POI is a type of indirect collection authorized under Standard 6 (Manner of Indirect Collection).

Under the authority of the ARA, these Standards set out specific requirements for the collection, management, and use of participant observer information (POI). All the Standards in previous sections apply to POI except where noted, and with the necessary modifications or exceptions set out below.

POI is an individual’s perceptions of another individual’s race. This information is collected for the purpose of identifying and monitoring potential racial bias or profiling in a specific service, program, or function. Individuals providing POI (respondents) are limited to employees, officers, consultants, and agents of PSOs.

Planning for the Collection, Management, and Use of POI

Standard 38. Plan for the Collection of POI

Before undertaking POI collection, PSOs must develop and publish a plan for the collection, management, and use of POI that is informed by engagement with affected communities and an assessment of the need for and the risks and benefits of collecting this information.

Rationale

Collecting participant observer information of another person’s race is a sensitive endeavour. Due diligence is required in the planning stage to consider the public interest in using this information to eliminate systemic racism and advance racial equity.

Guidance

In developing plans, organizations should consult with communities, stakeholders and partners to inform the assessment of the need for and implementation of POI collection. This can include public posting of notices of intention, holding public meetings, and inviting written submissions on the proposed plans.

Organizations should convene an advisory group to provide critical input on the design, implementation and evaluation of plans. The advisory group should include representatives from the PSO, Indigenous, Black, and racialized communities, stakeholders, and partners.

Circumstances Permitting the Collection of POI

Standard 39. Circumstances in which POI is permitted

PSOs must collect POI only for the specific purpose of assessing racial profiling or bias within a service, program, or function.

The collection of POI may only occur in circumstances that meet the following conditions:

  1. The PSO has published a plan as described in Standard 38; and
  2. There is a discrete interaction between an individual employed or retained by the organization (“representative of the organization”) and an individual client or member of the public that leads to a decision that determines an outcome; and
  3. The representative of the organization involved in the interaction described above has the authority to exercise discretionary decision-making powers over the individual that can have a significant outcome for the individual; and
  4. Decisions and/or outcomes arising from that interaction can be measured or documented, such as an individual’s receipt of benefits, penalties, or services, and treatment and/or experiences within a service, program, or function.

Rationale

Identifying and monitoring racial profiling or bias is an important aspect of understanding and addressing systemic racism and racial disparities. Racial profiling or bias arises from a decision maker’s or service provider’s perception of another person’s race, where it impacts their treatment of that person and the outcome.

Guidance

Racial bias is a predisposition, prejudice or generalization about a group or persons based principally on race. The OHRC currently defines "racial profiling" as: any action undertaken for reasons of safety, security or public protection, that relies on stereotypes about race, colour, ethnicity, ancestry, religion, or place of origin, or a combination of these, rather than on a reasonable suspicion, to single out an individual for greater scrutiny or different treatment (refer to the OHRC for the most current definition).

The application of rules, informal practices or decision-making criteria often involves the exercise of discretion on the part of the individual representative of the organization (i.e. service provider or decision maker). In using that discretion, the service provider may draw on racial stereotypes and bias. Discrete interactions with service providers or decision makers, depending on their perceptions of race, can create racial disproportionalities or disparities and significantly impact individual outcomes, as in the following examples:

  • A law enforcement worker’s decision to stop or detain individuals.
  • A social worker’s decision to bring a child into protective care.

Failing to monitor the impact of such discretionary decision-making may itself constitute a form of systemic racism where it leads to significant racially inequitable outcomes.

POI Race Question and Categories

Standard 40. Mandatory POI Race Question and Categories

PSOs collecting POI for purposes of investigating racial bias or profiling must use the following mandatory race question and categories.

POI Race Question and Categories

“What race category best describes this individual?” (select only one)

  1. Black
  2. East/Southeast Asian
  3. Indigenous (First Nations, Métis, Inuit)
  4. Latino
  5. Middle Eastern
  6. South Asian
  7. White

Response rule: The representative of the organization (the respondent) providing the POI may only select one valid response in relation to a particular individual. “Don’t know” and “Prefer not to answer” are not valid response options.

Rationale

Racial bias or profiling occurs when people rely on race-based stereotypes and make assumptions about other people based on visual cues and other information. Thus, racialization is often simply the categorization of individuals. To identify and monitor racial profiling, it is important to capture the perceptions of the persons to assess whether conclusions are being made and acted on based on stereotypes. In this respect the “actual” racial background of the individual to whom the POI relates is less important to the assessment.

“Another race category” is not available under POI. This is based on lessons learned from other jurisdictions and research that shows including that option compromises the validity of responses.

Guidance

A service provider’s perception of another person’s race is based on information that can be readily observed, such as skin colour, hair texture, facial features, and other information that may be used to inform assumptions about a person’s racial background such as accent, dress, surname, etc.

If a person is perceived to be of mixed race, the respondent should choose the race category that, in their view, the person most resembles. That perception would be the most likely driver of any stereotypes or biases.

Non-response options, such as “don’t know” and “prefer not to answer” are not allowed. They are not valid options because they could be used to avoid recording the information.

Organizations should provide instructions and appropriate training to respondents (representatives of the organization) so that they:

  • Give their best assessment of the individual, honestly and in good faith; and
  • Understand that the collection of this information is authorized or required under the ARA and any other authority where relevant.

Validity of Participant Observer Information

Standard 41. Quality Assurance

PSOs must document and have reasonable measures in place to ensure that the collection of POI is done in good faith and accurately captures perceived race.

Rationale

Before the information can be used, quality assurance methods must be applied to ensure that, to the greatest extent possible, the POI reflects the honest perception of the respondents.

Guidance

Accuracy or validity of POI means the extent to which the POI reflects the honest perception of the respondent during the interaction in question. It does not matter whether the perception reflects the “actual” race of the individual who was assessed.

Quality assurance includes accountability measures and appropriate training for service providers so that they report POI in good faith and understand the purpose of collection. PSOs should have mechanisms in place to identify and address situations where there is evidence that POI collection was given in bad faith or there was willful misrepresentation on the part of an individual who provided the POI.

The validity of POI should be assessed through the organization’s established data quality assurance procedures, and in compliance with any relevant legislation. This could include periodic and random audits or evaluations of POI data collection processes for completeness, validity, and reliability. This helps to promote the integrity of the data collected so that it serves the intended purposes of the data collection.

If the collection is done using hard copy, and then entered into electronic systems, PSOs should conduct random audits to assess the accuracy, validity, completeness, and timeliness of the electronic information.

Standard 42. Accurate Entry and Storage of POI

PSOs must document and have policies and procedures in place to monitor and maintain the accuracy of POI collected, stored, used, and disclosed for the purposes of the ARA.

PSOs must take reasonable steps to enter POI accurately into electronic records (databases) that are stored separately from administrative records containing personal information.

PSOs must code POI in electronic records as specified below.

Coding POI of Another Individual’s Race

Data element: POI Race

Description: Indicates the race of an individual as perceived by a service provider

Field Name: POI Race

Field type and format: Field type is discrete, and format is alphanumeric (25)

Code set (Valid values): Field contains alphanumeric values:

  • Black
  • East/Southeast Asian
  • Indigenous (First Nations, Métis, Inuit)
  • Latino
  • Middle Eastern
  • South Asian
  • White

Missing data (Null value): Blank or “.” (period) for null value, if value is not provided

Rationale

Entering POI accurately and consistently ensures the quality of the data to be used. POI cannot be stored in data sets that are structured such that each record relates to a unique individual. POI should instead be stored in data sets structured so that each record relates to a unique service interaction.

Guidance

To enable disproportionality or disparity analyses, POI may be stored in a secure database that can be linked to information about the outcomes of that interaction. Databases containing outcomes may be maintained in the PSO's administrative databases that contain additional personal information required for the analyses.

For example, records that contain POI may include identification numbers that can be used to link to the PSO's databases containing personal information about the outcomes of interactions with the service provider.

A unique identification number assigned to the respondent should also be recorded for each interaction to enable linking to administrative databases. This allows for analyses to identify trends or differential patterns of decisions by individual employees, officers, consultants, and agents.

Access to and Disagreement with POI

Standard 43. Access to and Disagreement with POI

PSOs must document and have procedures in place for individuals to request access to POI pertaining to them. If they disagree with the information in the POI, individuals must be able to require that a statement of disagreement be attached to the record.

Rationale

Allowing individuals access to the POI about them is an important aspect of respecting individual dignity. Although a POI relates to an individual, it reflects the perceptions of the representative of the organization giving the information at the moment of collection. To preserve the integrity of the information collected, neither the individual who provided the information nor the individual to whom the information relates may change it.

Guidance

PSOs should be prepared to explain to individuals who request access to the POI related to them why they cannot correct the information. If the individual requests a statement of disagreement, a record of the request and the statement of disagreement must be attached to the POI. This information could be used to verify the accuracy of data collection, and help inform training needs.

Individuals may make written or oral requests for access to personal information or a statement of disagreement. PSOs should verify the requester’s identity before responding to a request.

Information technology systems must be able to record statements of disagreement attached to the personal information.