Intermediate

Technical AI Audit

A technical audit examines the inner workings of an AI system: model performance, data quality, security posture, infrastructure reliability, and the development pipeline that produced the system.

Model Performance Audit

  1. Reproduce Reported Metrics

    Independently verify the performance metrics claimed by the development team. Use the same test data and evaluation methodology. Discrepancies may indicate data leakage, overfitting, or reporting errors.

  2. Evaluate on Additional Test Sets

    Test the model on held-out data not used during development. Include edge cases, adversarial examples, and data representing deployment conditions that may differ from training conditions.

  3. Assess Robustness

    Test model behavior under input perturbations, distribution shifts, and adversarial conditions. A model that performs well on clean data but fails under realistic variations is a significant risk.

  4. Check for Concept Drift

    Compare model performance on recent data versus training-era data. Measure feature distributions over time. Flag significant drift that may indicate the model's decision boundaries are no longer aligned with reality.

Data Quality Audit

Data Quality Dimension Audit Checks Common Issues
Provenance Source documentation, consent records, licensing Undocumented sources, expired consent, license violations
Representativeness Demographic distribution, geographic coverage, temporal span Underrepresented groups, geographic bias, temporal staleness
Accuracy Label quality, inter-annotator agreement, error rates Noisy labels, inconsistent annotation, systematic errors
Completeness Missing values, coverage gaps, feature availability Non-random missingness, differential data availability
Privacy PII presence, anonymization effectiveness, re-identification risk Residual PII, weak anonymization, linkage attacks

Security Audit

AI-Specific Security: Traditional application security audits are necessary but not sufficient for AI systems. You must also assess AI-specific attack vectors including adversarial examples, model extraction, data poisoning, and prompt injection.
  • Access controls: Verify that model endpoints, training data, and model artifacts are protected by appropriate authentication and authorization
  • Input validation: Test that the system properly validates and sanitizes inputs. Check for adversarial input handling and injection resistance
  • Model confidentiality: Assess whether model internals (weights, architecture, training data) can be extracted through API access or side channels
  • Data protection: Verify encryption at rest and in transit, access logging, and data retention compliance
  • Supply chain: Audit third-party components including pretrained models, libraries, and data sources for known vulnerabilities and trustworthiness

Infrastructure Audit

Deployment Pipeline

Review the CI/CD pipeline for model deployment. Verify that automated testing, security scanning, and approval gates are in place. Check that rollback procedures are tested and documented.

Monitoring Coverage

Assess whether monitoring captures all critical metrics: model performance, data drift, latency, error rates, and fairness indicators. Verify that alerts are configured and routed to responsible parties.

Scalability and Reliability

Evaluate system behavior under load. Verify failover mechanisms, disaster recovery procedures, and SLA compliance. Assess whether the system degrades gracefully under stress.

Logging and Auditability

Verify that system logs capture sufficient detail for post-hoc investigation. Check log retention policies, tamper protection, and accessibility for audit and compliance purposes.

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Next Up: In the next lesson, we focus specifically on bias auditing - NYC Local Law 144, disparate impact analysis, fairness metrics, and structured bias audit reporting.

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