A Blueprint for Auditing Generative AI

TL;DR

This paper proposes a comprehensive three-layered blueprint for auditing generative AI systems to address ethical and social challenges, emphasizing structured, multi-level evaluations involving governance, models, and applications.

Contribution

It introduces a novel, coordinated three-layered auditing framework specifically designed for the unique challenges of generative AI systems, filling a significant methodological gap.

Findings

Structured audits can effectively identify ethical and social risks.

Multi-level auditing enhances understanding of generative AI impacts.

Limitations of auditing approaches are acknowledged and discussed.

Abstract

The widespread use of generative AI systems is coupled with significant ethical and social challenges. As a result, policymakers, academic researchers, and social advocacy groups have all called for such systems to be audited. However, existing auditing procedures fail to address the governance challenges posed by generative AI systems, which display emergent capabilities and are adaptable to a wide range of downstream tasks. In this chapter, we address that gap by outlining a novel blueprint for how to audit such systems. Specifically, we propose a three-layered approach, whereby governance audits (of technology providers that design and disseminate generative AI systems), model audits (of generative AI systems after pre-training but prior to their release), and application audits (of applications based on top of generative AI systems) complement and inform each other. We show how audits on these three levels, when conducted in a structured and coordinated manner, can be a feasible and effective mechanism for identifying and managing some of the ethical and social risks posed by generative AI systems. That said, it is important to remain realistic about what auditing can reasonably be expected to achieve. For this reason, the chapter also discusses the limitations not only of our three-layered approach but also of the prospect of auditing generative AI systems at all. Ultimately, this chapter seeks to expand the methodological toolkit available to technology providers and policymakers who wish to analyse and evaluate generative AI systems from technical, ethical, and legal perspectives.