Joint audit and evaluation of science capacity: human resources

Executive summary of the joint engagement

The Science and Technology Branch (STB) at Agriculture and Agri-Food Canada (AAFC) manages agricultural science capacity through the maintenance of a network of research and development centres across Canada with scientific expertise, technical staff, specialized equipment and facilities to conduct science research.

From 2018-19 to 2022-23, STB completed an Accelerated Staffing Initiative (ASI) to strengthen science capacity and modernize science expertise by hiring new scientific staff in emerging science priority areas in advance of expected retirements.

In 2019, the Office of Audit and Evaluation conducted a preliminary assessment of foundational science and research. The preliminary assessment noted challenges in managing human resources science capacity to support AAFC scientific research, development and technology transfer activities. Agricultural science capacity was one of the areas recommended for audit and evaluation by the preliminary assessment.

The Joint Audit and Evaluation of Science Capacity - Human Resources was included in the 2023-24 to 2027-28 Audit and Evaluation Plan due to the high materiality of foundational science and research and concerns that science staff may not adapt to the transformations in science and research, thus impacting AAFC’s ability to achieve science objectives.

The evaluation assessed the relevance, efficiency and effectiveness of the ASI’s activities and outcomes. Overall, the ASI achieved its objectives of strategically accelerating STB’s scientific staffing by September 2021 to meet AAFC’s current and future research needs and avoiding any net increase in science staff by end of fiscal 2022-23. Four lessons learned were identified for future staffing initiatives: enhancing support during the planning phase of recruitment, providing clearer messaging to applicants to manage their expectations as well as to protect AAFC’s reputation, continuing to make staffing and recruitment processes more inclusive, and strengthening the provision of mentorship to new hires.

The audit portion assessed whether a control framework was in place to manage human resources science capacity in support of achieving AAFC’s science objectives. Overall, AAFC has implemented elements of a control framework to manage HR science capacity in support of achieving AAFC’s science objectives. However, opportunities exist for further improvement in the areas of HR planning to address current requirements for research scientists and science professionals; long-term requirements for science support staff; onboarding materials and tools specific to research scientists and science professionals; as well as monitoring tools for HR planning.

Abbreviations

AAFC

Agriculture and Agri-Food Canada

ASI

Accelerated Staffing Initiative

CMB

Corporate Management Branch

HR

Human Resources

SE-RES

Research scientists

SP

Science professionals

STB

Science and Technology Branch

Chapter 1: Evaluation of the Accelerated Staffing Initiative

Executive summary

Purpose

The Office of Audit and Evaluation of Agriculture and Agri-Food Canada (AAFC) conducted an evaluation of the Accelerated Staffing Initiative (ASI) (2018-19 to 2022-23) as part of a Joint Audit and Evaluation of Science Capacity: Human Resources and fulfills the requirements of the Treasury Board Policy on Results. This is the first and only evaluation of the ASI, which was a one-time 5-year initiative.

Scope and methodology

ASI activities and outcomes from 2018-19 to 2022-23 were evaluated using multiple lines of evidence, including: a review of documents and data, key informant interviews, discussion groups, and a comparative review.

Background

The ASI was launched in 2018-19 as a 5-year initiative to hire and equip up to 76 full-time equivalent research scientists (SE-RES) and science professionals (SP) in emerging areas of science without increasing the total number of full-time employees after 2022-23. The ASI also included recruitment activities focused on underrepresented groups, including Indigenous and women scientists, to increase staff diversity and achieve gender parity. ASI actual expenditures from 2018-19 to 2022-23 were $15,253,181.

Findings

• The ASI is aligned with AAFC’s and the federal government’s priorities, roles and responsibilities.
• SE-RES and SP national staffing plans supported the transformation of AAFC’s scientific expertise. However, their late finalization led to hiring delays.
• While the single inventory approach attracted many qualified applicants, it also created significant administrative issues.
• Initial challenges in hiring Indigenous candidates were addressed, resulting in a culturally responsive process.
• Mentorship was a guiding principle in the ASI’s planning and was helpful for those who received it; however, mentorship was not provided consistently.

Lessons learned and conclusions

Overall, the ASI achieved its objectives of strategically accelerating Science and Technology Branch’s (STB) scientific staffing to meet AAFC’s current and future research needs by filling 76 ASI-identified positions by September 2021. The ASI resulted in 15% of STB’s scientific base being in emerging areas of science. In spite of significant new hiring, the ASI achieved the objective of avoiding any net increase in STB science staff by end of fiscal year 2022-23. The ASI also increased the number of Indigenous scientists in STB.

The following lessons learned from the ASI may be considered in future staffing initiatives:

• The inventory approach to staffing SE-RES positions was efficient, however it also created challenges searching the database. Given the range of possible hiring processes, hiring managers may not be fully educated about the optimal hiring processes and may benefit from enhanced support during the planning phase of recruitment processes.
• The inventory approach permitted applicants to submit one application that could be considered for several positions. However, an inventory process is a lengthy one and follow-up communications from AAFC may not occur unless an applicant is screened into a pool. Clearer messaging to applicants early in the recruitment process may enhance their understanding of hiring process timelines, manage their expectations and protect AAFC’s reputation as an employer of choice.
• The initial standardized screening process resulted in no Indigenous applicants being initially screened into the ASI pool. In response, the introduction of the Indigenous Staffing Board enabled a more culturally sensitive process and led to the identification of 7 qualified Indigenous applicants. Continued use of similar models may support AAFC to continue to make staffing and recruitment processes barrier-free and more inclusive at all stages.
• Although mentoring was a guiding principle of the ASI and mentorship was desired by new hires, there were challenges providing appropriate mentorship to all. New AAFC scientists and science professionals, and by extension AAFC, would benefit from the provision of mentorship to all new hires.

1.0 Introduction

The Office of Audit and Evaluation of AAFC conducted an evaluation of the Accelerated Staffing Initiative (ASI) (2018-19 to 2022-23) as part of a Joint Audit and Evaluation of Science Capacity: Human Resources in accordance with the 2023-24 to 2027-28 Integrated Audit and Evaluation Plan. The audit portion assessed the extent to which a control framework was in place to manage human resources science capacity in support of achieving AAFC’s science objectives. This is the first evaluation of the ASI, which was a one-time 5-year initiative. The results of this evaluation are intended to inform current and future programming and policy decisions.

2.0 Scope and methodology

The evaluation was conducted in accordance with the Treasury Board Secretariat Policy on Results (2016) and assessed the relevance, efficiency and effectiveness of ASI activities and outcomes from 2018-19 to 2022-23. ASI was evaluated using multiple lines of evidence including a review of documents and data; key informant interviews; discussion groups with new hires; and a comparative review including interviews, literature and document review. See Annex A for a detailed methodology.

3.0 Program profile

3.1 Background and context

AAFC’s mission is to provide leadership in the growth and development of a competitive, innovative and sustainable Canadian agriculture and agri-food sector. To support its mission, AAFC generates scientific research to support innovations that address risks and strengthen the sector. AAFC employs approximately 400 research scientists, 500 operations support staff and 1,100 other SP to conduct research out of the 20 research and development centres and 29 satellite locations spread across all 10 provinces. When the ASI was launched, AAFC anticipated the retirement of over one third of the STB science researchers and professionals over the 5-year period.

The context for agricultural science has transitioned from research that is primarily production-related (for example, plant breeding) to research that responds to a number of complex environmental and market-driven challenges, such as sustainable agriculture practices and ensuring food production for a growing world population. Technological advancements and new science disciplines (for example, big data, artificial intelligence) are also transforming agricultural innovations to address the environmental, economic and social needs of the world.

To support AAFC’s ongoing scientific leadership, the federal government committed $70 million^{Endnote 1} in Budget 2017 to support agricultural discovery science and innovation with a focus on addressing emerging priorities, such as climate change and soil and water conservation.

As part of this commitment, the ASI was designed as a 5-year initiative (2018-19 to 2022-23) with the following objectives:

• strategically accelerate STB research staffing to meet research needs
• provide a critical mass (10-15%) in new disciplines and emerging areas of science
• ensure that STB capacity does not grow in the long-term

3.2 Activities

The ASI aimed to hire up to 76 full-time equivalent research scientists (SE-RES) and SP in the following emerging areas of science:

• agro-ecosystem resilience and climate change adaptation
• clean technologies to improve environmental performance
• unlocking the microbiome to increase productivity and soil, plant and animal health
• identifying superior traits by revolutionizing germplasm development
• enhancing risk management to reduce producer losses through big data and predictive analytics
• new practices to enhance nutritional value of food and reduce impact of anti-microbial resistance

In addition to its stated objectives, the ASI also operated according to several guiding principles including:

• positioning STB for success in the evolving federal discovery science and innovation context
• using recruitment activities focused on underrepresented groups, including Indigenous and women scientists, to increase staff diversity and achieve gender parity, and
• providing a smooth transition through mentoring opportunities

The ASI was led by a core employee team consisting of 4 SP, 3 analysts including a human resources specialist from Corporate Management Branch – Human Resources (CMB-HR), and an administrative assistant. Through ongoing engagement with regional directors, and under the oversight of STB’s Branch Implementation and Human Resources Committee, this team led the development of the Highly Qualified Personnel staffing plans in 2018-19. These plans guided the recruitment of SE-RES and SP candidates based on the identified scientific needs, gaps in scientific disciplines and attrition due to retirements.

3.3 Resources

From 2018-19 to 2022-23, the ASI’s actual expenditures totaled to $15,253,181, approximately $10 million under the $25 million budget. This lapse in spending was due to slower-than-anticipated hiring of SE-RES and SPs. Table 1 presents a breakdown of ASI expenditures by fiscal year.^{Endnote 2}

Source: Department financial data

4.0 Relevance

4.1 Alignment with priorities, roles and responsibilities

The ASI’s scientific goals, objectives and guiding principles aligned with both AAFC’s and the Government of Canada’s commitment to discovery science and innovation to enhance sector resiliency in the face of climate change and soil and water conservation issues. The ASI also aligned with the Government of Canada’s commitment to Reconciliation and to equity, diversity and inclusion by supporting the recruitment of Indigenous and women scientists to contribute to a diverse and inclusive workplace. Furthermore, the ASI processes and resulting transformation in AAFC’s scientific expertise supported the development and implementation of AAFC’s 2022 Strategic Plan for Science.

5.0 Efficiency

5.1 Collaboration to support ASI design and delivery

Collaborative processes within STB and between STB and CMB-HR enabled the early development of SE-RES and SP national staffing plans and contributed to the efficiency of the hiring process.

SE-RES and SP national staffing plans

Early in the ASI process, the directors of research, development and technology collaborated to develop the SE-RES and SP national staffing plans to support a broader, branch-wide perspective on building science capacity. Evidence suggested the review of staffing plans and oversight from the Branch Implementation and Human Resource Committee allowed the ASI to respond to emerging priorities and science capacity needs, as well as to address potential misalignment between ASI positions and retirements/departures, thus reducing the risk of over-programming. The national staffing plan supported the directors of research, development and technology in transitioning from focussing primarily on the science capacity of their research centre to the science capacity of the entire branch. The staffing plans were intended to be revised on an annual basis to ensure they could respond to emerging priorities and capacity needs. Documents indicate the staffing plans were reviewed in 2020, resulting in an overall decrease in ASI positions from 84 to the intended 76 across both SE-RES and SP positions.

However, hiring could not be completed until the national staffing plans were approved. The SE-RES and SP staffing plans were finalized 5 and 8 months after the launch of the ASI recruitment poster respectively, contributing to delays in the hiring process and $10 million lapsed funding, as identified in Table 1. Some AAFC staff reported that as a result of the delay, many qualified candidates contacted for an interview had already accepted other positions. In some cases, a separate search had to be launched that further extended the hiring process.

Partnership between STB and CMB-HR

Stakeholders reported that the partnership between the STB and CMB-HR ensured both branches had a clear understanding of the process, timelines and direction of the ASI; and, that the staffing process and tools were informed by the necessary expertise.

Joint review boards with representatives from the corresponding research centres were encouraged to identify and jointly interview candidates when multiple centres were hiring for similar positions (for example, the same discipline or skill set). The evaluation found this process supported the efficiency of the hiring process.

5.2 Single SE-RES inventory approach

Evidence suggests that the single recruitment poster attracted several hundred SE-RES applicants within the first month, and that the inventory approach to staffing SE-RES positions was more efficient than running individual competitions for each vacancy. The inventory approach was also perceived to be efficient for applicants because they could apply for several positions at once. While a few AAFC staff questioned whether the broad inventory attracted top talent because the strongest candidates would likely be applying to specific jobs that match their skills and expertise, the satisfaction with the quality of candidates hired through the ASI was not reported to be a concern.

That said, interviews indicated that the large number of applicants in the inventory created some challenges because it was not easy to identify applicants with the desired skills and expertise in the database. While hiring managers were required to use the inventory first, a separate and specific position poster was launched if a candidate was not identified through the inventory, resulting in hiring delays.

Some new hires questioned the efficiency of the inventory process because after applying through the inventory, they waited over a year before receiving any communication from AAFC regarding the staffing process. Although applicants may confirm their application status through the Public Service Resourcing System, this provides very limited information with respect to time horizons and progress.

5.3 Approach to recruitment of underrepresented populations

Recruitment of Indigenous applicants

Recruitment strategies for Indigenous scientists included the promotion of the ASI inventory to Indigenous student centres, friendship centres, community organizations and band offices. Evidence suggests the single inventory poster may have resulted in a limited number of Indigenous applicants. Some diversity network key informants reported that the single ASI poster was perceived to use language that was not sufficiently culturally sensitive and risked turning people away. Additionally, the initial standardized screening process did not recognize and credit the skills and knowledge of Indigenous lived experience, or account for differences in academic outputs (for example, journal publications) that may result from working with community. As a result, no Indigenous applicants were initially screened into the ASI pool.

In response, the Indigenous Science Liaison Office introduced the Indigenous Staffing Board to review elements of the ASI process and re-evaluate Indigenous applicants through a revised interview process designed to support Indigenous applicants to effectively demonstrate their skills, knowledge and experience. Through this process, 7 qualified Indigenous applicants were identified from those that were initially rejected. The Indigenous Staffing Board’s efforts resulted in a more culturally sensitive process that enhances the department’s understanding of what is needed to eliminate barriers in its hiring practices. Lessons learned from the Indigenous Staffing Board model were subsequently used to recruit Indigenous technical staff across research centres.

Overall, interview respondents considered the Indigenous Staffing Board was a good strategy to support the recruitment of Indigenous scientists. However, some interviewees suggested there may also be a need for retention strategies, especially for Indigenous scientists and scientists in high-demand emerging areas (for example, automation/robotics) because they often get offers from other organizations.

Recruitment of women applicants

AAFC’s 2019-2020 Departmental Results Report acknowledges the commitment to gender parity in the SE-RES and SP national plans. The ASI recruitment poster was reviewed for gendered language and also noted that specified preference may be given to Employment Equity groups, including women. Documentary evidence indicated early planning intentions to leverage AAFC’s Women in Science Network in recruiting women. However, the evaluation found limited evidence of direct involvement with AAFC’s Women in Science Network or other dedicated efforts to recruit women scientists.

5.4 Mentorship of new hires

Mentoring new hires to support a smooth transition to their role was a guiding principle of the ASI. The ASI funding was designed to support overlap between retiring scientists and new hires to support mentoring opportunities and knowledge transfer. However, the evaluation identified related process gaps and opportunities.

Evidence indicated that every staffing request was required to identify a mentor for the candidate hired to fill the position, but only a few key informants/discussion group participants reported being formally matched with a mentor. One challenge affecting the matching of new hires with mentors included a lack of overlap between departing scientists and new hires, either because the ASI position was located in a different research centre, or the new hire was brought on after the scientist retired. Additionally, new hires that did receive a mentor were often unclear as to the role of the mentor and the goals of the mentoring process, and as a result were unable to take full advantage of the opportunity.

New hires reported a strong desire for mentorship to support the transition from academic to public sector science and to support their understanding of AAFC administrative and funding processes, research program design, networking and collaborations. Mentorship from industry stakeholders was also viewed as very helpful in understanding research priorities and making connections, especially for researchers moving into a new industry (for example, from dairy to beef) or region.

New hires reported that they would have benefitted from mentorship from those who had recently transitioned into AAFC, since they may be more familiar with the relevant support systems. It was also suggested that including clear mentorship expectations in work performance plans would provide accountability for mentorship commitments. This could include support for new hires’ administrative and scientific roles. New hires expressed interest in a more effective matching process to ensure best fit for mentor-mentee pairs.

6.0 Effectiveness

6.1 Achievement of objectives

Transformation of AAFC scientific expertise

AAFC benefitted from the ASI by rapidly evolving its science expertise and capacity, while maintaining the STB’s overall levels of science researchers and scientific professionals. The ASI enhanced the federal science capacity by generating a rapid increase in expertise in emerging areas of science. As a result of the ASI, 15% of STB’s scientific base was in emerging areas of science by September 2021.

The ASI successfully hired the targeted 76 full-time equivalent employees in the 6 emerging areas of science by September 2021. Another 18 non-ASI funded positions were aligned with the criteria for new and emerging areas. Of these, 9 positions were filled by the end of ASI in November. Table 2 presents the distribution of ASI hires amongst the 6 emerging areas for staff hired up to September 2021.

Source: STB Accelerated Staffing Initiative Final Report, November 2021

Recruitment of underrepresented groups

As previously discussed in section 5.3, the ASI included recruitment strategies for both Indigenous and women applicants. 4 ASI positions were staffed by Indigenous scientists (3 SE RES and 1 SP) with the 3 Indigenous SE-RES hires representing approximately 38% of the estimated workforce availability for Indigenous People in that occupational group. ASI efforts to recruit Indigenous science employees led to an increased awareness and understanding of how AAFC could support the recruitment of Indigenous scientists. 33 ASI positions (39%) were staffed by women. Although the ASI was committed to gender parity, it did not achieve this goal.

7.0 Lessons learned and conclusions

Overall, the ASI achieved its objectives of strategically accelerating STB scientific staffing to meet AAFC’s current and future research needs by filling 76 ASI-identified positions by November 2021. Resulting from the ASI, 15% of STB’s scientific base was in emerging areas of science. In spite of significant new hiring, the ASI avoided any net increase in STB science staff by end of fiscal year 2022-23. The ASI also increased the number of Indigenous scientists in STB, but did not achieve gender parity.

The following lessons learned from the ASI may be considered for future staffing initiatives:

• The inventory approach to staffing SE-RES positions was efficient, however it also created challenges searching the database and identifying applicants with the desired skills and expertise for specific positions. In some instances, this led to the launch of separate and specific position posters which resulted in hiring delays. Given the range of possible hiring processes, hiring managers may not be fully aware of the optimal hiring processes and timing for specific situations and may benefit from enhanced support during the planning phase of recruitment processes.
• The inventory approach permitted applicants to submit one application that could be considered for several positions. However, an inventory process is a lengthy one and follow-up communications from AAFC may not occur for several months, or not at all if an applicant is not screened into a pool. Although applicants to an inventory process may confirm their application status through Public Service Resourcing System, this provides limited information. Clearer messaging to applicants early in the recruitment process may enhance their understanding of hiring process timelines, manage their expectations, and protect AAFC’s reputation as an employer of choice.
• The initial standardized screening process resulted in no Indigenous applicants being screened into the ASI pool. In response, the introduction of the Indigenous Staffing Board permitted a re-evaluation of Indigenous applicants and led to the identification of 7 qualified Indigenous applicants. Lessons learned from the Indigenous Staffing Board model were subsequently used to recruit Indigenous technical staff across research centres. Continued use of similar models may support AAFC to continue to make staffing and recruitment processes barrier-free and more inclusive at all stages.
• Although mentoring was a guiding principle of the ASI and mentorship was desired by new hires to support their transition from academic to public sector science and AAFC processes, there were challenges providing appropriate mentorship to all. New AAFC scientists and SP, and by extension AAFC, would benefit from the provision of mentorship to all new hires.

Chapter 2: Audit of Science Capacity — Human Resources Planning

Executive summary

AAFC conducts scientific research at 20 research and development centres and 29 satellite locations across Canada and employs around 400 research scientists and 1,100 other science staff. Within AAFC, the STB manages science staff to carry out AAFC’s science mandate.

In 2022, AAFC's Strategic Plan for Science renewed the department’s strategic direction for science and research toward sustainable agriculture and identified the pillar of People First as one of the 3 pillars to deliver the science agenda.

To meet the sector’s and AAFC’s needs, strategic and integrated human resources (HR) planning are critical to capitalize on the expertise of science staff, attract and retain top talent, and build the workforce of the future.

The Joint Audit and Evaluation of Science Capacity — Human Resources Planning was included in the 2023-24 to 2027-28 Audit and Evaluation Plan due to the high materiality of the department’s foundational science and research and concerns that science staff may not adapt to the transformations in science and research, thus impacting AAFC’s ability to achieve science objectives.

The objective of the audit portion of this joint engagement was to provide assurance that a control framework was in place to manage HR science capacity in support of achieving AAFC’s science objectives.

We examined HR planning activities, processes and oversight mechanisms to support the establishment, development and retention of AAFC’s science capacity.

Overall, we found that AAFC has implemented elements of a control framework to manage HR science capacity in support of achieving AAFC’s science objectives. However, opportunities exist for further improvement in the areas of:

• HR planning to address current requirements for research scientists and SP and long-term requirements for science support staff
• onboarding materials and tools specific to research scientists and SP
• monitoring tools for HR planning

1.0 Introduction

1.1 Context

AAFC conducts scientific research, develops and transfers new knowledge and technologies to the agriculture and agri-food sector, in support of its mission in the growth and development of a competitive, innovative and sustainable sector.

AAFC’s STB manages science staff who conduct research to help AAFC achieve science objectives at 20 research and development centres and 29 satellite locations across Canada. The department employs approximately 400 research scientists and 1,100 other science staff, supported by 500 operations staff and 1,500 students, interns and post-doctoral fellows.

As a federal government department, AAFC must comply with requirements set out in government-wide legislation and policies. In line with the Treasury Board’s Policy on People Management (2021), AAFC has the responsibility to conduct strategic and integrated HR planning to develop and sustain a high-performing science workforce to fulfil its science objectives and deliver results to Canadians.

In the last decade, STB conducted various HR planning activities to manage and address workforce challenges, that included:

• STB implemented an HR framework in 2017 to improve succession planning, career development and talent management of science staff. The work on this framework was put on hold due to competing priorities emerging around and after 2020 (including the COVID-19 pandemic).
• During the Accelerating Staffing Initiative (ASI), STB adopted a national HR planning and staffing approach that resulted in the hiring of 76 science staff by September 2021 (see more information in the evaluation report of the ASI).

In 2022, AAFC released a 10-year Strategic Plan for Science as AAFC’s new vision for the future of research and development. The strategy identified 3 pillars of focus, one of which was the people first strategy that highlighted the need to develop a solid HR roadmap to guide the vision of the strategy.

1.2 Risk context

Strategic and integrated HR planning are critical to capitalize on the expertise of science staff and build the workforce of the future that is capable of navigating evolving science and research priorities.

The Joint Audit and Evaluation of Science Capacity — Human Resources was included in the 2023-24 to 2027-28 Audit and Evaluation Plan due to the high materiality of the department’s foundational science and research and concerns that science staff may not adapt to the transformations in science and research, thus impacting AAFC’s ability to achieve science objectives.

The evaluation portion assessed the relevance, efficiency and effectiveness of the ASI activities and outcomes, and the audit portion assessed current science HR capacity planning. This report presents the results of the audit portion.

Through a risk assessment, the audit identified 2 audit criteria for further examination:

• Criterion 1 — Controls: HR processes and planning activities were in place to support the establishment, development and retention of STB’s science capacity.
• Criterion 2 —Oversight: Oversight activities were in place to ensure that strategic and integrated HR planning were conducted.

1.3 Audit objective, scope and approaches

The objective of the audit was to provide assurance that a control framework was in place to manage HR science capacity in support of achieving AAFC’s science objectives.

The audit scope focused on STB’s HR planning activities for science staff (research scientists, SP and laboratory technicians), covering the period between January 2023 and May 2024. We also looked at relevant activities prior to this period to gain a more complete understanding of the subject matter. The audit considered but did not assess departmental HR planning practices, people management and staffing processes.

We gathered evidence through various methods including interviews with STB and Corporate Management Branch management, documentation review and analysis of science staffing data.

More details about the audit objective, scope, criteria and approach are in Annex B: Audit methodology.

2.0 Detailed observations, recommendations and management responses

2.1 HR planning and processes

The Treasury Board’s Policy on People Management (2021) requires departments to plan and manage the organization's workforce effectively based on the organization's mandate and core responsibilities. It also requires departments to attract, develop and retain a high-performing workforce that upholds the values of the public sector in its actions and decisions.

We examined whether HR processes and planning activities were in place to support the establishment, development and retention of STB’s science capacity.

STB conducted various HR planning activities for different categories of science staff. Based on these activities, this audit categorized the science staff as follows:

• research scientists and SP (levels 3 and up)
• science support staff: SP (levels 1 and 2) and laboratory technicians

Overall, HR planning activities for future needs are in progress for research scientists and SP, but HR planning for current needs was limited. For science support staff, there was little focus on long-term HR planning.

We also found that processes and tools were in place to onboard and develop science staff, however, onboarding materials were generic and not tailored to specific scientific needs.

2.1.1 HR planning

HR planning involves assessing and strategically aligning both the current and future staffing needs of an organization to establish an effective workforce capable of meeting business objectives.

We examined whether HR planning considered STB’s current and future needs for achieving its science objectives.

What the audit found

Research scientists and science professionals

We found that since ASI staffing was completed in 2021, there was limited national HR planning for retirements and departures. As part of implementing the Strategic Plan for Science and for future HR planning, STB updated its national expertise mapping of research scientists and science professionals and conducted an initial confirmation of existing expertise to assess potential capacity gaps.

HR planning at the regional and research centre levels was also limited and conducted inconsistently: it was either documented, discussed as needed or put on hold because of the work being conducted for the Strategic Plan for Science.

Research centre management noted a perception that hiring was paused while the Strategic Plan for Science was being implemented and noted there was pressure to meet operational needs and science objectives in research centres.

In response to this pressure, in the fall 2023, STB requested that research centres identify 30 indeterminate positions that required urgent/high-priority staffing. STB advised that 16 of the 30 positions were approved for staffing and that the other positions would be assessed as the expertise mapping continued and re-considered in future priority staffing.

Although STB put in place some measures to alleviate current HR planning pressures, research centre management interviews noted continued pressure to meet operational needs and a lack of clarity on how to maintain science capacity while the Strategic Plan for Science was being implemented.

Science support staff

• HR planning varied across regions and research centres for science support staff, with some having documented plans while others having discussions as needed.

STB’s 2022-23 Public Service Employee Survey results and interviews noted concerns of high staff turnover and staff felt that their work suffered as a result.

We found that HR planning was focused on immediate rather than long-term needs for science support staff. Both the HR data analysis and interview responses highlighted that there was limited long-term permanent hiring while short-term temporary staffing methods were used to provide HR science capacity.

STB advised that short-term staffing helped provide HR capacity amid retirements and the reopening of research centres after the COVID-19 pandemic.

Why this matters

Conducting HR planning for current needs enables STB to have the right talent in place to minimize disruptions to operations and meet immediate demands. In addition, long-term HR planning is critical for achieving science objectives while reducing staffing burdens on research centre management and HR advisors, minimizing turnover and enhancing knowledge transfer.

Recommendation 1: HR planning

Science and Technology Branch, Assistant Deputy Ministers, should strengthen HR planning to address current HR requirements for research scientists and science professionals and to address long-term HR requirements for science support staff.

Management response and action plan

Agreed. Science and Technology Branch is currently completing its mapping of scientific expertise, and creating a key/priority position list which will be a part of a standardized repeatable approval process for priority staffing which includes a tracking component.

STB will create an ongoing process for priority staffing that will include expertise mapping, and priority staffing lists. Deliverables will include the following:

• HR tracking tool
• complete the science expertise mapping update and review exercise
• complete and document STB’s HR planning process which includes scientists, science professionals and science support staff

Lead responsible: Director General, Partnerships and Planning Directorate, Science and Technology Branch

Target date for completion: September 2025

2.1.2 Onboarding and developing science staff

Processes, tools and training are needed to continuously enhance existing science staff’s skills, knowledge and experience and to integrate new employees into AAFC’s research.

We examined whether processes and tools were in place to onboard and develop science staff to meet current and future science needs.

What the audit found

We observed that STB established processes and provided training opportunities to support science staff in updating their skills, knowledge and gaining experience.

For research scientists, STB has a formal, annual career progression process in place. STB also started a modernization initiative in 2023-24 to strengthen the career progression process and align it with the Strategic Plan for Science. Research scientists also have access to training opportunities to update their skills and competencies and can take on the role of Science Team Lead to enhance their science management skills.

For other science staff, we noted that support was provided to enhance their skills, knowledge and experiences, including allocating training budgets and allowing time for job assignments.

We also observed that processes and support were in place to onboard new employees. In addition to the departmental employee onboarding program for all AAFC employees, STB has a branch employee orientation guide. However, the guide is generic and not tailored to science positions.

We participated in the discussion groups conducted for the Evaluation of ASI and noted that research scientists and SP hired through the ASI expressed concerns regarding the onboarding process. They identified the need for specific onboarding relevant to their positions, particularly in the areas of research program design; funding and administrative processes; and networking and collaboration.

Why this matters

Specific onboarding tailored to science staff will help support a smooth transition to AAFC's scientific research, accelerate their productivity and improve employee retention and morale.

Recommendation 2: Onboarding

Science and Technology Branch’s assistant deputy ministers should develop onboarding materials and tools specific to research scientists and science professionals.

Management response and action plan

Agreed. Science and Technology Branch will complete a review of its onboarding activities on an ongoing basis to determine if improvements can be made in the materials given to scientists and science professionals.

STB will complete a review of onboarding materials and recommend any updates to STB senior management.

Lead responsible: Director General, Partnerships and Planning Directorate, Science and Technology Branch

Target date for completion: September 2025

2.2 Oversight

Oversight is the function of monitoring, guiding and ensuring that activities, processes and strategies are conducted in alignment with organizational goals.

We examined whether oversight activities were in place to ensure that strategic and integrated HR planning for science capacity were conducted.

Overall, we found that there were activities in place to oversee HR planning, however there was a lack of tools to monitor HR planning such as an action plan with defined timelines for completing HR planning activities.

Management response and action plan

Agreed. Science and Technology Branch is currently completing its mapping of scientific expertise, and creating a key/priority position list which will be a part of a standardized repeatable approval process for priority staffing which includes a tracking component.

STB will create an ongoing process for priority staffing that will include expertise mapping, and priority staffing lists. Deliverables will include the following:

• HR tracking tool
• complete the science expertise mapping update and review exercise
• complete and document STB’s HR planning process which includes scientists, science professionals and science support staff

Lead responsible: Director General, Partnerships and Planning Directorate, Science and Technology Branch

2.2.1 Monitoring tools

What the audit found

We observed that HR capacity discussions related to the implementation of the Strategic Plan for Science took place at STB governance committees. We also observed that STB presented the Strategic Plan for Science to departmental governance committees in 2022 and provided 2 updates on implementation to date. Records of decision noted that implementation planning for the Strategic Plan for Science should have been completed by the end of the 2022-23 fiscal year.

We also noted that HR planning was integrated into the moderate-level HR risk identified in the STB 2022 Branch Risk Snapshot. The snapshot identified mitigation measures that were planned to be completed between 2022 and 2024.

Both the Strategic Plan for Science and the mitigating actions from the STB 2022 Branch Risk Snapshot identified the need to develop an HR roadmap, however, it has not been developed. In addition, tools to monitor HR planning, such as a timeline or defined action plan, have not been developed to support STB senior management in monitoring and overseeing progress towards developing the HR roadmap.

Why this matters

Monitoring tools, such as timeline and defined action plan for completing HR planning activities would enhance the department’s ability to monitor and oversee the development of the HR roadmap as well as science HR capacity to deliver on science objectives.

Recommendation 3: Monitoring tools

Science and Technology Branch, Assistant Deputy Ministers should ensure that tools are in place to enhance the monitoring and oversight of HR planning activities for the implementation of the Strategic Plan for Science.

Management response and action plan

Agreed. As part of the current HR planning activities, Science and Technology Branch has begun implementing an approval process for priority staffing for the research teams. These priority staffing exercises include both branch executive committee and Assistant Deputy Minister oversight.

STB will complete and document the approval process for long-term priority staffing.

Lead responsible: Director General, Partnerships and Planning Directorate, Science and Technology Branch

Target date for completion: September 2025

3.0 Conclusion

Overall, the audit concluded that AAFC has implemented elements of a control framework to manage HR science capacity in support of achieving AAFC’s science objectives.

However, opportunities exist for further improvement in the areas of:

• HR planning to address current requirements for research scientists and science professionals and long-term requirements for science support staff
• onboarding materials and tools specific to research scientists and science professionals
• monitoring tools for HR planning

Annex A: Evaluation methodology

Document review

The document review was designed to inform most of the relevance, efficiency and effectiveness indicators. Internal and publicly available documents within the scope of the evaluation period were included. Examples of documents include, but were not limited to:

• AAFC’s STB strategy documents
• ASI foundational documents
• documents related to the management and delivery of the ASI
• staffing administrative data and reporting documents
• internal reporting on the ASI
• governance documents

Additional documents were sourced online, including AAFC departmental planning and reporting documents, Ministerial Mandate Letters and federal budgets.

Key informant interviews

Key informant interviews informed most of the relevance, efficiency and effectiveness indicators. 19 interviews were conducted with 4 stakeholder groups, including AAFC staff (n=10); deans and external groups (n=2); diversity networks (n=3); and new hires through the ASI (n=4).

Interviews were conducted virtually, using Zoom tele/videoconference software and in the preferred official language of the key informant.

Discussion groups

2 discussion groups were held to further examine key themes and questions arising from the interviews related to various efficiency and effectiveness indicators. 1 discussion group explored perspectives and experiences of the application and recruitment process, and the other discussion group focused on the mentorship experience.

17 individuals representing 11 different research and development centres from all 3 regions were recruited and participated in the discussion groups.

The discussion groups were conducted virtually, using Zoom tele/videoconference software. 2 groups were facilitated in English, 1 for each theme, and 1 group was facilitated in French covering both themes.

Comparative program review

The comparative review was designed to inform a small number of evaluation indicators related to efficiency and effectiveness. Three lines of evidence were used to gather information to inform the comparative review: a literature review, key informant interviews with representatives from other science capacity building initiatives and associated documents provided by key informants.

The literature review included academic and grey literature that was accessible online. A total of 37 documents were accessed for the review, which primarily included peer-reviewed academic literature, a few articles of grey literature and 1 evaluation of another science capacity building program from UNESCO.

Potential comparator programs were identified through an environmental scan intended to identify federal science capacity building initiatives in Canada, the United States, Australia and the United Kingdom. From an initial list of 22 potential comparator programs, 6 Canadian federal science capacity building programs targeting PhD-level candidates were included in the comparative review. 2 individuals, representing 3 programs, responded to the email to schedule interviews, and 1 department followed up with written responses to the interview questions for a different program than requested.

Annex B: Audit methodology

Audit statement of conformance

The audit conformed to the Institute of Internal Auditors' International Professional Practices Framework, as supported by the results of AAFC’s internal audit quality assurance and improvement program. Sufficient and appropriate evidence was gathered in accordance with the Institute of Internal Auditors' International Standards for the Professional Practice of Internal Auditing to provide a reasonable level of assurance over the findings and conclusion in this report. The findings and conclusion expressed in this report are based on conditions as they existed at the time of the audit and apply only to the areas included in the audit scope.

Audit objective

To provide assurance that a control framework was in place to manage HR science capacity in support of achieving AAFC’s science objectives.

Audit scope

The audit scope focused on STB’s HR planning activities of science staff (research scientists, science professionals and laboratory technicians), covering the period between January 2023 and May 2024. We also looked at relevant activities prior to this period to gain a more complete understanding of the subject matter. In addition, the audit considered but did not assess departmental HR planning practices, people management and staffing processes.

Audit criteria

The following criteria were developed to ensure sufficient and appropriate evidence was collected and examined to support the audit conclusion:

• Controls: Human resources processes and planning activities were in place to support the establishment, development and retention of STB’s science capacity.
• Oversight: Oversight activities were in place to ensure that strategic and integrated human resources planning were conducted.

Audit approach

The audit approach was risk-based and consistent with the Institute of Internal Auditors' International Professional Practices Framework. These standards require that the audit be planned and performed in such a way as to conclude against the audit objective. The audit was conducted in accordance with an audit program, which defined audit tasks to be performed to obtain and examine sufficient and appropriate evidence to assess each audit criterion.

The audit conducted the following work to complete the engagement:

• review of documents, such as Treasury Board Policy on People Management, AAFC and STB documentation related to HR science capacity
• interviews with STB management involved in HR planning of science capacity
• analysis of science staffing data