If you’ve been asked to write a compliance letter for a real estate concern, work project or another matter, you may be wondering where to start. Showing that you are in compliance with rules and regulations might appear complex. However, if you follow a compliance letter template, you’ll find it’s much like writing any other letter.
TL;DR (Too Long; Didn't Read)
A successful compliance letter should address the rules being violated, present necessary evidence and be professional and polite.
When to Write a Compliance Letter
You should write a compliance letter after being notified of violating a requirement or rule. If you receive official notice of a violation by a board, business or governmental entity, address it as soon as possible to avoid any penalties. The best way to do this is through a letter showing that you are either in compliance or that you intend to remedy the situation immediately.
Before writing your letter, be sure to review the appropriate rules and regulations to determine if you actually are in compliance or not. You want to make sure you have your facts straight before stating your case.
Read More: Regulatory Compliance: Definition, Types & Examples
Compliance Letter Format
Format a compliance letter as you would any other letter. Include your name and contact information on the top, along with the date. Address the letter to the person at the organization who either requested the letter or who is in charge of monitoring compliance.
In the body of the letter, start by providing an overview of the issue to ensure that the receiver of the letter clearly understands the topic.
The most important part of a compliance letter is stating how you are in compliance with a policy or rule. Writing a successful compliance letter involves stating the rule at issue and providing examples of how you comply with that rule. It’s best if you quote the rule verbatim, preferably from a handbook, contract or other official document. When possible, include the rule or policy number so that the reader can refer directly to it in a document. Then, provide support for how you comply with that rule, using additional documentation if necessary.
If you must take action to be compliant with the rule, note that as well. Explain how and when you will become compliant. Address each rule in its own paragraph. This helps you to organize your thoughts and makes it easier for the reader to see how you are in compliance.
Tone of the Letter
A compliance letter should be more formal than an average letter. It’s a formal business document that should sound both professional and polite. You do not want to be argumentative or accusatory.
The letter should be clear and easy-to-follow. To ensure that it makes the points you want, have someone else look it over. A person unfamiliar with the issue should be able to read your letter and understand your intention.
Compliance Letter Sample
A compliance letter template can help you organize your letter. Here is an example:
Dear [Compliance Manager],
This letter is in response to your notice dated [insert date] about the violation of the Homeowner’s Association Policy on balconies. As you’ll see in my letter below, I am in compliance with the policies noted in the handbook and request that I do not get fined.
Rule 4.3. Plants on balconies. Rule 4.3 states that only potted plants, and not vines, are permitted on balconies. While my plant did begin to grow over the side of the balcony, it is indeed a potted plant. The attached photo shows that. I will trim back the plant by the end of the week and be sure to keep it trimmed to avoid this issue in the future.
Rule 4.6. BBQs on balconies. Rule 4.6 states that no personal BBQs are to be used in balconies, and that homeowners should use the public BBQs in the common areas. The BBQ currently on my balcony is being stored for a family member. It has not been, and will not be, used.
As you can see from above, I am in compliance with the Homeowner’s Association Policy and do not believe that I can be penalized and fined. Please let me know if I can answer any further questions or provide any other documentation.
Read More: What Is an Attorney's Opinion Letter?
- Public World: Writing Effective Letters
- University of Connecticut: Sample Compliance Letter
- North Carolina Health and Human Services: Sample of Non-Compliance
- Legal Beagle: What Is Compliance?: Legal & Business Definitions & Noncompliance
- Legal Beagle: What Is an Attorney's Opinion Letter?
- Legal Beagle: Regulatory Compliance: Definition, Types & Examples
- Legal Beagle: Regulatory Compliance: Business Meaning, Enforcement & Noncompliance
- Legal Beagle: What Is FDA Compliance?
- Legal Beagle: What Is DOT Compliance?
- Legal Beagle: How to Write a Legal Letter
Leslie Bloom earned a J.D. from U.C. Davis’ King Hall, with a focus on public interest law. She is a licensed attorney who has done advocacy work for children and women. She holds a B.S. in print journalism, and has more than 20 years of experience writing for a variety of print and online publications, including the Journal of Juvenile Law and Policy.