Shortlisting: Best Practices for Employers

Shortlisting is a crucial stage within the recruitment process, when employers identify the candidates from their applicant pool who best meet the essential and desirable criteria for the job opening in question.

For employers, the shortlisting process should optimise both the effectiveness and efficiency of candidate selection for interview.

There are, however, important legal considerations to take into account when approaching the shortlisting process, not least avoiding issues of unlawful discrimination against applicants.

In thie guide, we look at the shortlisting stage of the recruitment process in more detail, including the basic but essential principles of shortlisting, what a shortlisting process should look like and how not to overlook the best candidates.

 

Basic principles of shortlisting in recruitment

 

Whether you are the owner of a small firm, the head of a department in a larger organisation or part of a human resources team, finding a candidate who is the right fit for the business can be both time-consuming and challenging.

That said, by understanding the basic principles of the shortlisting process, this can help you to reduce the time taken between ‘sift and selection’ to appointing the best candidate for the job. In particular, you should have regard to each of the following three essential shortlisting principles:\

 

• Equality and diversity
• Objectivity
• Fairness

 

 

Equality and diversity

 

Before embarking on the shortlisting process, it is incumbent upon you to first understand the basic principles of recruitment and selection in the context of equality and diversity. In particular, you should be mindful of the protected characteristics as set out under the Equality Act 2010, namely, age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, as well as sex and sexual orientation.

By way of example, a gap in someone’s employment service may be due to long-term sickness. By taking this factor into account, and by allowing it to affect your decision-making within the shortlisting process, this could be construed as discriminatory. Equally, where an application is handwritten, this may be linked to an applicant’s disability.

 

Objectivity

 

During the shortlisting process, you will be required to sift through multiple applications, assessing each applicant against the shortlist criteria. This must be done objectively at all times, without allowing other aspects of the application, or your perception of the applicant, to impact on your decision-making.

By failing to objectively stick to the shortlist criteria, allowing other factors or bias to influence your decision, you may, albeit inadvertently, be acting in a discriminatory manner. You may also erroneously shortlist candidates who are not the best qualified, whilst inadvertently screening out suitable candidates that meet all of the specified criteria.

 

Fairness

 

Throughout the shortlisting process you should endeavour to be fair and unbiased. To avoid any unintended or unconscious bias, the ‘sift and selection’ process during shortlisting, as well as any assessments and interviews, should be conducted by at least two people experienced in recruiting job candidates.

You should also adopt clear and fair shortlist criteria based on what is essential and desirable to do the job, only rejecting candidates that you deem unsuitable for the role based purely on these requirements.

Once the job role has been advertised, no additional criteria should be introduced into the recruitment and selection process, such that every applicant is assessed on the basis of the same factors throughout.

 

Legal risk when shortlisting candidates

 

The importance of effective and fair recruitment should not be underestimated, both in legal and practical terms. Indeed, there are various areas of risk when recruiting a candidate for a new job, from unlawful discrimination during the shortlisting process to inadvertently screening out suitable candidates.

It is unlawful to discriminate against someone by reason of a protected characteristic, in other words, to treat them less favourably than someone who does not possess the same characteristic.

In particular, you will need to ensure that your criteria for shortlisting does not discriminate, either directly or indirectly, against any legally protected classes of applicant. It is also crucial to apply your criteria consistently, fairly and objectively across all applicants, regardless of their gender, race and so forth.

In addition, albeit with limited exceptions, under the 2010 Act you are expressly prohibited from asking job applicants questions about health or disability during the early stages of the recruitment process, thereby minimising the risk of disabled applicants from being unfairly discriminated against.

Whilst health and disability questions can be asked to determine whether any reasonable adjustments need to be made to enable a disabled person to participate in an assessment, or to attend an interview, you must ensure this information does not negatively impact on any shortlisting decision.

In addition to the legal risks, your shortlisting process may also pose a number of practical issues for your business, not least in losing a potentially ideal candidate though either overly stringent or unsuitable shortlisting criteria, or inadequate and ineffective methods commonly used to apply that set of criteria.

In particular, the use of software systems in the shortlisting process, especially those that use automated keyword matching to screen resumes, has limited functionality and can easily lead to distorted results.

Needless to say, relying solely on technology, and absent any experienced and trained recruitment personnel, your shortlisting process is likely to fall far short of what is legally and practically required to select the right candidate for the job.

 

Positive action & shortlisting

 

Notwithstanding the legal risk of unlawfully discriminating against applicants by reason of a protected characteristic as identified above, there are certain steps that an employer can take in the shortlisting process to actually assist people who share a protected characteristic. This is known as taking positive action.

Under the 2010 Act, it is entirely lawful for an employer to take positive action to assist people who share a protected characteristic and who are disadvantaged by reason of that characteristic or under-represented in the workforce. By way of example, an employer can lawfully offer a guaranteed interview scheme for disabled applicants who, having met the minimum shortlisting criteria, will automatically qualify for interview.

That said, although the statutory provisions relating to positive action will allow an employer to recruit a candidate by reason of their protected characteristic who is of equal merit to another candidate, positive action does not allow an employer to appoint a less suitable candidate just because that candidate has a protected characteristic that is under-represented or disadvantaged.

It is also important to bear in mind that positive action is entirely voluntary. There is no legal requirement for an employer to apply the provisions relating to positive action, either in the context of recruitment or otherwise.

 

What should an effective shortlisting process look like?

 

To help make the shortlisting process more manageable, the following practical steps set out below provide a good starting point, namely:

 

• Determine the length of your shortlist
• Determine your shortlist criteria
• Create a shortlist scorecard
• Rank candidates against that scorecard
• Use of AI and technology

 

 

Determine the length of your shortlist

 

You will first need to decide how many candidates you want to shortlist for interview. This will create a target when sifting through the applications, and will ensure that you are not left with too many, or too few, candidates to assess.

When deciding on your shortlist length, you will need to have regard to how much time you will have to interview these candidates, and what has worked well in the past, possibly even factoring in the average conversion rates in your own recruitment and selection processes.

There is no ideal number to shortlist to get a successful hire, nor is there any legal minimum or limit on how many people you can interview. Equally, even with a pre-determined number in mind, you do not need to be confined by your shortlist number and miss out on a potentially good candidate in consequence.

 

Determine your shortlist criteria

 

Having determined the target length of your shortlist, you will next need to decide on the key criteria that you feel is necessary for the job role, although these should, at least in part, have already been captured within the job description and person specification as advertised.

Typically, any shortlist criteria should be correlated with job performance rather than personal opinion, based on the qualities and traits of top performing employees currently in a similar role. Your criteria should also be categorised into what is ‘essential’ or ‘desirable’.

Essential criteria are those that a candidate must meet to be considered for the role, ie; ‘must-haves’, such as qualifications and experience. Desirable criteria, on the other hand, are those that would make someone a stronger candidate for the role, such as professional certifications.

 

Create a shortlist scorecard

 

The next stage in the shortlisting process is to take the essential and desirable criteria you have identified above and create a shortlist scorecard for your pool of candidates. The purpose of this scorecard is to assign a rating to each of the criteria for every screened candidate.

By way of example, if you are hiring someone for a retail sales role, your scorecard might include: education level, retail experience, customer service experience and communication skills, where you would provide a score of say 1-3 based on how well they fit a particular criteria.

Having a shortlist scorecard serves two purposes: it ensures you are applying each criterion fairly and consistently across all candidates, where candidates are assessed against the selection criteria and not against each other, and also allows you to easily and objectively identify and rank the strongest candidates.

 

Rank candidates against that scorecard

 

Before ranking candidates against your shortlist scorecard, you may first want to screen and reject any applications that are missing the essential criteria. With a large number of applications, you may even need to reject the ones with the fewest desirable criteria. Only once you are somewhere close to your target shortlist number should you rank remaining candidates against your scorecard.

In some cases, if you have more candidates on your shortlist than you need, you may want to consider other eliminating factors. That said, whatever your reason for removing someone from your shortlist, you will need to make sure that your reason is not connected to a protected characteristic.

One possible way of addressing the problem of too many candidates is to introduce a further screening aspect into your shortlisting process, for example, a short Skype chat or phone call prior to interview. Again, however, you must ensure that any decision to remove someone from your shortlist is not related to a protected characteristic revealed through any form of direct communication.

 

Using tech for shortlisting

 

Employers are increasingly leveraging technology, including artificial intelligence (AI), to enhance efficiency in recruitment processes. Automating time-consuming tasks, such as shortlisting, can reduce costs, minimise manual effort and allow HR teams to focus on strategic and people-focused activities.

AI-powered tools for shortlisting have evolved significantly, offering recruiters the ability to process large volumes of CVs and applications quickly and accurately. These tools can screen candidates based on predefined criteria such as qualifications, skills, and experience. Many systems allow for tiered selection, categorising criteria as “essential” or “desirable” to rank candidates more effectively. Advanced AI solutions can even identify transferable skills and predict candidate suitability beyond simple keyword matching, adding depth to the shortlisting process.

While the benefits are clear, employers must navigate challenges to maximise the value of these tools. Thorough research is essential to identify solutions that align with the organisation’s needs. Employers should prioritise tools that not only enhance procedural efficiency but also allow for flexibility and creativity in decision-making.

Bias mitigation is another key consideration. While technology can help reduce human biases, poorly designed algorithms can inadvertently perpetuate them. Employers should ensure their chosen tools comply with equality legislation and provide transparent decision-making processes.

 

Determining shortlisting criteria

 

Your shortlist criteria should be carefully drawn from your job description and person specification based on both essential and desirable requirements. To improve the quality of the pool of applicants from which you will be able to select suitable candidates, you must ensure that the criteria is specifically tailored to the role in question and the needs of your business.

In very broad terms, however, shortlist criteria should include the following:

 

• Education – this will refer to the minimum entry requirements, such as a degree with a minimum classification.
• Work experience – this could either refer to experience in a particular industry, or a specific field, such as managerial or retail experience.
• Skills and knowledge – this will usually include job-related expertise, for example, data analysis and project management.
• Personality traits – these include things like problem-solving, good interpersonal skills or the ability to work effectively as part of a team.
• Competencies – also described as aptitudes, these refer to special abilities for doing certain things, such as a head for statistics or artistic talent.

 

As explained above, it is important to bear in mind that all criteria used during the shortlisting process do not discriminate against any legally protected categories of applicant. By way of example, it is better to set out the type of experience needed, rather than ask for a certain number for years that could potentially discriminate against an applicant by reason of their age.

Further, on one final legal note, it is essential to bear in mind the importance of protecting an applicant’s privacy under the new GDPR rules, by making sure only authorised people in the shortlisting process are able to access and assess an individual’s personal data – either based on the shortlisting criteria or otherwise.

 

Need assistance?

 

DavidsonMorris’ HR specialists are on hand to advise on all aspects of recruitment including the process of shortlisting applicants. We can support the development and application of fair selection criteria, and support HR and managers in decision making that supports the needs of the business while mitigating legal risks.

 

Shortlisting process FAQs

 

What is shortlisting in recruitment?

Shortlisting is the process of narrowing down job applicants to a smaller group of candidates who best meet the essential and desirable criteria for a role. It helps employers identify individuals to invite for interviews or further assessment.

 

How can employers avoid bias during shortlisting?

Employers can avoid bias by using a structured shortlisting process with standardised criteria. Blind shortlisting, where personal information such as name and age is removed, can also help minimise unconscious bias.

 

What criteria should be used for shortlisting?

Shortlisting criteria should be based on the job description and person specification. Common criteria include qualifications, relevant experience, skills, and competencies required for the role.

 

Is it necessary to notify unsuccessful candidates?

While not legally required, it is considered good practice to inform unsuccessful candidates that they have not been shortlisted. A polite notification reflects positively on the employer’s brand and maintains professionalism.

 

How can technology help with shortlisting?

Applicant Tracking Systems (ATS) can streamline shortlisting by automatically filtering candidates based on pre-defined criteria. These tools save time and help ensure a consistent and fair process.

 

What are common mistakes in shortlisting?

Common mistakes include relying solely on CVs without considering application forms, failing to apply criteria consistently, and overlooking candidates who may have transferable skills. Employers should also avoid using discriminatory criteria, which can lead to legal issues.

 

Glossary

 

 

Term	Definition
Shortlisting	The process of narrowing down a pool of job applicants to a smaller group for further assessment.
Essential Criteria	The qualifications, skills, or experience that candidates must have to be considered for a role.
Desirable Criteria	Additional qualifications, skills, or experience that are not mandatory but beneficial for a role.
Blind Shortlisting	A method of shortlisting where identifying information, such as name or age, is removed to reduce bias.
Applicant Tracking System (ATS)	Software that helps automate the recruitment process, including filtering and ranking candidates.
Job Description	A document outlining the duties, responsibilities, and expectations of a role.
Person Specification	A document detailing the skills, experience, and qualifications required for a specific role.
Bias	Prejudice or unfair preference that can influence decision-making, often unconsciously.
Transferable Skills	Abilities and competencies gained in one context that can be applied to a different job or industry.
Fair Recruitment	The practice of treating all candidates equally and objectively, ensuring decisions are based on merit.
Discrimination	Treating someone unfairly based on protected characteristics such as age, gender, or race, contrary to equality laws.
Screening	The initial process of evaluating applications to determine if they meet the minimum requirements.
Candidate Pool	The total group of applicants who have applied for a particular job role.