Automated Compliance Check (ACC)
Run Automated Compliance Checks (ACC)
Automated Compliance Checks (ACC) score a model document against an internal control set or a regulation (e.g. SR 11-7) and return met / partially met / not met per control, with concrete recommendations.
The document to assess can be imported in Vectice; it doesn’t need to be authored in Vectice.
Prerequisites
Control set to enforce
e.g. SR 11-7, internal model policy, Control set created from your internal templates
Defined in Admin → Manage control Sets
Vectice provides starter control sets for SR 11-7, OSFI E-23, PRA SS 1/23, NIST AI RMF, and the EU AI Act. You can clone and customize them.
Document to assess
An existing Vectice document (e.g. MDD/MVD generated from AutoDoc)
or an imported document (DOCX/PDF/Markdown)
Step 1 - Generate the assessment report
Go to the tab: Your Project → Reports
(Optional) Import the document if it was created outside Vectice, then open it to confirm the layout is correct.
Click Generate report → Assessment, then select the control set (e.g. SR 11-7).
Select the report you want to assess
Click on "Start generating"
The generation of the assessment report should now be in progress. When done, open it.
Step 2 — Review the Assessment report
The report has three main parts:
1. Overall summary
Highlights strengths (what is clearly documented)
Lists areas for improvement (what is present but incomplete)
Lists gaps (what is missing and must be added)
Shows the overall tally, e.g. “9 of 20 obligations not met, 6 partially met, 5 met.”
2. Recommendations to reach full compliance
Ordered list of actions such as:
“Add explicit model equations and stepwise processing flow”
“Provide scenario/back-test results for varied conditions”
“Add independence attestation signed by IMV head”
“Provide monitoring dashboard / KPI log” These come directly from the rule that failed. :contentReference[oaicite:5]{index=5}
3. Controls Assessment Table
For each control, ACC shows:
Control ID as defined in your control set if present
Evidence code as defined in your control set if present
Status: ✅ Met / ⚠️ Partially met / ❌ Not met
Key evidence found in the document, with a link to the relevant section.
Comment / suggestion for each control to explain the rationale and suggestions for improvements.
Step 3 — Apply recommendations and re-run the assessment
As part of the assessment the original document was also annotated with a list of comments and recommendations.
To address the gap in the document you have two options:
Edit outside Vectice:
Export the assessed document with ACC comments attached using the export button
Share/edit externally
Re-import the updated version and re-run ACC
Edit in Vectice:
Open the annotated document directly in Vectice.
Add missing evidence (stress tests, monitoring, attestation...). You can use Vectice AskAI to go faster.
Click Run Automated Compliance Check again
ACC is designed to be iterative: fix → re-run → close remaining gaps.
What ACC typically checks
Purpose, business alignment, and methodology sections
Data suitability: representativeness, transformations, logs
Testing and boundaries: assumptions, scenarios/back-tests, extreme-input stress tests
Benchmarking vs baseline/challenger models
Monitoring & conservatism: KPI logs, overlays, rationale
Validation governance: plan, scope, final report, independence attestation
Documentation quality: complete package, completeness checklist, sign-offs
Good usage patterns
Before handing off the document to quality or validation team: run ACC on the development or deployment document to spot missing content
Before audit / model committee: export the assessment report and attach to the approval packet
During review: import the provided document and ensure the documentation is complete before starting the review process.
After validation: ensure the various steps of the testing plan were respected
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