Supplementary Materials

Copy## Incident Summary Incident ID: AI-INC-YYYY-MM-DD-NNN Date: YYYY-MM-DD HH:MM UTC Severity: [CRITICAL | HIGH | MODERATE | LOW] Status: [Under Investigation | Root Cause Identified | Remediated | Closed] ## Classification Primary Syndrome: [Core Six syndrome name] Secondary Syndrome(s): [if applicable] Micro-Failure Tags: - [Primary tag] - [Supporting tags] ## Technical Details Model Version: [version identifier] Trace ID: [trace reference] Context Length: [tokens] Tool Calls Attempted: [count] Execution Time: [duration] ## Incident Description [Narrative: what the system claimed, what actually happened, evidence of discrepancy] ## User Impact Immediate: [direct consequence to user] Scope: [number of affected users/interactions] Business Impact: [quantified if possible] ## Root Cause Analysis [Technical explanation of why the syndrome manifested] ## Remediation Plan Immediate (24h): [quick mitigations] Short-term (1 week): [targeted fixes] Long-term (1 month): [architectural improvements] Responsible Team: [team name] Target Resolution: [date] Follow-up Review: [date] ## Related Incidents - [Links to similar incidents for pattern analysis]

Copy## Defensive Behavior Profile This model has been evaluated for Core Six AI Defensive Behavior Syndromes using standardized test suites across multiple domains. Results represent incidence rates in evaluation traces (n=[sample size]). Overall Defensive Syndrome Incidence: [X]% ([X]% of traces exhibited one or more defensive behaviors) Syndrome-Specific Incidence: Plausible Helpfulness: [X]% ([severity]) Elevated in: [specific task types] Reduced in: [specific task types] Built-Not-Connected: [X]% ([severity]) [Notable patterns] Hollow Completions: [X]% ([severity]) First-Run Failure Rate: [X]% Capability Masking: [X]% ([severity]) [Notable patterns] Responsibility Diffusion: [X]% ([severity]) [Notable patterns] Surface Compliance: [X]% ([severity]) [Notable patterns] Recommended Use Patterns: Well-suited for: [low-syndrome task types] Use with caution: [elevated-syndrome task types] Not recommended: [high-risk contexts without human review] Mitigation Strategies Implemented: [list] Known Hotspots: [specific task/domain combinations] Update History: [version-over-version trend data]

Copy## AI System Behavioral Requirements The proposed AI system must undergo evaluation for Core Six AI Defensive Behavior Syndromes and meet the following requirements: Mandatory Thresholds (must meet all): Capability Masking: <[X]% (near-zero tolerance) Plausible Helpfulness: <[X]% Hollow Completions: <[X]% Target Thresholds (meet at least 2 of 3): Built-Not-Connected: <[X]% Responsibility Diffusion: <[X]% Surface Compliance: <[X]% Vendor Deliverables: - Complete syndrome evaluation report (all six categories) - Test methodology documentation aligned with Core Six framework - Domain-specific syndrome profiles for our use cases - Comparison with vendor's previous model versions - Mitigation strategies for any syndrome exceeding targets - Quarterly syndrome monitoring reports for contract duration Evaluation Dataset: Vendor must evaluate using both: - Standard benchmark (vendor-provided) - Customer-specific test suite ([N] representative queries) Acceptance Criteria: System must meet all mandatory thresholds on the customer-specific test suite to pass acceptance testing.

Copy## Service Level Agreement — Behavioral Quality Syndrome Incidence Guarantees: Service Provider guarantees the following maximum syndrome incidence rates measured monthly across production queries: Capability Masking: <[X]% (Critical — immediate escalation) Plausible Helpfulness: <[X]% (High priority) Hollow Completions: <[X]% (High priority) Built-Not-Connected: <[X]% (Medium priority) Responsibility Diffusion: <[X]% (Medium priority) Surface Compliance: <[X]% (Medium priority) Monitoring and Reporting: Provider delivers monthly Syndrome Incidence Reports by 5th business day of following month. Reports include: raw counts, percentages, trend analysis, and explanations for threshold exceedances. Customer retains right to conduct independent syndrome evaluation audits. Remediation Obligations: Critical threshold exceeded: remediation plan within 48 hours High priority exceeded: remediation plan within 5 business days Persistent violations (3 consecutive months): material breach Credits for SLA Violations: Critical threshold violation: [X]% monthly service credit High priority violation: [X]% monthly service credit Multiple violations: credits stack up to [X]% maximum

Copy## Pre-Deployment Syndrome Evaluation (Required) [ ] Syndrome Evaluation Completed Dataset: minimum [N] representative queries All six syndromes assessed and documented Results reviewed by AI Safety Committee [ ] Threshold Compliance Verified [ ] Plausible Helpfulness within acceptable range for domain [ ] Capability Masking: near-zero tolerance verified [ ] Hollow Completions: measured and acceptable [ ] Built-Not-Connected: tool utilization verified [ ] Responsibility Diffusion: error handling acceptable [ ] Surface Compliance: constraint following verified [ ] Domain-Specific Risk Assessment High-risk domains require enhanced thresholds Safety-critical constraints pass Surface Compliance check Verification features pass Capability Masking audit [ ] Mitigation Documentation Known syndrome hotspots documented Mitigation strategies defined and implemented User guidance prepared for known limitations [ ] Monitoring Plan Established Production monitoring for syndrome incidence configured Alert thresholds set based on calibration methodology Incident response procedures defined [ ] User Communication Users informed of system limitations Guidance provided on interpreting outputs Feedback mechanism for defensive behavior reports Approval Required From: [ ] Engineering Lead (technical validation) [ ] Product Manager (user experience assessment) [ ] Legal/Compliance (risk acceptance) [ ] AI Safety Committee (syndrome threshold approval)