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			Retention of Active Records: Advice for Congregations of the Evangelical Lutheran Church in America *Your records have a life cycle!* You create and maintain the records of your congregation in order to have the information you need—when you need it; in the format from which you can most easily retrieve it; and in such a way that partners working in your congregation, today and in the future, can readily find the information. As you set about preserving information for future reference, plan for the entire life cycle of the records you are creating. If you do this, you should never need to spend time purging files—going through old material—to determine the potential administrative or historical value. Consistency is important in the care of records. Any records retention policy has validity, once accepted as the policy of the organization, only as it is uniformly practiced. It should be neither selectively implemented nor disregarded at the whim of t he custodians of the records. Never purge records in the face of potential litigation. Information that is retained in hard copy or in electronic files is the property of the congregation. Such information is not the property of the pastor or of the of ficers of the congregation to be removed, retained personally, or destroyed at will. All staff members are custodians of the records they maintain. Most of the records retained by a congregation—for its daily operation, legal protection, financial security, and responsibility to history—fit into one of the following categories. For the well-being of the congregation, each type of record has a spec ific life cycle and needs appropriate care. Contents Parish Register Databases Legal and Property Related Documents Minutes and Reports Financial Records Personnel Files Pastoral Care Files Correspondence Sermons Printed Materials Photographs, Videotapes, and Audiotapes Resource Materials Parish Register The Parish Register includes . . . Charter and/or Articles of Incorporation Constitution and bylaws Pastors of the congregation ELCA-rostered lay workers Other professional lay workers of the congregation, such as organists and choir directors Roster of officers of the congregation Permanent roll of members Baptisms Confirmations Marriages Funerals Communion participation Significant historical events Care According to the Model Constitution for Congregations the pastor is responsible for maintaining the parish register (C9.12. [1997]). Please refer to the document, "Maintaining the Parish Register."* A representative of the synodical bishop is required to verify that these records exist and are in good order at the time of a pastoral transition (S14.15. [1997] in the Constitution for Synods). Retention Do not leave your parish register vulnerable to destruction. The parish register should be kept in a fireproof file or safe. A duplicate copy of the parish register—such as a microfilm or photocopy kept in a secure off-site location, e.g., a bank safe- deposit box, or the synodical or churchwide archives—provides added protection for this permanent and vital record. If you microfilm your parish register, the original negative should be stored in an off-site location. The parish register is a hard-copy record. You may use an electronic database program for managing the records that you maintain in the administration of your congregation. The database itself does not constitute a parish register. For legal and histor ical purposes, it is recommended that you: Maintain the traditional parish register; or Print out once each year, on acid-free paper, the necessary reports that constitute a parish register. Databases In addition to using personal computers for word processing and creating publications, congregations use personal computers for maintaining databases for the tasks of parish administration such as . . . Membership and other directories Parish register General ledger Record of member giving Other financial data Two critical issues pertain to the SAFETY of electronically stored data . . . Restoration of current information in the event of system failure; and Migration of entire databases to newer generations of hardware and software. Care To ensure the easy restoration of your database in the event of system failure, natural disaster, or human mischief, back up your personal computer's hard drive at least once each week and store the disks at a location removed from the personal computer. Limit access by means of password protection. Make certain that the structure of each database is documented--identifying the software, computer language, and report form--so that you are prepared, when the time comes, to migrate to a new generation of software or hardware. Retention A database, such as a membership management or accounting system, is a constantly changing record. An early decision must be made as to which reports generated by your database are necessary as permanent legal or historical records of the congregation. These should be printed out annually (see Parish Register above). As you update and purge information from your databases, consider which records (i.e., transferred members) should become part of a subdirectory permitting long-term storage and ease of access, and make certain that these directories migrate to software a nd hardware upgrades with the rest of the information in the database. Legal and Property Related Documents Vital legal and property related documents may include . . . Charter or Articles of Incorporation Constitution and bylaws Tax-exempt status reports and documentation of the congregation's nine-digit federal employer indentification number Deeds, titles, surveys, leases, mortgages, easements, and blueprints Current service contracts Insurance policies Copies of letters of call to the pastors and other ELCA-rostered church workers Other employment contracts Retention With the exception of service contracts, these are permanent records and should be deposited in the church's safe or in a bank safe-deposit box. Minutes and Reports Including . . . Annual reports Minutes of regular and special congregational meetings Minutes of the Congregation Council and its Executive Committee Minutes or reports of committees and of auxiliary organizations for men, women, and youth Copies of yearly parochial reports sent to the synod office Retention These minutes and reports are permanent records with historical value. The minutes of congregational meetings and of the Congregational Council also may contain the record of actions that have legal importance. Financial Records Your financial records may include financial documents, such as . . . General ledger Budgets and financial reports Annual audit reports Invoices Record of member giving Check register and canceled checks Certificates of deposit or other evidence of savings You may also have a financial management database that handles all of your bookkeeping transactions. Retention "The Congregtion Council shall ascertain that the financial affairs of this congregation are being conducted efficiently, giving particular attention to the prompt payment of all obligations and to the regular forwarding of benevolence monies to the synod ical treasurer. The Congregation Council shall be responsible for this congregation's investments and it's total insurance program" (C12.05.e. and f. [1997] in the Model Constitution for Congr egations). Retention of financial records refers to hard-copy documents. Permanently . . . The following records should be retained permanently . . . General ledger Annual audit reports Check register Seven Years . . . Retention for six years beyond the current tax year should include . . . Canceled checks Bank statements, deposit slips, and bank reconciliations Payroll administration records, such as W-2, W-4 forms, and payroll registers Because pastors normally remit their Social Security contributions as self-employed persons, according to the federal government's definition regarding ordained ministers for Social Security purposes, pastors are responsible for checking the accuracy of their records with the Social Security Administration. They should request a report of their contributions from the Social Security Administrtion at least once every five years. Cash receipt journals Record of member giving All records related to congregational spending are open. All records related to member giving are confidential* and should be secured.* Three Years . . . General invoices One Year . . . Contribution envelopes Indefinitely . . . Insurance related documentation Should you need to file an insurance claim in the event of damage or theft, you are advised to retain invoices and receipts or canceled checks for all furnishings and equipment, owned by the congregation, that may need to be documented for insurance pu rposes. Personnel Files Personnel files may exist for the pastor, employed staff, and registered seminary students. Right to privacy laws dictate that these files must be kept in strictest confidence. Personnel files may contain . . . Letters of application Resumes Documents related to compensation and benefits Health-related documents, such as worker's compensation Performance appraisals Letters of recommendation Continuing education documentation Correspondence Honors or clippings Retention Employee Files . . . After termination, only biographical history and duration of employment should be retained. If information relates to a worker's compensation or other claim by the enployee, this should be retained. Similarly, if information relates to a possible claim or lawsuit by others involving the employee's conduct or duties, that also should be retained. Student Files . . . As required, the student's file is sent to the seminary after he or she has signed for its release. It is not preserved in the congregation. Pastoral Care Files When the pastor provides pastoral care to parishioners, such as marriage counseling or personal spiritual direction, the pastor may create a file containing . . . Date and time of consultation and persons present Observation notes Tests, such as personality inventories Correspondence Care These files must be kept locked and in strictest confidence as they involve a relationship at the highest level of trust and are usually subject to the clergy/penitent privilege. The parishioner to whom they pertain has the right to see them. The parish ioner should sign a release if any information is to leave the file at any time. The pastor must use good judgment in establishing the nature of each relationship and in creating documentation of it. An understanding of the nature of this relationship w ill determine the appropriate disposition of the records. Retention If the relationship is understood to be that of care of souls, it may be better to create little or no record. Records retained are the property of the pastor and may be retained or destroyed at his or her discretion, but must never be left behind when t he pastor resigns from a call to the parish. The principle of confessional confidences, which applies to all ordained ministers of this church, is specified by ELCA churchwide constitutional provision 7.45. [1997]. "In keeping with the historic discipline and practice of the Lutheran Church and to be true to a sacred trust inherent in the nature of the pastoral office, no ordained minister of this church shall divulge any confidential disclosure received in the cour se of the care of souls or otherwise in a professional capacity, nor testify concerning conduct observed by the ordained minister while working in a pastoral capacity, except with the express permission of the person who has given confidential informatio n to the ordained minister or who was observed by the ordained minister, or if the person intends great harm to self or others" (churchwide constitutional provision 7.45. [1997] in the "Constitution, Bylaws, and Continuing Resolutions of the Evangelica l Lutheran Church in America"). In all states, suspected cases of child abuse are required to be reported to the authorities. Whether such reporting requirements apply to pastors may vary. Consult an attorney in your state for guidance on such matters. Correspondence The pastor may have correspondence of various types . . . Ex officio as chief executive officer of the congregation Correspondence to and from the officers of the congregation or the bishop of the synod Personal correspondence Retention The pastor's ex officio correspondence and the correspondence to and from the officers of the congregation or the bishop of the synod should be kept for the tenure of the pastor; the files then should be appraised for permanent value. Only letters with hi storical significance need be kept for the archives of the congregation. The pastor's personal correspondence should be maintained separately and removed from the office by the pastor at the end of the pastor's tenure. Sermons Retention Manuscripts of sermons are the property of the pastor, not the congregation. The pastor may choose to place manuscripts of sermons commemorating special occasions in the archives of the congregation. Printed Materials Materials produced by the congregation to assist its programs and promote its activity document the life of the parish . . . Newsletters History booklets News releases and newspaper clippings Promotional materials Bulletins Membership directories with photographs Retention Copies of all of the above should be placed in the congregation's archives as a permanent record of its history. Photographs, Videotapes, and Audiotapes Such media records the significant events in the life of a congregation. They also are a permanent record of its history . . . Photographs and negatives Videotapes Films Audiotapes Other electronic media Retention Place photographs and negatives, properly identified (date, event, names of persons), in the archives of the congregation. Films and videotapes should be identified carefully and retained in a manner that respects their fragility. Audiotapes of weekly w orship services frequently are reused. Be sure to place sound and video recordings of special services in the archives of the congregation. Resource Materials Including Resource materials received from the synodical or the churchwide office for the support of the activity or the parish Minutes of the synodical assembly Yearbooks of the Evangelical Lutheran Church in America Hymnals Curriculum Care Resource materials should be distributed to the members of organizations and committees who can benefit from them. Current materials may be filed by subject and kept in an accessible location. Such materials seldom have long-term value and the files shou ld be culled annually. Retention The congregation may wish to include the minutes of the synod in its own archives. Samples of hymnals and parish education materials are important for recording the history of the congregation. Other resource materials may be discarded when they have be en superseded by newer materials. For advice on establishing a congregational archives, see A Brief Guide for Archives of Congregations of the Evangelical Lutheran Church in America. For Additional information contact . . . Director for Records Managment and Library Office of the Secretary Evangelical Lutheran Church in America 8765 West Higgins Road Chicago, Illinois 60631-4198 Telephone: 800/638-3522, ext. 2811 e-mail: buettner@elca.org LutherLink/Ecunet:Claire Buettner You may copy this document for congregational use providing copyright is acknowledged. March 1996 edition