If a complainant lodges a complaint against you for infringing their privacy rights, the information regulator can issue any one of a few types of notices to you. For example, you could receive an information notice, an enforcement notice, or a dreaded infringement notice. Sometimes, the regulator may decide to launch an investigation to gather more information to determine the merits of a complaint. In this instance, we think that the regulator may send you what we’ve termed a “pre-investigation notice”.

When will you receive the pre-investigation notice?

A pre-investigation notice is the earliest notification that the regulator will send out. The regulator may send it to you if someone lodges a complaint against you for infringing their privacy rights. If a complaint is not comprehensive enough on the filing papers, the regulator may decide to launch an inquiry. This will enable the regulator to make an informed decision as to whether the complaint is worth pursuing further or not. At this stage, the regulator will issue a pre-investigation notice.

What is the purpose of the pre-investigation notice and what does it look like?

The regulator will use the pre-investigation notice to inform you that:

  • a complainant has lodged a complaint against you,
  • their office is going to launch an investigation in terms of the regulator’s mandate to investigate all complaints,
  • they will be issuing you with an information notice next so that they can gather more information from the parties involved in the complaint.

In the interest of resolving the dispute swiftly, the regulator may propose mediation with the objective of settling the matter. The regulator may hand the matter over to the police for further action if:

  • have seriously violated someone’s privacy rights, or
  • if the complaint is out of the regulator’s scope of operations.

The pre-investigation notice is not as formal as an information notice, and infringement notice or an enforcement notice. It could likely be an e-mail that the office of the regulator will send to you. It could even be a registered letter. Because the rules for lodging complaints with the regulator are not in force yet, we do not have clear guidance on what this notice could look like.

What can you do in response?

If you receive a pre-investigation notice, do not panic! The regulator must comply with its obligations to investigate all complaints. The good thing about this step in the complaints process is that you are notified early in the process, and you will have an opportunity to respond appropriately.

In any dispute resolution matter, the aim is to settle the matter swiftly before it spirals. This is no different.

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