Context
In November 2023, an ad hoc panel of external experts was tasked by the Canadian federal research funding agencies ("the agencies") to provide advice on the use of generative artificial intelligence (AI) in the development and review of research proposals submitted for grant applications. Their advice was published on December 21, 2023. The following guidance on the use of generative AI, intended for Canadian researchers and post-secondary institutions, draws heavily on this advice. The agencies wish to thank the members of the panel for their valuable and expeditious contributions.
Definition of generative AI
The agencies acknowledge that the definition of generative AI is amorphous and evolving due to the speed in which the technology is changing. Nevertheless, the agencies recognize the four important properties of generative AI systems, as described by the ad hoc panel:
- 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.
- AI systems intrinsically enable iterative design and improvement processes.
- AI systems make available information extracted from enormous amounts of data, by systems using enormous amounts of computing power.
- The output of the AI system approaches a level of sophistication that may cause non-experts to erroneously identify the output as having been human created.
Before using any AI tool, applicants and reviewers must carefully review these points to assess if the tool employed leverages generative AI and therefore, if this guidance applies.
Guiding Concepts
As noted by the panel, 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 the granting agency applications and review processes, including the establishment of guidelines and policy on the use of generative AI:
- The named applicant is ultimately personally accountable for the complete contents of the application.
- Privacy, confidentiality, data security and the protection of intellectual property must be considered and prioritized in the development and review of grant 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 grant applications.
Guidance on the use of generative AI in the preparation of grant applications
In accordance with existing agency policies, applicants are responsible for ensuring that information included in their grant applications is accurate and complete and that all sources are appropriately acknowledged and referenced.
As the agencies consider specific disclosure mechanisms related to the use of generative AI, applicants are required to clearly state if and where application material has been generated by AI. Applicants should be aware that using AI may lead to the presentation of information without proper recognition of authorship.
Guidance on the use of generative AI in the evaluation of grant applications
In the evaluation of grant applications, reviewers should be aware that inputting application information into generative AI tools outside of a protected granting agency domain could result in breaches of privacy and in the loss of custody of intellectual property. This would place a reviewer in breach of the Conflict of Interest and Confidentiality Agreement for Review Committee Members, External Reviewers and Observers.
Examples include transmission of application text to online tools such as ChatGPT and DeepL, which may store and reuse the data for future enhancement of the tool. Reviewers must proceed with caution when considering the use of these and similar tools and when in doubt, should confer with agency staff.
Note
Recognizing the rapid pace of technological development in this field, this guidance will be reviewed on a regular basis and updated as necessary.