Check documents for compliance

Use the ValidMind Document Checker to analyze your completed documents by comparing them against regulatory standards.

What is the ValidMind Document Checker?

Document Checker

The ValidMind Document Checker is a compliance tool that reviews documents against a selected regulatory standard. Use the Document Checker to identify gaps, generate actionable recommendations, and focus your efforts on areas that require attention. The Document Checker uses a structured checklist to:

• Assess whether required information or evidence is clearly documented or attached.
• Identify missing or weak areas in the document.
• Offer guidance on how to improve clarity, completeness, and compliance.
• Ensure consistency with regulatory expectations for risk and governance.

As a compliance tool, the ValidMind Document Checker is most useful when your documentation or report is sufficiently complete and you are preparing records for regulatory submission or internal audit, as it helps reduce manual review effort and improve quality assurance.

NoneWhat regulations are supported by default?

By default, ​ValidMind supports the following regulations:

• Federal Reserve Supervisory Letter SR 26-2 (United States)
• Bank of England Prudential Regulation Authority (PRA) Supervisory Statement SS1/23 (United Kingdom)
• Office of the Superintendent of Financial Institutions (OSFI) Guideline E-23 (Canada)
• European Union Artificial Intelligence Act (Regulation (EU) 2024/1689, EU AI Act)

Prerequisites

• You are logged in to ValidMind.
• The record you are documenting is registered in the inventory.¹
• The record must have sufficiently complete documents that can be checked against a regulatory standard.
• Regulations or policies and associated assessments have been configured for the document types you are checking.²
• You are a Developer or Validator, or assigned another role with sufficient permissions to perform the tasks in this guide.³

¹ Register records in the inventory

² Customize ValidMind Document Checker

³ Manage permissions

Check documents

1. Select a document

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.⁴

3. In the left sidebar that appears for your record, click Documents and select the Latest or Saved Versions tab.⁵

4. Click on the file you want to check:⁶

   Development, Monitoring, and custom type documents

   Locate the Document Checker box on the right and click Check Document.

   Validation type documents

   1. Locate Check Document on the right and click to expand the menu.

   2. Click Check Document.

5. Proceed with selecting a regulation to check your document against.

⁴ Working with the inventory

⁵ Work with document versions

⁶ Managing documents

2. Select a regulation

1. In the Document Checker modal, select a Regulation or Policy and an associated Assessment from the drop-down menus to check your document against:

   

   Example Regulation or Policy and Assessment selected to check a document against

   A list of regulation-based questions appears for your review.

2. Scroll to the bottom and click Check Document.

The ValidMind Document Checker analyzes your document, identifies gaps, and generates recommendations for specific questions for your review. When the analysis completes, your results are saved automatically as a private run that only you can see.⁷

⁷ Manage Document Checker runs

3. Review the observations

1. After the Document Checker has completed its analysis, expand individual questions or click Expand All to look through the observations:

Gap Identified — A question that is not addressed and requires attention.
Partial Gap — A question that is partially addressed and requires attention.
No Significant Gaps — A question that is fully addressed.

1. Review questions that require attention. Each question includes a(n):

   • Observation — An analysis of how the document currently addresses the question
   • Recommendation — If suggested, guidance on how to revise the document to better address the question

   
   

   NoneExamples — Observations & recommendations

   

   Sample question that is not addressed

   

   Sample question that is partially addressed

   

   Sample question that is fully addressed

Use the feedback provided by the ValidMind Document Checker to review the appropriate sections of your document and decide what revisions should be made.

4. (Optional) Export results

To export the results of the Document Checker to a .pdf (Portable Document Format) file for usage outside of the ValidMind Platform, click Export All. To export only some questions, select the questions you want and click Export n selected, where n is the number of questions you selected.

The exported file reflects the saved results of that run, including any artifacts created from it.⁸

⁸ Create artifacts from a run

Manage Document Checker runs

Each completed check is saved automatically as a run. Runs are private by default — only you can see your own runs until you publish them to your organization. Published runs are visible to everyone in your organization.

View previous runs

1. On your document, locate the Document Checker box on the right and click See Previous Runs.

2. Select a tab:

   • My Runs — Your private runs for this document.
   • Organization — Runs published to your organization by any user.

3. Click on a run to review its saved results.

Each run displays its name, when it was created or shared, the number of gaps and partial gaps identified, and the number of artifacts created from the run.⁹

⁹ For what gaps and partial gaps mean, see Review the observations.

Rename or delete a run

You can rename or delete your own private runs. Once a run is published to your organization, it can no longer be renamed or deleted.

• To rename a run, open the run, click on the run’s name, enter a new name, and click Save.
• To delete a run, click on the run and select Delete Run, then confirm with Delete.

ImportantDeleting a run cannot be undone.

Deleted runs are permanently removed, including their saved results.

Publish a run to your organization

To share a private run with your organization, open the run and click Publish to Organization.

After you publish a run:

• The run moves from My Runs to the Organization tab and becomes visible to everyone in your organization.
• The run can no longer be renamed or deleted, and cannot be made private again.
• You can create artifacts from the run’s questions.¹⁰

¹⁰ Create artifacts from a run

You must have sufficient permissions to publish runs to your organization.¹¹

¹¹ Manage permissions

Create artifacts from a run

Turn gaps identified by the Document Checker into artifacts that you can track and resolve in the ValidMind Platform:¹²

¹² Working with artifacts

1. Open a published run.

   Runs must be published to your organization before artifacts can be created from them.

2. Expand the question you want to create an artifact for, click Add Artifact, and select an artifact type.

3. Complete the artifact’s details.

   The title and description are pre-filled from the question and its observation and recommendation, and can be edited before saving.

You can create one artifact per question for each run. After an artifact is created, it appears under the question in the run, and alongside your record’s other artifacts.¹³

¹³ View and filter artifacts

Artifacts created from runs are traceable back to their source:

• On artifact listings, the Source column shows the document and run the artifact was created from. Click on the source to open the run.
• On the artifact’s detail page, the Source section links to the document and run, and shows the regulation or policy assessment and the question that generated the artifact.

Export run results

To export a run’s results to a .pdf file, open the run and click Export All, or select individual questions and click Export n selected.

The exported file reflects the saved results of that run, including any artifacts created from it.

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