Code of Practice

Chapter Text

With the power of Quantum Computing, the increasing use of Digital Devices and the impact of Artificial Intelligence (AI), we are experiencing advances in the value of using technology in the workplace. There are increasing information security risks when we use Digital Devices and Technology in the workplace and as a trusted profession, we need to avoid losing control of client information and files.

Technology is an enabler and can provide support and efficiencies in the provision of our services. However, there is an increasing realisation that Technology and AI have inherent risks and biases; that we need to understand the origin of the Technology we use in our services; access to personal information and client data must be carefully controlled; organisational and technical security must be maintained; and the fundamental rights of individuals must be protected when using Technology and AI.

The UK currently has no AI Act, but relies on an AI framework underpinned by 5 principles to guide and inform the responsible development and use of AI in all sectors of the economy:

• Safety, security and robustness
• Appropriate transparency and explainability
• Fairness
• Accountability and governance
• Contestability and redress

Artificial intelligence

The theory and development of computer systems able to perform tasks that usually require human intelligence, such as visual perception, speech recognition and decision-making.

The data needed to train an AI system is referred to as the input data, and the results produced by the system as the output.

Generative artificial intelligence

Generative AI is a subcategory of AI that uses deep learning algorithms to generate new outputs based on large quantities of existing or synthetic (artificially created) input data.

These outputs can include multiple modes such as text, images, audio or video.

Chatbot

A digital tool or software application designed to simulate conversation with users, primarily via text or synthesised speech.

While some chatbots operate based on predefined responses, advanced versions use AI (including generative AI techniques) to provide more dynamic and contextually relevant interactions, reducing the need for immediate human intervention.

Large language model 

A large language model (LLM) is an AI system trained on an exceptionally large amount of data. LLMs specifically work with language and are built on a type of machine learning called deep learning to understand how characters, words and sentences function together.

The legal risks

ChatGPT and other LLMs do produce inaccurate results and may infringe the intellectual property rights of third parties as well as breaching data protection rights of individuals. If they are used to create output at work, their use may breach confidentiality and expose trade secrets. Remember that the information you share with an AI chatbot is often retained and reused. When you ask an AI Chatbot a question, not only may you be disclosing your own personal data but also that of your client if it is a client related question. Moreover, the tool learns from your question and may reuse it in future responses.

Risk assessments and policies

Before using new Technology and/or AI, it is required that you carry out a risk assessment to ensure that you are complying with your professional duties as well as legal and regulatory requirements. You need to have a Technology (including use of Digital Devices) and an AI policy to guide you and your staff as to how to safely use technology and AI in the workplace. You need to ensure you and your staff are adequately trained on such policies.

Outcomes

• Professional standards and legal obligations are observed by notaries in the conduct of their practices.
• Notaries understand and respond to the advantages and the risks inherent in the use of Technology and AI.
• Clients and staff are properly safeguarded from unauthorised disclosures or cyber-attacks.
• Clients using the services of a notary are aware as to how Technology including AI is being used and what controls are in place.
• Notaries, where appropriate, put in place suitable policies and procedures to manage the use of Digital Devices, Technology and AI.

Positive Indicators

• You control the use of Digital Devices, Technology and AI in your notarial practice.
• You have risk assessments and security procedures appropriate to the nature and size of your notarial practice.
• If you use AI, you include a transparent statement regarding your use of AI in your Terms of Business and your Privacy Notice.

Negative Indicators

• You process personal data unlawfully.
• You store either manual or electronic information insecurely.
• You do not adequately assess the risk of using Digital Devices, Technology and AI.
• You have not implemented suitable policies and procedures.
• You do not undertake training on the use of Digital Devices, Technology and AI.