Assess compliance

Use the ValidMind Platform to assess compliance of your models 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 three steps:

1. Link evidence to reports
2. Link artifacts to reports
3. Provide compliance assessments

Prerequisites

• You are logged in to ValidMind.
• The model you are validating is registered in the model inventory.¹
• A model developer has submitted their model documentation for validation.²
• You are a Validator or assigned another role with sufficient permissions to perform the tasks in this guide.³

¹ Register models in the inventory

² Submit for approval

³ Manage permissions

Link evidence to reports

Link developer evidence

To link evidence logged by developers⁴ to your validation report:

⁴ ValidMind Library

1. In the left sidebar, click Inventory.

2. Select a model or find your model by applying a filter or searching for it.⁵

3. In the left sidebar that appears for your model, click Documents and select the Latest tab.⁶

4. Click on a Validation Report type file.⁷

   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 Report 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.

⁵ Working with the model inventory

⁶ Work with document versions

⁷ 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.⁸

⁸ ValidMind Library

1. In the left sidebar, click Inventory.

2. Select a model or find your model by applying a filter or searching for it.⁹

3. In the left sidebar that appears for your model, click Documents and select the Latest tab.¹⁰

4. Click on a Validation Report type file.¹¹

   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 Report 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.

⁹ Working with the model inventory

¹⁰ Work with document versions

¹¹ Preparing validation reports

Link artifacts to reports

1. In the left sidebar, click Inventory.

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

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

4. Click on a Validation Report type file.¹⁴

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 type¹⁵ you want to add:

   • Validation Issue
   • Policy Exception
   • Model Limitation

7. On the Link Artifact to Report modal that opens, select from the list of available artifacts, or click Update Linked Artifacts.¹⁶

8. Click Update Linked Artifacts.

   Confirm that newly linked artifact shown under Artifacts is accurate.

¹² Working with the model inventory

¹³ Work with document versions

¹⁴ Preparing validation reports

¹⁵ Manage artifact types

¹⁶ Add and manage artifacts

Provide compliance assessments

1. In the left sidebar, click Inventory.

2. Select a model or find your model by applying a filter or searching for it.¹⁷

3. In the left sidebar that appears for your model, click Documents and select the Latest tab.¹⁸

4. Click on a Validation Report type file.¹⁹

   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 options:

   • No compliance — No tests have been run and no other evidence has been provided.
   • Some compliance — Evidence provided but not properly documented or verifiable.
   • Strong compliance — Evidence provided and documented, but not validated.
   • Full compliance — Evidence provided, documented, and validated.

   Confirm that the compliance summary shown for each subsection under 2. Validation provides an accurate overview for current qualitative and quantitative risk assessments:

   

   Risk assessment compliance summary

6. Click under Risk Assessment Notes to add your risk assessment notes for that section using the content editing toolbar.²⁰

¹⁷ Working with the model inventory

¹⁸ Work with document versions

¹⁹ Preparing validation reports

²⁰ Work with content blocks