Sample Compliance Letters

Mary Gormandy White
compliance laptop

It can be difficult to know where to start when you need to write a compliance letter. This is true whether you need to notify someone that he or she is out of compliance or you need to respond to receiving such a notification yourself. Use the sample letters provided here to help you get started drafting a letter of your own.

Two Types of Compliance Letters

Select the sample letter for the type of situation you are facing by clicking the corresponding image. The letter will open as a fully customizable PDF document. Review this guide to printables if you need assistance. Once the file you select is open, you can edit the text simply by clicking anywhere in the highlighted area. Use the toolbar or "File" menu commands to save and/or print when you are ready.

Notification of a Compliance Violation

Use this version if you need to notify someone that they are out of compliance with one or more requirements, such as terms of a membership agreement or other contractual obligations.

When editing the letter, clearly state the type of compliance violation you believe the person has committed, provide details about his or her compliance obligations and indicate what steps should be taken to remedy the situation.

Response to Non-Compliance Notification

Use this version if you have received notification that you may be out of compliance with an applicable requirement and you need to respond accordingly.

After receiving notification of a compliance violation, you should carefully review the requirements that apply to determine if you are out of compliance or not. If you are, acknowledge that in your letter and specify what you have done (or will do) to rectify the situation. If you do not believe there has been a compliance violation, state that and back up your assertion with facts.

Appropriate Communication

Keep in mind that this type of letter is a formal business document. Regardless of which type of compliance letter you are writing, it is important to use a professional and polite tone. The letter should be well-written, using language that clearly communicates the writer's point(s). Your goal should be to rectify the situation in an amicable manner that is satisfactory to all parties, not to generate ill-will or damage the relationship.

Sample Compliance Letters