AI-claim substantiation assessment

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 1

Complete the General fields. Each value is validated against the schema before the next step unlocks.

• Entity / Registrantoptional

  entityId

  The reporting registrant or legal entity for which this AI capability claim is being substantiated (e.g. acme-corp-hq).

• CIK (required)

  cik

  SEC Central Index Key (CIK) of the reporting registrant (seeded from entity selection at workflow launch).

• Source SEC Disclosure / AI Use-Case Profileoptional

  sourceDisclosureId

  Select an existing SEC filing, earnings transcript, marketing collateral record, or AI use-case profile to auto-populate prerequisite fields across Stages 1–7, or skip to enter manually.

• Venue (required)

  venue

  Enter venue.

• Claim Text (required)

  claimText

  Verbatim text of the public or investor-facing AI capability statement (minimum 20 characters).

• Published At (required)

  publishedAt

  Publication or scheduled release date of the AI capability statement.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 2

Complete the Taxonomy fields. Each value is validated against the schema before the next step unlocks.

• Model Type (required)

  modelType

  Enter model type.

• Is Third-Party Dependencyoptional

  isThirdPartyDependency

  Enable if the claimed AI capability relies on an external foundation model, API, or third-party vendor.

• Model Provider (required)

  modelProvider

  Specify the external vendor or foundation model provider when Third-Party Dependency is enabled, or 'Internal' for proprietary models.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 3

Complete the Materiality fields. Each value is validated against the schema before the next step unlocks.

• Materiality Level (required)

  materialityLevel

  Enter materiality level.

• Claim Nature (required)

  claimNature

  Enter claim nature.

• Financial Impact Projectionoptional

  financialImpactProjection

  Document the quantitative assumptions, GAAP/Non-GAAP basis (Reg G), and sensitivity bounds supporting the financial projection.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 4

Complete the Substantiation fields. Each value is validated against the schema before the next step unlocks.

• Substantiation Status (required)

  substantiationStatus

  Enter substantiation status.

• Training Data Provenance (required)

  trainingDataProvenance

  Enter training data provenance.

• Bias Testing Completed Dateoptional

  biasTestingCompletedDate

  Required when a material AI claim relies on unverified open-source training data.

• Hallucination Mitigation Controlsoptional

  hallucinationMitigationControls

  Document retrieval grounding, guardrails, human-in-the-loop, or deterministic output verification controls for Generative LLM claims.

• Third-Party Audit Completedoptional

  thirdPartyAuditStatus

  Confirm whether the third-party AI model provider's claimed capabilities and SOC/ISO/benchmark reports have been independently verified.

• Evidence Referencesoptional

  evidenceRefs

  Reference IDs of production benchmarks, architecture diagrams, or audit artifacts substantiating the claim.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 5

Complete the Nature fields. Each value is validated against the schema before the next step unlocks.

• Safe Harbor Language Includedoptional

  safeHarborLanguageIncluded

  Confirm whether meaningful cautionary statements accompany forward-looking AI capability or financial projection statements under the PSLRA.

• Risk Disclosuresoptional

  riskDisclosures

  Specific Regulation S-K Item 105 / MD&A risk factor disclosures qualifying the AI capability claim.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 6

Complete the Remediation fields. Each value is validated against the schema before the next step unlocks.

• Retraction Requiredoptional

  retractionRequired

  Automatically required when a material claim is unsubstantiated or when any claim is misleading.

• Remediation Planoptional

  remediationPlan

  Corrective action plan detailing public clarification, Form 8-K/amendment filing, or marketing takedown steps.

• Retracted Atoptional

  retractedAt

  Timestamp when the public retraction or corrective disclosure was published.

ScreenSEC › SEC Workflows › AI-claim substantiation assessment·step 7

Complete the Governance fields. Each value is validated against the schema before the next step unlocks.

• Reviewed By Legal Atoptional

  reviewedByLegalAt

  Timestamp of securities counsel or disclosure committee legal review (mandatory for material AI claims).

• Board Oversight Committeeoptional

  boardOversightCommittee

  Designated Board committee (e.g., Audit & Risk Committee, Technology Committee) overseeing critical-to-revenue AI claims.

• Approved By Board Atoptional

  approvedByBoardAt

  Timestamp when the designated Board oversight committee approved the critical-to-revenue AI disclosure.