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\begin_body
\begin_layout Title
Software Freedom Conservancy Conflict of Interest Policy
\end_layout
\begin_layout Section
Purpose
\end_layout
\begin_layout Standard
The purpose of this conflict of interest policy (
\begin_inset Quotes eld
\end_inset
Policy
\begin_inset Quotes erd
\end_inset
) is to protect the Software Freedom Conservancy (
\begin_inset Quotes eld
\end_inset
Conservancy
\begin_inset Quotes erd
\end_inset
) and its Member Projects when Conservancy contemplates entering into a
transaction or arrangement that might benefit the private interest of a
Director, Officer or Staff Member of Conservancy or a member of a Project
Leadership Committee (
\begin_inset Quotes eld
\end_inset
PLC
\begin_inset Quotes erd
\end_inset
), or might otherwise result in a possible excess benefit transaction.
This Policy is intended to supplement but not replace any applicable state
and federal laws governing conflict of interest applicable to nonprofit
and charitable organizations.
\end_layout
\begin_layout Section
Conservancy Directors, Officers and Staff
\end_layout
\begin_layout Standard
Directors, Officers and Staff Members of Conservancy (
\begin_inset Quotes eld
\end_inset
Conservancy Persons
\begin_inset Quotes erd
\end_inset
) each have a duty to protect Conservancy and its Member Projects from violating
state and federal laws - and to avoid any appearance of impropriety.
Conservancy Persons serve the public interest and are to have a clear understan
ding of Conservancy's charitable mission.
All decisions made by Conservancy Persons are to be made solely on the
basis of a desire to promote the best interests of Conservancy and the
public good.
\end_layout
\begin_layout Subsection
Defining a Conflict of Interest for a Conservancy Person
\end_layout
\begin_layout Standard
In general, Conservancy Persons should avoid making decisions on matters
where their personal interests are at odds with the Conservancy's interests.
In particular, the following scenarios are to be identified as conflicts
of interest:
\end_layout
\begin_layout Itemize
A Conservancy Person (or his or her family member) is a party to a contract,
or involved in a transaction with Conservancy for goods or services.
\end_layout
\begin_layout Itemize
A Conservancy Person (or his or her family member) is a director, officer,
agent, partner, associate, employee, trustee, personal representative,
receiver, guardian, custodian, legal representative or in some other way
has a fiduciary duty to an entity involved in a transaction with Conservancy.
\end_layout
\begin_layout Itemize
A Conservancy Person (or his or her family member) is engaged in some capacity
or has a material financial interest in a business or enterprise that competes
with Conservancy or a Conservancy Project.
\end_layout
\begin_layout Itemize
A Conservancy Person (or his or her family member) has a material financial
interest in, or fiduciary duty to an entity Conservancy has engaged in
a free software license compliance effort, enforcement effort, or related
litigation on behalf of a Conservancy project.
\end_layout
\begin_layout Itemize
A Conservancy Person (or his or her family member) has a material financial
interest in or fiduciary duty to the competitor of an entity Conservancy
has engaged in a free software license compliance effort, enforcement effort,
or related litigation on behalf of a Conservancy project.
\end_layout
\begin_layout Standard
Conservancy acknowledges that other situations may create the appearance
of a conflict, or present a duality of interests.
All such circumstances should be disclosed to the Board, as appropriate,
and the Board shall make a decision as to what (if any) course of action
Conservancy or relevant Conservancy Persons should take so that Conservancy's
best interests are not compromised by personal interests.
\end_layout
\begin_layout Subsection
General Policies for Conservancy Persons
\end_layout
\begin_layout Itemize
\series bold
No Personal Profit or Gain.
\series default
No Conservancy Person (or family member) shall derive any personal profit
or gain, directly or indirectly, by reason of his or her participation
with Conservancy.
Personal profit or gain does not include compensation approved by the Board
for paid employees.
\end_layout
\begin_layout Itemize
\series bold
Disclosure and Abstention when Conflicted.
\series default
Each Conservancy Person shall disclose to Conservancy's Board any conflict
of interest which he or she may have in any matter pending before Conservancy
and shall refrain from participation in any decision on such matter.
\end_layout
\begin_layout Itemize
\series bold
Conservancy Conflict Disclosure Form.
\series default
Every six months, each Conservancy Person shall complete a Conservancy
Conflict Disclosure form [attached as Exhibit A] and submit it to the Board
and to Conservancy's General Counsel.
\end_layout
\begin_layout Subsection
Conflict Resolution Procedures for Conservancy Persons
\end_layout
\begin_layout Itemize
\series bold
Disclosure of Conflict When Present.
\series default
Prior to any Board or Board Committee action on a matter or transaction
involving a conflict of interest, a Conservancy Person having a conflict
of interest and who is in attendance at the meeting shall disclose all
facts material to the conflict.
Such disclosure shall be reflected in the minutes of the meeting.
If board members are aware that Staff or other volunteers have a conflict
of interest, relevant facts should be disclosed by the board member or
by the interested person him/herself if invited to the Board meeting as
a guest for purposes of disclosure.
\end_layout
\begin_layout Itemize
\series bold
Disclosure of Conflict When Absent.
\series default
A Conservancy Person who plans not to attend a meeting at which he or she
has reason to believe that the Board or Board Committee will act on a matter
in which he or she is conflicted shall disclose to the Chair of the meeting
all facts material to the conflict of interest.
The Chairperson shall report the disclosure at the meeting and the disclosure
shall be reflected in the minutes of the meeting.
\end_layout
\begin_layout Itemize
\series bold
Participation in Discussions and Votes Regarding Conflicted Matter.
\series default
A conflicted Conservancy Person shall not participate in or be permitted
to hear the Board's or Board Committee's discussion of the matter where
he or she has a conflict of interest, except to disclose material facts
and to respond to questions.
The conflicted Conservancy Person shall not attempt to exert his or her
personal influence with respect to the matter, either at or outside the
meeting.
\end_layout
\begin_layout Itemize
\series bold
Participation in Votes Regarding Conflicted Matter.
\series default
A conflicted Conservancy Person may not vote on the Board action with which
he or she has a conflict of interest, and shall not be present in the meeting
room (or on the conference call) when the vote is taken.
His or her ineligibility to vote shall be reflected in the minutes of the
meeting.
\end_layout
\begin_layout Itemize
\series bold
Conflicted Persons Cannot Establish Quorum.
\series default
A conflicted Conservancy Person shall not be determining the presence of
a quorum for purposes of a vote on the matter where he or she has a conflict
of interest.
\end_layout
\begin_layout Itemize
\series bold
Managing an Officer's Conflict of Interest.
\series default
If a Conservancy Person is an Officer involved in a decision, matter or
transaction in which he or she has a conflict of interest, he or she must
immediately disclose all facts material to the conflict to the Chair of
the Board (or the Chair's designee).
The Board must then approve any future decisions, negotiations, and/or
other actions taken by the Officer regarding the conflicted matter, and
include the person's disclosure of the conflict and the Board's subsequent
actions in the minutes of the next meeting.
\end_layout
\begin_layout Itemize
\series bold
Managing a Staff Member's Conflict of Interest.
\series default
If a Conservancy Person is a Staff Member who has been assigned duties
that involve a decision, matter or transaction in which he or she has a
conflict of interest, he or she must immediately disclose all facts material
to the conflict to the President (or the President's designee).
The President (or designee) must then approve any future decisions, negotiation
s, and/or other actions taken by the Staff Member regarding the conflicted
matter, and file a written report acknowledging the potential conflict.
\end_layout
\begin_layout Itemize
\series bold
Confidentiality of Conflict Disclosures.
\series default
Each Conservancy Person shall exercise care not to disclose confidential
information acquired in connection with disclosures of conflicts of interest
or potential conflicts, which might be adverse to Conservancy's interests.
\end_layout
\begin_layout Section
Project Leadership Committees
\end_layout
\begin_layout Standard
PLCs are comprised of volunteers, academics, and industry professionals
that represent a Project's community and make decisions about a Project's
technical direction (
\begin_inset Quotes eld
\end_inset
PLC Persons
\begin_inset Quotes erd
\end_inset
).
Conservancy understands and expects that many PLC Persons exploit professional
skills relating to their Project as individuals by providing developing,
consulting, and/or training services.
Nonetheless, each PLC Person has a duty to act in the best interests of
his or her Project when making technical decisions about the Project.
\end_layout
\begin_layout Subsection
Defining a Conflict of Interest for a PLC Person
\end_layout
\begin_layout Standard
In general, PLC Persons should avoid making technical decisions on matters
where his or her personal and/or professional interests are at odds with
his or her Project's interests.
In particular, the following scenarios are to be identified as conflicts
of interest:
\end_layout
\begin_layout Itemize
A PLC Person (or his or her family member) is a party to a contract, or
involved in a transaction with Conservancy for goods or services relating
to his or her Project.
\end_layout
\begin_layout Itemize
A PLC Person (or his or her family member) is an employee, owner, or otherwise
has a financial interest in an entity involved in a transaction with Conservanc
y relating to his or her Project.
\end_layout
\begin_layout Itemize
A PLC Person (or his or her family member) is a director, officer, agent,
partner, associate, trustee, receiver, guardian, personal representative,
custodian, legal representative or in some way has a fiduciary duty to
an entity involved in a transaction with Conservancy relating to his or
her Project.
\end_layout
\begin_layout Itemize
A PLC Person (or his or her family member) is engaged in some capacity or
has a material financial interest in a business or enterprise that competes
with his or her Project.
\end_layout
\begin_layout Itemize
A PLC Person (or his or her family member) is the owner of copyrights that
are the subject of a Conservancy-led compliance effort, enforcement effort,
or related litigation -- and the PLC Person (or a family member) has a
material financial interest in or fiduciary duty to an entity adverse to
this effort.
\end_layout
\begin_layout Standard
Conservancy further notes that a scenario may arise where a PLC Person (or
his or her family member) works for, owns, or otherwise has a financial
interest in an entity that competes with a second entity involved in a
transaction with Conservancy regarding the Project in question.
This may or may not result in a conflict of interest, depending on the
specific facts.
Should this scenario arise, Conservancy requests that the circumstances
be disclosed to Conservancy's Executive Director and to the PLC.
\end_layout
\begin_layout Standard
Conservancy acknowledges that other situations may create the appearance
of a conflict, or present a duality of interests.
All such circumstances should be disclosed to Conservancy's Executive Director
and to the PLC, as appropriate, and the PLC shall make a decision as to
what (if any) course of action the PLC or relevant PLC Persons should take
so that the Project's best interests are not compromised by personal interests.
\end_layout
\begin_layout Subsection
General Policies for PLC Persons
\end_layout
\begin_layout Itemize
\series bold
No Compensation for PLC Persons.
\series default
No PLC Person shall receive any salary or other substantial benefit from
Conservancy as compensation for his or her duties as a PLC Person.
\end_layout
\begin_layout Itemize
\series bold
Disclosure and Abstention when Conflicted.
\series default
Each PLC Person shall disclose to his or her PLC and to Conservancy's Executive
Director any conflict of interest which he or she may have in any matter
pending before the PLC and shall refrain from participation in any decision
on such matter.
\end_layout
\begin_layout Itemize
\series bold
Multiple Employees from the same Employer on a PLC.
\series default
Conservancy discourages the practice of having multiple employees of the
same employer serve on the same PLC\SpecialChar \@.
This practice increases the impact
of any prospective conflict of interest with the employer on the PLC, and
PLCs will have to exercise greater care to avoid the influence of the employer'
s interests.
If this situation is unavoidable, PLCs are encouraged to err on the side
of caution in identifying all potential conflicts of interest relating
to the employer.
\end_layout
\begin_layout Itemize
\series bold
Conservancy is Final Arbiter.
\series default
Each PLC Person acknowledges that Conservancy is the final arbiter of any
issue relating to potential conflict.
\end_layout
\begin_layout Itemize
\series bold
Project Conflict Disclosure Form.
\series default
Each PLC Person shall complete a Project Conflict Disclosure form [Attached
as Exhibit B] and submit it to the PLC and to Conservancy's Executive Director
on an annual basis.
\end_layout
\begin_layout Subsection
Conflict Resolution Procedures for PLC Persons
\end_layout
\begin_layout Itemize
\series bold
Disclosure of Conflict When Present.
\series default
Prior to any PLC or PLC sub-committee action on a matter or transaction
involving a conflict of interest, a PLC Person having a conflict of interest
and who is in attendance at the meeting shall disclose all facts material
to the conflict.
Such disclosure shall be reflected in the minutes of the meeting.
\end_layout
\begin_layout Itemize
\series bold
Disclosure of Conflict When Absent.
\series default
A PLC Person who plans not to attend a meeting at which he or she has reason
to believe that the PLC or PLC sub-committee will act on a matter in which
he or she is conflicted shall disclose to the Chair of the meeting all
facts material to the conflict of interest.
The Chair shall report the disclosure at the meeting and the disclosure
shall be reflected in the minutes of the meeting.
\end_layout
\begin_layout Itemize
\series bold
Participation in Discussions and Votes Regarding Conflicted Matter.
\series default
A conflicted PLC Person shall not participate in or be permitted to hear
the PLC's or PLC sub-committee's discussion of the matter where he or she
has a conflict of interest, except to disclose material facts and to respond
to questions.
The conflicted PLC Person shall not attempt to exert his or her personal
influence with respect to the matter, either at or outside the meeting.
\end_layout
\begin_layout Itemize
\series bold
Participation in Votes Regarding Conflicted Matter.
\series default
A conflicted PLC Person may not vote on the Board action with which he
or she has a conflict of interest, and shall not be present in the meeting
room (or on the conference call) when the vote is taken.
His or her ineligibility to vote shall be reflected in the minutes of the
meeting.
\end_layout
\begin_layout Itemize
\series bold
Conflicted Persons Cannot Establish Quorum.
\series default
A conflicted PLC Person shall not be determining the presence of a quorum
for purposes of a vote on the matter where he or she has a conflict of
interest.
\end_layout
\begin_layout Subsection
Procedures for Conservancy Retaining PLC Person's Services
\end_layout
\begin_layout Standard
Notwithstanding the above, Conservancy acknowledges that many PLC Persons
are software developers who can provide professional services useful to
advance computing and contribute to Conservancy's mission.
In many instances, a PLC Person will have the strongest mix of credentials,
experience, and available bandwidth to fulfill a software development contract
desired by Conservancy and/or a Project.
To address those instances, Conservancy requests Projects to follow the
following procedures.
\end_layout
\begin_layout Itemize
\series bold
Drafting the Software Development Proposal.
\series default
PLCs must draft a written proposal for every software development project
their Project wishes to fund.
During the drafting process, if a PLC Person (or his or her family member),
a PLC Person's employer and/or a fellow employee of PLC Person's employer
wish to be considered a candidate to fulfill the funded software development
contract, that PLC Person has a conflict of interest and must recuse herself
or himself from the proposal drafting process and abstain from any vote
to approve that proposal.
All other procedures as outlined in Section 3.3 shall still apply.
The PLC must document the PLC Person's abstention from the proposal drafting
process in the minutes of the next PLC meeting.
\end_layout
\begin_layout Itemize
\series bold
Selecting a PLC Person to Fulfill a Contract.
\series default
Once a PLC has drafted and approved a development proposal, the PLC is free
to consider qualified candidates to fulfill the funded contract.
If the PLC wishes to recommend that Conservancy contract with a PLC Person
to carry out the work, the following criteria must be met:
\end_layout
\begin_deeper
\begin_layout Itemize
\series bold
Suggested Compensation.
\series default
The PLC must provide Conservancy's Executive Director (or designee) with
a suggested compensation (converted into an hourly wage) for the software
developer to be retained to fulfill the funded contract.
\end_layout
\begin_layout Itemize
\series bold
Independent Assessment of Credentials.
\series default
The PLC (or an unaffiliated PLC Person) must provide Conservancy's Executive
Director (or designee) with a written assessment as to why the PLC Person
is uniquely qualified to fulfill the funded contract.
\end_layout
\begin_layout Itemize
\series bold
Conservancy Retains Right to Request Competitive Bids.
\series default
PLCs acknowledge that Conservancy retains the right to ask for bids from
software developers in addition to PLC Person to fulfill a given contract.
Should that instance arise, Conservancy's Executive Director (or designee)
will consult with the PLC to select the candidate best suited to fulfill
the contract within the budget allotted.
\end_layout
\end_deeper
\begin_layout Itemize
\series bold
Conservancy holds Sole Authority to Negotiate and Execute Contracts.
\series default
PLCs acknowledge that Conservancy holds sole authority to negotiate and
execute contracts on behalf of Member Projects.
In turn, Conservancy pledges to negotiate all contracts zealously, putting
the best interests of the affected Member Project first.
To avoid any conflicts, PLCs must not engage in any pre-negotiation with
prospective contractors - including PLC Persons - beyond collecting the
terms of the developer(s)' bid.
\end_layout
\begin_layout Section
Project Community Members: Participating Corporations and Volunteers
\end_layout
\begin_layout Standard
The work accomplished by Conservancy and its Member Projects would not be
possible without the generous donation of time, funds, and support Project
Community Members -- including participating corporations, sponsors, and
volunteers alike.
Community members are not traditionally considered to be
\begin_inset Quotes eld
\end_inset
interested persons,
\begin_inset Quotes erd
\end_inset
and all decision-making authority rests with the PLCs and/or Conservancy.
\end_layout
\begin_layout Itemize
\series bold
Community Members Cannot Direct Funds.
\series default
Community Members are free to offer suggestions and engage in open dialogue
with PLC, key developers regarding a Project's technical direction.
However, each PLC and Conservancy must together maintain sole and final
control over that Project's technical direction and charitable mission.
Community Members who make financial donations do not receive any additional
control over a Project's technical direction beyond what is available to
other vocal, active, and contributing community members.
\begin_inset Newpage pagebreak
\end_inset
\end_layout
\begin_layout Section*
Exhibit A: Conservancy Conflict Disclosure Form
\end_layout
\begin_layout Standard
Directors, Officers and Staff Members of Conservancy each have a duty to
protect Conservancy and its Member Projects from violating state and federal
laws - and to avoid any appearance of impropriety.
Conservancy Persons serve the public interest and are to have a clear understan
ding of Conservancy's charitable mission.
All decisions made by Conservancy Persons are to be made solely on the
basis of a desire to promote the best interests of Conservancy and the
public good.
\end_layout
\begin_layout Standard
This Form is to be completed every six months and submitted to the Chairperson
of Conservancy's Board and to Conservancy's General Counsel.
\end_layout
\begin_layout Standard
Date: _____________
\end_layout
\begin_layout Standard
Next Form to be completed by (six months from now): ___________
\end_layout
\begin_layout Standard
Name: ____________________________________ Date: ____________________
\end_layout
\begin_layout Standard
Position (employee/officer/trustee): ________________________________
\end_layout
\begin_layout Standard
I affirm the following:
\end_layout
\begin_layout Itemize
I have received a copy of the Software Freedom Conservancy Conflict of Interest
Policy.
_________ (initial)
\end_layout
\begin_layout Itemize
I have read and understand the policy.
_________ (initial)
\end_layout
\begin_layout Itemize
I agree to comply with the policy.
_________ (initial)
\end_layout
\begin_layout Itemize
I understand that Conservancy is a public charity and in order to maintain
its federal tax exemption it must engage primarily in activities which
accomplish one or more of tax-exempt purposes.
_________ (initial)
\end_layout
\begin_layout Standard
Disclosures:
\end_layout
\begin_layout Standard
Please describe below any relationships, transactions, positions you (or
your family member) hold, or any other circumstances that you believe could
cause a conflict of interest as defined by the Policy between your duty
to Conservancy and your personal interests, financial or otherwise:
\end_layout
\begin_layout Standard
________ I have no conflicts to report
\end_layout
\begin_layout Standard
________ I have the following conflicts and/or potential conflicts to report:
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
I hereby certify that the information set forth is true and complete to
the best of my knowledge.
\end_layout
\begin_layout Standard
Signature: ______________________________________ Date: _________________
\end_layout
\begin_layout Section*
\begin_inset Newpage pagebreak
\end_inset
Exhibit B: Project Leadership Committee Conflict Disclosure Form
\end_layout
\begin_layout Standard
Each volunteer, academic and/or industry professional that serves on a Conservan
cy Member Project's Project Leadership Committee (PLC) have a duty to act
in the best interests of his or her Project when making decisions about
the Project's technical direction.
Every committee member must also abide by state and federal laws associated
with non-profit organizational governance.
\end_layout
\begin_layout Standard
Committee members must complete this form annually and submit it to his
or her PLC and to Conservancy's Executive Director.
\end_layout
\begin_layout Standard
Date: _____________
\end_layout
\begin_layout Standard
Next Form to be completed by (one year from now): ___________
\end_layout
\begin_layout Standard
Name: ____________________________________ Date: ____________________
\end_layout
\begin_layout Standard
Position (if applicable): ________________________________
\end_layout
\begin_layout Standard
Employer (if student or self-employed, please indicate): _______________________
_________
\end_layout
\begin_layout Standard
I affirm the following:
\end_layout
\begin_layout Itemize
I have received a copy of the Software Freedom Conservancy Conflict of Interest
Policy.
_________ (initial)
\end_layout
\begin_layout Itemize
I have read and understand the policy, in particular, Section 3 (relating
to PLCs).
_________ (initial)
\end_layout
\begin_layout Itemize
I agree to comply with the policy.
_________ (initial)
\end_layout
\begin_layout Itemize
I understand that Conservancy is a public charity and in order to maintain
its federal tax exemption it must engage primarily in activities which
accomplish one or more of tax-exempt purposes.
_________ (initial)
\end_layout
\begin_layout Standard
Disclosures:
\end_layout
\begin_layout Standard
Please describe below any relationships, transactions, positions you (or
your family member) hold, or any other circumstances that you believe could
cause a conflict of interest as defined by the Policy between your duty
to your Project and your personal interests, financial or otherwise:
\end_layout
\begin_layout Standard
________ I have no conflicts to report
\end_layout
\begin_layout Standard
________ I have the following conflicts and/or potential conflicts to report:
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
____________________________________________________________________________
\end_layout
\begin_layout Standard
I hereby certify that the information set forth is true and complete to
the best of my knowledge.
\end_layout
\begin_layout Standard
Signature: ______________________________________ Date: ________________
\end_layout
\end_body
\end_document
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