Assess compliance

Use the ValidMind Platform to assess compliance of your records with guidelines based on analyzing evidence and artifacts.

Compliance assessments provide an unbiased starting point that enables more efficient discussions between validators and developers and involves the following steps:

1. Link evidence to reports
2. Link artifacts to reports
3. Autogenerate validation issues
4. Provide compliance assessments

NoneCompliance assessments cannot be performed within static PDF documents.

You can only assess compliance within PDFs converted to editable documents,¹ validation reports generated by the ValidMind Library, or validation reports created in the ValidMind Platform.

¹ Manage documents

Prerequisites

• You are logged in to ValidMind.
• The record you are validating is registered in the inventory.²
• Documentation has been submitted to you for validation.³
• Assessment options have been configured for the validation report template if required by your organization.⁴
• You are a Validator or assigned another role with sufficient permissions to perform the tasks in this guide.⁵

² Register records in the inventory

³ Submit for approval

⁴ Configure assessment options

⁵ Manage permissions

Link evidence to reports

NoneStuck on where to start?

Use ​ValidMind’s AI-assisted tools to automate mapping and assessing evidence.⁶

⁶ Map and assess evidence

Link developer evidence

To link evidence logged by developers⁷ to your validation report:

⁷ ValidMind Library

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.⁸

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.⁹

4. Click on a Validation type file.¹⁰

   Expand any subsection of the validation report you would like to work with.

5. In any section of the report where the button is available, click Link Developer Evidence.

6. On the Link Developer Evidence to Validation Document page that opens, select the evidence that is related to your assessment.

   • Available evidence is associated with the relevant documentation section.
   • If you are not sure if something is relevant, you can expand the section by clicking for more details.

7. Click Update Linked Evidence.

   • Confirm that the newly linked-to evidence shown under Developer Evidence is accurate and is connected to the correct documentation section.
   • Evidence that needs your attention gets flagged with Requires Attention. These sections get flagged automatically whenever a test result is above or below a certain threshold.

⁸ Working with the inventory

⁹ Work with document versions

¹⁰ Preparing validation reports

Link validator evidence

To link validator evidence to a report, you must first log tests as a validator with the ValidMind Library.¹¹

¹¹ ValidMind Library

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.¹²

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.¹³

4. Click on a Validation type file.¹⁴

   You can now expand any subsection of the validation report you would like to work with.

5. In any section of the report where the button is available, click Link Evidence to Report.

6. On the Link Validator Evidence to Validation Document page that opens, select the evidence that is related to your assessment.

   If you are not sure if something is relevant, you can expand the section by clicking for more details.

7. Click Update Linked Evidence.

   • Confirm that the newly linked-to evidence shown under Developer Evidence is accurate.
   • Evidence that needs your attention gets flagged with Requires Attention. These sections get flagged automatically whenever a test result is above or below a certain threshold.

¹² Working with the inventory

¹³ Work with document versions

¹⁴ Preparing validation reports

Link artifacts to reports

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.¹⁵

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.¹⁶

4. Click on a Validation type file.¹⁷

5. Expand any subsection of the validation report you would like to work with.

6. In any section of the report where the button is available, click Link Artifact to Report and select the artifact type¹⁸ you want to add:

   • Validation Issue
   • Policy Exception
   • Limitation

7. On the Link Artifact to Report modal that opens, select from the list of available artifacts, or click Update Linked Artifacts.¹⁹

8. Click Update Linked Artifacts.

   Confirm that newly linked artifact shown under Artifacts is accurate.

¹⁵ Working with the inventory

¹⁶ Work with document versions

¹⁷ Preparing validation reports

¹⁸ Manage artifact types

¹⁹ Add and manage artifacts

Autogenerate validation issues

After you complete your risk assessment notes for a validation guideline, you can use AI to automatically suggest validation issues based on the gaps identified in your assessment.

NoneThis feature requires AI features to be enabled for your organization.

Contact your administrator if you don’t see the Suggest Validation Issues option.

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.²⁰

3. In the left sidebar, click Validation to open the validation report.

4. Expand any subsection of the validation report and complete your Risk Assessment Notes for a guideline.

5. Click Suggest Validation Issues next to the guideline you assessed.

   The AI analyzes your risk assessment notes along with the guideline context to identify any gaps that warrant validation issues.

6. Review the suggested validation issues:

   Each suggestion includes:

   • A proposed title describing the issue
   • A severity level based on the identified gap
   • Recommended remediation actions

7. For each suggested issue, choose one of the following actions:

   • Click Approve to create the validation issue and link it to your report.
   • Click Dismiss to reject the suggestion if it doesn’t apply.

8. After approving a validation issue, you can further customize it by clicking on the issue to edit fields such as owner, due date, and status.²¹

²⁰ Working with the inventory

²¹ Add and manage artifacts

ImportantAI suggestions require review

Always review AI-generated validation issues before approving them. The suggestions are based on patterns in your risk assessment notes and may need adjustment to accurately reflect your findings.

Provide compliance assessments

NoneAssessment options available for selection depend on configuration for individual validation report templates.

Your organization can customize these options to match its own assessment framework, or choose to remove them from templates entirely.²²

²² Configure assessment options

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.²³

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.²⁴

4. Click on a Validation type file.²⁵

   Expand any subsection of the validation report you would like to work with.

5. In any section of the documentation where the assessment dropdown menu is available, select one of the available assessment options.

   Confirm that the compliance summary shown for each subsection provides an accurate overview for current qualitative and quantitative risk assessments.

6. Click under Risk Assessment Notes to add your risk assessment notes for that section using the content editing toolbar.²⁶

²³ Working with the inventory

²⁴ Work with document versions

²⁵ Preparing validation reports

²⁶ Work with content blocks