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What should a compliance letter contain?

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Quick Answer

A compliance letter should contain a reference to the law, rule or regulation that is the focus of the communication and a description of how the individual or company conforms to that rule. It should also identify the writer as one who is authorized or qualified to make this assertion.

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Full Answer

This type of letter is usually written to a government agency or regulatory body to advise the recipient that the writer's organization is operating in accordance with the applicable rules and regulations. Compliance with a directive or order sometimes needs verification by an independent or more-qualified party, so if this is the case, the letter should include it, as in “Dear Commissioner Jones, We are enclosing a notarized Engineering Report that certifies our building is in compliance with…”

A compliance letter may also take the form of communication written and sent to an organization to advise it that it is in compliance with a particular requirement. This type of letter should also reference the rule or regulation in question and indicate that the appropriate body has determined the organization is complying with this directive. It should include the date and means by which this determination is made and bear the signature and seal of the governing body. An example would be, “Dear Manufacturer Smith, The Dec. 1 inspection of your premises indicates your organization to be in compliance with Order No. 123 requiring…” This communication may take the form of something entirely different from a letter, such as an elevator inspection or a building permit.

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