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Effective Date: 1/30/92

Series: Information Resources Management

Part 385: Office Automation

Chapter 7: Electronic Mail Systems

Originating Office: Office of Information Resources Management

7.1 Purpose. This chapter establishes policies and provides guidance to the Department of the Interior bureaus and offices (hereafter referred to as bureaus) for electronic mail system (EMS).

7.2 Definitions.

A. Electronic mail systems are automated systems with the primary purpose of inter-office and inter-bureau transmission of data. The input and output devices used in this capability are frequently personal computers or workstations. Facsimile documents, binary files, and digitized graphic data can also be transmitted via electronic mail systems compliant with the standard specified in this manual chapter. System providing electronic mail services generally allow the transfer of information between originators and addresses without the intervention of third parties (e.g., mail rooms or communication centers).

B. EMS interoperability is the capability of any EMS to send and receive electronic mail with other EMS, retrieve such transmissions from mailboxes, and record messages on a storage medium.

7.3 Objective. The overall objectives of the management of EMS are:

A. Safe, rapid, and accurate delivery of electronic mail at minimum cost.

B. Establishment of EMS standards which will lead to EMS interoperability.

7.4 Policies.

A. All newly-acquired EMS will comply with the Message Handling System as specified in Federal Information Processing Standard Publication (FIPS PUB) 146, Government Open Systems Interconnection Profile (GOSIP). The specifications of the Message Handling System are contained in the International Telegraph and Telephone Consultative Committee (CCITT) Recommendations in the X.400-series, hereafter referred to as X.400. The version of CCITT X.400 which is mandatory is established by the current issuance of FIPS PUB 146. New or existing EMS may be made GOSIP-compliant by the provision of a GOSIP-compliant Message Transfer Agent, dual or multiple protocol stacks, or an X.400 gateway.

B. Bureaus will use FTS2000Mail to transmit electronic mail to otherwise non-compatible EMS.

C. Bureaus may use existing intercity capabilities (dial-up, private net, etc.) for establishing connection between compatible EMS.

D. Bureaus will observe Governmentwide and Departmental policies and standards governing the creation, maintenance, use, access, security, and disposition of EMS information processed or stored, e.g., 41 CFR 201, Federal Information Resources Management Regulation; the Freedom of Information Act (FOIA), 43 CFR Part 2, Subpart B; Departmental implementation of the Privacy Act, 43 CFR Part 2, Subpart D; etc.

E. Department and bureau EMS will not be used for personal purposes or the conduct of personal business.

7.5 Responsibilities.

A. Office of Information Resources Management. The Office of Information Resources Management (PIR) is responsible for overall Departmental program management of EMS and will:

(1) Ensure compliance with Governmentwide policies and standards;

(2) Develop and administer Departmental policy and guidance;

(3) Promote the efficient and cost-effective use of EMS within the Department;

(4) Provide program coordination and liaison with the General Services Administration and other Federal agencies;

(5) Disseminate current information on EMS standards and interoperability to bureaus, and,

(6) Perform periodic monitoring of EMS program management activities Departmentwide.

B. Head of Bureaus. Heads of Bureaus will designate a Bureau EMS Manager and implement a program that will ensure compliance with Departmental policies.

C. Bureau IRM Coordinators. Bureau IRM Coordinators are responsible for performing all IRM program coordination for functions for their respective bureaus. The Bureau IRM Coordinator also serves as the primary liaison with PIR (see 375 DM 1.6F).

D. Bureau EMS Managers. Bureau EMS Managers will report to or work closely with their respective Bureau IRM Coordinators and will:

(1) Ensure compatibility between bureau EMS and FTS2000Mail when required;

(2) Ensure oversight of the management of installation, implementation, and maintenance of bureau EMS;

(3) Act as liaison with the Department and other Bureau EMS Managers for coordination of operations;

(4) Ensure the performance of periodic evaluations of bureau EMS to optimize efficiency and effectiveness of operations;

(5) Maintain a current listing of individual EMS Managers and alternates within the bureau, and

(6) Report relevant, significant information to the Bureau IRM Coordinator and to the Department EMS Coordinator.

E. Electronic Mail System Owners. Heads of organizational elements that have accountability for or possession of one or more EMS will appoint an Electronic Mail System Manager and alternate for each such system and will notify the Bureau EMS Manager of the original and subsequent appointments.

F. Electronic Mail System Managers. Electronic Mail System Managers will:

(1) Assign or remove user identifiers (addresses) and passwords (Note: Authorized bureau FTS2000 Designated Agency Representatives (DARS) must add and delete FTS2000Mail subscribers.);

(2) Update system files as new users are identified and other users are removed from the system.

(3) Conduct an operational test with destination addresses in the network and ensure that all aspects of the system operate as required;

(4) Document the network by recording or illustrating address locations, addresses, user identification, protocols, speeds, codes, interconnect points, and service information;

(5) Oversee the day-to-day operation of EMS, and

(6) Report interoperability problems to the Bureau EMS Manager.

7.6 Bureau Waivers to EMS Standards.

A. FIPS Pub 146 permits heads of Federal departments to grant waivers to its provisions Aunder certain exceptional circumstances.@ Waivers must be granted in writing, published in the AFederal register,@ and distributed to specified Federal agencies and to committees of both houses of Congress.

B. Bureaus wishing to request a waiver to using the X.400 standard in acquiring new EMS must provide full written documentation of the unique situations which may warrant a waiver, including specifically:

(1) How costs for compliant systems cause a major adverse financial impact not offset by Governmentwide savings, or

(2) How the standard does not meet the bureau=s mission requirements.

C. Requests for waivers must be reviewed and approved by PIR before consideration by the Secretary.

7.7 System Integrity and Security.

A. Each bureau will administer, register, and alter its use of EMS in compliance with Departmental directives. Designers and implementors of EMS should take into consideration the provisions of the Privacy Act and the FOIA. Particular attention should be given to the level and methods of access control (physical isolation, passwords, automated call-back, write protection, etc.) to preserve data integrity and ensure authorization for access.

B. Automated data processing security policies and procedures apply to EMS. Although EMS textual material is to be unclassified, all EMS must meet Department standards for security. Caution must be observed in the handling of information subject to the Privacy Act, FOIA, and information otherwise identified as sensitive, such as information relating to the control of funds.

7.8 Management of Messages, Files, and Records Exchanged via EMS.

A. The message or files transmitted via EMS are records as defined by 44 U.S.C. 3301. EMS messages or files must be created, maintained, used, and disposed of in accordance with the Federal Records Act (Chapters 29, 31, and 33 of Title 44 of the U.S. Code).

B. Certain records normally handled by EMS are highly transitory in nature and have little or no lasting value (e.g., notices of telephone calls, informal comments, staff meeting notices). Such transitory records may be purged from the EMS when they have served their purpose.

C. Other records, especially those having substantive bearing on program or mission accomplishment, have enduring value which should be recognized in local records retention schedules. Non-transitory records exchanged via EMS will be transferred intact from the EMS to other official documentation media such as paper, microfilm, magnetic diskette, or tape. The transferred copy becomes the Arecord copy@ and the EMS version may be deleted. Questions concerning records retention should be addressed to local records managers.

D. Bureaus will follow Departmental policies and procedures for records retention and disposal, and will determine the office of record for each category of records.

1/30/92 #2936

Replaces 3/14/88 #2786