New Year needs a new Employee Policy for AI

OK, we’re starting a new year and many firms are having employees sign an annual acknowledgement to firm policies. This year, we’re adding an AI & ChatGPT usage policy for our employees.

Yes, I used ChatGPT to create this policy, but it took a few iterations and I pieced together different elements from different iterations. In an attempt to help you out and save you time, if you’re interested in the policy I came up with, here it the base template that I came up with and sent to our outsourced IT company to finalize and implement.

NOTE: this is just an example and you should review it and make sure it includes everything that you want covered. I’m not the expert, so ours is pretty basic and I’m going to have my staff sign up for Ashley Francis’s classes this year, so they’re educated on the details. Check out @Seatle_Tax if you want more information on that.

Acceptable Use Policy for AI Technologies in [FIRM NAME]

1. Introduction

  • Purpose: This policy outlines the acceptable use of Artificial Intelligence (AI) technologies, including ChatGPT, within [FIRM NAME], ensuring compliance with legal and ethical standards.

2. Scope

  • Applicability: This policy applies to all employees and contractors of [FIRM NAME] who use AI technologies for work-related purposes.

3. Acceptable Use

  • AI technologies, including ChatGPT, should be used to enhance productivity, accuracy, and efficiency in tasks such as data analysis, report generation, and research.
  • Users must ensure the confidentiality of client information when interacting with AI tools.
  • Before inputting any data into an AI system, employees must ensure that all Personally Identifying Information (“PII”) has been thoroughly redacted or anonymized.
  • AI should not be used for decision-making without human oversight, especially in matters involving professional judgment or sensitive client data.

4. Prohibited Use

  • AI technologies must not be used to create misleading or fraudulent documents.
  • Employees should not rely solely on AI for tax advice or interpretation of complex regulations without cross-checking with authoritative sources or senior staff.
  • AI should not be used in any way that conflicts with professional ethics or legal requirements.

5. Data Security and Privacy

  • All interactions with AI technologies should adhere to the firm’s data security policies.
  • AI technologies, including ChatGPT, must not be used to process, analyze, or store PII of clients.
  • Sensitive or confidential information should be redacted or anonymized before being input into any AI system.
  • Where feasible, use synthetic or dummy data for scenarios that require testing or demonstration of AI capabilities. This data should be clearly marked and not linked to any real individuals.

6. Compliance and Violations

  • Violations of this policy may result in disciplinary action, up to and including termination of employment.
  • Employees are encouraged to report any misuse of AI technologies to their supervisor or the compliance department.

7. Policy Review and Modification

  • This policy will be reviewed periodically and updated as necessary to reflect changes in technology and industry standards.

8. Acknowledgement

  • All employees are required to acknowledge that they have read and understood this policy.