A Non-Conformance Report (NCR) is a structured document used to record and address any deviations from company policies, standards, or expected employee behavior. In HR and policy contexts, it helps ensure accountability, fairness, and timely corrective action.
Whether it’s a missed compliance step, violation of workplace policy, or other behavioral issue, this guide explains how to structure, document, and follow up effectively using a professional Non-Conformance Report template.
Why a Non-Conformance Report matters
A Non-Conformance Report ensures that policy breaches or procedural issues are handled consistently and fairly. It helps HR and managers track incidents, identify trends, and implement corrective or preventive measures.
Proper documentation also protects both the employee and the organization - providing an objective record of what happened, when, and how it was resolved.
Key sections to include in your Non-Conformance Report
A well-designed NCR form captures all necessary details without unnecessary complexity. Below are the key sections every HR or policy-related report should include:
1. Basic Information. Include date, department, reporter name, and reference number.
2. Description of Non-Conformance. Clearly explain what happened, including when, where, and who was involved.
3. Policy or Procedure Violated. Reference the specific company policy or guideline that was not followed.
4. Immediate Action Taken. Note any steps taken right away to contain or address the issue.
5. Root Cause Analysis. Identify why the incident occurred - lack of awareness, unclear procedures, negligence, etc.
6. Corrective and Preventive Actions. Document the agreed-upon actions to resolve the issue and prevent recurrence.
7. Follow-Up Verification. Include how and when corrective actions will be reviewed for completion and effectiveness.
8. Approvals and Signatures. Record the signatures of responsible parties (employee, manager, HR, etc.).
How to create your own Non-Conformance Report
Start with your internal HR policy or employee handbook. Identify the types of incidents that require documentation and standardize how each report is filed and reviewed.
Use clear, factual language - avoid speculation or emotional tone. The goal is to ensure transparency and consistency in how each case is handled.
Encourage supervisors and HR staff to complete the form promptly after an incident and maintain confidentiality at all stages.
Sample Non-Conformance Report Template
Use the sample form below as a starting point. Customize it to match your internal procedures and reporting structure.
Company Name: __________________________ Form Title: Non-Conformance Report (NCR) NCR No.: _______________________________ Date: _________________________________ Department: ____________________________ Reported By: ___________________________ 1. DESCRIPTION OF NON-CONFORMANCE Briefly describe the issue, event, or behavior that deviated from company policy or expectations: ______________________________________________________________ ______________________________________________________________ 2. POLICY OR PROCEDURE VIOLATED Identify the relevant policy, procedure, or rule: ______________________________________________________________ 3. IMMEDIATE ACTION TAKEN Describe any immediate corrective action or containment: ______________________________________________________________ 4. ROOT CAUSE ANALYSIS (Check all that apply) [ ] Lack of training / awareness [ ] Miscommunication [ ] Negligence / carelessness [ ] Inadequate supervision [ ] Other: _____________________________ 5. CORRECTIVE ACTION Describe the corrective action agreed upon and responsible person(s): ______________________________________________________________ Target Completion Date: _______________________ 6. PREVENTIVE ACTION Steps to prevent recurrence: ______________________________________________________________ 7. FOLLOW-UP AND VERIFICATION Verification performed by: ___________________________ Date Verified: _________________________ Verified Actions: ______________________ 8. APPROVALS Employee Signature: __________________________ Date: __________ Supervisor Signature: ________________________ Date: __________ HR Representative: ___________________________ Date: __________ NOTES / COMMENTS ______________________________________________________________ ______________________________________________________________
Disclaimer
Important: This document is a sample HR Non-Conformance Report provided for informational purposes only. You should always adapt it to reflect your organization’s internal policies, local labor laws, and compliance requirements.
The sample template and guide on this page do not constitute legal advice. Everhour and Shifts accept no liability for any loss, damage, or consequences resulting from reliance on this content.
How to use and follow up on a Non-Conformance Report
A Non-Conformance Report is only effective if followed by corrective action and tracking. Once submitted, HR or the responsible manager should assign ownership and ensure timelines for completion.
Maintain confidentiality and document progress until the case is resolved. Verification of corrective actions should be logged for audit and compliance purposes.
Periodic review of NCRs can help identify recurring issues and opportunities for process improvement.
Benefits for your organization
Non-Conformance Reports improve accountability, documentation, and communication across departments. They help standardize how issues are handled and provide valuable insights for management decisions.
Over time, consistent reporting builds trust and promotes a culture of fairness, transparency, and continuous improvement.
Having a clear, ready-to-use NCR process ensures timely resolution and reduces risks of conflict or inconsistency.
The bottom line
A Non-Conformance Report isn’t about blame - it’s about learning and improvement. By documenting incidents and following up effectively, organizations create a more consistent, fair, and accountable work environment.
With this free template, you can document, track, and resolve policy or HR non-conformances quickly and professionally.
