A Complete Guide to Email Compliance: Best Practices, Tips & More

Email compliance is a set of rules and regulations that a business or organization must follow when using email for communication. It ensures that a company handles email communication in a way that meets specific industry requirements and legal standards.

Email compliance requirements differ depending on the industry. For example, healthcare and financial services have unique regulations due to the sensitive nature of the information they handle. Compliance makes sure that email data is stored for the required period; sensitive information is protected through methods like encryption; and the identity of senders and recipients is verified and authenticated.

Organizations are often required to follow certain frameworks that dictate how email data should be retained, managed and secured. For instance, emails might need to be archived for a set number of years or encrypted to prevent unauthorized access. This is especially important in sectors where customer privacy and data security are top priorities.

Additionally, compliance involves adhering to standards that regulate email privacy, security and anti-spam practices. This ensures the confidentiality of sensitive information, prevents data breaches and reduces the risk of legal issues related to improper email management.

Why Is Email Compliance Important?

Email compliance is important because it helps keep personal information, like health or financial records, safe from unauthorized access or misuse. Following these rules reduces the chances of data breaches, identity theft and fraud.

In some industries, meeting email compliance requirements isn’t just recommended — it’s the law. Email compliance regulations like HIPAA for healthcare and GDPR for data protection set strict rules on how businesses must handle and share personal information. If companies don’t follow these rules, they can face serious penalties, lawsuits and damage to their reputation​.

Email compliance also makes it easier to find and provide emails during legal disputes. With proper storage and organization, businesses can quickly locate and present required records, saving time and resources during audits or investigations. Moreover, it shows customers and partners that a business is committed to protecting sensitive information and following legal standards.

Who Is Responsible for Email Compliance?

Email compliance is a shared responsibility that involves multiple roles within an organization:

• IT Managers handle setting up and maintaining email retention policies and make sure the email system is secure. They also manage security measures like encryption to protect email data.
• System Administrators take care of implementing and managing archiving tools. They ensure that emails are stored properly, remain intact and can be easily retrieved.
• Compliance Officers monitor email usage to ensure everything meets legal requirements. They handle audits, documentation and any legal requests to ensure the organization follows the rules.
• All Employees are responsible for following the company’s email policies, using the right communication channels and reporting any suspicious activity that could cause compliance issues.

Compliance legislation is a set of rules and laws created by governments, states or industries that dictate how businesses must handle, store and protect information, such as that contained in emails. The goal is to protect sensitive data, maintain transparency and promote ethical business practices.

Some common examples of compliance legislation include:

• HIPAA — The Health Information Portability and Accountability Act (HIPAA) addresses the issue of maintaining privacy when it comes to a person’s medical information.
• Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN-SPAM Act) — The CAN-SPAM Act prohibits companies and organizations from using false or misleading information and deceptive email subject lines. It also requires companies to disclose their physical postal address and indicate whether the email is an ad — and provide email recipients the ability to opt out of future communication.
• General Data Protection Regulation (GDPR) — This is a regulation created by the European Union (EU) to protect the personal and private data of citizens of the EU and the European Economic Area and to establish a standard for data security laws across Europe.
• Canada’s Anti-Spam Legislation (CASL) — CASL investigates incidents of spam, malware, spyware and computer viruses and has the authority to administer financial penalties.
• The Privacy and Electronic Communications Regulations (PECR) — This UK law provides specific rules on marketing communication, cookies, the security of communication services and customer privacy.
• Americans with Disabilities Act (ADA) — There is no technical guidance for writing emails, but the go-to standards are the Web Content Accessibility Guidelines (WCAG).
• Title VII of the Civil Rights Act of 1964 — Prohibits job discrimination based on race, color, religion, sex (including gender identity and sexual orientation), and national origin. Employers must ensure that emails do not contain discriminatory, harassing, or retaliatory language related to these protected traits.
• Internal Revenue Service (IRS) and Financial Industry Regulatory Authority (FINRA) — Organizations in the financial sector must comply with record-keeping standards set by the IRS and FINRA, such as SEC Rule 17a-4.
• Freedom of Information Act (FOIA) — While FOIA is more applicable to government agencies, private organizations working with government contracts may also be subject to certain requirements about email retention and transparency, particularly in response to public information requests.
• Gramm-Leach-Bliley Act (GLBA) — The GLBA applies to financial institutions and requires them to protect consumers’ private financial information. Companies must notify customers about their data-sharing practices and allow them to opt-out of sharing with certain third parties.
• The Sarbanes-Oxley Act (SOX) — SOX mandates that businesses retain emails related to financial reporting for at least five years. This law prevents companies from destroying records that could be needed for investigations into financial fraud.
• Federal Rules of Civil Procedure (FRCP) — The FRCP governs civil legal proceedings in U.S. courts. These rules require companies to retain and produce electronic records, including emails, during legal disputes. Organizations must have systems in place to store and retrieve emails to comply with these discovery requirements.

Failing to comply with email regulations can lead to severe financial penalties, legal issues and reputational damage. Here are a few examples of penalties for non-compliance with different regulations:

• Fines for violating the CAN-SPAM Act can reach up to $46,517 for each non-compliant email. This applies to misleading subject lines, lack of unsubscribe options or failure to identify emails as advertisements.
• Penalties for non-compliance with HIPAA range from $100 to $1.5 million per violation, depending on the severity and whether the issue is corrected in a timely manner. Violations typically involve mishandling protected health information (PHI).
• Businesses that fail to comply with the GDPR can be fined up to €20 million or 4% of their annual global revenue, whichever is higher. This regulation governs how organizations handle the personal data of EU citizens.
• Fines under GLBA can exceed $100,000 per violation for financial institutions, with individuals facing personal fines of up to $10,000.
• SOX violations, particularly those involving improper handling of email records, can lead to fines of up to $5 million or imprisonment for up to 20 years for executives.
• Non-compliance with CASL can result in fines of up to CA$10 million for businesses and CA$1 million for individuals.

In addition to financial penalties, non-compliance can severely damage an organization’s reputation, eroding customer trust and potentially leading to lost business.

Different industries have specific rules enforced by regulatory bodies, which dictate how long emails and other communications must be preserved. The table below lists the required email retention periods and the governing bodies you need to consider for email compliance.

Organizations face several common challenges when it comes to keeping their email practices compliant with regulations. These include:

1. Dealing with a complex set of rules that vary by industry and location (e.g., GDPR for Europe, HIPAA for healthcare).
2. Keeping emails secure, especially when sensitive information, like personal data, is involved.
3. Managing the high volume of emails processed daily.
4. Tracking, storing and archiving emails to comply with retention laws.
5. Employees’ lack of awareness and training on email compliance rules.
6. Keeping up with constantly changing email compliance regulations.
7. Managing remote work and the use of personal devices which often lack the same security as office systems.
8. Being prepared for audits by maintaining detailed, unchangeable records.

To create a successful email management policy, you need to focus on areas that improve organization, security and compliance. Here are seven practical tips to help you build a strong policy:

1. Develop a comprehensive strategy — Start by developing a clear email management strategy that aligns with your organization’s goals. Make sure that all stakeholders understand the plan and their role in it. This strategy should cover everything from compliance to cybersecurity, ensuring that everyone from legal teams to IT is on the same page.
2. Implement an efficient email archiving solution — Using an archiving system will make it easier to store and find old emails when needed, which is essential for legal reasons like eDiscovery. When a company is involved in a lawsuit or needs to provide proof of communications, archived emails can be quickly retrieved. An automated solution can help reduce mistakes and free up your IT team’s time.
3. Employ best cybersecurity practices — Use encryption, strong password policies and multi-factor authentication to safeguard email communications. Regularly update your security protocols to stay ahead of threats like phishing and hacking. It’s also critical to train employees on cybersecurity practices to minimize the risk of breaches caused by human error.
4. Adhere to email compliance policies — Depending on your industry, there are specific rules for how emails should be handled. Regulations like GDPR, HIPAA or those established by FINRA may require you to store emails for several years or ensure that certain information is kept private. Not following these rules can lead to fines, so it’s important to know which rules apply to your organization.
5. Maintain Email Integrity — It’s important to keep your emails safe from being changed or tampered with, especially if they may be used in legal matters. A well-developed email management system will preserve both the email content and its metadata (like the date and time) so that it’s reliable if needed for legal cases.
6. Design a tailored email retention policy — Your policy should detail how long emails need to be kept, depending on your company’s needs and legal requirements. Some industries may require emails to be kept for several years, while others may have shorter retention periods. Make sure your policy is clear and easy to follow and flexible enough to adapt to different departments​.
7. Prepare for eDiscovery — eDiscovery is the process of locating and producing electronic data during legal disputes — and should be a priority in your email management policy. Having the right email archiving system that enables easy searching, tagging and retrieving emails will make this process smoother. If your policy includes well-structured retention and deletion schedules, you’ll be better equipped to respond quickly to discovery requests, saving time and avoiding potential legal penalties​.

To manage email compliance effectively, it’s important to follow a clear process and use the right technology to meet industry rules and regulations. Here’s a simple guide to help:

1. Understand Your Compliance Requirements

The first thing you need to do is understand what email compliance laws apply to your business. This will depend on your industry. For example, healthcare companies must follow HIPAA rules about protecting patient data, while financial companies must comply with regulations like the Sarbanes-Oxley Act (SOX). These email compliance laws dictate how emails should be handled and how long they should be kept. Consulting your legal team ensures you know which rules you need to follow to avoid fines or penalties.

2. Consider Purchasing an Email Archiving Solution

Investing in an email archiving solution is one of the best ways to ensure compliance. These systems help by automatically capturing and securely storing all email communication. Some key features include:

• Automated Email Capture — Email archiving solutions automatically save all emails, including attachments, as soon as they’re sent or received. This means even if someone deletes an email, it’s still stored safely.
• Secure Storage — All archived emails are encrypted and stored using the latest technology. This guarantees that sensitive data is protected from unauthorized access and that your business complies with data protection regulations.
• Advanced Search Tools — You can search through your email archive using filters like keywords, dates or senders. This makes finding specific emails for audits or legal requests much faster and easier.
• Exporting Emails — The software lets you export selected emails or chats into formats like PDFs, making it simple to share during legal or regulatory audits​.
• Custom Retention Policies — You can set automatic rules for how long to keep emails and when to delete them. This helps you meet legal requirements without storing unnecessary data.
• Centralized Storage — These solutions consolidate all your communications — from email, social media and even other messaging apps — into one place. This makes managing and retrieving important messages much easier.

3. Collaborate with Your Legal Department

Once you select an archiving solution, work with your legal team to ensure proper implementation. Legal teams know the specifics of retention laws and can provide guidance on compliance needs. This collaboration ensures that the archiving solution is set up correctly and meets legal requirements for document retention, security and auditability. Legal teams should also verify that email records are stored in a manner that meets eDiscovery requirements, meaning emails can be easily retrieved and used as legal evidence if necessary.

4. Set Compliance Procedures and Train Employees

Next, document and communicate clear compliance procedures. Employees must understand the importance of email compliance, how to follow retention policies and how to use the archiving system correctly. Employee training should cover topics like recognizing phishing attacks, encrypting sensitive data and using email securely in accordance with company policies. Clear, concise guidelines will help employees adhere to the rules and reduce the risk of accidental non-compliance.

5. Keep Up with Industry Trends and Software Updates

Email compliance laws are always changing, so it’s important to keep your email system updated. Regular updates ensure that your system stays secure and compliant with the latest email compliance regulations. This is particularly important for organizations in highly regulated industries such as healthcare, finance or government, where regulations frequently change.

6. Maintain Close Communication with Your Archiving Provider

Maintain regular communication with your email archiving provider to keep the system running smoothly. Providers can help ensure that your storage and archiving needs are continuously met, especially as your business grows. They can also assist with troubleshooting, updates and ensuring your system is secure and compliant with the latest regulations. Regular check-ins with your provider will help you address any potential issues early on, keeping your system running optimally.

7. Prepare for eDiscovery and Audits

Be ready to retrieve emails quickly for legal audits or eDiscovery. Use your archiving system’s search capabilities to locate necessary emails swiftly. Comply with eDiscovery requests on time to avoid potential fines or legal issues.

Q: What is compliance archiving?

A: Compliance archiving refers to the systematic storage of electronically stored information (ESI) to meet regulatory, legal and business requirements. It ensures data is securely stored, easily accessible and protected for audits, legal investigations and other compliance needs.

Q: What is an email archive policy?

A: An email archive policy explains how long emails should be kept, which ones need to be saved and how they will be stored. This helps companies follow laws and manage email storage better​.

Q: Is email archiving required for email compliance?

A: Yes, email archiving is generally required to meet regulatory compliance, as it ensures the secure retention and retrieval of emails for legal or audit purposes. Many industries have specific guidelines for how long emails must be stored to comply with laws and regulations.

Q: What emails should be archived for compliance?

A: Emails that are considered business-critical or that contain information relevant to legal, financial or regulatory matters should be archived. This includes communications about contracts, financial transactions and any email with potential legal implications.

Intradyn’s Email Archiving Solution provides storing, searching and retrieving capabilities, which enables your compliance officer to manage emails in accordance with your organization’s specific legal requirements.

Contact the experts at Intradyn today with any questions and download the free eBook How to Choose the Best Email Archiving Solution for even more information.