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The Finance Office maintains the norms regarding retention of financial documents, which is included in the Appendix. The Finance Office also remains aware of the retention requirements of all funding providers. The Ministry of Caring meets or exceeds all such requirements.
Funding providers have varying requirements regarding how long financial records should be maintained. Funding providers generally require retention periods of three to seven years.
In addition to their availability to funding providers, Finance Office records are available to the Executive Director, Finance Committee and the Board of Directors. Records are also completely open to the Audit Committee and the accounting firm that prepares the annual audit.
As a non-profit corporation, the Ministry of Caring also makes financial information available to the public. The annual report, annual audit and the tax return (990) are the primary tools for fulfilling public trust. Other financial records are available to the public upon reasonable request. Any request for financial information is responded to by the CFO.
Under the whistle-blower provision of the Sarbanes-Oxley Act (SOX), it is a federal offense to retaliate against anyone providing information on alleged illegal or unethical behavior in the workplace. Some examples (but not an exclusive list) of wrongdoing that should be reported if witnessed include:
The employee should disclose the alleged concern to his or her immediate supervisor or any member of management who will in turn communicate it to the executive director. The executive director will then investigate the claim. After such investigation, if the claim is substantiated, the wrongdoing will be reported to the audit committee and/or the full Board of Directors for resolution.
If the employee so desires, he or she can bring the alleged wrongdoing directly to the attention of the audit committee. Audit Committee Chair, Anthony Alfieri, 302-508-8298, or firstname.lastname@example.org.
After investigation by the audit committee, there will be feedback given within 30 days to the employee reporting the alleged wrongdoing. Corrective action will be taken and the whistle-blower will be informed that action was taken.
If the whistle-blower is not satisfied with the findings and resolution of the audit committee, he or she may appeal the case directly to the Board of Directors, and the whistle-blower agrees to comply with the conclusions reached by the Board of Directors and terminate the appeal process. In conclusion, the employee should always remember that there will be no retaliatory action taken against him or her for reporting credible information concerning illegal practices or violations of adopted policies of the organization.