remind employees of the importance of the survey;
• remind employees that it is mandatory to return the survey questionnaire (if you have selected this option);
• confirm that all employees (e.g., absent, on leave, working in remote areas) did receive a questionnaire; and
• follow up with non-respondents or employees whose responses were illegible or incomplete.

To view an example of a memorandum to remind employees of the importance of the self-identification questionnaire, see Appendix 1F.

Communicate the Results of the Workforce Survey and Provide Feedback

Upon completion of the survey, you should send a communication informing employees of the results of the survey.

If a large number of questionnaires are not returned on time, if they are returned with one or more questions unanswered, or if there is reason to believe that a large number of employees may have answered the questions inappropriately, there may be a larger communication problem.

If this situation exists, the law does not allow employers or designated personnel to require people to provide or correct their responses. However, employers can attempt to improve the self-identification process by holding information sessions or providing information through newsletters or e-mail, to explain the purpose and principles of employment equity; explaining the purpose of the workforce survey and the importance of filling in the questionnaire; and emphasizing the protection of confidentiality.

Keeping Survey Results Up to Date

Your organization is responsible for keeping the survey results up to date by providing a self-identification questionnaire to:

• all new employees hired after the date of the last full workplace survey;
• all employees who indicate that they wish to change any information previously submitted on a questionnaire; any employee who requests a questionnaire.

Your organization must also make any necessary adjustments to the workforce survey results to take into account:

• any responses as a result of the above;
• changes in employment status, promotions and salaries; and
• any employees who were terminated.

Previous workforce survey

Your organization must retain a sample copy of the self-identification questionnaire that was provided to employees for two years after the period covered by the employment equity plan to which the questionnaire relates.

It is not necessary to re-survey part of or all of your workforce, if a previous survey meets the following criteria:

• it asked if the employee was a member of a visible minority, a person with a disability or an Aboriginal person;
• it used questions and was conducted in a manner that met the Federal Contractors Program Requirements;
• responses were voluntary; and
• results have been kept up to date.

Task E: Code Workforce Data

Once you have collected workforce data using the self-identification questionnaire, the data must be classified according to:

• employment status;
• National Occupational Classification;
• Employment Equity Occupational Group; and
• geographic location of the position.

The purpose of coding your workforce data in this way is to facilitate the comparison by occupation and occupational group of designated group member representation in your workforce to availability in the Canadian labour market, as part of a workforce analysis in Step 2.

Employment Status

First, the employee’s employment status must be assigned. The three employment status classifications are:

• Permanent full-time employee: a person who is employed by an organization for an indeterminate period of time, to work the standard number of hours on a regular basis, as determined by the organization and in accordance with the occupational group to which the person belongs.
• Permanent part-time employee: a person who is employed by an organization for an indeterminate period of time, to work fewer than the standard number of hours on a regular basis, as determined by the organization and in accordance with the occupational group to which the person belongs.
• Temporary employee: a person who is employed on a temporary basis by an organization for any number of hours within a fixed period or periods totalling 12 weeks or more during a calendar year. This does not include a person in full-time attendance at a secondary or post-secondary education institution who is employed during a school break.

For additional information on how employees are counted, see Appendix 1G.

National Occupational Classification

The National Occupational Classification (NOC) is a system for describing the occupations of Canadians. In summary, it is a tool used to classify occupations according to their skill level and skill type. A four-digit code, called the NOC code, identifies the occupation. Each digit of this code reflects an important trait of the occupation it represents and provides a standardized language for describing the work performed by Canadians.

To obtain the detailed information on how to code your positions, you have two options:

• You can purchase the book NOC: National Occupational Classification. To order this document visit: www.publications.gc.ca
• You can visit the Labour Program Web site at www.labour.gc.ca. Here, you will find enough detail to complete your coding and tutorials to assist you. You may also contact the regional Workplace Equity Office of the Labour Program to obtain the assistance of a workplace equity officer. (Note, however, that workplace equity officers do not undertake the actual coding.)

The following sections provide an overview of the NOC coding process, as well as the other coding requirements for the self-identification questionnaire data.

Digit One: Skill Type

The first digit of the NOC code designates the skill type. Skill type is based on the type of work performed, but it also reflects the field of training or experience that is normally required for entry into the occupation. This includes the educational area of study required, as well as the industry of employment in cases where experience within an internal job ladder is required for entry. These categories are intended to indicate easily understood segments of the workforce.

Remember that occupations coded with a first digit of 1 through 9 refer to the skill type of that occupation. For example, the codes of all Occupations Unique to Processing, Manufacturing and Utilities start with the digit 9 on the left. However, Management Occupations, which are found across all skill types, start with 0 as the first digit.

Digit Two: Skill Level

The second digit of the NOC designates the skill level that corresponds to the type, and/or amount of training or education typically required to work in an occupation. The NOC consists of four skill levels identified from A through D, and each is assigned a numerical value ranging from 1 to 6.

Skill level is primarily based on the nature of the education and training required to work in an occupation. This criterion also reflects the experience required for entry and the complexity of the responsibilities involved in the work, compared with other occupations. In most cases, progression from skill level B to A is not possible without completion of additional formal education, whereas progression from skill level D to skill level C is often achievable through on-the-job training and experience.

Each skill level is intended to reflect commonly accepted paths to employment in an occupation. Where there are several paths to employment, the skill level most commonly identified by organizations is used, considering the context of the occupation and the trends in hiring requirements.

For Trades, Transport and Equipment Operators and Related Occupations, skill level B occupations may be coded with either a 2 or a 3. The reason for this is that there are more than 9 minor groups within the major group. When there are more than 9 minor groups within a major group, the skill level digit is increased by one, but corresponds to the same alphabetical character. The same applies for skill level C in Occupations Unique to Processing, Manufacturing and Utilities, where the second digit can be either 4 or 5.

Major groups

The first two digits are then grouped into 26 major groups. Remember that the first digit represents the skill type for an occupation and the second digit of the code generally separates occupations according to skill level or the type and duration of training required. Therefore, we can have several major groups within each skill type. For example, in the skill type Sales and Service Occupations, there are three major groups:

62 Skilled Sales and Service Occupations

64 Intermediate Sales and Service Occupations

66 Elemental Sales and Service Occupations

Digit Three: Minor Groups

At the three-digit level, the major groups are then divided into 140 minor groups. For example, major group 64, Intermediate Sales and Service Occupations, includes eight minor groups:

641 Sales Representatives, Wholesale Trade

642 Retail Salespersons and Sales Clerks

643 Occupations in Travel and Accommodation

644 Tour and Recreational Guides and Casino Occupations

645 Occupations in Food and Beverage Service

646 Other Occupations in Protective Service

647 Childcare and Home Support Workers

648 Other Occupations in Personal Service

Fourth Digit: Unit Groups

At the four-digit level, the system is expanded into 520 occupational groups identified as unit groups. Unit groups represent further specificity within an occupational domain. To continue with the example above, minor group 643, Occupations in Travel and Accommodation, is further divided into five unit groups:

6431 Travel Counsellors

6432 Pursers and Flight Attendants

6433 Airline Sales and Service Agents

6434 Ticket Agents, Cargo Service Representatives and Related Clerks (Except Airline)

6435 Hotel Front Desk Clerks

Once all positions in your workforce have been coded with a four-digit NOC code, they are grouped into 14 Employment Equity Occupational Groups as described in the following section.

Employment Equity Occupational Groups

You are required to group the different NOC codes assigned to the occupations that exist within your organization into 14 Employment Equity Occupational Groups (EEOGs). These include:

1. Senior Managers
2. Middle and Other Managers
3. Professionals
4. Semi-Professionals and Technicians
5. Supervisors
6. Supervisors: Crafts and Trades
7. Administrative and Senior Clerical Personnel
8. Skilled Sales and Service Personnel
9. Skilled Crafts and Trades Workers
10. Clerical Personnel
11. Intermediate Sales and Service Personnel
12. Semi-Skilled Manual Workers
13. Other Sales and Service Personnel
14. Other Manual Workers

The EEOG structure (2006 NOC) and definitions are included in Appendices C and D of the 2006 Employment Equity Data Report (EEDR) and are also available on the Labour Program Web site.

The EEOGs have been developed by the Labour Program to reflect the departmental and hierarchical structure of organizations. Grouping NOC codes by EEOGs therefore allows organizations to track the movement of designated group members over time from one department to another as well as from one hierarchical level of the organization to another.

Geographic Data Requirements

The final data requirement for each individual position in your workforce is to identify the geographic location of the position. This is done by assigning a Census Metropolitan Area (CMA) code to the position; a CMA is an area consisting of one or more adjacent municipalities situated around a major urban core. If your organization is not located within one of the following 33 CMAs listed, you code the position at the provincial or territorial level.

Statistics Canada has identified these areas as CMAs:

• Halifax, N.S.
• St. Johns, N.L.
• Saint John, N.B.
• Moncton, N.B.
• Toronto, Ont.
• London, Ont.
• Kitchener, Ont.
• St. Catharines-Niagara, Ont.
• Hamilton, Ont.
• Windsor, Ont.
• Sudbury, Ont.
• Kingston, Ont.
• Thunder Bay, Ont.
• Oshawa, Ont.
• Barrie, Ont.
• Brantford, Ont.
• Guelph, Ont.
• Peterborough, Ont.
• Ottawa-Gatineau, Ont.-Que.
• Montréal, Que.
• Québec, Que.
• Sherbrooke, Que.
• Saguenay, Que.
• Trois-Rivières, Que.
• Winnipeg, Man.
• Saskatoon, Sask.
• Regina, Sask.
• Calgary, Alta.
• Edmonton, Alta.
• Vancouver, B.C.
• Victoria, B.C.
• Abbotsford, B.C.
• Kelowna, B.C.

The CMA/provincial code is important because in Step 2: Workforce Analysis, you will establish the labour market availability of workers who are designated group members for eachEEOGG

Moving Forward

Having collected crucial workforce information, your organization is now in a position to begin comparing internal workforce data to external availability data to determine the representation of designated group members in your workplace.

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Date Modified:

2012-02-27