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Compliance Policy

The Government of Canada, through the Labour Program of Human Resources and Skills Development Canada (HRSDC), promotes and regulates fair, safe, healthy and equitable work environments and workplace practices.

This policy is designed to support voluntary compliance through education and consultation while ensuring that enforcement, when required, is fair, foreseeable and nationally consistent.

This policy presents the fundamental principles upon which compliance activities are based, consistent with current federal government policy on compliance.

Purpose of the Compliance Policy

The purpose of this policy is to guide the delivery of compliance activities to ensure that:

1. affected parties are aware of how compliance activities are carried out;
2. fair and reasonable approaches to enforcement are used;
3. approaches are consistent, effective and efficient; and
4. graduated measures are used to deal with non-compliance.

Orientation of the Compliance Policy

The policy is designed to facilitate compliance and to deal effectively with instances of non-compliance. To achieve these goals, the Labour Program conducts a series of activities designed to promote compliance, implements a range of tools and techniques to obtain compliance and, when required, responds to non-compliance situations through various voluntary and non-voluntary measures.

Activities to Promote Compliance

Compliance programs require the active support of affected parties in order to meet the goals they are designed to address. Responsibility for compliance rests with these vested parties, often referred to as the internal responsibility system.

Effective internal compliance policies assist employers and employees to avoid situations of non-compliance or the inadvertent commission of an offense under the legislation. In the case of unsafe situations, this could mean preventing serious injury or death.

Responsibility for generating and keeping records and documents reflecting compliance is an important aspect of compliance with the legislation and standards. Several compliance programs require the submission of reports, drawings or plans to assist in the ongoing review and monitoring of compliance.

Compliance Tools and Techniques

The Labour Program facilitates and monitors compliance through a variety of tools and techniques which benefit from continued improvement through experience and input from the vested parties. Examples include:

• making educational materials available in different formats;
• conducting consultations with affected parties;
• monitoring reports submitted under specific requirements contained in the legislation and circulars;
• advising and counselling parties, upon receiving a complaint, on resolving the complaint internally. If the parties fail to resolve the issue, conducting an inspection to ensure compliance;
• conducting inspections and compliance reviews which are used to determine and address areas of non-compliance;
• helping to negotiate a settlement in cases of alleged unjust dismissal. If a satisfactory resolution to the complaint of unjust dismissal cannot be attained, the complainant may request the appointment of an adjudicator to hear and decide the case; and
• in the case of fatalities or serious injuries, conducting a separate investigation to analyze causes and monitor compliance.

Response to Non-compliance

The compliance measures used by the Labour Program allow a graduated response and present a clear preference for resolving situations of non-compliance through voluntary action. Measures to achieve voluntary compliance are simple and straightforward. They are less of a burden than the measures taken to deal with employers or employees that do not voluntarily comply. Although prosecution is seen as a last resort, action is taken when needed to achieve compliance.

Specific details on the response to non-compliance for each of the principal compliance programs is found in the legislation, policies and standards.

Voluntary Compliance

Each compliance program has a simple mechanism for receiving a commitment from the responsible party that compliance will be achieved within a specified period.

Directions and Orders

When compliance is not achieved voluntarily, the party in non-compliance will be directed or ordered to comply.

Appeals to Directions or Orders

Where an affected party is not in agreement with a direction or order, mechanisms for appeal have been established. In most compliance areas, the direction or order is stayed until the appeal has been heard and a formal decision is announced. However, in cases involving occupational health and safety, the appeal does not act as a stay of the direction.

Prosecution

Where an authorized person (e.g. Labour Program officer) has determined through an investigation that a contravention has been committed, a prosecution may be undertaken.

It is departmental policy to initiate a prosecution when there are serious contraventions or where corrective action has not been taken.

The Role of Labour Program Officers

Objectives and principles presented in this policy are implemented and supported by a network of regional Labour Program officers whose role it is to:

• promote awareness of the rights and responsibilities of all parties;
• promote a common understanding among all affected parties;
• facilitate the development of internal compliance programs and measures;
• assist affected parties in achieving compliance;
• monitor compliance;
• respond to situations of non-compliance to gain full compliance;
• approach their responsibilities with objectivity;
• ensure that legislation and standards are applied consistently and fairly;
• use discretion only in areas where the legislation or standards provide some latitude in meeting their intent; and
• coordinate their activities with those of other agencies in situations where more than one regulatory agency may be involved.

Principal Compliance Programs

This policy governs the delivery of compliance programs in the following four areas.

1. Occupational Health and Safety

   Purpose: to prevent accidents and injuries to health arising out of, linked with, or occurring in the course of employment

   Based on: Part II of the Canada Labour Code

   Applies to: federally regulated industries and the federal public service

   For additional information, refer to the pamphlet entitled Occupational Health and Safety and Compliance.

2. Labour Standards

   Purpose: is to provide minimum standards for the payment of wages as well as specified benefits and workplace policies and practices

   Based on: Part III of the Canada Labour Code

   Applies to: federally regulated industries, but not to the federal public service

   For additional information, refer to the pamphlet entitled Labour Standards and Compliance.

3. Workplace Equity

   1. The Employment Equity Program

      Purpose: to correct conditions in employment which disadvantage women, Aboriginal peoples, persons with disabilities, and members of visible minorities

      Based on: Employment Equity Act

      Applies to: federally regulated industries, Crown corporations with 100 employees or more, as well as portions of the federal public service identified in Parts I and II of Schedule I of the Public Service Staff Relations Act and by order of the Governor in Council which includes the Canadian Forces and the RCMP

   2. The Federal Contractors Program

      Purpose: to correct conditions in employment which disadvantage women, Aboriginal peoples, persons with disabilities, and members of visible minorities

      Applies to: provincially regulated businesses with more than 100 employees that secure contracts for the provision of goods and services to the federal government valued at $200,000 or more

   3. The Equal Pay Program

      Purpose: to ensure that females and males employed within the same establishment are paid equal wages for work of equal value

      Based on: Part III of the Canada Labour Code and the Canadian Human Rights Act

      Applies to: federally regulated industries

      For additional information, refer to the pamphlet entitled Workplace Equity and Compliance.

4. Fire Protection Services

   Purpose: to minimize the risk of fires resulting in loss of life, loss of property or the disruption of essential operations

   Based on: Treasury Board policies and Memoranda of Understanding on fire protection

   Applies to: the federal public service, federal government property both owned and leased, major public buildings on First Nations reserves, and Crown corporations with agreements for services

   For additional information, refer to the pamphlet entitled Fire Protection Services and Compliance.

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You can order additional copies of this publication, indicating the departmental catalogue number LT-080-09-00, from:

Publications Services
Human Resources and Skills Development Canada
140 Promenade du Portage
Phase IV, 12^th Floor
Gatineau, Quebec
K1A 0J9

Fax: 819-953-7260
Online: Publicentre - Publication Search

Cat. No.: RH54-1/2000
ISBN: 0-662-65273-8

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Full text of Compliance Policy pamphlet in PDF (32 KB)

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Date Modified:

2012-02-15