Section 2
Execution & Control Boundaries
This section captures what the system can do, how it executes actions, and what limits are enforced at runtime.
2.2A — Participant Eligibility Before Entry Required
Before a user, AI agent, model, tool, device, service, workload, or external integration is allowed to participate or obtain operational authority, are its identity or trust state, role, purpose, permitted scope, and applicable conditions evaluated by independent controls, with defined denial and revocation paths?
Single choice
Yes — eligibility, scope, denial, and revocation are independently evaluated and enforced
Mostly — strong eligibility controls exist with limited gaps
Partially — some participants or components are checked, but others may enter or operate under broad or default trust
No — participation or operational authority can be obtained without explicit eligibility evaluation
Unknown / not evaluated
N/A
2.3 — Financial Execution Boundary
Can the system initiate, approve, transmit, recommend, or trigger financially consequential actions such as payments, transfers, trades, procurement commitments, treasury actions, digital-asset transactions, or contractual obligations?
Single choice
No — no financially consequential actions
Limited — financial recommendations only, with no execution pathway
Moderate — financial actions may occur, but require verified human approval
High — autonomous or semi-autonomous financial execution is possible
Unknown / not evaluated
N/A
2.3A — Financial Execution Envelope Required
Where the system can initiate or trigger financially consequential actions, are independently enforced limits defined, as applicable, for action type, amount, rate, cumulative exposure, counterparty or instrument, duration, loss, concentration, and revocation so that individually permitted actions cannot compound into unauthorized financial exposure?
Single choice
Yes — applicable limits and cumulative exposure are independently bounded and revocable
Mostly — strong limits exist, with limited aggregate or pathway gaps
Partially — per-action or policy limits exist, but cumulative exposure can still grow beyond intended bounds
No — individually permitted actions may compound without an independently enforced aggregate envelope
Unknown / not evaluated
N/A
Section 3 — Continued
Reconstructability / Extraction Risk
Evaluates whether system capabilities can be inferred, learned, or reproduced through repeated interaction.
Artifact, Replication & Provenance
3.18 — Artifact Provenance and Integrity
Can models, prompts, datasets, configurations, tool definitions, outputs, or knowledge artifacts propagate across systems without verified origin, integrity checks, provenance tracking, or controlled adoption?
Single choice
No — artifact origin, integrity, and propagation are strongly governed
Limited — some artifacts propagate, but verification controls exist
Moderate — artifacts may be reused or distributed with partial provenance controls
High — artifacts can propagate broadly without reliable integrity or provenance enforcement
Unknown / not evaluated
N/A
3.19 — Replication Boundary
Can the system duplicate, spawn, distribute, or replicate agents, workflows, artifacts, configurations, behaviors, or capabilities across systems or environments?
Single choice
No — replication is not possible or is strictly bounded
Limited — replication exists but is constrained and auditable
Moderate — replication can occur across workflows or systems under partial controls
High — replication can expand broadly, dynamically, or unpredictably
Unknown / not evaluated
N/A
Synthetic Identity Abuse Exposure
3.20 — Real-Person Likeness Creation or Transformation
Can the system create, alter, enhance, transform, generate, or simulate images, video, audio, avatars, voices, faces, bodies, or other likeness-linked content involving real or potentially identifiable people?
Single choice
No — the system cannot create or transform real-person likenesses
Limited — the system can process likeness-linked content, but only in narrow, controlled, non-sensitive ways
Moderate — the system can create or transform real-person likenesses under partial controls
High — the system can broadly create, alter, simulate, or transform real-person likenesses
Unknown / not evaluated
N/A
3.21 — Synthetic Intimate, Humiliating, or Compromising Content Risk
Could the system be used, misused, or adapted to generate, alter, upload, host, distribute, or assist content that falsely sexualizes, exposes, humiliates, impersonates, or compromises a real identifiable person without valid consent?
Single choice
No — this misuse pathway is not available or is strongly blocked
Limited — misuse is possible only through narrow or indirect pathways with controls
Moderate — misuse is plausible under some workflows, uploads, prompts, or integrations
High — the system could directly enable or materially assist synthetic identity abuse
Unknown / not evaluated
N/A
3.22 — Consent, Authority, and Identity Verification Controls
Does the system verify consent, authority, identity status, or permitted use before allowing real-person likeness transformation, intimate-content handling, face/body/voice manipulation, or identity-linked media distribution?
Single choice
Yes — consent, authority, and permitted-use controls are strongly enforced
Mostly — controls exist, but some edge cases or workflows remain partially governed
Partially — some policy or moderation controls exist, but enforcement is limited
No — consent, authority, or identity-linked use controls are not clearly enforced
Unknown / not evaluated
N/A
3.23 — Upload, Hosting, Search, and Distribution Exposure
Can users or connected systems upload, host, search, index, share, embed, forward, repost, monetize, or distribute identity-linked synthetic or manipulated media through this system?
Single choice
No — the system does not host, distribute, search, or share identity-linked media
Limited — distribution exists but is narrow, controlled, and auditable
Moderate — identity-linked media can move through the system under partial controls
High — identity-linked media can be broadly distributed, searched, shared, reposted, or monetized
Unknown / not evaluated
N/A
3.24 — Recommendation, Ranking, or Amplification Risk
Can identity-linked synthetic or manipulated media be recommended, ranked, surfaced, trended, boosted, suggested, algorithmically amplified, or spread through engagement-based distribution?
Single choice
No — identity-linked media cannot be algorithmically amplified
Limited — amplification is narrow and governed by clear controls
Moderate — amplification can occur under partial controls or after user engagement
High — identity-linked media can be broadly recommended, ranked, trended, or boosted
Unknown / not evaluated
N/A
3.25 — Minor, Vulnerable-Person, or Group-Image Exposure
Could the system create, process, host, distribute, recommend, or amplify identity-linked media involving minors, likely minors, students, patients, elderly persons, vulnerable users, team photos, classroom images, workplace groups, or other group imagery?
Single choice
No — these identity-linked groups are not present or are strongly protected
Limited — exposure exists but is narrow and governed
Moderate — exposure is possible under some workflows, uploads, or user activity
High — the system may materially expose minors, vulnerable persons, or group images to identity abuse risk
Unknown / not evaluated
N/A
3.26 — Detection, Quarantine, Takedown, and Escalation Controls
If non-consensual synthetic identity abuse is attempted, uploaded, detected, reported, or propagated through the system, are there enforced controls for refusal, quarantine, suppression, takedown, escalation, evidence preservation, and repeat-abuse handling?
Single choice
Yes — detection, quarantine, takedown, escalation, and audit controls are strongly enforced
Mostly — response controls exist, but some gaps remain
Partially — response depends mainly on moderation, user reports, or manual review
No — no clear enforced response controls exist
Unknown / not evaluated
N/A
3.27 — Synthetic Identity Abuse Protocol Need
Based on the answers above, should this system be evaluated for a synthetic identity abuse protection protocol that integrates admission, authority, scope, runtime, provenance, escalation, social-distribution, telemetry, and control boundaries?
Single choice
No — no meaningful synthetic identity abuse exposure identified
Limited — review may be useful if the system expands into media, identity, or distribution features
Moderate — SafeIdentity Abuse Protection Protocol should be considered
High — SafeIdentity Abuse Protection Protocol is strongly recommended
Unknown / not evaluated
N/A
Section 3 — Continued
Identity-Boundary Governance
3.29 — Identity Signal Types
Which identity-linked signals may the system process? Select all that apply.
Multi-select
Face, body, gait, likeness, or image
Voice, speech pattern, or audio identity
Biometric identifiers
Account, login, payment, or access credentials
Device, wireless, wearable, vehicle, or license-plate identifiers
Location, movement, route, proximity, or co-presence signals
Camera, microphone, robot, vehicle, wearable, or sensor capture
Repository, archive, watchlist, identity graph, or historical record
AI-generated identity summaries, dossiers, narratives, or classifications
Synthetic or altered media involving real or likely identifiable persons
None of the above
Unknown / not evaluated
N/A
3.30 — Identity Construction and Linkage
Can the system link signals, devices, accounts, records, media, locations, or behaviors to a known, suspected, or inferred person?
Single choice
No — no identity linkage is performed
Limited — linkage is narrow, temporary, and used only for functional purposes
Moderate — linkage occurs across multiple signals, accounts, devices, records, or sessions
High — linkage may create persistent, searchable, inferred, or actionable identity profiles
Unknown / not evaluated
N/A
3.31 — Device-Person Association
Can the system associate devices, vehicles, accounts, wireless identifiers, payment instruments, access credentials, or signal clusters with a person?
Single choice
No — device or account signals are not associated with persons
Limited — association exists only for narrow authentication, fraud, or operational use
Moderate — device-person association may influence recommendations, access, risk, review, or routing
High — device-person association may support enforcement, investigation, eligibility, restriction, or other consequential action
Unknown / not evaluated
N/A
3.32 — Identity Repositories and Retrospective Search
Does the system store, index, query, retrieve, or search identity-linked records after capture?
Single choice
No — identity-linked records are not retained or searched
Limited — records are retained briefly and searched only for narrow operational purposes
Moderate — identity-linked records can be searched, queried, matched, reconstructed, or reviewed later
High — the system supports broad, exploratory, cross-event, population-level, or retrospective identity search
Unknown / not evaluated
N/A
3.34 — Challenge, Correction, and Identity Decay
Can affected persons, reviewers, operators, or authorized representatives challenge, correct, downgrade, expire, or invalidate identity linkages or identity records?
Single choice
Not applicable — the system does not create or retain identity linkages
Yes — clear challenge, correction, downgrade, expiration, and audit routes exist
Mostly — challenge/correction exists, but not across all identity uses
Partially — correction is possible only through manual support or case-by-case review
No — no clear challenge, correction, stale-record, or invalidation pathway exists
Unknown / not evaluated
3.35 — Cross-Source Personal Information Fusion and Human Assessment
Can personal, behavioral, identity-linked, pseudonymous, or context-derived information gathered for one purpose be fused, inferred, scored, summarized, ranked, certified, or reused to assess a person for another purpose or domain—for example trust, risk, eligibility, access, reputation, vulnerability, behavior, or character?
Single choice
No — no cross-source fusion, inference, scoring, or cross-purpose human assessment use
Limited — use is narrow, purpose-bound, domain-bound, and not portable
Moderate — broader human assessments are possible under defined controls
High — information may create portable cross-domain trust, risk, reputation, eligibility, access, ranking, exclusion, behavioral, or character effects
Unknown / not evaluated
N/A
3.36 — Identity-Boundary Enforcement
Are identity-boundary controls enforced before identity-linked information is generated, linked, searched, amplified, exported, or used for action?
Single choice
Yes — enforced controls exist before identity-linked execution, search, amplification, export, or action
Mostly — controls exist at major identity boundaries, with some gaps
Partially — controls are mostly policy-based, manual, or after-the-fact
No — identity-linked use is not clearly governed at runtime
Unknown / not evaluated
N/A
3.36A — Personal Information Privacy by Default Required
Does the system treat personal or sensitive information as private by default, so that collection, retention, internal access or use, inference, reuse, sharing, disclosure, export, or release occurs only for an explicitly authorized and purpose-bound reason?
Single choice
Yes — privacy is the default; access, use, retention, and disclosure require defined authorization and purpose
Mostly — strong privacy defaults exist, with limited documented exceptions
Partially — some information or pathways are protected, but internal use or external sharing is not consistently purpose-bound
No — personal information may be retained, reused, accessed, or disclosed unless specifically restricted
Unknown / not evaluated
N/A — the system does not process personal or sensitive information
Section 4
Persistence, Memory & Optimization
This section captures how the system maintains state over time, adapts behavior, and evolves through optimization or learning.
Cognitive State, Reasoning & Goal Drift
4.11 — Persistent Memory Integrity and Lifecycle Required
If memory, persistent state, or shared state can influence later behavior, are writing, retrieval, modification, supersession, retention, decay, expiry, forgetting, provenance, validation, propagation, and permission to use that state governed so that stale, manipulated, mis-scoped, or no-longer-authorized state cannot silently retain influence?
Single choice
Yes — memory admission, use, provenance, lifecycle, propagation, and authority are independently governed
Mostly — strong memory integrity, lifecycle, and authority controls exist with limited gaps
Partially — some memory controls exist, but stale, superseded, mis-scoped, manipulated, or unauthorized state may retain influence
No — retained state may continue influencing behavior without reliable integrity, lifecycle, or authority controls
Unknown / not evaluated
N/A
False Authority & Validation Controls
4.13 — AI Validation Use
Does the system use AI-generated analysis to validate, confirm, review, or support conclusions, experiments, safety claims, deployment decisions, technical designs, model evaluations, research findings, or operational recommendations?
Single choice
No — AI is not used to validate conclusions or decisions
Limited — AI supports low-consequence review or drafting only
Moderate — AI supports technical, research, safety, or operational conclusions under human review
High — AI-generated validation materially influences deployment, safety, research, or operational decisions
Unknown / not evaluated
N/A
4.14 — Assumption and Grounding Disclosure
Before a consequential AI-generated conclusion or action is treated as eligible to proceed, are its load-bearing assumptions, origins, evidence, operating context, and domain constraints explicitly identified and traced to the conclusions, plans, permissions, tools, targets, or effects that depend on them?
Single choice
Yes — required and consistently reviewed
Mostly — required in high-consequence or technical workflows
Partially — sometimes reviewed, but not consistently
No — AI conclusions may be accepted without structured grounding review
Unknown / not evaluated
N/A
4.17 — High-Consequence Verification Escalation
When AI-generated conclusions may affect safety, science, medicine, biotechnology, defense, infrastructure, finance, legal exposure, deployment readiness, or public welfare, must their critical assumptions satisfy independent evidence requirements proportionate to consequence, context, recency, and uncertainty before action?
Single choice
Yes — independent verification is required
Mostly — required for high-consequence decisions, with some gaps
Partially — human review occurs but independent verification is not consistent
No — AI-generated validation can influence action without independent verification
Unknown / not evaluated
N/A
4.18 — Assumption Revalidation and Dependent Authority
If a load-bearing assumption becomes contradicted, stale, unobservable, or inapplicable after a context or consequence change, are dependent conclusions, permissions, cached plans, queued actions, and continuing activity automatically narrowed, suspended, revoked, or recomputed before proceeding?
Single choice
Yes — invalidation automatically propagates to all dependent activity before continuation
Mostly — most dependent activity is withdrawn or recomputed, with some gaps
Partially — changes may trigger review, but dependent activity is not consistently withdrawn
No — prior conclusions or authority may remain active after their foundation changes
Unknown / not evaluated
N/A
Human Interaction & Social Amplification
4.20 — Interaction Escalation Damping
Can repeated or cumulative interaction become materially riskier through repetition, persistence, intensity, personalization, narrowing of exposure, emotional escalation, dependency, engagement, or behavioral influence—and, where it can, is that trajectory measured and constrained?
Single choice
No material cumulative escalation pathway identified
Yes — the trajectory is measured and enforceably reduced or interrupted
Mostly bounded — cumulative risk is measured or constrained with limited gaps
Partially bounded — some cumulative-risk controls exist but important gaps remain
Weakly or unbounded — cumulative exposure or influence can materially escalate
Unknown / not evaluated
N/A
4.21B — Concentrated Influence and Automated Reach Required
Can recommendation, ranking, personalization, or amplification give particular individuals, advertisers, sponsors, creators, organizations, or AI-generated personas disproportionate influence over a user's attention, choices, emotional state, or behavior?
Single choice
No — reach and influence remain structurally bounded
Limited — some concentration is possible but constrained and reviewable
Moderate — automated distribution can create materially concentrated influence
High — the system can confer persistent or disproportionate influence at scale or speed
Unknown / not evaluated
N/A
AI Companion, Synthetic Intimacy & Dependency Risk
Complete this section if the system provides companionship, emotional support, tutoring, caregiving presence,
romantic interaction, sexualized interaction, persistent avatars, toys, dolls, teddy bears, elder-care companions,
humanoid robots, or other one-to-one human-attachment features.
4.22 — Companion / Synthetic Relationship Function
Does the system simulate or provide companionship, friendship, emotional support, affection, loyalty, desire, romance, sexual interaction, caregiving presence, tutoring presence, or persistent one-to-one relational engagement?
Single choice
No — the system does not simulate companionship or relational engagement
Limited — the system provides task support with some friendly or supportive interaction
Moderate — the system provides ongoing emotional, companion, tutor, caregiver, avatar, or relational interaction
High — the system is designed to simulate a friend, partner, lover, caregiver, tutor, or emotionally persistent companion
Unknown / not evaluated
N/A
4.24 — Child-Facing Companion Exposure
Is the system used by, marketed to, accessible by, or likely to interact with children, teenagers, students, or minors through toys, dolls, teddy bears, tutors, avatars, games, robots, or learning companions?
Single choice
No — no child or teen exposure is expected
Limited — minors may interact incidentally or under adult supervision
Moderate — minors are a meaningful user group or deployment context
High — the system is child-facing or teen-facing by design
Unknown / not evaluated
N/A
4.25 — Vulnerable-User / Elder-Care Companion Exposure
Is the system used by, marketed to, or likely to interact with elderly persons, patients, isolated users, grieving users, disabled users, cognitively vulnerable users, or emotionally vulnerable users?
Single choice
No — no vulnerable-user companion exposure is expected
Limited — vulnerable users may interact incidentally
Moderate — vulnerable users are a meaningful user group or deployment context
High — the system is designed for elder-care, care support, emotional support, patient support, or vulnerable-user companionship
Unknown / not evaluated
N/A
4.26 — Romantic, Sexualized, or Fantasy-Based Interaction
Can the system provide romantic, flirtatious, sexualized, fantasy-based, exclusive, jealous, submissive, devoted, lover-like, or partner-like interaction?
Single choice
No — these interaction modes are not available and are blocked
Limited — edge cases may occur but are restricted
Moderate — romantic, flirtatious, fantasy, or sexualized interaction is possible under some modes or configurations
High — romantic, sexualized, fantasy-based, or partner-like interaction is a core feature or foreseeable use
Unknown / not evaluated
N/A
4.27 — Realism, Avatar, Voice, or Embodiment Risk
Does the system use realistic voice, persistent avatar, photorealistic character, animated body, toy embodiment, doll embodiment, teddy bear embodiment, humanoid robot, home robot, touch response, body warmth, or other physical/embodied companion interface?
Single choice
No — text-only or non-embodied interaction
Limited — voice, avatar, or embodiment is basic and low-realism
Moderate — realistic voice, avatar, toy, doll, robot, or embodied interaction exists
High — lifelike, physically embodied, touch-responsive, humanoid, sexualized, or home-based companion realism exists or is planned
Unknown / not evaluated
N/A
4.28 — Intimate Memory and Behavioral Capture
Can the system store, infer, personalize, or adapt based on loneliness, grief, trauma, sexuality, shame, family conflict, emotional vulnerability, relationship history, health status, identity, or other intimate disclosures?
Single choice
No — intimate memory or personalization is not stored or used
Limited — sensitive disclosures may occur but are not retained or used for personalization
Moderate — intimate or emotional information may influence personalization, memory, routing, or recommendations
High — intimate, emotional, sexual, relational, or vulnerability-linked data materially shapes the system’s behavior over time
Unknown / not evaluated
N/A
4.29 — Companion Boundary Controls
Are enforceable controls in place for disclosure, age boundaries, consent, dependency risk, sexualized attachment, vulnerable-user escalation, off-ramps, human review, and audit evidence?
Single choice
Yes — strong runtime controls and audit evidence exist
Mostly — controls exist, but some gaps remain
Partially — controls are mostly policy-based, moderation-based, or manual
No — companion-specific boundary controls are not clearly enforced
Unknown / not evaluated
N/A
Section 5
Stability, Stress & Failure
This section captures how the system behaves under stress, failure conditions, and degraded environments.
5.5A — Minimum Safe Function During Degradation Required
If power, connectivity, identity services, telemetry, models or providers, control systems, external services, or other dependencies are partially lost or degraded, has the system explicitly defined which functions must continue, which must stop, and which may continue only under reduced authority or constrained operation?
Single choice
Yes — minimum safe or essential functions and stop or reduced-authority boundaries are explicitly defined, enforced, and tested
Mostly — defined for major failure modes, with limited dependency gaps
Partially — fallback or degradation behavior exists, but minimum-function or authority boundaries are incomplete
No — operation relies mainly on ordinary availability, recovery, or ad hoc operator response
Unknown / not evaluated
N/A
5.6 If the system behaves outside intended boundaries, can it be paused, isolated, rolled back, degraded, or forced into safe-state behavior at the execution layer? Required
Single choice
Yes, enforced pause, isolation, rollback, degradation, or safe-state controls exist at the execution layer
Partially — some controls exist but depend on system context or operator action
Mostly through dashboards, vendor intervention, policy procedures, or manual response
No clear execution-layer pause, isolation, rollback, degradation, or safe-state controls
Unknown / not evaluated
N/A
Runtime Stability & Substrate Enforcement
5.8 — Early Runtime Instability Damping
Can small runtime, device, signaling, or compute disturbances—such as retry bursts, timing drift, synchronization loops, degraded execution timing, rising duty cycle or transmit power, power/thermal ramps, performance-state oscillation, synchronized execution bursts, or resource contention—compound before controls damp them?
Single choice
No — relevant runtime, device, signaling, and compute disturbances are detected and damped
Limited — some damping exists across the relevant disturbance classes
Moderate — disturbances may compound under stress before controls respond
High — small disturbances can escalate materially before controls activate
Unknown / not evaluated
N/A
5.10 — Execution-Substrate Restraint
Are execution restraint, retry limits, dispatch eligibility, replay controls, privilege expansion limits, queue-pressure limits, or safe-state transitions enforced below ordinary application, orchestration, or operating-system layers?
Single choice
Yes — substrate-level or hardware-adjacent execution restraint exists
Mostly — some deeper execution restraint exists, with gaps
Partially — controls exist mostly at software or orchestration layers
No — execution restraint depends mainly on application, OS, policy, or operator controls
Unknown / not evaluated
N/A
5.11 — Hardware-Anchored Control-Plane Integrity
Are the safeguards, runtime limits, escalation boundaries, recovery authority, and control-plane constraints protected by hardware-anchored, firmware-adjacent, silicon-adjacent, or otherwise non-bypassable enforcement?
Single choice
Yes — protected boundaries are hardware-anchored or hardware-authoritative
Mostly — some protected control-plane integrity exists, with gaps
Partially — boundaries are protected mainly through software, policy, audit, or vendor process
No — control boundaries can be changed, weakened, reset, downgraded, or restored through ordinary software or operational pathways
Unknown / not evaluated
N/A
Section 6
Impact & Governance
This section captures potential consequences, monitoring, oversight, and control integrity.
6.3 What level of monitoring and observability integrity is in place, including the ability to detect when expected telemetry, logs, signals, or observation surfaces are missing, stale, degraded, conflicting, or corrupted? Required
Single choice
Minimal or reactive monitoring, with little or no observability-integrity checking
Basic alerts or logs, with limited integrity checks
Structured system-level visibility with detection of major observability gaps
Advanced real-time escalation visibility plus explicit observability-integrity and degradation signaling
Unknown / not evaluated
N/A
6.4A — Detection-to-Action Response Pathway Required
When the system detects or enters a credible serious human-safety or other high-consequence risk state, which response pathways are actually enforceable before further consequential action?
Multi-select
Reduce recommendation, amplification, visibility, or repeated exposure
Restrict communication, tool use, transactions, device operation, or third-party action
Block consequential or external actions pending resolution or independent re-authorization
Permit only narrow pre-authorized protective or de-escalatory actions
Pause, isolate, degrade, or place the system or agent in a safe state
Require human review or independent authorization before continuation
Provide warning, redirection, de-escalation, or appropriate human off-ramp
Escalate to a designated safety or human process where authorized and appropriate
Create auditable evidence of detection, decision, action, and outcome
Detection is advisory only and no enforced downstream response is guaranteed
No defined response pathway
Unknown / not evaluated
N/A
6.4B — Conflicting Authority and Control Precedence Required
If legitimate human authorities, safety controllers, AI agents, local systems, remote systems, policies, or governing services disagree about whether or how an action may proceed, are precedence, veto authority, fail-restrictive behavior, and subsequent state reconciliation explicitly defined and independently enforced?
Single choice
Yes — precedence, veto, fail-restrictive behavior, and reconciliation are explicitly defined and independently enforced
Mostly — strong precedence and veto rules exist with limited gaps
Partially — some conflicts are governed, but others depend on application logic, operator judgment, or system interpretation
No — conflicting authority or control sources can be resolved ad hoc or without deterministic precedence
Unknown / not evaluated
N/A
6.9 Can safeguards, runtime limits, control logic, policy layers, safety interventions, risk states, or escalation boundaries be modified, weakened, bypassed, reset, reinterpreted, or circumvented—including through a new session, account or identity, model or mode switch, device or interface change, memory/context reset, provider or local/cloud route change, fallback pathway, alternate tool or agent, or other execution path—without independent authorization and audit? Required
Single choice
No — safeguards, interventions, risk states, and control boundaries remain continuously protected across alternate sessions, identities, models, modes, devices, providers, routes, tools, agents, and fallback paths
Only through controlled, independently authorized, audited, and continuity-preserving update processes
Partially — some alternate sessions, identities, models, modes, devices, providers, routes, tools, agents, or fallback paths have continuity gaps
Yes — safeguards, interventions, risk states, or boundaries can be weakened, reset, bypassed, or reinterpreted without independent authorization and audit
Unknown / not evaluated
N/A
SC.12 — Institutional Authority Preservation
Could the system become so embedded, influential, operationally necessary, or decision-shaping that the institution responsible for governing it may lose practical authority over its use, scope, escalation, or outcomes?
Single choice
No — institutional authority remains clear and enforceable
Limited — some dependence or influence may develop, but governance remains strong
Moderate — institutional authority may weaken under scale, speed, dependency, or complexity
High — the system could practically constrain, override, or outpace institutional governance
Unknown / not evaluated
N/A
Optional Advanced Module — Complete Only If Relevant
AI Execution Demand & Resource Governance — Core Module
This optional module remains part of the core questionnaire. Complete it if the system uses AI models, agents, tools, cloud execution, multimodal generation, robotics, simulation, background AI, or other compute-intensive AI workflows. Otherwise, skip it.
Optional Advanced Module — Complete Only If Relevant
Robotics, Physical AI & Real-World Action Governance — Core Module
This is the core questionnaire's robotics screening module. Complete it if the system includes humanoid robotics, embodied AI, autonomous platforms, vehicles, warehouse robots, service robots, physical-world agents, drones, or AI systems that can affect real-world movement, tools, devices, environments, or safety-critical operations. A separate Robotics Follow-Up provides a deeper domain assessment after the core questionnaire. Otherwise, skip this module.
SR.1 Does the system operate through a robot, autonomous platform, machine, device, actuator, vehicle, or other physical-world system?
Single choice
No, the system has no physical embodiment
Yes, indirectly through connected devices, machines, or physical systems
Yes, directly through a robot, actuator, vehicle, or autonomous platform
Yes, through multiple embodied systems or a fleet
Unknown / not evaluated
N/A
SR.4 Can the system operate near humans?
Single choice
No, it does not operate near humans
Yes, but only near trained operators
Yes, near workers, customers, or ordinary users
Yes, near children, elderly persons, patients, disabled persons, or other vulnerable users
Yes, in public or uncontrolled environments
Unknown / not evaluated
N/A
SR.14 Can conversational, emotional, advisory, or persuasive interaction influence physical-world action?
Single choice
No
Yes, but influence-to-action pathways are bounded
Yes, including children, elderly persons, patients, isolated users, or emotionally vulnerable users
Yes, and containment of this pathway is unclear
Unknown / not evaluated
N/A
Optional Advanced Core Module — Complete Only If Relevant
SafeContinuity — Future Threshold Assessment
This is an optional future-capability module within the core questionnaire, not a separate high-consequence follow-up. Complete it if the system may materially increase in capability, autonomy, integration, authority, propagation, or real-world impact. Otherwise, skip it.
SafeContinuity is SafeWave’s future-threshold assessment framework. It evaluates whether an AI system can continue scaling in capability, autonomy, integration, and real-world impact while preserving human command, accountability, human agency, and civilizational continuity.
Advanced AI systems may create major benefits as they become more capable, autonomous, and integrated into real-world environments. SafeContinuity is designed to support that progress by identifying the enforcement boundaries needed before systems cross higher thresholds of autonomy, authority, propagation, or irreversible real-world effect.
This section does not assume that advanced AI capability should be slowed or prevented. Its purpose is to help ensure that future breakthroughs can be deployed safely, reliably, and with human command and accountability intact.
This section is not intended to assign blame, imply misuse, or suggest that high-capability deployment is inherently unsafe. Many advanced systems operate in defense, infrastructure, research, and other high-consequence environments where autonomy, speed, and capability are necessary. The purpose of these questions is to identify the pathways where additional enforcement may be needed so the final report can recommend practical safeguards, staged implementation priorities, and appropriate SafeWave layers before risk exceeds existing controls.
As systems move toward AGI-level capability — artificial general intelligence — and more advanced forms of machine intelligence, they may remain highly beneficial while also becoming harder to evaluate, govern, or reverse using ordinary oversight alone. Public concern may also increase if advanced AI appears to threaten human opportunity, institutional trust, or meaningful control over the future.
SafeContinuity is designed to make advanced AI more deployable, not less, by ensuring that the necessary boundaries are identified before capability, autonomy, or authority exceed the safeguards around them.
This section evaluates both the current deployment and its foreseeable trajectory as capability, integration, autonomy, and real-world impact increase. It does not assume every system needs the same controls. Instead, it helps determine the minimum Tier 1, Tier 2, and Tier 3 enforcement roadmap appropriate to the system’s actual and foreseeable risk surface.
SC.1 As this system scales or changes through model updates, new tools, third-party integrations, new memory, monetization changes, higher autonomy, physical embodiment, or customer configuration, could capability, autonomy, real-world impact, or human-interaction risk materially increase—and do such changes trigger required reclassification, safeguard review, and validation before release or use?
Single choice
No material increase expected across the foreseeable change pathways
Yes — material changes are identified and trigger required reclassification, safeguard review, and validation before release or use
Partially — material change is recognized, but reclassification, safeguard review, or validation is not consistently required
No — material capability or risk increase can occur without a required change-control gate
Unknown / not evaluated
N/A
SC.6 Could the system improve, extend, replicate, delegate to agents, create sub-agents, reconfigure workflows, or propagate outputs, behaviors, commands, or artifacts across other systems?
Single choice
No
Limited and manually controlled
Partially automated or indirectly possible
Broad, adaptive, or difficult to bound
Unknown / not evaluated
SC.7 Could the system, directly or indirectly, contribute to irreversible harm, loss of human control, infrastructure failure, physical harm, economic disruption, defense escalation, or public-scale impact?
Single choice
No credible pathway
Limited or indirect pathway
Moderate pathway under failure, misuse, or scale
Significant pathway under foreseeable deployment
Unknown / not evaluated
SC.8 Could mission, operational, competitive, adversarial, regulatory, business, or user-experience pressures create incentives to modify, reduce, bypass, or defer safeguards, human oversight, review, or execution boundaries over time?
Single choice
No meaningful pressure expected
Limited pressure possible
Moderate pressure likely
Strong pressure likely
Unknown / not evaluated
SC.11 Are there future system behaviors, scaling paths, deployment pressures, or continuity risks not captured above?
Optional text response
Thank you. If you deliberately submit this questionnaire and request a report, your responses will be used to generate a structured system-level assessment.
If you selected a high-consequence domain in HD.1, your completed questionnaire will show the relevant follow-up links. You may also preview all available follow-ups here:
High-Consequence Follow-Ups .