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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