Our Policies
WHISTLEBLOWER PROTECTION POLICY
CHUCK AND MARNA DAVIS FOUNDATION
WHISTLEBLOWER PROTECTION POLICY
Adopted July 24, 2023
I. Purpose
The Chuck and Marna Davis Foundation (the “Foundation”) is committed to lawful and ethical behavior in all of its activities. As such, the Foundation requires its Trustees, officers and employees to observe high standards of business and personal ethics and act with honesty and integrity when conducting their duties and responsibilities on behalf of the Foundation. The purpose of this Whistleblower Protection Policy (this “Policy”) is to require disclosure of all illegal or unethical conduct in connection with the Foundation’s finances or other aspects of its operations, to describe the methods for employees to promptly alert the Foundation regarding these matters, and to protect from retaliation persons who report suspected improper conduct.
II. Administration of Policy
The Foundation shall designate a Trustee, officer or employee to administer this Policy and to report to the Trustees. Trustees who are employees of the Foundation may not participate in any deliberations or voting relating to the administration of this Policy.
II. Reporting Required
A. What to Report
All Trustees, officers and employees of the Foundation must promptly report in compliance with this Policy any of the following situations of which the Trustee, officer and employee becomes aware or has reason to believe may exist:
1. violations or suspected violations of any applicable federal, state or local law or regulation;
2. violations or suspected violations of any material policy of the Foundation, for example the Foundation’s Conflict of Interest Policy;
3. any questionable or improper matters regarding bookkeeping, accounting, internal accounting controls, or auditing matters; or
4. inappropriate handling or resolution of any complaint or matter previously reported under this Policy.
An activity is subject to reporting under this Policy regardless of whether or not such activity is within the scope of the employee’s official duties on behalf of the Foundation.
B. How to Report
Reports under this Policy should be made directly to any officer or Trustee of the Foundation. Reports may be made in a way that identifies the reporter or anonymously, at the discretion of the reporting individual.
C. Handling of Reports
Reports under this Policy will be taken seriously and investigated promptly. The Foundation will maintain the confidentiality of reports to the extent feasible in light of its need to investigate and take applicable corrective action. Appropriate corrective action, up to and including termination of employment, will be taken if warranted by the investigation into the reported conduct or for violations of this Policy.
III. Retaliation Prohibited
No Trustee, officer, or employee of the Foundation who in good faith reports any action or suspected action taken by or within the Foundation that is illegal, fraudulent or in violation of any adopted policy of the Foundation shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequence, because of any lawful act done by the individual:
1. to report any matter that the individual reasonably and in good faith believes must be reported under this Policy;
2. to participate in an investigation by a regulatory authority, law enforcement agency, member or committee of Congress, or any person with supervisory authority over the employee or who has the authority to investigate reports under this Policy;
3. to report truthful information relating to any state or federal offense to a law enforcement officer;
4. to provide information, cause information to be provided, or otherwise assist in an investigation regarding any conduct which the employee reasonably believes constitutes a violation of applicable law or fraud, when the investigation is brought by a governmental, regulatory, or law enforcement agency, a member or committee of Congress, a person with supervisory authority over the employee, or such other person working for the Foundation who has the authority to investigate, discover, or terminate improper conduct.
Any individual who has reason to believe that he or she has been subject to retaliation for making a report or participating in an investigation under this Policy must immediately report such alleged retaliation in accordance with Section II.A and II.B of this Policy. Any employee who retaliates against another employee for making a report or participating in an investigation under this Policy will be subject to disciplinary action, up to and including termination of employment.
IV. Applicability to Volunteers, Independent Contractors, and Agents
Although not employees of the Foundation, the Foundation expects its volunteers, independent contractors, and agents with authority to act on behalf of the Foundation to observe high standards of business and personal ethics, especially in connection with their relationship to the Foundation. As such, the Foundation expects and encourages its volunteers, independent contractors, and agents with authority to act behalf of the Foundation to report misconduct in compliance with this Policy using the procedures identified above.
CERTIFICATE OF ADOPTION
The foregoing Whistleblower Protection Policy was adopted by the Trustees of the Chuck and Marna Davis Foundation on the 24 day of July, 2023.
RECORD RETENTION AND DESTRUCTION POLICY
CHUCK AND MARNA DAVIS FOUNDATION
RECORD RETENTION AND DESTRUCTION POLICY
Adopted July 24, 2023
1. Purpose.
The purpose of this Record Retention and Destruction Policy (the “Policy”) is to ensure that the Chuck and Marna Davis Foundation (the “Foundation”) retains its records in accordance with the requirements of all applicable laws and to ensure that records that are no longer needed by the Foundation are discarded at the proper time. This Policy provides guidelines concerning the length of time official records should be retained under ordinary business circumstances, as well as the steps that the Foundation should take in the event of any pending or imminent government (federal, state, or local) investigation, audit or proceeding, or any civil or criminal lawsuit involving the Foundation.
2. Policy.
This Policy represents the Foundation’s formal policy regarding the retention and disposal of documents and records related to and generated in the course of the Foundation’s operations. This Policy is not intended to and does not constitute or create contractual terms of employment or specific treatment under specific conditions, and does not alter the at-will nature of any employment relationship with the Foundation.
3. Covered Records.
This Policy applies to all records generated in the course of the Foundation’s operations, including but not limited to:
• handwritten, typed, or printed hardcopy (i.e., paper) documents;
• electronic records and documents (e.g., e-mail, Web files, text files, PDF files);
• video or digital images;
• graphic representations;
• electronically stored information contained on network servers and/or document management systems; and
• recorded audio material (e.g., voice-mail).
505734791.1
4. Administration.
a. Record Retention Schedule. Attached to this Policy is a Record Retention Schedule that is approved as the initial maintenance, retention and disposal schedule for records of the Foundation. The President of the Foundation shall appoint a “Records Retention Administrator” (the “Records Administrator”) whose duty it will be to administer this Policy and implement reasonable processes and procedures concerning the Record Retention Schedule.
b. Authority and Responsibility of the Records Administrator. The Records Administrator shall be authorized to: (a) make modifications to the Record Retention Schedule from time to time to ensure that this Policy complies with local, state and federal laws and includes the appropriate document and record categories for the Foundation; (b) monitor local, state and federal laws affecting record retention; (c) monitor the compliance of the Foundation’s officers and employees with this Policy; and (d) take such other action as may be authorized by the Foundation’s Trustees. The Records Administrator shall annually review the Foundation’s record retention and disposal program and shall apprise the Foundation’s officers, Trustees, and employees (if any) of any changes in laws relating to the Foundation’s record retention and disposal program.
c. Distribution of Policy to Employees. The Records Administrator will arrange for every officer, employee, independent contractor or agent who may have control over or responsibility for the Foundation’s documents to receive a copy of this Policy and each such officer, employee, independent contractor or agent shall sign a statement that affirms that he or she has received a copy of this Policy, has read and understands it, and has agreed to comply with it.
5. Record Storage Procedures.
a. Organization of Records. In order to facilitate administration of this Policy, where practicable, the Foundation’s records should generally be organized and stored according to general categories in a manner that best facilitates the efficient administration of the Foundation’s operations where appropriate. Records within each category should generally be organized and stored in chronological order or by time period (e.g., by month or year).
b. Dating of Records. Categories of records not required to be retained on a permanent basis (according to the Record Retention Schedule) should be maintained by date or conspicuously dated to enable such records to be easily identified for destruction at the end of the record retention period recommended in the Record Retention Schedule.
c. Confidentiality of Records. Records containing confidential information should be labeled and/or stored in a manner to limit access to those employees or other individuals with authorization to view such records. Any of the Foundation’s e-mail, regardless of the nature of the content, may be subject to disclosure in the course of a government investigation or litigation involving the Foundation. The Foundation provides its employees with e-mail as a tool for performing its employees’ work functions. While the Foundation understands that employees may use their e-mail to conduct personal business, employees should be aware that they have no expectation of privacy for any information or communications contained in work-related e-mail accounts. The Foundation reserves the right to review any of the Foundation’s e-mail at any time. d. Electronic Storage System. Subject to the approval of the Foundation’s Trustees, the Records Administrator shall be authorized to develop and implement a system for maintaining the Foundation’s books and records via an electronic storage system that either images hardcopy records or transfers computerized records to electronic storage media (e.g., hard drives, storage area networks, or optical media, such as CDs and DVDs). Any electronic storage system shall comply with the requirements of Revenue Procedure 97-22, 1997-1 CB 652, or any later revenue procedure that alters or supersedes it, or any future Internal Revenue Service rules or regulations applicable to electronic storage of books and records.
6. Document Destruction Procedures.
Once records have been retained for the applicable period set forth in the Record Retention Schedule, they should be prepared for destruction in the manner prescribed by the Records Administrator, unless the Records Administrator has suspended the destruction of any records in accordance with Section 7. The Records Administrator shall develop procedures for destroying categories of records that are not listed in the Record Retention Schedule at times and in an effective manner that best facilitates the efficient administration of the Foundation’s operations. All paper documents destroyed pursuant to this Policy shall be cut by mechanical shredder. Electronic data contained on servers and hard drives shall be deleted and overwritten. Electronic data contained on all other media shall be destroyed by the physical destruction of that media.
7. Suspension of Record Disposal In Event of Litigation or Claims.
In the event any employee of the Foundation reasonably anticipates or becomes aware of a governmental investigation or audit concerning the Foundation or the commencement of any litigation against or concerning the Foundation, such employee shall inform the Records Administrator and any further disposal of documents shall be suspended until such time as the Records Administrator, with the advice of the President and the Foundation’s legal counsel, determines otherwise. The Records Administrator shall take such steps as are necessary to promptly inform affected staff of any suspension in the disposal or destruction of documents.
8. Confidentiality and Ownership.
All records are the property of the Foundation, and employees are expected to hold all business records in confidence and to treat them as the Foundation’s assets. Records must be safeguarded and may be disclosed to parties outside of the Foundation only upon proper authorization. Any subpoena, court order, or other request for documents received by employees, or questions regarding the release of the Foundation’s records, must be directed to the Records Administrator prior to the release of such records. Any records of the Foundation in possession of an employee must be returned to the employee’s supervisor or the Records Administrator upon termination of employment.
CERTIFICATE OF ADOPTION
The foregoing Record Retention and Destruction Policy was adopted by the Trustees of the Chuck and Marna Davis Foundation on the 24 day of July, 2023.