Example of Anti-Spam and Unsolicited Commercial Email (UCE) Policy

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1.  Purpose

This policy describes the permitted and prohibited uses of corporate email systems for bulk emailing. Its purpose is to:
1. protect organizational reputation,
2. preserve the effectiveness of email as a business communication medium,
3. prevent a potential breach of the US CAN-SPAM Act by employees, and
4. to generally encourage adherence to e-mail best practices.

2. Overview

The practice of sending unsolicited, commercial mass e-mails represents a potential threat to organizational reputation and maybe violation, which defines the quantity and characteristics of bulk commercial e-mails that may legally be sent. All communications with customers, prospects, and other professionals reflect XXX. In light of increasing antipathy to unsolicited email promotions of any kind, it is generally in the best interest of XXX to limit electronic mailings to legitimate communications with individuals who have indicated a willingness to receive them.

3. Scope

All individuals who use the e-mail systems and addresses to send bulk e-mails to customers, prospects, or other types of recipients.

3.1 Employees

This policy applies to all  Employees, Contractors, and Third Party Employees, who use, process, and manage information and business processes of XXX.

3.2 Documentation

The documentation shall consist of the software installation Policy, and related procedures & guidelines. This Policy document and all other referenced documents shall be controlled. Version control shall be to preserve the latest release and the previous version of any document. However, the previous version of the documents shall be retained only for a period of two years for legal and knowledge preservation purposes.

3.3 Records

Records being generated as part of this Policy shall be retained for a period of two years. Records shall be in hard copy or electronic media. The records shall be owned by the respective system administrators and shall be audited once a year.

3.4 Distribution and Maintenance

This Policy document shall be made available to all the employees covered in the scope. All the changes and new releases of this document shall be made available to the persons concerned. The maintenance responsibility of the document shall be with the CISO and system administrators.

4. Privacy

This Policy document shall be considered as “confidential” and shall be made available to the concerned persons with proper access control. Subsequent changes and versions of this document shall be controlled.

5. Responsibility

This Policy shall be implemented by the CISO  and designated personnel (if any). This policy has full support from the executive steering committee and human resources. This policy is a living document and may be modified at any time by the IT manager, human resources, or the executive steering committee.

6 Policy

  • All mass emails must be approved by IT Manager.
  • Individuals may send mass emails for the purpose of marketing or sales of products, services, or programs only to:
    • Recipients who specifically consented to receive marketing or sales emails
    • Recipients who have not explicitly opted out of receiving marketing or sales emails
  • Mass emails sent from computers or email addresses may not:
    • o Contain false or misleading information in the subject line, headers, or email body
    • o In any way misrepresent or disguise the sender, point of origin, or the transmission path
  • Individuals may not send any emails to addresses that have been illicitly harvested, mined, or skimmed from one or more third-party Web sites. Employees may not build e-mail addresses or lists by guessing or using software to generate character strings that are likely to be associated with live email accounts.

Anti-spam restrictions also apply to other forms of electronic messaging:

  • Individuals may not post promotions or advertisements for products, services, or programs in newsgroups, message boards, chat rooms, or other online services in violation of the terms of participation of those online services.
  • Individuals may not post promotions or advertisements for products, services, or programs in newsgroups, message boards, chat rooms, or other online services that do not explicitly permit advertisements.
  • Individuals may not use vendors, software, or service providers or to circumvent the intent of this policy.

7 Enforcement

Any employee found to have violated this policy may be subjected to disciplinary action in line with the HR Policy. Violation of this policy may result in disciplinary action which may include performance sanctions; termination for employees and temporaries; a termination of employment relations in the case of contractors or consultants; dismissal for interns and volunteers; or suspension or expulsion in the case of a student. Additionally, individuals are subject to restriction or suspension of email privileges, as well as civil and criminal prosecution.

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If you need assistance or have any doubt and need to ask any questions contact me at preteshbiswas@gmail.com. You can also contribute to this discussion and I shall be happy to publish them. Your comments and suggestion are also welcome.

Published by Pretesh Biswas

Pretesh Biswas has wealth of qualifications and experience in providing results-oriented solutions for your system development, training or auditing needs. He has helped dozens of organizations in implementing effective management systems to a number of standards. He provide a unique blend of specialized knowledge, experience, tools and interactive skills to help you develop systems that not only get certified, but also contribute to the bottom line. He has taught literally hundreds of students over the past 5 years. He has experience in training at hundreds of organizations in several industry sectors. His training is unique in that which can be customized as to your management system and activities and deliver them at your facility. This greatly accelerates the learning curve and application of the knowledge acquired. He is now ex-Certification body lead auditor now working as consultancy auditor. He has performed hundreds of audits in several industry sectors. As consultancy auditor, he not just report findings, but provide value-added service in recommending appropriate solutions. Experience Consultancy: He has helped over 100 clients in a wide variety of industries achieve ISO 9001,14001,27001,20000, OHSAS 18001 and TS 16949 certification. Industries include automotive, metal stamping and screw machine, fabrication, machining, assembly, Forging electrostatic and chrome plating, heat-treating, coatings, glass, plastic and rubber products, electrical and electronic equipment, assemblies & components, batteries, computer hardware and software, printing, placement and Security help, warehousing and distribution, repair facilities, consumer credit counseling agencies, banks, call centers, etc. Training: He has delivered public and on-site quality management training to over 1000 students. Courses include ISO/TS -RAB approved Lead Auditor, Internal Auditing, Implementation, Documentation, as well as customized ISO/TS courses, PPAP, FMEA, APQP and Control Plans. Auditing: He has conducted over 100 third party registration and surveillance audits and dozens of gap, internal and pre-assessment audits to ISO/QS/TS Standards, in the manufacturing and service sectors. Other services: He has provided business planning, restructuring, asset management, systems and process streamlining services to a variety of manufacturing and service clients such as printing, plastics, automotive, transportation and custom brokerage, warehousing and distribution, electrical and electronics, trading, equipment leasing, etc. Education & professional certification: Pretesh Biswas has held IRCA certified Lead Auditor for ISO 9001,14001 and 27001. He holds a Bachelor of Engineering degree in Mechanical Engineering and is a MBA in Systems and Marketing. Prior to becoming a business consultant 6 years ago, he has worked in several portfolios such as Marketing, operations, production, Quality and customer care. He is also certified in Six Sigma Black belt .

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