What Happens in an Initial Audit

• The employer receives an audit notification letter and is then contacted by a compliance review officer. The officer proposes 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 12 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 12 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 Commission or tribunal decision.
• A tribunal order may be registered with the Federal Court, thus giving it the force of a Court order

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