AI input-data & model-design audit (Components 1–2)

The two far-reaching, hard-to-reverse decisions at the base of any AI assessment. Get these wrong and everything built on top inherits the flaw — yet they're often the least documented. Define your fairness standard first (ai-fairness-lenses) and scope via ai-audit-planning.

Component 1 — Input data

What it is: the validity and generalizability of the dataset(s) used to train the model, relative to the population where predictions will actually be generated and used.

Questions to ask: How were input data collected, in terms of population and research design? How did those factors affect data quality? Evaluate the population the data were drawn from, the sampling techniques, and the adequacy of the data for the analyses later used to support claims.

Apply it (focal example — algorithmic video interview): Were input data collected from job incumbents? How do incumbents differ from applicants? Is there range restriction on variables of interest? A model trained on a convenient source of existing candidates/incumbents is no guarantee of representativeness for future applicants — so a key audit goal is to evaluate how the developers investigated that assumption and concluded it was not a problem.

Audit emphases:

• This is the AI face of classic validation concerns: population selection and the

concurrent-vs-predictive design choice directly shape what can be inferred (see SIOP Principles via criterion-related-validation).

• Sampling bias (Lens 3, statistics): nonrandom under-/over-representation (e.g., undersampled

minorities) makes the model weight patterns of the most-represented group; "we'll just collect a more diverse database / oversample" is not guaranteed to fix it.

• Every training dataset counts — including later subset datasets used for more specific

modeling challenges. Each must meet the same quality standard, embedded in a meaningful data engineering framework. Don't let a well-vetted primary dataset launder a sloppy secondary one.

Component 2 — Model design

What it is: the initial modeling decisions that are difficult to test or change later. The three most consequential:

1. the nature of the criterion modeled,
2. the set of predictors/features provided to the model,
3. the initial set of algorithms used.

Even when the data are adequate (Component 1), the criterion and the available predictor set drive many subsequent steps. These choices may be made conceptually, empirically, or heuristically — ask which, and demand the rationale.

Questions to ask: What drove the initial model choices (criterion, predictor set, algorithm)? Were they informed by theory or empirically derived? If empirically derived, from what data — and of what quality — were they derived?

Apply it (focal example):

• Criterion / "ground truth" validity is the crux. "Performance data were available" is not

enough — audit the construct validity of that performance measure as a valid representation of performance, including a clear, unambiguous, scientifically defensible definition of what performance is. In computer science this is framed as choosing a "ground truth," often without any explicit consideration of construct validity — name and close that gap.

• Predictor inclusion needs a rationale. Why are word choice, answer content, voice patterns,

and visual data included as predictors? Are those decisions theoretically supported? Even though weak features can be dropped in later analytic stages, their initial inclusion is a design-stage decision that creates technical debt and sunk-cost pressure — and, in the focal example, drags in construct-irrelevant correlates (wrinkles→age, skin tone→race/ethnicity, makeup→gender) that the designer may not even realize the model is exploiting.

Audit emphases:

• Tie criterion definition back to a real analysis of work

(work-analysis) — a defensible ground truth requires it.

• Watch criterion reconceptualization / weighting decisions: down-weighting task vs. up-weighting

contextual performance can reduce adverse impact, but such weighting has validity implications (Sackett et al., 2008) and must be carefully articulated and defended, not silently chosen.

• Flag predictors that proxy protected characteristics; inclusion-by-default is a finding.

Pitfalls

• Accepting "data were available" without auditing the criterion's construct validity.
• Treating incumbent-trained models as valid for applicants without addressing range restriction.
• Letting a clean primary dataset excuse unvetted subset datasets.
• Reading "features can be pruned later" as a reason not to justify their initial inclusion.
• Missing predictor proxies for protected class because the developer "didn't intend" them.

Checklist

• ] Training population vs. deployment population compared; representativeness investigated
• ] Sampling technique evaluated for sampling bias; range restriction assessed
• ] Concurrent-vs-predictive design implications stated
• ] All training datasets (incl. subsets) held to the same quality standard
• ] Criterion/"ground truth" has a clear, defensible, construct-valid definition tied to work analysis
• ] Rationale for each predictor/feature (theory or empirics + data quality) obtained
• ] Construct-irrelevant proxies for protected characteristics flagged
• ] Criterion weighting choices articulated and defended

See also

ai-model-development-audit · ai-model-outputs-audit · ai-fairness-lenses · work-analysis · criterion-related-validation (criterion development, range restriction, concurrent/predictive)

Source: Landers & Behrend (2023), Table 1 (Components 1–2) and "Components Relating to Models" prose.