Assessment ToolReady to Usev1.0
Consolidated Workbook Guide
User guide for the AI Act Consolidated Workbook, explaining how to use the compliance tracking spreadsheet effectively.
15 min
Read Time
Beginner
Level
Owner:AI Act Program Manager
Category:Compliance
Topics:Workbook usageCompliance trackingProgress monitoringReporting
Consolidated Workbook Guide
Document Information
| Field | Value |
|---|---|
| Document ID | TOOL-WB-001 |
| Version | 1.0 |
| Status | Ready to Use |
| Owner | AI Act Program Manager |
| Last Updated | 2024-12-01 |
Purpose
This guide explains how to use the AI Act Consolidated Workbook for tracking compliance progress, managing requirements, and generating reports. The workbook provides a centralized view of your organization's EU AI Act compliance status.
Workbook Overview
The Consolidated Workbook contains the following sheets:
| Sheet | Purpose | Update Frequency |
|---|---|---|
| Dashboard | Executive summary and KPIs | Auto-calculated |
| AI Systems Inventory | List of all AI systems | As systems change |
| Requirements Matrix | Requirements by system | Weekly |
| Controls Tracker | Control implementation status | Weekly |
| Evidence Log | Evidence documentation | As evidence collected |
| Gap Analysis | Compliance gaps and remediation | Monthly |
| Timeline | Compliance milestones | Monthly |
| Reports | Pre-built report templates | As needed |
Getting Started
Step 1: Initial Setup
- Download the workbook template
- Enable macros if prompted
- Configure organization settings on the Settings sheet:
- Organization name
- Primary contact
- Reporting period
- Risk tolerance thresholds
Step 2: Populate AI Systems Inventory
For each AI system, enter:
| Field | Description | Example |
|---|---|---|
| System ID | Unique identifier | AI-SYS-001 |
| System Name | Descriptive name | Customer Support Chatbot |
| Description | Brief description | AI-powered customer service assistant |
| Risk Level | Classification result | Limited |
| Operator Role | Your role | Deployer |
| Status | Current status | Active |
| Owner | Responsible person | Jane Smith |
| Department | Owning department | Customer Service |
| Go-Live Date | When deployed | 2024-01-15 |
Step 3: Map Requirements
For each AI system:
- Navigate to Requirements Matrix sheet
- Select the system from the dropdown
- Requirements will auto-populate based on risk level and role
- Update status for each requirement:
- Not Started
- In Progress
- Implemented
- Verified
Sheet-by-Sheet Guide
Dashboard Sheet
The Dashboard provides at-a-glance visibility into:
Key Metrics:
- Total AI systems count
- Systems by risk level (pie chart)
- Overall compliance percentage
- Requirements completion rate
- Controls implementation rate
- Upcoming deadlines
Traffic Light Indicators:
- 🟢 Green: On track (>80% complete)
- 🟡 Yellow: At risk (50-80% complete)
- 🔴 Red: Off track (<50% complete)
AI Systems Inventory Sheet
Columns:
| Column | Description |
|---|---|
| A | System ID |
| B | System Name |
| C | Description |
| D | Risk Level |
| E | Operator Role |
| F | Status |
| G | Owner |
| H | Department |
| I | Vendor (if applicable) |
| J | Go-Live Date |
| K | Last Assessment Date |
| L | Next Review Date |
| M | Notes |
Data Validation:
- Risk Level: Dropdown (Prohibited, High, Limited, Minimal)
- Operator Role: Dropdown (Provider, Deployer, Importer, Distributor)
- Status: Dropdown (Planning, Development, Active, Inactive, Decommissioned)
Requirements Matrix Sheet
Structure:
- Rows: Individual requirements
- Columns: AI systems
- Cells: Status indicators
Status Options:
| Status | Code | Color |
|---|---|---|
| Not Applicable | N/A | Gray |
| Not Started | NS | Red |
| In Progress | IP | Yellow |
| Implemented | IM | Light Green |
| Verified | VE | Dark Green |
Filtering:
- Filter by Article
- Filter by Category
- Filter by Status
- Filter by System
Controls Tracker Sheet
Track implementation of each control:
| Column | Description |
|---|---|
| Control ID | Unique control identifier |
| Control Name | Descriptive name |
| Category | Control category |
| Article | Related EU AI Act article |
| Owner | Responsible person |
| Status | Implementation status |
| Target Date | Planned completion |
| Actual Date | Actual completion |
| Evidence | Link to evidence |
| Notes | Additional notes |
Evidence Log Sheet
Document all compliance evidence:
| Column | Description |
|---|---|
| Evidence ID | Unique identifier |
| Title | Evidence title |
| Type | Document type |
| System(s) | Related AI systems |
| Requirement(s) | Related requirements |
| Control(s) | Related controls |
| Location | File path or URL |
| Date Created | When created |
| Date Reviewed | Last review date |
| Reviewer | Who reviewed |
| Status | Current/Archived |
Gap Analysis Sheet
Track and remediate compliance gaps:
| Column | Description |
|---|---|
| Gap ID | Unique identifier |
| System | Affected AI system |
| Requirement | Related requirement |
| Gap Description | What is missing |
| Risk Rating | Impact if not addressed |
| Remediation Plan | How to close gap |
| Owner | Responsible person |
| Target Date | Planned closure |
| Status | Open/In Progress/Closed |
| Closure Date | When closed |
Formulas and Calculations
Compliance Percentage
=COUNTIF(StatusRange,"Verified")/COUNTA(StatusRange)*100
Days Until Deadline
=TargetDate-TODAY()
Risk Score
=IF(RiskLevel="High",3,IF(RiskLevel="Limited",2,1))*IF(Status="Not Started",3,IF(Status="In Progress",2,1))
Reporting
Pre-Built Reports
- Executive Summary: High-level compliance status
- System Detail Report: Per-system compliance breakdown
- Gap Report: All open gaps with remediation status
- Evidence Report: Evidence inventory by system
- Timeline Report: Milestone tracking
Generating Reports
- Navigate to Reports sheet
- Select report type from dropdown
- Set date range (if applicable)
- Click "Generate Report" button
- Report populates in designated area
- Export to PDF or print as needed
Best Practices
Data Entry
- ✅ Use consistent naming conventions
- ✅ Update status weekly at minimum
- ✅ Link evidence to specific requirements
- ✅ Add notes for context
- ❌ Don't leave fields blank
- ❌ Don't use free text where dropdowns exist
Maintenance
- Review Dashboard weekly
- Update Requirements Matrix as work progresses
- Archive completed evidence monthly
- Backup workbook before major updates
- Version control: Save dated copies
Collaboration
- Use shared network location or SharePoint
- Establish update schedule with owners
- Lock cells that shouldn't be edited
- Use comments for discussions
- Track changes if multiple editors
Troubleshooting
| Issue | Solution |
|---|---|
| Formulas not calculating | Press F9 to recalculate |
| Dropdowns not working | Check Data Validation settings |
| Charts not updating | Refresh data source |
| Slow performance | Reduce conditional formatting |
| File too large | Archive old data to separate file |
Related Documents
Revision History
| Version | Date | Author | Changes |
|---|---|---|---|
| 1.0 | 2024-12-01 | AI Act Program Manager | Initial release |