# AI IN HIRING — DISCRIMINATION RISK ASSESSMENT AND CANDIDATE NOTICE **Document code:** AIA-HR-05 · **Version:** 1.0 · **Classification:** Internal **Assessment date:** ……/……/20…… · **Renewal:** annually and on every model change > AI systems used in recruitment and worker management are listed among the > **high-risk** areas of the EU AI Act (Annex III, point 4). This form is > designed both as preparation for that regime and to produce a defensible > record under data protection and employment law. --- ## PART A — SYSTEM RECORD | Field | Value | |---|---| | A.1 System / tool name | [……] | | A.2 Provider | [……] | | A.3 Place in the process | ☐ CV screening ☐ Ranking ☐ Video analysis ☐ Test scoring ☐ Other | | A.4 Effect on the decision | ☐ Determinative ☐ Advisory ☐ Preparatory | | A.5 Candidates processed per year | [……] | | A.6 Any candidates located in the EU | ☐ Yes ☐ No | | A.7 Your role | ☐ Deployer ☐ Provider ☐ Deemed provider (Art. 25) | --- ## PART B — RISK CLASS AND OBLIGATIONS **B.1** A system used in employment and worker management falls within Annex III and is **high-risk as a rule**. **B.2 Derogation assessment (Art. 6(3)).** The derogation can be argued where the system does not materially influence the outcome and is limited to a narrow procedural task, a preparatory task, or improving a completed human activity. **However:** where the system **profiles** candidates the derogation is unavailable. Much CV ranking and candidate scoring constitutes profiling. - **B.2.A** Does the system profile candidates? ☐ Yes → no derogation ☐ No - **B.2.B** If relying on the derogation, is written reasoning attached? ☐ Y ☐ N **B.3 Deployer obligations (Art. 26)** — if high-risk: | # | Obligation | Status | |---|---|---| | B.3.A | Use in accordance with the instructions for use | ☐ | | B.3.B | Assignment of competent, trained human oversight | ☐ | | B.3.C | Input data relevant and sufficiently representative | ☐ | | B.3.D | Retention of system logs | ☐ | | B.3.E | **Informing affected workers and their representatives** | ☐ | | B.3.F | Reporting serious incidents and risks to provider/authorities | ☐ | **B.4** Where applicable, carry out a fundamental rights impact assessment (FRIA — Art. 27). ☐ Required ☐ Not required — reasoning: [……] --- ## PART C — DATA PROTECTION **C.1 Legal basis.** On what basis is candidate data processed? [……] > Consent is contested in most employment contexts, since whether it is freely > given is open to challenge. **C.2 Notice.** Are candidates told that AI is used in the process and at which stage? ☐ Y ☐ N (GDPR Art. 13–14) **C.3 Solely automated decisions.** Is the candidate subject to a decision based solely on automated processing producing legal or similarly significant effects? ☐ Yes ☐ No → If yes, GDPR Art. 22 requires additional safeguards: the right to obtain human intervention, to express a point of view and to contest the decision. **C.4 Special categories.** Does the system **infer** health, disability, ethnic origin or similar attributes indirectly? ☐ Y ☐ N > Video analysis and voice-tone assessment carry this risk. **C.5 Retention period.** How long is candidate data kept? [……] **C.6 Has a DPIA been carried out (Art. 35)?** ☐ Y ☐ N --- ## PART D — DISCRIMINATION RISK TEST **D.1 Equal treatment.** Employers may not discriminate on grounds such as sex, race, disability, religion, political opinion or similar protected characteristics. Discrimination arises from the **effect** of the system, not from its intent. **D.2 Indirect discrimination screen.** Even without using a protected characteristic, a system may reflect one through proxies: - **D.2.A** Address / postcode ☐ In use - **D.2.B** School attended ☐ In use - **D.2.C** Career gaps (parental-leave effect) ☐ In use - **D.2.D** Photograph, video image, voice ☐ In use - **D.2.E** Name ☐ In use - **D.2.F** Age or year of graduation ☐ In use **D.3 Outcome-difference measurement.** Has the pass-rate difference between groups been measured and recorded? | Group breakdown | Applied | Passed | Rate | Difference | |---|---|---|---|---| | [……] | | | | | | [……] | | | | | - **D.3.A** Measurement period: [……] - **D.3.B** Action taken where a material difference is found: [……] **D.4 Training data.** If the system was trained on your past hiring decisions, it may have learned past imbalances. Has this been checked? ☐ Y ☐ N --- ## PART E — HUMAN OVERSIGHT **E.1** Person taking the final decision: [……] **E.2** Can that person **override** the system's recommendation? ☐ Y ☐ N **E.3** Number of cases in the last [PERIOD] where the recommendation was overridden: [……] > A figure near zero suggests that, in practice, human oversight has become > nominal. **E.4** Has the overseer been trained on the system's limitations? ☐ Y ☐ N **E.5** Is a rejected candidate's file seen by a human? ☐ Y ☐ N --- ## PART F — CANDIDATE NOTICE (SAMPLE) > *"An AI-assisted [SYSTEM TYPE] is used at the initial screening stage of your > application. The system assesses your application against [CRITERIA ASSESSED] > and produces a recommendation. The final decision is taken by [FUNCTION]; the > system's recommendation is not determinative on its own.* > > *Your personal data used in the assessment is processed on the basis of [LEGAL > BASIS] and retained for [PERIOD]. You have the right to request human review, > to express your point of view and to contest the decision. To do so, contact: > [CONTACT]"* **F.1** Has this notice been published on the job posting / application form? ☐ Y ☐ N --- ## PART G — DECISION AND SIGNATURE **G.1 Outcome:** ☐ Cleared for use ☐ Cleared subject to conditions ☐ Not cleared **G.2 Conditions / reasoning (mandatory):** [……] **G.3 Next review date:** [……] | | Name | Title | Date | Signature | |---|---|---|---|---| | Assessed by (HR) | | | | | | Data protection officer | | | | | | Legal review | | | | | | Approved by | | | | | --- *This form is general in nature and does not constitute legal advice. The provisions cited reflect the text as at the date of preparation and should be confirmed against the version in force and applicable regulatory guidance.*