Black-Box Access is Insufficient for Rigorous AI Audits

Stephen Casper, Carson Ezell, Charlotte Siegmann, Noam Kolt, Taylor Lynn Curtis, Benjamin Bucknall,Andreas Haupt, Kevin Wei,Jérémy Scheurer, Marius Hobbhahn,Lee Sharkey,Satyapriya Krishna, Marvin Von Hagen, Silas Alberti,Alan Chan, Qinyi Sun, Michael Gerovitch, David Bau, Max Tegmark, David Krueger,Dylan Hadfield-Menell

CoRR(2024)

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摘要
External audits of AI systems are increasingly recognized as a key mechanism for AI governance. The effectiveness of an audit, however, depends on the degree of system access granted to auditors. Recent audits of state-of-the-art AI systems have primarily relied on black-box access, in which auditors can only query the system and observe its outputs. However, white-box access to the system's inner workings (e.g., weights, activations, gradients) allows an auditor to perform stronger attacks, more thoroughly interpret models, and conduct fine-tuning. Meanwhile, outside-the-box access to its training and deployment information (e.g., methodology, code, documentation, hyperparameters, data, deployment details, findings from internal evaluations) allows for auditors to scrutinize the development process and design more targeted evaluations. In this paper, we examine the limitations of black-box audits and the advantages of white- and outside-the-box audits. We also discuss technical, physical, and legal safeguards for performing these audits with minimal security risks. Given that different forms of access can lead to very different levels of evaluation, we conclude that (1) transparency regarding the access and methods used by auditors is necessary to properly interpret audit results, and (2) white- and outside-the-box access allow for substantially more scrutiny than black-box access alone.
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