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. Assign 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

Include sections from other documents and logged test results as evidence to validation report, then assess the linked evidence for compliance:

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.⁷

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.⁸

4. Click on a Validation type file.⁹

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

5. Link evidence to reports in two steps:

   1. Map evidence
   2. Assess evidence

⁷ Working with the inventory

⁸ Work with document versions

⁹ Preparing validation reports

a. Map evidence

1. In any section of the report where linking evidence is available, click Evidence to expand the evidence panel.

2. Click Link Evidence and select the evidence type:

   Developer Evidence

   Select evidence logged on Development, Monitoring, or custom document types attached to the record:

   1. Select Developer Evidence as the evidence type.
   2. In the left sidebar, click on the document you want to include evidence from.
   3. In the right panel, check off the content blocks and/or test results you want to include as evidence:¹⁰

   • Expand a section by clicking to review any sub-sections.
   • If you are not sure if a block is relevant, click on a block to preview the contents.
   • To include all blocks in a section, check off the section header.

   4. When you are ready to insert the evidence, click Update Linked Evidence.

   Validator Evidence

   Select evidence logged on the same Validation report:¹¹

   1. Select Validator Evidence as the evidence type.
   2. Check off the test results you want to include as evidence. If you are not sure if a test result is relevant, click on a test result to preview the contents.
   3. When you are ready to insert the evidence, click Update Linked Evidence.

3. Confirm that the newly linked evidence appears in the Evidence panel:

   Developer Evidence

   • Verify that the evidence shown under the Developer Evidence tab is accurate and is connected to the correct document section from the right document.
   • 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.

   Validator Evidence

   • Verify that the evidence shown under the Validator Evidence tab is accurate and is connected to the correct test result.
   • 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.

¹⁰ Only sections with populated content blocks and/or test results are available for selection as evidence — empty sections will have their checkboxes disabled and grayed out.

¹¹ To link validator evidence to a report, you must first log tests on your report with the ValidMind Library: ValidMind Library

b. Assess evidence

Once you have linked evidence to a section of your report, assess the linked evidence for compliance:¹²

¹² a. Map evidence

1. In any section of the report where evidence has been linked, click Evidence Assessment to expand the evidence assessment panel.

2. Click Add your assessment to use the content editing toolbar¹³ to enter your assessment notes.

3. (Optional) When you are finished editing your assessment notes, hover over the content block and click Lock Assessment to prevent additional changes.

¹³ Work with content blocks

Link artifacts to reports

After you have mapped and assessed available evidence, link artifacts to reports to provide additional context and support your assessment:

1. In the left sidebar, click Inventory.

2. Select a record or find your record by applying a filter or searching for it.¹⁴

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.¹⁵

4. Click on a Validation type file.¹⁶

   Expand any subsection of the validation report you have attached evidence for to autogenerate validation issues or manually link artifacts to your report:

¹⁴ Working with the inventory

¹⁵ Work with document versions

¹⁶ Preparing validation reports

Autogenerate validation issues

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.

Use AI to automatically suggest validation issues based on the gaps identified in your assessment:¹⁷

¹⁷ This feature requires AI capabilities to be enabled for your organization — contact an administrator if you cannot access the Suggest Validation Issues interface.

1. In the Artifacts section under your evidence, click Suggest Validation Issues.

2. Click Suggest Validation Issues to have ​ValidMind analyze your risk assessment notes along with the guideline context and identify any gaps that warrant validation issues.

3. Review the suggested validation issues. Each suggestion includes:

   • A proposed title and description outlining the issue
   • A preliminary severity level based on the identified gap
   • A proposed remediation plan

   Click See more on each suggested issue to expand for more details.

4. Approve, reject, or regenerate the suggested validation issues:

   Approve/reject individual issues

   Under each individual issue:

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

   Approve/reject all issues

   Click Suggest Validation Issues # and select:

   • Approve All to approve all suggested issues at once.
   • Reject All to reject all suggested issues at once.

   Regenerate new suggestions

   Click Suggest Validation Issues # and select Regenerate Issues.

5. 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.¹⁸

¹⁸ Add and manage artifacts

Manually link artifacts

1. Under your evidence, click Artifacts to expand the artifacts panel.

2. Click Link Artifact and select the artifact type¹⁹ you want to add:

   • Validation Issue
   • Policy Exception
   • Limitation

3. On the Link Artifact to Report modal that opens:

   • Select from the list of available artifacts.
   • Click Add {Artifact Type} where {Artifact Type} is the artifact type you want to add to create a new artifact,²⁰ then select the new artifact from the list.

4. Click Update Linked Artifacts.

   Confirm that the newly linked artifacts shown under Artifacts is accurate.

¹⁹ Manage artifact types

²⁰ 
1. Click Add {Artifact Type} where {Artifact Type} is the artifact type you want to add to create a new artifact.
2. Enter the details for your artifact.
3. Click Add {Artifact Type} to submit the artifact.

Assign compliance assessments

After you have mapped and assessed available evidence, and generated or attached relevant artifacts, assign compliance assessments to each subsection of your validation report:

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.²¹

²¹ 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.²²

3. In the left sidebar that appears for your record, click Documents and select the Latest tab.²³

4. Click on a Validation type file.²⁴

   Expand any subsection of the validation report you have attached evidence and artifacts for.

5. Under Guideline, click Select a value for this guideline to choose one of the available Assessment options.

   At the top of the page for that subsection, confirm that the compliance summary shown provides an accurate overview for current qualitative and quantitative risk assessments for that subsection.

²² Working with the inventory

²³ Work with document versions

²⁴ Preparing validation reports