Interview Compliance Framework

Draft V 8.3.5

Updated June 6, 2023
Author: VidCruiter Inc
To see full details of the compliance framework, please contact
interviewcompliance@vidcruiter.com

Chapter 1: Introduction

1.1 Purpose of Interview Compliance
1.2 Interview Compliance in the Context of Recruiting Standards and Regulations
1.3 Overview of the Interview Compliance Framework

Chapter 2: Legal and Organizational Compliance

2.1 Understanding Human Rights and Anti-Discrimination Laws in The United Kingdom
- 2.1.1 Human Rights Act 1998 (HRA)
- 2.1.2 Equality Act 2010 (EA)
- 2.1.3 Rehabilitation of Offenders Act 1974 (ROA)
- 2.1.4 Immigration, Asylum, and Nationality Act 2006 (IANA)
2.2 Ensuring Compliance with Labor Laws
- 2.2.1 Employment Rights Act 1996 (ERA)
- 2.2.2 National Minimum Wage Act 1998 (NMWA)
- 2.2.3 Health and Safety at Work Act 1974 (HSWA)
- 2.2.4 Trade Union and Labour Relations (Consolidation) Act 1992 [TURL(C)A]
2.3 Protecting Personal Information
- 2.3.1 Data Protection Act 2018 (DPA)
- 2.3.2 UK General Data Protection Regulation (UK GDPR)
2.4 Organizational Compliance
- 2.4.1 Understanding Organizational Culture and Values
- 2.4.2 Ensuring Consistency with Organizational Goals and Strategies
- 2.4.3 Aligning the Interview Process with Organizational Compliance Requirements
- 2.4.4 Encouraging a Culture of Compliance Throughout the Organization
2.5 Implementing Policies and Procedures for Legal Compliance
- 2.5.1 Establishing Guidelines for Interviewers and Hiring Managers
- 2.5.2 Ensuring Compliance with Applicable Laws and Regulations
- 2.5.3 Providing Regular Training and Professional Development for Interviewers
- 2.5.4 Implementing Regular Audits to Monitor Compliance

Chapter 3: Ethical Conduct

3.1 Maintaining Confidentiality and Privacy
3.2 Avoiding Conflicts of Interest
3.3 Implementing Fair and Objective Interview Processes
3.4 Relevance of Interview Content and Structure to the Role

Chapter 4: Diversity, Equity, Inclusion and Accessibility

4.1 Creating an Accessible Interview Process
4.2 Incorporating a Diversity and Inclusion Framework
- 4.2.1 Implementing Inclusive Language and Communication in the Hiring Process
- 4.2.2 Optimizing the Interview Process for Representation and Inclusion Strategies
- 4.2.3 Identifying Representation and Inclusion Success Metrics
- 4.2.4 Providing Evidence of Fair and Ethical Hiring Practices
4.3 Reducing Bias and Discrimination
- 4.3.1 Creating Inclusive Job Descriptions
- 4.3.2 Curating Inclusive Interview Questions
- 4.3.3 Auditing Interview Questions for Bias
4.4 Overview of Accessibility in the Interview Process
- 4.4.1 Physical Accessibility Considerations
- 4.4.2 Addressing Sensory and Cognitive Accessibility
- 4.4.3 Incorporating Assistive Technologies in the Interview Process
4.5 Inclusive Interview Training for Recruiters and Hiring Managers
- 4.5.1 Interviewing with Cultural Sensitivity
- 4.5.2 Preparing Interviewers for Accessibility Accommodations
- 4.5.3 Addressing Neurodiversity and Sensory Processing Needs
- 4.5.4 Assessing Skills and Competencies in an Inclusive Manner
- 4.5.4 Active Listening and Empathy
4.6 Implementing Reasonable Accommodation Requests
- 4.6.1 Candidate Communication and Collaboration
- 4.6.2 Monitoring and Assessing Accessibility Metrics
- 4.6.3 Seeking Candidate Feedback and Evaluating Accessibility Measures

Chapter 5: Understanding Structured Interviews

5.1 Understanding Structured Interviews
- 5.1.1 Defining Structured Interviews
- 5.1.2 Key Components of a Structured Interview
5.2 Benefits of Using Structured Interviews
- 5.2.1 Enhancing Objectivity and Consistency in Interviewing
- 5.2.2 Reducing Bias and Discrimination in the Hiring Process
- 5.2.3 Improving the Accuracy of Employment Decisions
- 5.2.4 Providing Evidence of Fair and Ethical Hiring Practices

Chapter 6: Implementing Structured Interview Process

6.1 Implementing Structured Interviews
- 6.1.1 Creating Interview Policy
- 6.1.2 Developing Interview Process
6.2 Providing Training and Support for Interviewers Specific to Your Organization
- 6.2.1 Providing General Interview Skills and Process Training
- 6.2.2 Developing Diversity and Inclusion Training
- 6.2.3 Developing Interview Compliance Training
- 6.2.4 Refreshing Interviewer and Hiring Manager Training
- 6.2.5 Creating the Culture of Continuous Professional Development
6.3 Evaluating and Improving the Structured Interview Process
- 6.3.1 Evaluating Individual Interview Components
- 6.3.2 Improving the Structured Interview Process Based on Feedback and Results
6.4 Tools to ensure you are following a Structured Interview Process

Chapter 7: Interview Preparation and Documentation

7.1 Conducting the Job Analysis
- 7.1.1 Identifying Accessibility and Inclusion Considerations
7.2 Identifying and Ranking Competencies to Evaluate
7.3 Determining Assessment Criteria for Candidate
- 7.3.1 Determine Criteria for Interview Selection
- 7.3.2 Determine Criteria for Role Selection
7.4 Creating the Interview Plan
7.5 Developing a Standard Interview Question Set
- 7.5.1 Creating Interview Probes
- 7.5.2 Testing and Refining the Question Set
- 7.5.3 Auditing Interview Questions for Bias Impact Potential
7.6 Developing Rating Guides for Candidate Evaluation
7.7 Creating the Interview Guide
7.8 Documentation of Interview Creation Process

Chapter 8: Building a Diverse Interview Panel

8.1 The Importance of Diversity in Interview Panels
- 8.1.1 Defining the Diversity of Interviewer Characteristics
- 8.1.2 Defining the Diversity of Interviewer Behaviors
- 8.1.3 The Impact of Diversity on Interview Outcomes
- 8.1.4 The Benefits of Having a Diverse Interview Panel
8.2 Building a Panel that Reflects the Diversity of Your Organization
- 8.2.1 Identifying the Desired Diversity Characteristics
- 8.2.2 Building a Pool of Potential Panel Members
- 8.2.3 Selecting Panel Members
8.3 Ensuring Cognitive and Value Diversity on the Interview Panel
- 8.3.1 Understanding Cognitive Diversity
- 8.3.2 Understanding Value Diversity
- 8.3.3 Ensuring a Mix of Cognitive and Value Diversity on the Interview Panel
8.4 Tracking Training and Providing Ongoing Support for Panel Members
8.5 Evaluating and Improving the Diversity of the Interview Panel
- 8.5.1 Monitoring and Evaluating the Diversity of the Interview Panel
- 8.5.2 Improving the Diversity of the Interview Panel Based on Feedback and Results

Chapter 9: Conducting the Interview Process

9.1 Preparing the Candidates
- 9.1.1 Inquire About Candidate Accessibility Requirements
9.2 Preparing the Interview Panel
- 9.2.1 The Pre-Interview Meeting
9.3 Establishing the Interview Workflow
9.4 Managing Interview Compliance in Real-Time
9.5 Keeping Accurate Interview Notes and Interview Records
- 9.5.1 Consistent and Thorough Interview Records
- 9.5.2 Legal Requirements for Interview Note Taking
- 9.5.3 Organizational Requirements for Interview Note Taking
- 9.5.4 Establishing a Record of Fair and Ethical Hiring Practices

Chapter 10: Post Interview Process and Procedures

10.1 Completing Ratings and Evaluations
- 10.1.1 Complete and Sign off Individual Ratings and Evaluations
- 10.1.2 Complete any Consensus or Collaborative Ratings
10.2 Debriefing Interview Members
- 10.2.1 Collect Candidate Feedback
  - 10.2.1.1 Collect Candidate Accessibility Feedback
- 10.2.2 Collect Interviewer Feedback
- 10.2.3 Collect Interview Process Feedback
10.3 Collecting and Compiling Interview Notes, Ratings and Feedback
- 10.3.1 Submit Necessary Information to Selection Committee
- 10.3.2 Submit Candidate Feedback and Next Steps Direction to Recruitment Team
10.4 Protecting Confidential Information
- 10.4.1 Triage and Management of Relevant Candidate Information
- 10.4.2 Disposing of Unnecessary Personal Information

Chapter 11: Monitoring and Enforcement

11.1 Establishing a System for Monitoring Compliance
11.2 Responding to Complaints and Non-Compliance Issues
11.3 Providing Regular Audits and Updates

Chapter 12: Automation and Artificial Intelligence

12.1 Federal Regulation
12.2 State and Local Laws and Regulations
12.3 International Impacts
12.4 Interview Stage AI Regulation and Best Practices
- 12.4.1 Transparency and Candidate notice
- 12.4.2 Text extraction, processing, analysis
- 12.4.3 Predictive Analytics
- 12.4.4 Pre-Screening and Screening
- 12.4.5 Video Interview Analysis for Content, Tone, and Sentiment
- 12.4.6 Inferring Behavioral and Personality Characteristics
- 12.4.7 Automated Decision Making and Candidate Evaluations
- 12.4.8 Bias Audits and Other Scheduled Maintenance
12.5 Auditing and Monitoring Compliance in Your Software Supply Chain
12.6 Anticipating Additional Regulation: The Underlying Drivers of Regulation
- 12.6.1 White House Office of Science and Technology Policy’s Blueprint for an AI Bill of Rights

Chapter 13: The Role of the Interview Compliance Officer

13.1 Understanding the Importance of the Interview Compliance Officer
- The Interview Compliance Officer’s role is critical to the organizational success of an Interview Compliance Policy. They are responsible for creating and/or upholding the policy that promotes interview best practices and aligns them with organizational strategy to ensure hiring processes are fair, ethical, and compliant with applicable laws and regulations.
  
  According to the Interview Compliance Policy, the Interview Compliance Officer scrutinizes the entire process from the interview design, to selection of questions and evaluation methods, to the ultimate candidate scoring and selection criteria with proper documentation throughout the process. The Interview Compliance Officer is also responsible for the interview panel selection process, including the criteria, qualifications, and methods to maintain appropriate levels of diversity among panel members.
  
  To execute an organizational policy, the Interview Compliance Officer is responsible for ensuring the provision of an appropriate level of training and support for all interviewers. This affirms that all interviewers are equipped with the necessary skills and understanding to conduct interviews that are compliant with the organizational policy.
  
  The Interview Compliance Officer continuously monitors the adherence to Interview Compliance Policy and evaluates the effectiveness of the policy and procedures to identify areas for improvement. The Interview Compliance Officer holds the ultimate accountability to ensure the systems and processes are in place to manage interview compliance reporting and documentation. This includes responsibility for the security and confidentiality of personal and sensitive information.
- 13.1.1 The Benefits of Having an Interview Compliance Officer
- 13.1.2 Promoting a Culture of Interview Compliance
13.2 Duties and Responsibilities of the Interview Compliance Officer
- 13.2.1 Developing and Implementing Interview Compliance Policy
- 13.2.2 Developing Content and Interview Materials Creation Policy
- 13.2.3 Monitoring and Ensuring Policy Compliance
- 13.2.4 Providing Training and Support for Interviewers
- 13.2.5 Conducting Interview Compliance Audits
  - 13.2.5.1 The Objective of an Interview Compliance Audit
  - 13.2.5.2 Best Practices for Conducting an Interview Compliance Audit
  - 13.2.5.3 Reporting Requirements
  - 13.2.5.4 Interview Compliance Audit Checklist
    - I. Preparation Checklist Before the Interview
    - II. Interview Process
    - III. Interview Content
    - IV. Documentation and Record-keeping
    - V.Accessibility and Inclusion Audit
    - VI. Reporting and Follow-up
13.3 Qualifications and Skills of the Interview Compliance Officer
- 13.3.1 Legal and Regulatory Knowledge
- 13.3.2 Organizational and Industry Knowledge
- 13.3.3 Communication and Training Skills
- 13.3.4 Leadership and Management Skills
- 13.3.5 Analytical and Problem-Solving Skills
- 13.3.6 Diversity, Equity, Inclusion and Accessibility
13.4 Best Practices for Interview Compliance Officer
- 13.4.1 Providing Clear and Consistent Guidance on Interview Compliance
- 13.4.2 Building Strong Relationships with Interview Panel Members
- 13.4.3 Compliance Audit Scheduling and Sequencing
- 13.4.4 Providing Regular Training and Support to Interviewers
- 13.4.5 Managing Interview Compliance Reports and Documentation
13.5 Evaluating and Improving the Performance of the Interview Compliance Officer
- 13.5.1 Interview Compliance Officer Performance Evaluation Criteria
- 13.5.2 Providing Feedback and Support for Improvement
- 13.5.3 Encouraging Ongoing Professional Development

Chapter 14: Business Results of Implementing Interview Compliance

14.1 Improved Legal Compliance and Reduced Risk of Litigation
14.2 Increased Candidate Satisfaction and Improved Employer Brand
14.3 Greater Diversity, Equity, Inclusion and Accessibility in the Hiring Process
14.4 Enhanced Productivity and Improved Employee Retention
14.5 Positive Impact on Company Culture and Reputation

Chapter 15: Conclusion

15.1 The Importance of a Strong Compliance Framework
15.2 Continuously Improving the Framework
15.3 Maintaining a Culture of Compliance

For more information on interview compliance, see the resources below:

The United Kingdom
For a summary of the Anti-Discrimination Law in the United Kingdom: https://www.equalityhumanrights .com/en/equality-act/equality-act-2010.
For a summary of the Employment Laws and Regulations in the United Kingdom: https://www.gov.uk/browse/employing-people
The Information Commissioner’s Office for UK GDPR and DPA guidance and resources: https://ico.org.uk/for-organisations/
For additional resources on rights and responsibilities for employers and prospective employees: https://www.acas.org.uk/