AI Regulatory Compliance Risk Register - EU AI Act & DPDP – Excel XLSX

BENEFITS OF THIS DOWNLOADABLE EXCEL DOCUMENT

1. Classifies up to 10 AI use cases against the EU AI Act's four risk tiers and India's DPDP Act in a single structured waterfall.
2. Tracks a pre-seeded register of 30 compliance requirements by status, owner, evidence, and risk exposure, so remediation isn't left informal.
3. Rolls classifications and gaps up into a board-ready dashboard with a risk-weighted Compliance Exposure Score and a prioritized top-10 remediation list.

RISK MANAGEMENT EXCEL DESCRIPTION

AI Regulatory Compliance Risk Register - EU AI Act & DPDP is an Excel template (XLSX) with a supplemental PDF document available for immediate download upon purchase.

AI programmes are moving faster than the governance built to classify them. Two regulatory frameworks now apply to most enterprise AI portfolios at once: the EU AI Act, phasing in through 2026 and 2027, and India's Digital Personal Data Protection Act, in enforcement since 2024. Very few programmes have completed the step every later obligation depends on – a defensible, use-case-by-use-case risk classification. Left informal, that call gets made inconsistently across teams, which is exactly what a board risk committee, auditor, or regulator will test first.
This Excel workbook gives that classification a structured, repeatable process. Its Use Case Classifier takes up to 10 AI use cases through a fixed waterfall: seven questions checking for Prohibited practices, then seven checking High-Risk triggers under Annex III, then three checking Limited-Risk transparency triggers, defaulting to Minimal-Risk only when none apply. An independent three-question India DPDP assessment runs alongside every use case regardless of its EU tier. Each use case returns its risk tier, the relevant article references, and the DPDP obligations triggered.
Behind the classifier sits a Compliance Gap Register pre-seeded with 30 requirements – 18 EU AI Act High-Risk obligations, 6 EU AI Act obligations applying across every tier, and 6 India DPDP Act obligations – each tracked by status, owner, evidence, target date, and risk exposure. A Regulatory Timeline tab tracks six key milestones with editable organisational readiness status. All three feed a Board Summary Dashboard: a portfolio risk-tier view, a risk-weighted Compliance Exposure Score, a ranked top-10 remediation list, and an automatic flag for any overdue or at-risk milestone – the only manual entries on that tab are the organisation name and reporting date.
Built for AI governance leads, risk and compliance functions, PMO leaders classifying use cases at intake, and consultants running governance engagements across multiple clients – anyone who needs to walk into an audit committee or board risk meeting with a documented classification rather than an ad-hoc judgement call.
Format: Excel (.xlsx), no macros or VBA, works in Excel 2016+ and Microsoft 365. The download includes a companion User Guide (PDF) covering every tab, worked examples, and a troubleshooting FAQ. This tool provides structured, indicative guidance based on publicly available regulatory texts; it does not constitute legal advice, and organisations should obtain qualified legal counsel for binding compliance determinations.
Published by Viksya. Seller licence terms are included within the document and take precedence over platform defaults.

Source: Best Practices in Risk Management, Artificial Intelligence Excel: AI Regulatory Compliance Risk Register - EU AI Act & DPDP Excel (XLSX) Spreadsheet, Viksya