AI-DLC Risk & Compliance Register
You have a register for what the AI outputs. Do you have one for how you built it?
A pre-seeded Excel workbook (v1.0) for CIOs, Engineering Directors, AI Governance Leads, Risk Functions, and Programme Managers running or transitioning to an AI-Driven Development Lifecycle. It covers the risk surface the methodology itself creates — governance gates bypassed under delivery pressure, subtle defects in AI-generated code, IP ambiguity in AI-co-authored work, data leakage into tool context, and skill atrophy in the delivery team. Ships with 20 pre-seeded risks across four categories, each with a suggested mitigating control, ready to operate from day one. Includes a full .docx User Guide.
Delivered as an Excel workbook with a full User Guide. Download immediately after purchase.
$75 USD · one-time
■ Instant download · ■ No macros · ■ Excel 2016+
The AI-DLC Risk & Compliance Register is a pre-seeded Excel risk register covering the operational risk surface created by the AI-Driven Development Lifecycle methodology itself — not the regulatory risk of what an AI system outputs. It ships with 20 risks across four categories — Process & Governance, Technical & Quality, IP/Licensing & Data, and Organisational & People — each scored for Inherent Risk (Likelihood × Impact) and Residual Risk (after control effectiveness), plotted on a 5×5 heat map, and rolled into an executive Dashboard with escalation and overdue-review alerts.
Regulatory risk registers don’t cover how the software gets built.
Most organisations adopting AI-assisted delivery already track AI-output regulatory risk — the EU AI Act, India DPDP Act, and similar frameworks. What is rarely tracked with the same discipline is the operational risk the AI-Driven Development Lifecycle methodology itself introduces: governance gates that quietly evaporate under delivery pressure, subtle logic errors that pass review because they look plausible, IP ambiguity in AI-co-authored work, and context artefacts that leak sensitive data into a tool's memory without anyone noticing.
This register addresses how you build; the regulatory risk register addresses what you deploy. A programme running only the regulatory register has a real, visible gap in exactly the risks that AI-DLC adoption itself creates.
Twenty pre-seeded risks. Inherent and residual scoring. One escalation threshold.
Score each risk's Likelihood and Impact before considering the mitigating control, rate how effectively that control is actually operating, and the workbook calculates Inherent and Residual Risk automatically — flagging anything above your configured appetite for escalation.
The Four Risk Categories · 20 Pre-Seeded RisksScore each risk 1–5 on Likelihood and Impact as it stands before considering the control. Inherent Risk Score = Likelihood × Impact, calculated automatically. Rate Control Effectiveness — None (0% reduction), Partial (25%), Substantial (50%), Full (75%) — based on evidence the control is operating, not a documented procedure that has never been exercised. Residual Risk Score = Inherent × (1 − reduction); even a Full control leaves 25% of inherent risk standing.
- Inherent Risk Score
- Likelihood × Impact (each scored 1–5), representing exposure before any control effect — the basis for the Risk Heat Map.
- Residual Risk Score
- Inherent Risk Score × (1 − control effectiveness reduction), representing exposure after the mitigating control is accounted for. Drives the ESCALATE flag against the Risk Appetite Threshold.
- Risk Appetite Threshold
- A configurable value (default 12) above which a risk's Residual Risk Score is automatically flagged ESCALATE and surfaced in the Dashboard's executive alert.
Every tab, explained.
One Microsoft Excel workbook (.xlsx) containing five tabs.
This register vs. the AI Regulatory Compliance Risk Register.
Two distinct instruments, deliberately not merged. Mature programmes run both.
| Instrument | What It Covers | Core Question |
|---|---|---|
| AI-DLC Risk & Compliance Register | Operational risk in how the software gets built — gate bypass, defects, IP ambiguity, data leakage, skill atrophy | Is the way we build with AI introducing risk? |
| AI Regulatory Compliance Risk Register (core suite) | Regulatory risk in what the AI system outputs, under the EU AI Act and India DPDP Act | Is what we deploy compliant? |
Built for whoever owns the operational risk conversation.
Need a defensible, evidence-anchored view of AI-DLC delivery risk for steering committee and audit reporting.
Operate the register as the standing instrument for AI-DLC-specific operational risk, distinct from output regulatory risk.
Bring a structured, pre-seeded starting point into AI-DLC programmes instead of building a bespoke risk taxonomy from scratch.
Run the fifteen-minute review cycle each cadence and keep the register live, not just reviewed after something goes wrong.
Evidence base for controls: the AI-DLC Governance & Metrics Dashboard's indicators — gate pass rate, ritual attendance, rework rate, context currency — provide the evidence for rating several controls in this register.
View Governance & Metrics Dashboard →Designs the gate structure: the AI-DLC RACI & Governance Gate Design Template designs the gate structure whose bypass this register's Process & Governance category monitors.
View RACI & Gate Design Template →Companion register: the AI Regulatory Compliance Risk Register (core suite) addresses AI-output regulatory risk under the EU AI Act and India DPDP Act — the "what you deploy" counterpart to this "how you build" register.
View Regulatory Compliance Risk Register →What makes this a live register, not a one-time checklist.
What this register is not.
Read this section, particularly if IP or data risks score highly.
What you need to run it.
Questions buyers ask before their first review cycle.
How is this different from the AI Regulatory Compliance Risk Register?
This register addresses how you build — the operational risk surface AI-DLC delivery itself creates. The Regulatory Compliance Risk Register addresses what you deploy — AI-output regulatory risk under the EU AI Act and India DPDP Act. They are deliberately distinct; mature programmes run both.
Can I add risks specific to our organisation?
Yes. Insert rows within the relevant category block, use the next reference in that category (for example PG-06), and copy the formulas in the relevant columns from an existing row. Dashboard formulas extend automatically to cover the new rows.
What should I do with the IP, Licensing & Data risks specifically?
Use them to structure the conversation — the risk, the control, the owner, the review rhythm. Effectiveness judgements and remediation for these five risks should ultimately be reviewed with qualified legal and security counsel. Nothing in this workbook constitutes legal advice.
What happens if I accept a risk instead of mitigating it?
Set its Status to Accepted. It deliberately remains visible and continues to count against your Risk Appetite — acceptance is a decision to carry a risk, not to hide it from the Dashboard view.
How is the Risk Appetite Threshold used?
Any risk whose Residual Risk Score exceeds the threshold (default 12) is automatically flagged ESCALATE and named in the Dashboard's executive escalation alert. Set it deliberately with your risk function; the default corresponds to the top of the Amber band.
Is a User Guide included?
Yes. A fully formatted .docx User Guide is included in the download. It covers all five tabs, the scoring mechanics, the four risk categories in full, the heat map, and a recommended operating rhythm.
Cover the risk surface your regulatory register was never designed to see.
Download, complete Settings, and score your first risk within the hour.
■ Instant download · ■ No subscription · ■ Operational risk instrument — not a legal or security audit