Policy of Conflict of Interest Form

Preamble

Individuals serving as fiduciaries of the American Association of Orthodontists shall at all times act in a manner consistent with their legal and ethical responsibilities to the Association, and shall exercise particular care that no detriment to the Association results from conflicts between their interests and those of the Association. A conflict of interest exists when an individual has a direct or indirect (i.e., beneficiary) interest or relationship, financial or otherwise, that may conflict or be inconsistent with the individual’s duties or exercise of independent judgment with respect to the Association. If any such individual believes that he or she may have a conflict of interest, the individual shall promptly and fully disclose the possible conflict and shall refrain from participating in any way in any matter in which the possible conflict relates until and unless any such possible conflict has been properly disclosed and resolved per this policy. In addition, when nominating, electing or appointing any officer, member of a council or committee, or representative, the Board of Trustees, the House of Delegates and the President of this Association, as the case may be, shall give careful consideration to any possible conflict of interest which may exist or be created.

Resolution of Conflicts of Interest

Generally, decisions as to whether a conflict of interest exists and should be disclosed, and whether participation in matters that may be affected by the conflict of interest is appropriate, are left to the judgment of the individual. However, in some cases, the existence of a conflict of interest may materially affect the interests of the Association. In such cases, if any member of the Board of Trustees, councils, committees, House of Delegates, or representative or staff person (an “Official”) has a conflict of interest with respect to any issue and does not disclose such conflict of interest and/or refrain from participation in matters relating to the issue, then the Board of Trustees (as to fellow Board members, council members, committee members, representatives and staff) and the House of Delegates (as to any delegate or alternate delegate) shall in a manner consistent with due process, determine whether or not a conflict of interest exists, and may, by a majority vote, take one or more of the following actions:

  1. Determine that there is no conflict of interest;
  2. Determine that such Official’s disclosure of the conflict of interest is sufficient, and that no further action is warranted;
  3. Request that the Official divest himself/herself of the position or relationship that gives rise to the conflict of interest in order to participate in matters relating to the issue; and/or
  4. Require that the Official:
    • Refrain from all deliberations and actions on issues affected by the conflict of interest, including abstaining from voting thereon;
    • Be physically absent from all deliberations and actions on issues that are affected by the conflict of interest; and/or
    • To the extent permitted by law, be denied access to any and all information, including written documents and oral and written reports that relate to issues affected by the conflict of interest.

With respect to any Official representing a constituent organization:

  1. The Board of Trustees or the House of Delegates, as the case may be, shall notify the constituent organization of action referenced in paragraphs 3 or 4, above, prior to any such action being taken, and constituent organization shall have the opportunity to be represented on such matter through the appointment of another person.In addition, any consideration of a conflict of interest of an Official shall be considered during a duly scheduled meeting of the Board of Trustees or House of Delegates, as the case may be, and shall be disclosed in the minutes of that meeting.
  2. When possible, the constituent organization for whom the Official serves as a representative shall be promptly notified of the time, date and place of the meeting of the Board of Trustees or House of Delegates, as the case may be, at which its determination of the existence of a conflict of interest and action relating thereto will occur, and such constituent organization may submit a written report on any and all issues relating to the issues.

Conflict of Interest Form

In consideration of the Association’s policy and the Official’s position with the Association, each Official shall complete, sign and date the following disclosure form on an annual basis, and shall update it if and when any change in the information occurs. The purpose of this form is to allow the Association to make reasonable judgments about potential conflicts and avoid total disqualification of an individual whenever possible, while giving more guidance to individuals completing the questionnaire. This will allow individuals to continue with their work for the Association to the extent possible. Answering “yes” to many or even most of the questions may not automatically disqualify an individual. Indeed, individuals who have attained high levels of expertise through affiliation with other organizations, academia, or businesses are important to the Association, provided their activity does not involve a conflict. Please keep in mind that, to avoid even the appearance of impropriety, an Official should always disclose any relationship or interest that might affect a vote, decision or action on behalf of the Association.

PART I

For purposes of this form,

“You” and “Your” means you, your immediate family or any other third party with whom you or your immediate family has a business relationship; and

“Material Interest” means:

  1. a financial interest or professional relationship which directly, indirectly or beneficially contributes materially to your income; or
  2. a significant position, such as proprietor, director, partner, spokesperson, consultant, or key employee.

If you answer “yes” to any of the following questions, please complete Part II of this form.

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