GDPR.ME.UK · WORKING DOCUMENT 69

DPIA: processing, risks, mitigation and sign-off

Complete this assessment before introducing or materially changing processing that is likely to create a high risk. Apply the ICO screening criteria and their conditions. Record risks to people as well as delivery risks to the organisation.

Document edition 2 · 1 November 2026 · Adapt to your processing and evidence. Use references rather than personal records.

Record details

Organisation or activity reference

Responsible owner or role

Record reference and version

Review date

1. Project and DPIA screening

Describe the proposal, the change from existing practice and the intended decision date.
Check Article 35 and the ICO’s published list, including relevant combinations of risk criteria. A new CRM or AI tool prompts screening; it is not automatically a mandatory DPIA in every case.
If concluding that a DPIA is unnecessary, record the evidence and reviewer’s reasoning and retain the screening record.

Project / version / owner

Proposed start date and decision gate

Controller / processor roles

Screening criteria and evidence

DPIA required? Reasoned decision

Screening reviewer and date

2. Describe the complete processing lifecycle

Describe collection, use, analysis, sharing, storage, access, retention and deletion. Include support access, subcontractors and transfers.
Identify data sources, affected groups, scale, frequency, geographical coverage and sensitive information.
Describe automated decisions, monitoring and AI involvement, including meaningful human oversight where relevant.

Purpose and expected benefit

Data subjects and data categories

Data sources and collection method

Systems / suppliers / recipients / countries

Data-flow description or controlled diagram reference

Retention / deletion / access arrangements

3. Test necessity and proportionality

Identify the Article 6 basis and any additional Article 9/10 conditions and safeguards. Do not assume a DPIA creates a lawful basis.
Explain why the processing is necessary and compare less intrusive alternatives.
Review minimisation, accuracy, transparency, rights, security, processor terms, transfers and safeguards for children or vulnerable people.

Lawful basis and additional conditions

Necessity and alternatives rejected with reasons

Data minimisation decisions

Transparency and rights mechanisms

Supplier / security / transfer safeguards

Children or vulnerable-person safeguards

4. Seek advice and relevant views

Seek the appointed DPO’s advice and record it. Consult security, operations, legal, procurement and other relevant roles.
Consider whether and how to seek affected people’s views or representatives’ views. Explain any decision not to consult.
Record disagreement and the reason for accepting or rejecting advice.

DPO advice and date

Stakeholders consulted

Affected-person consultation or reason not undertaken

Objections and responses

Unresolved disagreement and escalation

Advice evidence references

5. Maintain the risk and mitigation register

Create one row per scenario: source of risk, event, affected people and potential harm. Include exclusion, discrimination, distress, loss of confidentiality and loss of control where relevant.
Use a stated likelihood and severity method. Record initial risk, mitigation, control owner, evidence, residual risk and whether the control is implemented.
Do not reduce the residual rating for a control that is merely proposed. Describe uncertainty and limitations.

Risk ID / scenario / affected group / harm

Initial likelihood / severity / rationale

Mitigation and responsible owner

Implementation due date and evidence

Residual likelihood / severity / rationale

Assumptions, uncertainty and verification result

6. Decide, escalate and authorise

State whether the proposal may proceed, needs redesign or must pause. Explain the decision and conditions.
Where high residual risk cannot be reduced, record the Article 36 prior-consultation decision and do not treat internal approval as a substitute.
Record accountable sign-off, DPO advice and control verification separately. A typed draft name does not establish actual approval.

Decision and conditions

Residual high risks

Prior ICO consultation required? Rationale

Consultation reference and outcome if applicable

Accountable approver / approval evidence / date

Launch gate and controls still outstanding

7. Review and maintain

Set a review date and event triggers, including changed purpose, new supplier, incident, different data or affected population and new technology.
Integrate agreed controls into project tasks, contracts, notices and the ROPA.
Keep version history and record any divergence between approved design and live operation.

Review owner and next date

Review triggers

ROPA / notices / contract references

Post-launch control checks

Changes since approval

Version and review decision

Sources and completion

Record who reviewed and approved the document. Save a working copy to reopen it later, or export the completed HTML record. Your entries stay in this page; automatic storage is not enabled. A downloaded record may contain sensitive operational information.

The template does not verify facts, perform an audit, submit a notification or execute a contract.