# Annex IV Technical Documentation Template — HR Screening (editable)

Not legal advice. This is an operational template designed to map each claim to evidence you can
export later.

Version: v1.0  
Last updated: 2025-12-16  
Changelog:
- 2025-12-16 v1.0 Initial release

Report an issue: https://kla.digital/contact?subject=Template%20issue%20-%20Annex%20IV%20HR%20Screening

## Document control

- System name:
- Owner (function + name):
- Approvers (function + name):
- Scope / boundary (what is in-scope vs out-of-scope):
- Deployed regions and user groups:
- Versions in service (model/prompt/policy/workflow):
- Links (repo, runbooks, dashboards, risk register):

## One-page Annex IV summary (forwardable)

- Intended purpose:
- Decision(s) supported (screening, ranking, interview scoring, assessment):
- Primary users and affected persons:
- Human oversight checkpoints (who can approve/override/stop):
- Data sources (top 5):
- Primary harms & mitigations (top 5):
- Monitoring signals & thresholds:
- Logging & retention policy:
- Evidence export location (manifest / bundle ID):

## 1) General description (Annex IV item 1)

### 1.1 Intended purpose + outcomes

- [ ] What does the system produce (rankings, scores, recommendations)?
- [ ] What decisions are explicitly NOT automated?
- [ ] Candidate communication and transparency path (where disclosures live)

### 1.2 Deployment context

- [ ] Where does it run (ATS integration, HR suite)?
- [ ] Who uses it (recruiters, hiring managers)?
- [ ] Fallback modes (manual review, sampling-only)

## 2) System elements & development process (Annex IV item 2)

### 2.1 Workflow components

- [ ] Inputs (CV, application form, interview notes, assessments)
- [ ] Processing steps (parsing, normalization, skill extraction)
- [ ] Model(s) and decision rules
- [ ] Reviewer UI: what is shown to humans vs hidden

### 2.2 Data governance

- [ ] Lawful basis and data minimization (what is collected, why)
- [ ] Retention of candidate data vs logs
- [ ] Access controls (HR, legal, auditors)
- [ ] Sensitive data handling/redaction

## 3) Monitoring, functioning, control (Annex IV item 3)

### 3.1 Capabilities + limitations

- [ ] Known failure modes (language, non-traditional profiles, gaps)
- [ ] “Do not use for” boundaries (e.g., sole automated decisions)
- [ ] OOD and drift detection approach

### 3.2 Human oversight triggers

- [ ] Always-review conditions (high-impact rejections, protected attribute proxies)
- [ ] Sampled review conditions
- [ ] Escalation ladder and SLAs

## 4) Performance metrics & thresholds (Annex IV item 4)

- [ ] Validity metrics (job performance correlation where appropriate)
- [ ] Fairness checks (adverse impact, group parity checks where applicable)
- [ ] Calibration and error analysis
- [ ] Threshold governance (approvals for changes)

## 5) Risk management system (Annex IV item 5)

Link risk register:  

### 5.1 Typical HR screening harms (prompt list)

- [ ] Discrimination / disparate impact
- [ ] Proxy variables (school, zip code, language) driving outcomes
- [ ] Overreliance (rubber-stamping recommendations)
- [ ] Transparency gaps (no candidate-facing explanation path)
- [ ] Data leakage (candidate data in logs/exports)

### 5.2 Mitigations + verification evidence

- [ ] Mitigation implemented:
- [ ] Verification evidence (tests, sampling outcomes, reviewer disagreements):
- [ ] Residual risk acceptance record:

## 6) Lifecycle changes (Annex IV item 6)

- [ ] Material change definition
- [ ] Change approvals + evidence
- [ ] Versioning and rollback procedure

## 7) Standards / technical specs (Annex IV item 7)

- [ ] Standards used (if any)
- [ ] Internal controls mapped (policy-as-code references)

## 8) Declaration of conformity reference (Annex IV item 8)

- [ ] DoC location (internal reference)

## 9) Post-market monitoring plan reference (Annex IV item 9)

- [ ] Monitoring plan link:
- [ ] Sampling policy link:
- [ ] Incident response link:

## Evidence pointers

- [ ] Evidence pack manifest (bundle ID + checksums)
- [ ] Model/prompt/policy/workflow versions in effect for each recommendation
- [ ] Oversight records (approvals, overrides, escalation)
- [ ] Sampling outcomes + reviewer guidance
- [ ] Candidate disclosure artifacts + UI proof (if applicable)