Context
In November 2023, a panel of external experts was tasked by the Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council of Canada (NSERC), the Social Sciences and Humanities Research Council of Canada (SSHRC), and the Canada Foundation for Innovation (CFI) (‘the agencies’) to provide advice on the use of generative artificial intelligence (AI) in the development and review of research proposals submitted for funding. Their advice was published on December 21, 2023.
In response to this advice and feedback received during a public consultation period in late Spring of 2024, the agencies developed this guidance on the use of generative AI, intended for researchers, reviewers and applicants in Canada and Canadian post-secondary institutions. The agencies wish to thank the members of the panel and the research community for their valuable contributions.
Recognizing the rapid pace of technological development in these emerging technologies, the agencies will review and update this guidance on a regular basis as they continue to monitor emerging issues, trends, and operational needs.
Use of generative AI
Before using any AI tool, applicants and reviewers should carefully review the following points to assess if the tool leverages generative AI and, therefore, if this guidance applies.
The agencies acknowledge that the definition of generative AI is fluid and evolving due to the speed with which the technology is changing. Nevertheless, the agencies recognize the four important properties of generative AI systems, as described by the ad hoc panel:
- Generative AI systems present a straightforward, often conversational, interface that makes deploying the power of the system accessible to a broad range of non-expert users.
- Generative AI systems intrinsically enable iterative design and improvement processes.
- Generative AI systems make available information extracted from enormous amounts of data and computing power.
- The output of generative AI systems approaches a level of sophistication that may cause non-experts to erroneously identify the output as having been created by humans.
Applicable policies
Two key requirements described in the Tri-Agency Framework: Responsible Conduct of Research and the Conflict of Interest and Confidentiality Policy of the Federal Research Funding Organizations continue to guide granting agency application and review processes, including the establishment of guidelines and policy on the use of generative AI:
- The named applicant is ultimately accountable for the complete contents of their application.
- Privacy, confidentiality, data security and the protection of intellectual property must be prioritized in the development and review of funding applications.
These concepts are directly aligned with the values that are essential in the conduct of all activities related to research. These values include honesty, accountability, openness, transparency and fairness and are anchored in existing agency policies and thus apply to the use of generative AI in the preparation and evaluation of funding applications.
Guidance on the use of generative AI in the development of funding applications
The agencies recognize that generative AI may be a valuable tool to applicants in the development of funding applications, including the potential to improve efficiency, assist non-native speakers of Canada’s two Official Languages, and streamline the application writing process. However, applicants should be aware that a generative AI tool may not protect the privacy of their application material and that using generative AI may lead to the development or submission of information without proper recognition of authorship or acknowledgement.
In accordance with existing agency policies, applicants are responsible for ensuring that information included in their funding applications is true, accurate and complete and that all sources are real, appropriately acknowledged and referenced.
Guidance on the use of generative AI in the review of funding applications
In the review of funding applications, reviewers are responsible for the quality and integrity of their review(s) and for complying with the Conflict of Interest and Confidentiality Agreement for Review Committee Members, External Reviewers and Observers.
Reviewers should be aware that uploading application information, including draft reviews, into a generative AI tool could result in unauthorized disclosure of personal information and in the loss custody of intellectual property. This would place the reviewer in breach of the aforementioned policy. Therefore, the use of publicly available, online, or institutionally procured and deployed generative AI tools for reviewing funding applications is strictly prohibited.
Resources
Applicants and reviewers should consult the Frequently Asked Questions webpage for additional information on this guidance.