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Organization Policies and Procedures Manual

As amended through November 2019

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Table of Contents

1. ADVERTISING ................................................................................................... 3

2. AMERICAN DENTAL ASSOCIATION ............................................................... 8

3. ASSOCIATONS, OTHER……………………………………………………………10

4. COMMUNICATIONS........................................................................................ 12

5. CONSTITUENTS ............................................................................................. 23

6. COUNCILS AND COMMITTEES ..................................................................... 26

7. EDUCATION .................................................................................................... 27

8. GOVERNMENT RELATIONS ......................................................................... 28

9. LEGAL ............................................................................................................. 29

10. LIBRARY, CHARLES R. BAKER MEMORIAL ................................................ 33

11. MEETINGS AND CONFERENCES .................................................................. 50

12. MEMBERSHIP ................................................................................................. 54

13. POSITION STATEMENTS ............................................................................... 64

14. PRODUCT AND PROGRAM ENDORESMENTS ............................................ 73

15. PUBLICATIONS AND AAO PRODUCED MATERIALS .................................. 80

16. RELATED ENTITIES ....................................................................................... 82

17. SEAL ............................................................................................................... 84

18. STAFF AND CENTRAL OFFICE ..................................................................... 85

19. VENDORS ....................................................................................................... 90

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Chapter 1. ADVERTISING 1.1. AAO ADVERTISING GUIDELINES May 6-18, 2005 Amended February 16-18, 2006 Amended February 2009 Amended November 19-20, 2010 Amended 18, May 2015 Amended November 18-19, 2017 Amended November 16-17, 2018 The AAO welcomes advertising in its publications as an important means of keeping the orthodontist informed of new and better products and services for the practice of orthodontics. Such advertising must be factual and provide useful product and service information. These standards apply to advertisements in The Practice Management Bulletin, the American Journal of Orthodontics and Dentofacial Orthopedics (AJO-DO), electronic publications including the eBulletin, and all Annual Session publications, and inserts for the Annual Session conference bags. The publication of an advertisement is not to be construed as an endorsement or approval by the AAO or any of its subsidiaries, councils, committees or agencies of the product or service being offered in the advertisement unless the advertisement specifically includes an authorized statement that such approval or endorsement has been granted. The fact that an advertisement for a product, service or company has appeared in an AAO publication will not be referred to in collateral advertising. The AAO reserves the right to accept or reject advertising at its sole discretion for any product or service submitted for publication, regardless of whether it complies with these standards. General Requirements 1. All advertisements submitted for display in an AAO publication, are subject to review by

the AAO or its designees, and except as to the AJO-DO, must contain the following designation: “Paid Advertising*” in conspicuous size and location.

2. All advertisements should be relevant to, and effective and useful in, the practice of

orthodontics. Products or services that are of interest to orthodontists or the dental profession may be considered for acceptance.

3. Advertisements must not be deceptive or misleading. All claims of fact must be fully

supported and meaningful in terms of performance or any other benefit. The Association reserves the right to request additional information as needed.

4. Advertisements will not be accepted if they conflict with or appear to violate AAO policy,

the AAO Principles of Ethics and Code of Professional Conduct or its Bylaws, or if the advertisements are deemed offensive in either text or artwork, or contain attacks of a personal, racial or religious nature. The AAO reserves the right to decline advertising for any product involved with a government agency challenge or denial of product marketing.

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5. By submitting advertising copy, advertisers certify that such copy and the advertised product(s) are in accord with applicable government laws and regulations, such as equal opportunity laws and regulations covering new drug applications and prescription drug advertising. For example, products that require approval by the U.S. Food and Drug Administration for marketing must receive this approval before being eligible and must include “full disclosure” when required. It is the responsibility of the advertiser to conform to regulations of the FDA and all legal requirements for the content of claims made for products. Acceptance of advertising in AAO publications is not to be construed as a guarantee that the manufacturer has complied with such laws and regulations.

6. Complete scientific and technical data, whether published or unpublished, concerning

product safety, operation and usefulness may, in the sole discretion of the AAO, be required.

7. The advertisement may cite, in footnotes, references from dental and other scientific

literature provided the reference is truthful and is a fair and accurate representation of the body of literature supporting the claim made.

8. The following disclaimer shall be included in a conspicuous location in all AAO

publications other than the AJO-DO: “*PAID ADVERTISING: Advertising in this publication represents the opinions of the advertiser, and not the American Association of Orthodontists (AAO). The AAO has not verified, and is not under any duty to verify, any of the claims set forth therein. An independent determination as to the accuracy of the claims and statements should be made by the reader.”

9. Display advertising and classified advertising with respect to employment, purchase of

practice, participation or any other contractual relationship with any dental care delivery mode or system may be accepted for publication only in the AJO-DO.

10. Alcoholic beverages and tobacco products are not eligible for advertising. 11. Books and electronic media are eligible for advertising, but a sample may be required in

advance for review. 12. An AAO publication will accept advertisements from an accredited university or college-

affiliated dental education course, either on a graduate level or on a continuing-education level, or by a national certifying board or specialty society recognized by the ADA or by a nonprofit that sponsors a dental education course. Meetings, seminars, symposia and other educational events hosted by vendors, including advertisers and their related for-profit enterprises, may not be promoted within advertising content in any AAO media outlet.

13. The advertiser and the product or service being offered should be clearly identified in the

advertisement. In the case of drug advertisements, the full generic name of each active ingredient will appear.

14. Advertising that simulates editorial content must be clearly identified as advertising. The

word “advertisement” must be displayed prominently. The word advertisement must be placed at the top center of the page; The word advertisement must be sized at 16-point;

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The logo(s) of the company/companies whose products are featured in the advertorial must appear in the ad.

15. Guarantees may be used in advertisements provided the statements that are

“guaranteed” are truthful and can be substantiated. However, no guarantee should be used without disclosing its conditions and limitations. When space or time restrictions preclude such disclosures, the advertisement must clearly reveal where the full text of the guarantee can be examined before purchase.

16. Advertisements must not quote the names, statements or writings of any individual,

public official, government agency, testing group or other organization without their express written consent.

17. If evidentiary support for a claim required by these Guidelines is not available (i.e., as to

the AJO-DO), the advertiser must choose from among one of the following three options: 1. Maintain the advertiser’s wording, and place an asterisk after the claim or statement

that will refer the reader to at least two published, peer-reviewed research articles that will be placed at the bottom of the advertisement.

2. Maintain the advertiser’s wording and, if no peer-reviewed references are available, place an asterisk after the claim or statement that will refer the reader to the following statement that will be placed at the bottom of the advertisement: *Not yet verified by peer-reviewed research.

3. Change the wording of the advertisement to eliminate the unfounded claim or statement. (In some cases only specific phrases, adjectives or quantifiers may need to be deleted, as opposed to entire statements.)

18. When the deliberations between the AAO and an advertiser in the AJO-DO warrant, the

editor-in-chief of the AJO-DO will make contact with the advertiser. Criteria for Substantiation of Comparative Claims The following Criteria for Substantiation of Comparative Claims provide guidance to advertisers on what constitutes “adequate substantiation”, and shall apply to the AJO-DO, and may, at the discretion of the AAO, apply to all other publications. The ultimate test is whether the claim, when viewed in the context of the advertisement as a whole, is false or materially misleading. Comparative advertisements may include the use of a competitor’s name and the description of a comparable product or service, including price, if the comparison is made in a manner that is not false or misleading. 1. Comparative claims relating to clinical safety or efficacy should be supported by results

from at least one well-designed clinical study that directly compares the products. These studies should have been published in a peer-reviewed journal. Additional studies may be required.

2. Comparative claims that include references to products and appliances being superior, the first or only in a specific market or product category, or claims concerning shorter treatment time, less discomfort, better treatment results, more biological or more stable must be substantiated. Such claims should be supported by results from at least two well-designed clinical studies that directly compare the products. These studies should have been published in peer-reviewed journals. Additional studies may be required.

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3. Clinical studies should follow accepted principles of good study design (e.g., independent, blinded if appropriate, adequately powered, well-controlled [should normally include a negative control, if ethical, to validate the study], randomized, prospective, etc), and study subjects should be representative of the population for whom the product is intended.

4. Indices used to measure various clinical outcomes (e.g., gingival indices, plaque indices,

radiographic indices, ABO Objective Grading System, etc.) should be reliable and reproducible, and should have been published in a peer-reviewed journal.

5. All available studies comparing the products or formulations in question should be

submitted on request. 6. If other comparative studies give conflicting results, advertising claims will not be

accepted unless they reflect these results. 7. Results should be both statistically analyzed and shown to be clinically meaningful. 8. Studies should analyze and compare the change in the measured parameter for the test

product vs. the change in that parameter for the compared product. REVIEW PROCEDURES Pictures of individual patient treatments are meant to imply, make, or extend a claim. If pictures of patient care are included in an advertisement, the following wording must be included in the advertisement as a footnote: “Individual case reports may not be indicative of the average or expected treatment effect.” All advertisements must be submitted to the Advertising Manager. The advertisements will then be reviewed by AAO staff before submission to the Advertising Review Committee. If an advertisement appears to meet the guidelines, but is questioned by a member of the advertising review committee or related staff on the basis that the advertisement does not meet the AAO’s standards for professional appearance or has questionable interest to orthodontists for the dental profession, the advertising review committee (and the editor in the case of the AJO-DO) will confer and render a decision by conference and vote. When the evaluation committee determines that the claims made in an advertisement are unfounded, the advertiser will be offered three options: 1. Maintain the advertiser’s wording and place an asterisk after the claim or statement that will refer the reader to at least two published, peer-reviewed research articles that will be placed at the bottom of the advertisement. 2. Maintain the advertiser’s wording and, if no peer-reviewed references are available, place an asterisk after the claim or statement that will refer the reader to the following statement that will be placed at the bottom of the advertisement: *Not yet verified by peer-reviewed research.

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3. Change the wording of the advertisement to eliminate any unfounded claims or statements. In some cases only specific phrases, adjectives or quantifiers may need to be deleted, as opposed to entire statements. When deliberations between the evaluation committee and an advertiser need further clarification, the editor-in-chief of the AJO-DO (who is a permanent member of the evaluation committee), will make direct verbal contact with the advertiser’s representative, in order to explain the advertising policy of the AAO and to help negotiate a positive solution to any stalemate in the deliberations over a particular advertisement. If the advertising review committee is unable to agree on the acceptance of an advertisement, then a decision to accept or reject an advertisement may be deferred to the Executive Committee of the Board of Trustees of the American Association of Orthodontists for further review at its next regularly scheduled meeting. A decision by the advertising review committee is final, or, if referred by the advertising review committee to the Board of Trustees Executive Committee, a decision by the Board of Trustees Executive Committee is final. 1.2. ADVERTISEMENTS BY ASSOCIATION MEMBERS November 17-18, 2000 It is the policy of the American Association of Orthodontists that the Association shall not provide advance opinions as to whether advertisements by Association members comply with the Association’s Principles of Ethics and Code of Professional Conduct. Members making advertisements are solely responsible for ensuring that the content complies with the Association’s Principles of Ethics and Code of Professional Conduct and other applicable ethics codes and laws. 1.3. VENDOR ADVERTISING November 21-22, 2008 Vendor advertising, following AAO policy guidelines, be allowed in AAO publications such as the e-Bulletin, and on AAO website(s) such as AAOinfo.org unless expressly prohibited beginning June 1, 2009.

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Chapter 2. AMERICAN DENTAL ASSOCIATION 2.1. AAO MEMBER INVOLVEMENT IN ADA 2.1.1. ADA CANDIDATES (FINANCIAL SUPPORT) February 23-24, 1992 Amended April 29-May 1, 1997

The AAO will not provide direct financial support to any ADA candidates, however, if circumstances dictate, AAO members may be encouraged to support a specific candidate's campaign. This policy does not prevent a constituent or component organization from supporting a favorite son candidate.

2.1.2. AAO MEMBERS SERVING ON ADA-RELATED ENTITIES November 18-19, 2005

As soon as practical after the ADA Annual Session, staff shall compile a list of all ADA Board members, officers, councils, and committees designating all AAO members who serve on those entities and that such list be provided to the Board of Trustees.

2.2. ADA ANNUAL SESSION 2.2.1. ADA HOUSE OF DELEGATES December 7-8, 1991 Amended February 23-24, 1992 Amended May 12-14, 1998

The following is the communication protocol for AAO members who serve as delegates or alternate delegates to the ADA House of Delegates:

1. The Central Office will distribute information about proposed ADA resolutions. 2. AAO Trustees will contact delegates or alternate delegates prior to the ADA

annual session to review ADA resolutions of interest to orthodontists. 3. The Board of Trustees will identify issues and establish priorities relating to ADA

resolutions.

2.2.2. PENDING ADA HOUSE OF DELEGATES’ RESOLUTIONS October 28, 1972 Editorially Amended November 30, 2016

The position of the AAO on pending ADA House of Delegates resolutions with significant AAO concerns shall be communicated to those AAO members serving as ADA delegates and alternates.

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2.2.3. ADA HOD RESOLUTIONS CONFERENCE CALL November 19-21, 1999 Editorially Amended November 30, 2016 Amended November 18-19, 2017

The date for the BOT conference call as related to discussion of the ADA House of Delegates resolutions will be determined by staff and will be entered in the AAO calendar.

2.2.4. ATTENDEES AT ORTHODONTIC CAUCUS December 6-8, 1998

The following will be invited to attend the AAO caucus held during the ADA annual session:

1. AAO members who serve on ADA councils, committees, task forces, the

Commission on Dental Accreditation, ADPAC and similar ADA related entities.

2. AAO members who are delegates and alternate delegates to the ADA House.

3. AAO members who have served the previous year as ADA delegates or alternate delegates, members of councils, committees, task forces, the Commission on Dental Accreditation, ADPAC and similar ADA-related entities.

4. AAO members newly appointed to ADA councils, committees, task forces, the

Commission on Dental Accreditation, ADPAC and similar ADA-related entities.

5. AAO members who are or have served on the ADA Board of Trustees.

2.2.5. ADA DESSERT RECEPTION ATTENDEES August 18-19, 2006

AAO members shall be invited to attend the AAO-hosted Dessert Reception at the ADA Annual Meeting 2.3. ADA PRESIDENT/PRESIDENT-ELECT November 17-18, 1990 November 15-17, 2001 The AAO shall invite the ADA President or President-Elect and Executive Director to attend a portion of one AAO Board meeting to discuss matters of common interest. 2.4. ADA EXHIBIT SPACE AT AAO/CONSTITUENT ANNUAL SESSIONS February 22-23, 1986 Amended February 20-22, 1993 The ADA shall be provided, upon request, exhibit space at the AAO Annual Session to promote ADA membership services (excluding ADA insurance programs). ADA shall not be charged a fee for exhibit space, but will need to cover all direct costs associated with the exhibit. AAO constituent organizations shall be advised concerning such AAO policy and shall be encouraged to provide similar exhibit space for the ADA during constituent annual sessions.

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Chapter 3. ASSOCIATONS, OTHER 3.1. AMERICAN DENTAL EDUCATION ASSOCIATION Amended November 16-17, 2018 The Council on Orthodontic Education (COE) is encouraged to hold one of its meetings each year in conjunction with the annual meeting of the American Dental Education Association (ADEA). Members of the COE are encouraged to attend the entire ADEA meeting and to participate in the Orthodontic Section meeting. The staff liaison to the COE should also attend and participate in the ADEA and Orthodontic Section meetings. The President and the Chief Executive Officer, or their designees are authorized to attend the ADEA meeting when in their judgment it is appropriate to attend. May 12-14, 1998 The AAO will host an event for all ADA-recognized specialties during the ADEA Annual Session to discuss areas of mutual concern. April 30 – May 2, 2012 COE was instructed by the BOT to select and send a delegation of up to six AAO members to the ADEA Annual Session. Duties identified by the BOT related to ADEA will be carried out by the delegation. The delegation could consist of the chair of the COE, the President of the SOE, the President of the AAO, the trustee liaison to COE, and one or two other educators appointed by the Council on Education who consistently lead efforts of mutual interest within the COE and/or SOE.

3.2. DENTAL ASSISTING NATIONAL BOARD

3.2.1. DENTAL ASSISTING NATIONAL BOARD December 6-8, 1998 Amended November 18-19, 2017 The following are guidelines in relationship to DANB:

1) The AAO will nominate (name) two members to sit on the DANB test construction

committee. These members will have test question development experience. 2) The AAO will not nominate a member to sit on the DANB Board. 3) The AAO will not endorse DANB but work with them in a symbiotic relationship to

develop tests that truly test the staff procedures normally performed in an orthodontic office.

4) The AAO BOT will continue to provide free space to DANB at the annual session.

3.3. FDI WORLD DENTAL FEDERATION February 17-19, 2005 The AAO shall maintain an Associate membership in the FDI World Dental Federation

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3.4. EXHIBIT BOOTH AT INTERNATIONAL MEETINGS February 18-20, 2010 In addition to the representation by the AAO President at the European Orthodontic Society (EOS) annual meeting and, from time to time, other joint international meetings (such as the Asia-Pacific meeting), the AAO shall secure an exhibit booth to recruit and retain international members. The Chief Executive Officer or other appropriate employee shall staff the booth.

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Chapter 4. COMMUNICATIONS

4.1. COMMUNICATION May 1-3, 2001 In order to facilitate communication, any written or electronic communication to delegates or alternate delegates, other councils or committees within the AAO family, from a council or committee stating an official position shall also be provided to the respective trustee and staff liaison prior to distribution. 4.2. COMMUNICATION BETWEEN LEGISLATIVE COUNSEL AND THE AAO February 17-19, 2005 It is understood that the daily communication between the Legislative Counsel and the AAO is with the staff liaison, the following protocol will be utilized for issues of significant importance:

AAO Staff Liaison to COGA/PAC AAO BOT Liaison to COGA/PAC AAO Chief Executive Officer AAO President AAO President–Elect Chairmen of COGA/PAC AAO Government Relations Advisor

4.3. CRISIS COMMUNICATIONS PLAN August 22-24, 1992 The Need for a Plan No organization is immune from the possibility of a crisis. However, when a crisis occurs, its possible negative effects on the organization involved, as well as on the public's confidence in that organization, can be minimized--and, in many cases, even avoided--by the implementation of a comprehensive crisis communications plan. The Media's Role During a Crisis In general, during a crisis, the media should be regarded as an ally not as an adversary. This, of course, is not always easy to do. In their pursuit of facts and details, especially during a crisis, reporters can be blunt and abrupt. Often, they are looking for the negative aspects of a story because those negatives are perceived by some in the news media to make for "better copy." Additionally, reporters work "on deadline." In fact, the entire news business is structured by deadlines. Accordingly, reporters' tempo of work and level of activity is increased. Still, with all its apparent imperfections, the news media is the most important resource an organization can use to get its message across to the public during a crisis. The Organization's Role During a Crisis

During a crisis, the organization should be a helpful, credible and accessible source of information. This approach--and a well-thought-out crisis communications plan--not only assists

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reporters in their news gathering efforts, it also helps ensure that the organization will "get its case across."

At times during a crisis, this flow of information should be almost constant, even when the situation is unchanged or negative. An organization can build credibility and, again, improve its chances of getting fair and full treatment, by addressing a crisis in a straightforward manner. Repressing information, on the other hand (i.e., the "no comment" response), can become a news story in and of itself.

Additionally, given the nature of the news business and its constant deadlines, quickness is also a key. Media calls should be responded to promptly. "We'll get back to you" cannot only be misconstrued as evasive; it also can result in a reporter missing a deadline and, more importantly, an organization missing its chance to communicate important information.

4.4. MEDIA CALLS February 20-22, 2003 Media calls should be responded to by a member of the Board instead of staff. 4.5. ELECTRONIC COMMUNICATION WITH MEMBERS April 30-May 2, 2012 Amended July 19, 2014 Amended November 21-22, 2014 Amended November 18-19, 2017 INTRODUCTION Electronic communications must be controlled by the AAO so that they are meaningful and valuable for members and are of a type and frequency so as not to become burdensome. The following paragraphs are intended to be applicable to eBulletins and other electronic communications published by the AAO, including paid advertising/exhibitor product eBulletins sent prior to the Winter Conference and Annual Session. Advertisers and exhibitors may not purchase member e-mail addresses or fax lists from the AAO unless expressly approved by the BOT. This electronic communications policy does not include mailing lists and email blasts, both of which are addressed in section 4.6. CONTENT AND DISTRIBUTION

The general eBulletin shall be the primary electronic information source for association news and announcements. All electronic communication shall have an “opt-out” option for AAO members. All subject lines must be clear and shall match the message content. Exhibitors’ product eBulletins distributed prior to meetings, shall include a conspicuous

statement as a heading and/or within the message body indicating that the email is an advertisement. Consistent with the AAO advertising policy for publications other than the AJO-DO, the statement “PAID ADVERTISING” will be required in these publications. Banner ads appearing in electronic publications must include the disclaimer PAID

ADVERTISING. One banner ad per issue may appear in the general eBulletin. Formatting: Text fonts and headline fonts shall be those that are easy to read and

display well on a computer monitor. Examples of these fonts include Arial, Times New Roman or Verdana.

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Font styles specifications: Underline: shall only be associated with hyperlinked text Italics: should be limited in use, because this font style does not display well on a

computer monitor. Some examples of its use include: date lines and volume numbers.

Bold font: shall be used where appropriate for the content and where underlines or italics might otherwise be used.

All broadcast email must provide opt-out information. This is a legal requirement for use of the eBulletin.

OPT-OUT/UNSUBSCRIBE

All eBulletins will provide unsubscribe information in the message footer. Unsubscribing must be done by clicking on an embedded web link that will automatically unsubscribe the recipient’s email address. Opt-out requests must be honored.

FAX COMMUNICATION Faxes to members are sent on an individual basis upon request from the member. The AAO does not utilize blast fax communication. MEMBER APP PUSH COMMUNICATION The AAO should follow accepted best practices when using this method of communication. The following criteria are to be taken into consideration prior to sending a push notification.

• The AAO will ensure that each push notification is a timely, relevant notification that adds value to, and enhances, the member experience*.

• Message content is to be simple, direct and as brief as possible. • When feasible, the entire message is to be contained within the push notification, so as

to avoid forcing recipients to enter the member app or website for more information. • The AAO mobile app may not use push notifications to send advertising, promotions, or

direct marketing of any kind, per the AAO’s agreement with Apple. • When possible, there will be segmentation of the audiences to which push notifications

are sent. The same message may not be appropriate for distribution to the entire member base.

• The AAO will not use push notifications as the exclusive method of sending critical notifications since not all members have opted-in to receive push notifications.

• The AAO will not send confidential or sensitive information through push notifications. *Examples of Acceptable Push Notifications:

• Opening of registration for AAO meetings. • The approach of the end of “early” registration and accompanying lower registration

fees. • Critical legislative news that affects orthodontists in particular and dentistry in general. • Disaster relief information – how members affected by a disaster can apply for help from

the AAO; how members can donate to the Disaster Relief Fund to help members affected by a disaster.

MEMBER TEXT MESSAGING

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Outbound Text Messages

• The AAO will ensure that each outbound text message is a timely, relevant notification that adds value to, and enhances, the member experience*.

• Text message content is to be simple, direct and as brief as possible. • When possible, there will be segmentation of the audiences to which text messages are

sent. The same message may not be appropriate for distribution to the entire member base.

• The AAO will not use text messages as the exclusive method of sending critical notifications.

• The AAO will not send confidential or sensitive information through text messages. • The AAO will make members aware that “standard charges may apply” to text messages

they receive from the AAO. • Text messages from the AAO will be sent only to recipients who opt-in/subscribe to

receive the communication. GOVERNANCE All eBulletins will go through the AAO approval process. This policy will be reviewed annually by AAO staff and by way of report, the Board of Trustees to determine its effectiveness and limitations, and to address any unforeseen issues 4.6 MEMBERSHIP MAILING LISTS AND EMAIL BLASTS November 20-21, 1987 November 17-19, 1995 Revised November 22-24, 1996 Revised August 18-19, 2000 Revised May 1-3, 2001 Revised February 20-22, 2003 Revised August 22-23, 2003 Revised 2013 Revised August 19, 2017 Revised November 18-19, 2017 Revised November 16-17, 2018 Mailing List and Email “Blast” Policy-2013

For AAO and AAO-Related Entities

Mailing lists are provided on electronic media and include street addresses (or PO Box), city, state, country and postal codes. They do not include email addresses. Mailing lists of the American Association of Orthodontists (AAO) shall, upon written request for the item setting forth the use of these lists and agreement to comply with this policy, be provided as a revocable license to:

1. AAO members for one-time use of the list for campaign purposes in constituent or component elections.

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2. AAO Insurance Administrators, American Board of Orthodontics, College of Diplomates of the American Board of Orthodontics (CDABO) and sponsors of other AAO endorsed programs and services for use in relation to such programs;

3. Constituent and component organizations for any use consistent with the objectives and purposes of the Association;

4. AAO Foundation, AAOPAC; 5. Schools that provide advanced and pre-doctoral education programs in orthodontics

accredited by the American Dental Association for marketing such programs to orthodontists.

Notwithstanding anything else in this policy, the list of US and Canadian member email addresses may be provided quarterly to be used to promote the endorsed insurance programs by the contracted insurance administrator.

Mailing lists on electronic media are provided only for a one-time use, must be destroyed after such single use, and may not, under any circumstances, be sold, forwarded or otherwise transferred by the requesting party to any person, firm or entity. Appropriate staff will “seed” mailing lists to ensure that the requesting entities abide by the single use restriction.

Review

Requests for mailing lists and email blasts shall be submitted to the Membership Services Representative, who shall forward the requests to the following members of the AAO staff for final approval as follows (numbers correlate to the categories of requests above):

1. Director of Membership 2. Senior Manager of Endorsed Programs 3. Chief Operating Officer (COO) 4. COO 5. Member Services Representative Any and all material to be sent to those individuals on any mailing list or mailing labels obtained from the AAO must be approved before the request for the rental of lists or sale of labels is approved. Such material should be submitted and approved before the request for names, addresses, and/or mailing labels is approved. If any staff member has a concern with the request, the Chief Executive Officer and Vice President, Advocacy and General Counsel shall be consulted in advance of a decision. If the Chief Executive Officer has any concerns with the request, Board Committee C shall be consulted in advance of a decision. A decision by the Board of Trustees is final.

If requested, electronic communications from the AAO Foundation and AAOPAC, other than solicitation for contributions, will be sent directly by the AAO after approval of the content of the communication. The communication will be sent to only those AAO members who have provided e-mail addresses to AAO and have not opted out of the electronic communication list.

Fees

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The above is subject to modification by the Executive Committee of the Board of Trustees. Absent an agreement between the AAO and requesting parties to the contrary, current fees are as follows: AAO members, orthodontic departments, American Board of Orthodontics, and AAO insurance administrators and sponsors of other AAO-endorsed programs and services: Electronic Media $75.00 Constituent and Component Organizations of the AAO

Electronic Media (Addresses and E-Mail Addresses) $75.00 Eblasts $75.00 fee for each communication AAO Foundation, AAOPAC: Notwithstanding any other provision of this policy, the AAOPAC and AAO Foundation are specifically exempted from any fees related to email “blasts”. (Note: this section existed in previous policy under Eblasts. The only change is that it was moved to fall under Fees for ease of reference.) For Entities Not Directly Related to AAO

Mailing lists (lists on electronic media) of the American Association of Orthodontists shall, upon written request for the item setting forth the use of these lists and agreement to comply with this policy, be provided as a revocable license to:

1. Exhibitors who display at a meeting of the AAO within the previous three years of the request and advertisers in the American Journal of Orthodontics and Dentofacial Orthopedics in the previous three years of the request for any use consistent with the objectives and purposes of the Association; and

2. ADA-recognized dental specialty organizations; and

3. Mailing lists on electronic media are provided only for a one-time use, must be destroyed after such single use, and may not, under any circumstances, be sold, forwarded or otherwise transferred by the requesting party to any person, firm or entity. Membership Services staff will “seed” mailing lists to ensure that the requesting entity abides by the single use restriction.

The above is subject to modification by the Executive Committee of the Board of Trustees. Absent an agreement between the AAO and requesting parties to the contrary, current fees are as follows:

Exhibitors at AAO meetings (who may be an AAO member), advertisers in AJO/DO or The Bulletin (who may be an AAO member), ADA-recognized dental specialty groups:

Electronic Media $.25 per name

Review/Liability

Requests for mailing lists shall be submitted to the Meetings Director for final approval. Requests for mailing lists of AAO meeting attendees shall be fulfilled by the AAO’s registration company. All other requests shall be fulfilled by AAO staff. Any and all material to be sent to those individuals on any mailing list obtained from the AAO is the property of the sender, and

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shall not in any way, without advance written approval from AAO, include any indication that the material or sender are connected in any way to the AAO, or have been approved or endorsed by the AAO. Additionally, the maker of such request for mailing lists shall agree to fully indemnify the AAO for any damage or liability that may arise out of the mailing.

Any such request for mailing lists may be denied for any reason in the AAO’s sole and absolute discretion.

Avoid Conflicts

Notwithstanding the foregoing, the AAO mailing list and/or email blasts may not be available to any member, for-profit organization or person for use in any manner which adversely affects the AAO, its constituents, components and/or members, as determined by the AAO, in its sole and absolute discretion. An exception is requests from exhibitors to promote pre- or post- Annual Session courses taking place within 48 hours of the start of Annual Session scientific sessions or after the exhibition closes, and in compliance with all AAO rules for such programs.

The AAO mailing list and/or email blasts shall not may be available to nonprofit organizations that offer orthodontic educational programs such as meetings, webinars or other events to advertise the programs, even if they conflict with constituents, components and/or members’ events, if Committee C determines that the proposed educational content is consistent with the AAO’s mission.

Email “Blasts” for Schools and Other Entities

AAO staff has, historically, provided the service of sending email “blasts” to members on behalf of schools and other entities related to the orthodontic community, including but not limited to AAO Related Entities. Vendors other than endorsed/approved services are not eligible to purchase email blast services. The value of the service is acknowledged as worth the staff resources to accommodate the requests in a reasonable and efficient manner.

Review

All requests for such communications should initially be made to the Member Services Department. A Member Services representative shall forward to appropriate AAO staff, as shown on page 15, to review the request to make sure that the requested communication is related to the objectives and purposes of the AAO. If AAO Staff has any concern with the request, the Chief Executive Officer and Vice President, Advocacy and General Counsel shall be consulted in advance of a decision. If the Chief Executive Officer has any concerns with the request, Board Committee C shall be consulted in advance of a decision. A decision by the Board of Trustees is final.

The AAO will not provide any guarantee, express or implied, as to the eventual approval of the requested communication or the timeliness of the email “blast” in which it will be sent to members.

4.7. CONSTITUENT AND COMPONENT E-MAIL ADDRESSES November 15-17, 2001 Amended September 5-6, 2014 Amended November 18-19, 2017

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Unlimited access of each constituent’s and component’s members’ e-mail addresses shall be provided at no charge to the constituent executive directors and component officers. 4.8. WEB SITES HOSTED ON AAO WEB PLATFORM August 24-25, 2001 Amended November 18-19, 2017 Web sites of AAO departments, activities, services, councils/committees and related organizations (including constituents) that are hosted on the AAO Web platform shall exist under aaoinfo.org and not be a separate bifurcated site with a unique domain name; and any group marketing its own domain will have that site link to the AAOmembers.org home page. 4.9. SURVEYS November 17-19, 1989 Amended August 19-21, 1995 Amended April 29-May 1, 1997 August 20-21, 2010 Revised August 19, 2017 Amended November 18-19, 2017

Surveys sent by the AAO shall be separated into two divisions. AAO-related Division consists of: Board of Trustees, councils, committees, task forces, constituent and component organizations, and AAO-family organizations (AAO Foundation, AAO Services, Inc., ABO, CDABO, AAOIC, AAOPAC, World Federation of Orthodontists, and Canadian Association of Orthodontists). Non-AAO related surveys consist of surveys prepared by students and faculty (see related policy on Non-AAO Entity Surveys/Partners in Research Program). A Survey Review Committee shall be the approving body for AAO entity surveys. COE shall be the approving body for Non-AAO entity surveys. If either the Survey Committee or COE has concerns with a survey, it may be forwarded to the Board of Trustees for action. The Survey Review Committee shall consist of three Board members and shall be determined yearly by the President.

NON-AAO ENTITY SURVEYS/PARTNERS IN RESEARCH PROGRAM August 21, 2009 Amended August 20-21, 2010 Amended November 18-19, 2011 Amended April 29-30, 2013 Amended November 22-23, 2019 The AAO Partners in Research (PIR) program is established for the distribution of surveys via mail or email on behalf of faculty or residents of orthodontic residency programs accredited by the Commission on Dental Accreditation (CODA) or the Commission on Dental Accreditation of Canada (CDAC).

SURVEY REQUESTS

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All requests to participate in the PIR program may come from faculty or residents of CODA or CDAC-accredited orthodontic residency programs. Resident or faculty requests from other specialty programs must be in collaboration with a CODA or CDAC-accredited orthodontic residency program and confirmed by the Orthodontic Department Chair or Program Director.

PIR requests from non-AAO related entities other than CODA or CDAC-accredited orthodontic residency programs may be considered on a case-by-case basis. IRB approval may not be required depending on the nature of the survey or organization. Requests are submitted electronically to the appropriate staff member and must include the following information and documentation to be considered complete:

A. Contact information (name, university, email address) B. Title of the study/survey. C. Cover Letter describing the purpose and potential benefit of the survey. D. Document including all questions in their final form. E. Request for email distribution and/or mailing list F. Survey link for email distribution (if appropriate) G. Survey greeting or cover letter for intended audience H. Class(es) of membership to be surveyed (i.e., Active, Academic (non

US/Canada graduates), Student, Service, Retired, International, International Student)

I. Desired time frame for survey distribution and one reminder (if requested) J. Evidence of approval or exemption by the appropriate Institutional Review

Board (IRB) K. Signed agreement form including:

a. Signature from the Department Chair or Program Director confirming that the survey meets the institution’s threshold of scientific merit for research

b. Signature from the resident or faculty member confirming that all results will be shared with the AAO upon request

L. Notification of processing fee as determined by AAO staff M. Payment information to be processed at time survey application is

submitted

Requests must be reviewed and approved by the AAO Vice President, Advocacy and General Counsel and COE prior to distribution.

SURVEY PROCESSING FEE

A processing fee of $275 is due at time the survey application is submitted.

CONDITIONS OF APPROVAL

The appropriate staff member will review the information and documentation included in the request to ensure completion.

The Vice President, Advocacy and General Counsel will review the survey and email greeting to ensure legal compliance.

COE will review the survey and all required documents to ensure compliance with AAO policy.

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EMAIL OR COVER LETTER GREETING

Members must be given the option to unsubscribe from future PIR emails.

All emails must include a special subject line, banner, and disclaimer to clearly distinguish AAO-based surveys from external surveys. Mailed surveys must include the AAO Partners in Research logo and disclaimer.

Subject Line: AAO Partners in Research: [Name of Study]

Banner: AAO Logo/Partners in Research

“This survey is being forwarded as a partnership between the AAO, educational institutions, and researchers to improve our knowledge-base.”

Disclaimer: The AAO Partners in Research program was established for the distribution of research surveys on behalf of educational institutions and researchers. Through this program, members are given an important opportunity to participate in academic research and support the AAO’s mission of advancing the art and science of orthodontics. The following research survey is being sent to you under the parameters of this program, but has not been created, reviewed, or approved by the American Association of Orthodontists (AAO). As such, the AAO has no representation, opinions, or involvement in the nature or use of this survey.

DISTRIBUTION

Surveys may be distributed via email or mail to a random sample of up to 2,300 members (this number may be lower depending on the membership class(es) identified for distribution).

Mailing lists can be provided upon request in the form of an excel spreadsheet or printed labels. Only member names and mailing addresses can be included.

Distribution lists must exclude members who have received a PIR survey within 60 days. If this results in a smaller distribution list at the time of approval, then the requestor will be given the option to proceed as is or wait to until a larger distribution list is available.

One reminder email may be scheduled within one month of the initial email.

Requests to distribute two or more related surveys require separate submissions for each individual survey.

Requests for volunteers to participate in follow-up interviews, focus groups, etc. must be incorporated in the original survey (i.e., the researcher is responsible for collecting contact information from prospective volunteers).

RESULTS

Survey results may be requested by the AAO per the agreement submitted as part of the PIR request.

SURVEY REQUEST PROCESS

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1. Requests are submitted online and will be processed by the appropriate Education staff member in the order they are received.

2. The Education staff member will review the request to ensure completion and forward the documentation to the Vice President, Advocacy and General Counsel and COE for approval.

3. Once the review process is complete, the Education staff member will notify the requestor of the outcome of his or her request and if any changes are requested.

4. Once approved, the Education staff member will prepare the email or cover letter for distribution and send to the requestor for approval.

5. The Education staff member will schedule the initial email and reminder (if requested) or provide mailing list via excel and/or printed labels.

6. Attachment A contains the complete section.

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Chapter 5. CONSTITUENTS 5.1. POLICY CONCERNING COMPONENT SOCIETIES (STATE) IN CONSTITUENT ORGANIZATIONS May 24, 1977 Amended November 17-19, 1995 Amended April 29-May 1, 1997 Amended April 21-23, 2014 Amended September 5-6, 2014 Amended November 18-19, 2017 1. AAO members in each state shall be encouraged to develop a properly organized and

active component organization. 2. Component organizations must affiliate with its constituent organization(s). The

component is a component of the constituent organization and not a component of the AAO. Constituent organizations should execute an Affiliation Agreement with each affiliated component organization. The terms of the constituent/component relationship will be governed by the Affiliation Agreement.

3. Each component organization should have a voting position with the governing body of the constituent organization.

4. Purposes of the component organization may include:

a. Liaison with state dental associations in all matters affecting orthodontics, particularly legislation, public and professional relations, third-party program and peer review mechanisms.

b. Liaison with state dental service corporations, if in operation. c. Liaison with state legislatures and other governmental agencies in cooperation

with the state dental association. d. Liaison with public health agencies within the state. e. Liaison with insurance companies and industries within state boundaries.

5. Meetings of the components are encouraged to emphasize matters related to the above stated purposes.

6. Use of the AAO trademarked logo by component organizations on letterhead and other publications must comply with the Logo Standards Manual and by policies adopted by the Board of Trustees.

7. Applications for AAO Membership shall be processed by the AAO’s Membership Services Department in consultation with the appropriate constituent organization. The Membership Services Department is responsible for:

a. Verifying applicant’s enrollment in an ADA/CDA accredited orthodontic program

for Student Membership. b. Verifying applicant’s completion of educational requirements in accordance with

the AAO Bylaws. c. Verifying, at the time of application, ADA membership for all US applicants and

WFO membership for all International applicants in accordance with the AAO Bylaws.

d. Verifying that AAO Pledge has been duly signed. e. Communicating with applicants in a timely and courteous manner, making every

effort to facilitate securing membership in the AAO.

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f. Communicating any unusual circumstances or difficulties in approval of membership applications to the AAO Board of Trustees in a timely manner and working with the board to resolve any issues.

g. Submitting a roster of members to the Board of Trustees for election. h. Communicating with constituent organizations regarding applicants approved for

membership in that organization. Whenever the word "state" is used herein, it shall include a province, commonwealth or territory, and the District of Columbia. 5.2. CONSTITUENT ORGANIZATION BYLAWS November 20-21, 1987 Subsequent to any amendment of AAO Bylaws, the constituent organizations shall promptly amend any provisions in their bylaws which conflict with or limit the AAO Bylaws. Any provision in the constituent organization bylaws that conflict with or limit the AAO Bylaws are automatically rendered void. Internal procedures for reviewing constituent organization bylaws: A. Following any AAO Bylaws amendments, Vice President, Advocacy and General

Counsel will review all the constituent organizations' bylaws to determine if any conflicts or limitations exist.

B. If any such conflicts or limitations exist, then the Vice President, Advocacy and General

Counsel should so advise the Chief Executive Officer. The Chief Executive Officer and Vice President, Advocacy and General Counsel, in cooperation with the President, shall notify the president of the constituent organization in writing. Such notification shall be over the President's signature and shall advise the president of the constituent organization concerning the perceived conflict or limitation.

5.3. ATTENDANCE AT CONSTITUENT ORGANIZATION MEETINGS 5.3.1. CENTRAL OFFICE STAFF TRAVEL December 7-8, 1991 Amended February 20-22, 1993 Amended April 29-May 1, 1997 Amended January 20-22, 2003 Amended August 19-20, 2005 Amended August 16- 7, 2019 The Chief Executive Officer or his/her senior staff designee will visit the constituent meetings each year whenever practical. Visits should be long enough to attend constituent Board meetings and general membership meetings as requested by the respective constituent. He/she shall, when requested, make reports on the status of the Association to the constituent board of directors and the constituent membership meeting and be available to participate in new member orientation and other programs as the constituent organization may request. His/her report shall be coordinated with the President or President-Elect and the Trustee for that constituent organization. The Chief Executive Officer shall establish a regular rotation so that he/she participates with

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both the President and President-Elect on an equal basis whenever possible.

Other Central Office staff may, with the approval of the Chief Executive Officer, attend constituent organization meetings in order to accomplish programmatic objectives such as membership services exhibits, risk management workshops, direct reimbursement workshops, public relations programs, etc. The cost of the travel and participation by the Chief Executive Officer and staff for the above programming will be borne by the AAO. 5.4. GIFTS FOR OUTGOING CONSTITUENT PRESIDENTS November 20-22, 1992 Amended November 18-19, 2017 The AAO official representative to the annual meeting of a constituent organization shall present a suitable memento to the outgoing president on behalf of the Association. The cost shall not exceed $60 per gift. 5.5. CONSTITUENT ORGANIZATION MEETING DATES August 28-29, 1988 Amended November 19-21, 1993 Amended April 29-May 1, 1997 Amended November 16-17, 2018 A. A constituent organization shall select a date for its annual meeting that is desirable in

terms of the needs of its membership. Constituents are encouraged but not required to avoid conflicts in dates with AAO and ADA meetings. Constituents are required to inform the AAO of meeting dates. To assist constituents in coordinating activities – and to help coordinate travel of AAO officers to constituent meetings – the AAO Central Office will maintain an official meeting calendar, which will be emailed to all constituents’ executive directors as changes occur. Constituents may not place a "hold" or date beyond a five-year period or the last confirmed date of the annual session of the American Dental Association, whichever is first.

B. No two constituents may meet concurrently unless the meetings are planned jointly. All

meeting dates should allow three days between meetings for exhibitor travel. 5.6. CONSTITUENT AD-INTERIM MEETINGS February 19-21, 1999 Every effort is to be made not to schedule meetings of the Board of Trustees, councils, committees, etc. of the AAO in conflict with constituent ad-interim meetings; and the AAO-related organizations are requested to honor AAO’s Board policy.

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Chapter 6. COUNCILS AND COMMITTEES 6.1. MATCH PROGRAM November 14-15, 1997 May 12-14, 1998 The penalty for any orthodontic training program which violates its Match Agreement will be determined on a case-by-case basis by the Council on Orthodontic Education, in consultation with the AAO Vice President, Advocacy and General Counsel and subject to approval of the Board of Trustees. 6.1.2. MATCH SERVICE EXEMPTION POLICY May 9-11, 2011 Amended November 18-19, 2017

1. A Committee of COE will review and consider applications for position exemptions to accredited orthodontic graduate programs that specifically raise this issue for positions to reserve orthodontic residency openings because of existing commitments to Ph.D., military or dual degree students.

2. The AAO will give written notice to each accredited orthodontic program of the exemption policy. Institutions must then send a formal request for a position exemption based on the specified criteria to the Director of Education at the AAO.

a. The orthodontic training must be an integral part of a recognized/official "combined" program (PhD/specialty or dual specialty). What must be avoided are informal or unofficial arrangements between a program and an applicant, for example where a program asks the applicant to do a master’s degree, or a GPR residency, or a pre-residency fellowship in the dental department, and then the orthodontic program will take the applicant the next year if they like the applicant's performance.

b. Criteria for position exemption that can be used to assess these situations in the

future on a requested individual case basis.

c. Program and applicant must have, and submit, a written agreement that commits the position to the applicant and the applicant to the position, after appropriate prerequisites have been completed (e.g. research program, other specialty training).

d. This agreement between the program and applicant must have been made at least 15 months prior to the start of the orthodontic clinical training.

6.2. SOCIETY OF ORTHODONTIC EDUCATORS LEADERSHIP CONFERENCE November 21-22, 2008

It shall be the responsibility of the Council on Orthodontic Education to submit at least two educators’ names to the Board of Trustees for its November Board meeting for consideration as honoree for the Society of Orthodontic Educators Leadership Conference.

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Chapter 7. EDUCATION

7.1. CONSUMER AWARENESS PROGRAM April 26-28, 2010 The formal name of the AAO’s campaign designed to inform and educate consumers about orthodontics, orthodontic care, and to increase AAO members’ market share, be formally known as the Consumer Awareness Program.

7.2. DISTANCE LEARNING 7.2.1. DISTANCE LEARNING EDUCATION PROGRAMS November 15-17, 2001 Distance learning educational programs shall be offered to members and members’ staff. 7.2.2. DISTANCE LEARNING PROGRAM COMPENSATION PROGRAM August 23-24, 2002 Speakers/educators who participate in the AAO Distance Learning Program by allowing their presentations to be recorded and distributed at the discretion of the AAO will be compensated. 7.2.3. DISTANCE LEARNING PROGRAM SPEAKER APPRECIATION GIFT November 16-17, 2007 An appreciation gift of $350 shall be offered to each speaker selected for the AAO distance learning program.

7.3. HPV IMMUNIZATION May 6, 2019 (38-19 H) That the AAO adopt the following policy regarding vaccination for Human Papilloma Virus;

The AAO supports educating and counselling patients and parents concerning vaccination for Human Papilloma Virus (HPV) in accordance with the latest CDC recommendation. It also supports routine examination of patients for oral and oropharyngeal cancers and collaboration with the ADA on HPV vaccination education and awareness.

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Chapter 8. GOVERNMENT RELATIONS 8.1. LEGISLATIVE VISITS TO WASHINGTON DC August 21, 2009 The AAO shall advocate for orthodontics through regular communications with policy makers, including sending representatives to Washington, DC, for Hill visits at crucial times during the legislative year. 8.2. KEY CONTACTS SELECTION GUIDELINES August 24-25, 2001 To be selected as a Key Contact, the AAO member shall make every effort to attend AAO governmental affairs functions as requested, and demonstrate one or more of the following:

1. Have a demonstrated interest in federal legislation and regulations affecting the practice

of orthodontics through, for example, communicating with elected federal officials as to issues affecting the practice of orthodontics, and be willing to continue acting on such interest.

2. Possess a personal connection (i.e., friend, advisor) to the Member of Congress in his/her district.

3. Demonstrated a commitment to federal elections through having: a. Made a recent material monetary contribution to (i) an existing elected official or

his or her campaign or a series of such contributions in the past, or (ii) the AAOPAC; or

b. Participated in an election campaign for an existing federal official or candidate for federal office (i.e. through grassroots assistance, hosting fundraising, etc.).

8.2.1. KEY CONTACT February 20-22, 2003 An AAO Key Contact, who is a constituent of the legislator attending VIP events, may be invited to attend the event when it is determined to be especially beneficial by the COGA Chairman and Trustee Liaison. 8.3. LEGISLATIVE UPDATE August 24-25, 2001 Staff shall prepare a legislative update for AAO members.

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Chapter 9. LEGAL 9.1. LEGAL FEES October 19, 1974 February 20-22, 1993 Amended November 18-19, 2017 Requests from constituent or component organizations for AAO legal assistance must be submitted to the Board.

9.2. LEADERSHIP INDEMNIFICATION November 16-17, 2007 The AAO shall include a memorandum with the conflict of interest forms completed by AAO leadership and council/committee members each year (1) informing them of the fact that the AAO indemnifies them under the Bylaws for actions undertaken on behalf of the Association, (2) explaining why AAO leaders cannot get involved in ethics cases, and (3) informing them that nothing can be done to stop such complaints. 9.3. SEXUAL HARASSMENT AND FRATERNIZATION February 25-27, 1995 Amended April 29-May 1, 1997 Amended November 15-17, 2001 SEXUAL HARASSMENT

It is the policy of the American Association of Orthodontists that all employees and members should enjoy an environment free from unlawful harassment. The Association is committed to maintaining a pleasant, professional work environment, and behavior that could be perceived as sexual harassment is prohibited. This policy prohibits unlawful harassment in any form, including sexual harassment, unlawful harassment relating to race, color, age, ethnicity, religion and disability or any other legally protected characteristic. Sexual harassment has no place at the Association, and will not be tolerated. Sexual harassment includes unwelcome sexual advances, requests for sexual acts or favors, unsolicited and intimidating sexual overtures or other verbal or physical conduct of a sexual nature when (a) submission or rejection of such conduct is a term or condition of employment or is a basis for employment decisions or (b) such conduct interferes with an individual’s work performance, or (c) the conduct creates an offensive or intimidating work environment. Harassment can include, but is not limited to, the following behavior: Verbal conduct such as sexual innuendo, sexually suggestive “kidding” or “teasing,” jokes about gender-specific traits, unwanted sexual overtures or comments, inquiries or discussions concerning one’s sexual experiences, comments about an individual’s body; Visual conduct such as derogatory and/or sexually oriented posters, photography, cartoons, drawings, e-mails or gestures; Physical conduct such as unwanted touching, intentional brushing against the body;

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Threats or demands to submit to sexual requests as a condition of continued employment or to avoid loss of benefits, or offers of benefits in return for sexual favors; and Retaliation for having reported or threatened to report harassment. Whenever possible, any person who is experiencing unwelcome conduct of the type generally described above should inform the person engaging in the conduct that it is unwelcome and request that it stop. All members, especially those in leadership position, are warned not to engage in such conduct in connection with the performance of the Association activities. This includes the member’s relationships with AAO staff, as well as anyone that the member encounters as part of his/her Association responsibilities, e.g. other members and staff of other associations, exhibitors, vendors, etc.). Member leaders are urged to remember that their positions carry authority and that it may be difficult for an employee to differentiate between a request that must be addressed as part of their assigned duties and personal requests. Any person who believes that he/she has been unlawfully harassed by a member, co-worker, supervisor or other business visitor of the AAO, or who has witnessed such harassment, is strongly encouraged to report the facts of the incident or incidents to the Chief Executive Officer. The AAO can only resolve matters brought to its attention; accordingly, the AAO encourages all persons to come forward with information about allegations of unlawful harassment. Retaliation for making a complaint or cooperating with an investigation of alleged harassment is strictly prohibited. In the event of a conflict of interest or in the absence of the Chief Executive Officer, the information may be reported to the Vice President, Advocacy and General Counsel. All complaints will be addressed promptly, and confidentiality will be maintained to the extent possible. The complainant may be required to submit the complaint in writing. No adverse or retaliatory action will be taken against an employee, member or member leader for filing a complaint. Complaints will be investigated in a fair and impartial manner and the complainant and the person complained about will be informed of the result of the investigation although not necessarily the specific action taken. In the event it is determined that the complaint has merit, appropriate action (up to and including termination) will be undertaken by the AAO.

FRATERNIZATION

Members of the Association should never engage in sexual relations with AAO employees. Such conduct can adversely affect the operation and reputation of the Association.

9.4. LEGAL ASSISTANCE TO CONSTITUENTS AND COMPONENT ORGANIZATIONS October 20, 1974 Amended April 29-May 1, 1997 Amended November 18-19, 2017 1. The American Association of Orthodontists will participate in any litigation in which it is

named a party defendant and the fees will be paid by the Association for its own respective counsel.

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2. The American Association of Orthodontists will consider participating as a party in cases where it has not been named as a party, if there are multi-state implications and the interests and purposes of the Association will be properly advanced.

3. A factor in determining whether the American Association of Orthodontists will

participate in cases that it has not been made a party is whether the case or its outcome could frustrate policy decisions of the House of Delegates, membership requirements educational standards or the interests and purposes of the Association.

4. No substantial legal assistance should be given to a constituent organization,

component organization or member with an individual legal problem that should be resolved by his or her own individual legal counsel.

5. Any request for material legal undertaking by the Association will be presented to the

Chief Executive Officer and Vice President, Advocacy and General Counsel for initial review, and then to the Board of Trustees for its approval prior to any such action being taken.

6. Constituent and component organizations should promptly advise the Association of its

desires to become involved in any material litigation, or if it is made or threatened to be made a party to any material litigation. The Association shall review the matter and may direct the constituent or component as to the substantive and/or procedural disposition of the matter, without regard to whether the Association participates financially in the matter.

7. Constituent and component organizations may, from time to time, seek guidance from

the Association on legal matters, without regard to whether the Association participates financially in the matter, as long as sufficient resources are available and the providing of such assistance does not conflict with the Association’s policies or applicable law.

9.5. COPYRIGHT PROTECTION August 28-29, 1988 Amended April 29-May 1, 1997 All original works developed by the AAO through staff, volunteer or independent contractors shall be deemed work for hire, and is, therefore, the property of the Association, indicate the AAO’s copyright interest a such “© 2000 American Association of Orthodontists” and shall be registered for copyright protection with the U.S. Copyright Office where appropriate.

9.6. USE OF PRINTED MATERIAL November 18-20, 1994 The AAO, through its councils and supported by the membership, has developed extensive printed material for the exclusive use of the membership. The unauthorized use of these materials, when reported to the AAO, will result in appropriate action. 9.7. THE LEGAL, LEGISLATIVE AND REGULATORY PRIORITIES DIRECTIVE May 6, 2019 (37-19 H) That the AAO reassess and redirect its priorities for advocacy and financial expenditures toward state legal, legislative and regulatory activity including consolidation of advocacy in Washington,

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DC via collaboration with other dental organizations, including other specialty organizations. The goal is to re-examine expenditures at the federal level, while maintaining federal advocacy priorities and service levels, and to develop and increase a state and regional advocacy system. The Board of Trustees shall periodically present progress updates to the membership and House of Delegates, including November 2019 and February 15, 2020.

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Chapter 10. LIBRARY. CHARLES R. BAKER MEMORIAL Charles R. Baker Memorial Library is the official name of the AAO Library (approved HOD May 1971). Its mission is to meet the information needs of the AAO members and staff. The AAO Library preserves some historical records of the AAO. Also, limited orthodontic items are inventoried and stored in the AAO Library collection. Over the years, the Board of Trustees has approved several policies that guide how the AAO Library is managed. These policies can be found in the Internal Administration Procedures Manual and include:

• General Collection Development Policy (amended April 2014) • Reference Collection Development Policy (amended April 2014) • Rare Book Collection Development Policy (amended May 2008) • Digital/Online Material Collection Development Policy (amended April 2014) • AAO Library Gift Policy (approved December 1998) • Library Usage and Library Services Provided (amended November 2008) • Specific Guidelines Regarding Scanning Articles and Books (approved May 2011)

GENERAL COLLECTION DEVELOPMENT POLICY Amended April 21-22, 2014 Introduction The mission of Charles R. Baker Memorial Library is to meet the information needs of AAO members. The AAO Library also preserves some historical records of the AAO along with some orthodontic items. This Collection Development Policy provides guidelines for building a collection of resources to meet the information needs of AAO members and staff. Abbreviations Used in this Policy AAO American Association of Orthodontists AAOF American Association of Orthodontists Foundation ABO American Board of Orthodontists BOT Board of Trustees HODHouse of Delegates WFO World Federation of Orthodontists Clientele The clientele for the AAO Library are the AAO members and staff. A secondary clientele are patrons served by filling Interlibrary Loan requests from other medical libraries. Scope and Coverage Introduction

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The major focus of the collection is orthodontic resources in monograph and journal formats. This includes resources which support the business side of an orthodontic practice. A lesser focus of the collection is peripheral dentistry subjects: general dentistry, pediatric dentistry, oral surgery, periodontology, temporomandibular joint disorders and dental radiology. Materials are collected primarily in the English language. Subject Scope of the Collection The AAO Library uses the definitions developed by the American Library Association (ALA) to describe the levels at which various subject areas are collected. The definitions of collecting levels are based on those defined in the ALA Guidelines for the Formulation of Collection Development Policies. Comprehensive: a collection which contains all works in all languages and all formats in a particular field. Its aim is exhaustiveness. The AAO Library does not collect at the Comprehensive level. Research: a collection which includes the major published source materials. This includes: materials containing research reporting, new findings, scientific experimental results, and other information useful to researchers. It also includes all important reference works and a wide selection of specialized monographs, as well as an extensive collection of journals and major indexing and abstracting services in the field. Basic: a highly selective collection which serves to introduce and define the subject and to indicate the varieties of information available elsewhere. It includes major dictionaries and encyclopedias, selected editions of important works, historical surveys, important bibliographies, and a few major periodicals in the field. Minimal: a subject area in which only the most basic works are selected, such as a basic text and a basic reference tool. Subject List and Collecting Level

Call Number Subject LEVEL

Reference Works, General Works

WU 1 Organizations, Societies Basic

WU 11 History Basic

WU 13 Dictionaries. Encyclopedias Basic

WU 17 Atlases, Pictorial works Basic

WU 29 Dental infection control Basic

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WU 44 Malpractice Basic

Ethics, Professional Practice and Personnel

WU 50 Dental ethics Basic

WU 77 Dental economics, Practice management Research

Anatomy, Physiology, Hygiene

WU 101 Anatomy, Histology, Morphology, Embryology Minimal

WU 105 Dental emergencies (General) Minimal

Diseases, Technology

WU 140 TMJ/TMD Basic

WU 141 Cephalometry Basic

Dental Materials

WU 190 Dental materials Minimal

Dental Anatomy, Diseases

WU 230 Dental pulp, Tooth root, Endodontics Minimal

WU 240 Periodontium, Alveolar process, Gingiva (Periodontics) Minimal

Operative Dentistry

WU 300 General works Basic

Orthodontics

WU 400 General works Research

WU 417 Atlases Research

WU 426 Orthodontic appliances Research

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WU 440 Occlusion, Malocclusion Research

Special Patient Groups

WU 470 Dental care for the disabled Basic

WU 480 Pediatric dentistry, Dental care for children Basic

Oral Surgery

WU 605 Tooth extraction Basic

WU 610 Maxillofacial injuries, Mandibular injuries Basic

WU 640 Dental implantation, Tooth reimplantation, Transplantation Minimal

Formats The AAO Library collects materials in these formats: books, journals, online/digital and DVD. Other formats are present in the collection, but no longer actively collected; these include slides, photographs (with the exception of digitized photographs) and VHS tapes. Selection Criteria The AAO Library welcomes suggestions for the addition of resources from AAO members. The following criteria are used in making collection decisions:

• Supports the major focus of the AAO Library collection • Demonstrated or anticipated demand for the resource • Appropriate scholarly and intellectual level • Currency of the resource • Authority of the resource

ADDITIONAL GUIDELINES BY FORM OR TYPE OF RESOURCE AAOF The AAOF Year in Review is collected. Academic Theses The AAO Library does not actively request theses from ADA and CDA accredited orthodontic programs, but accepts theses that are sent to the Library by such programs. Only electronic copies of theses are accepted for the collection. Only one copy of a thesis will be retained in the collection. Annual Session/Winter Conference The AAO Library collects all material published regarding the Annual Session and Winter Conference. Meeting materials, for example, Invitation to Participate, Exhibitor Guide, Pocket Guide, etc., are collected either in print, electronic format, or both.

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AAO Material Two copies of all AAO material that is in a print format will be kept for archival purposes. It is the responsibility of the AAO department producing the material to forward material to the AAO Library. Board of Trustees/House of Delegates The Executive Department, not the AAO Library, is responsible for Board of Trustees and House of Delegates materials. Print copies of the material from 1901-2012 are housed in the library collection. Material from 2013-present can be found on the N drive in the BOT and HOD folders and on Causeway, a web-based collaboration platform used by the BOT. Books A concentrated effort is made to collect all English-language orthodontic books. Foreign-language orthodontic books are received as donations to the AAO Library. Up to two copies of a particular book title will be retained in the collection. Peripheral dentistry books will be retained in the collection as long as there is room. Biographies and Autobiographies (see also Personal Narratives) Biographies and autobiographies of orthodontic professionals are collected very selectively. Case Histories Monographs that are collections of case histories are collected selectively. Constituent Material Constituent histories, newsletters and OnSite Programs from annual meetings are collected from the constituents. Directories of Members AAO print membership directories are collected. Selected membership directories from orthodontic organizations prior to 1920 are also collected. Examination Guides Examination guides that are produced to aid members in preparing for specialty or board exams are not collected. Government Publications Government documents are not collected. Since most government documents are now available electronically, the AAO Library staff will provide a link to requested documents when available. Journals

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A concentrated effort is made to collect all English-language orthodontic journals. Foreign-language orthodontic journals are received as donations to the AAO Library. English language orthodontic journals will be retained indefinitely in the collection. AJODO: Since the AJODO is available electronically from volume 1, issue 1, the AAO Library will keep 1 copy of each issue in the collection. The AAO Library does not keep extra issues of the journal and is not able to fill members’ requests for missing issues. Members should contact the AAO Membership Services Department for help in acquiring missing journal issues. Peripheral dentistry journals will be retained in the collection as long as there is room with the exception of the Journal of the American Dental Association, which will be retained indefinitely in the collection. Lectures and Speeches The AAO Library no longer collects DVDs of Annual Session lectures. Taped lectures are available through the AAO’s Online Lectures database. The AAO Library does collect the Opening Ceremony, Excellence in Orthodontics Luncheon and the President’s Video Biography. These are for archival purposes only. The AAO Library does receive a complimentary copy of the Annual Session/Winter Conference recorded lectures. These are for archival purposes only. Annual Session recorded lectures are only checked out to AAO members who were HOD members for a particular Annual Session. The Winter Conference recorded lectures are not checked out to AAO members. Newspapers The AAO Library subscribes to the St. Louis Post Dispatch, USA Today and the Wall Street Journal. These newspapers are retained for two weeks. Orthodontic Items Unique and historic orthodontic items only are collected for the Archives. Anyone seeking to add an item to the collection must state the name of the donor, the name of the item and its significance to the practice of orthodontics. Personal Memorabilia Personal memorabilia are not collected. This includes but is not limited to framed degrees; framed licenses; achievement plaques and trophies, personal letters, newspaper/journal articles, photographs, etc. The AAO Library will consider for the collection personal memorabilia if it directly relates to the AAO. Personal Narratives Personal narratives are collected selectively. Personal narratives must directly relate to the AAO. Photographs

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Photographs relevant to AAO activities are not actively collected but will be considered for the collection if they can be digitized. Photographs must be marked as to what the event is, who is in the picture and the date of the event. Plaques and Gifts Plaques and gifts given to the AAO will be inventoried, packed and stored. The following information must be supplied along with the plaque or gift: why the plaque or gift is being given to the AAO; by whom the plaque or gift is being given and the date. Slides Slides are not collected by the AAO Library. Surveys Electronic copies of survey results distributed by the AAO for AAO purposes are not collected. Survey results can be found on the O Drive – Education – Surveys folder. Survey results from surveys conducted by residents are not collected. Textbooks Orthodontic textbooks are collected and shelved in the AAO Library circulating collection. Translations Orthodontic materials translated from a foreign language into English are collected as appropriate. Unpublished Materials Manuscript materials of historical interest are collected selectively for the Rare Book collection. WFO The WFO newsletter and the OnSite Program from the WFO quinquennial meeting are collected. The AAO Library does not collect the following:

• Ads created by the AAO Marketing Department • AAO e-Bulletins, AAO Annual Session e-Bulletins • Most AAO material produced in an electronic format. Electronic material associated with

Annual Session/Winter Conference are collected • Newsletters from dental organizations and orthodontic schools • Press releases • Awards given to AAO departments

DONATIONS – SEE THE AAO LIBRARY GIFT POLICY (SECTION 12.5) Collection Review

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The AAO Library reviews its collection on a regular basis to determine usefulness and/or the possible relocation or disposal of items. This review may include cancellation of subscriptions and weeding the collection. Review is a continuous procedure. The purpose of reviewing the collection is to increase the currency of the collection and to create space for new items to be added to the collection. Each item will be considered individually and as a part of the total collection. When reviewing items for removal, librarians rely on established best practices to determine which items to retain or deaccession. Items of historical significance will be moved to the Rare Book Collection. Orthodontic journals and books are retained indefinitely. REFERENCE COLLECTION DEVELOPMENT POLICY Amended April 21-22, 2014 Objectives Resources are selected for the reference collection in accordance with the general collection development policy. Reference materials are non-circulating. Subject Scope Information resources are selected for the reference collection as follows:

• Major reference tools in the field of orthodontics • Peripheral coverage (dictionaries) in dentistry and medicine

Resource Types The reference collection includes the following types of resources: Abstracting and Indexing Services Major dentistry abstracting and indexing services in English which are national or international in scope are collected. Online access is preferred. General Works The reference collection includes a selective collection of resources needed to meet the general information needs of AAO members and staff. The collection includes:

• Dental/orthodontic dictionaries • Foreign language orthodontic dictionaries • Medical dictionary • Textbooks • Bibliographies

Textbooks The most current edition of the following are kept in the reference collection:

• Graber – Orthodontics: Current Principles and Techniques • Proffit – Contemporary Orthodontics

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Reviewing the Reference Collection The reference collection is reviewed periodically. Resources are removed to keep the collection current. RARE BOOK COLLECTION DEVELOPMENT POLICY February 21-23, 2008 May 12-14, 2008 Purpose The AAO Library acquires, preserves, and makes available for research those books which, because of their rarity, value, or significance to Orthodontics, are housed and serviced as the AAO Library Rare Book Collection. The Rare Book Collection is an integral part of the AAO Library. This policy outlines general guidelines for the AAO Library Rare Book Collection Development Policy. Collection Guidelines The primary method of acquisition is by transfer from the circulating collection of the AAO Library. Donations of materials appropriate to the AAO Library Rare Book Collection will also be accepted. The AAO Library does not offer payment to AAO members or any other person who might approach the AAO Library to purchase their collection. Categories and Characteristics The following categories and characteristics are considered when books are evaluated for inclusion in the AAO Library Rare Book Collection. The presence of one or more of these characteristics ensures that the book will be brought to the attention of the AAO Librarian, but it does not automatically ensure that the book will be added to the collection. Formats and Physical Characteristics Fine facsimiles of important primary sources or research texts are collected, as well as First editions of significance, books inscribed or autographed by persons of some significance. Only one copy of each book determined to meet the criteria of the collection will be placed in the AAO Library Rare Book Collection. The book chosen will be the book in the “best” physical condition. All other copies of the book will be placed in the circulating collection and AAO members will be able to check out those books. Subject Areas The AAO Library Rare Book Collection will focus only on Orthodontics. Special consideration is given to books written by the “Fathers of Orthodontics.” Authors include but are not limited to: Kingsley, Angle, Case, Dewey, Ketcham, and Hellman. Publication Date Most Rare Book Collections are devoted to books with imprint dates prior to 1800. However, books focusing on the field of orthodontics were first published in the late 1880’s. Books to be included in the AAO Library Rare Book Collection will be published prior to 1945.

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Books may be considered for inclusion in the AAO Library Rare Book Collection when they bear a publication date earlier than 1945. Books published after 1945 may be considered for inclusion in the AAO Library Rare Book Collection if they are of unusual value, whether monetary or associative (i.e. written by an author who has made significant contributions to the field; a book having a special association to a member of the AAO). A list of books added to the AAO Library Rare Book Collection is emailed to the Library Advisory Committee. The committee can request that the librarian remove any book from the rare book collection; the book will then be transferred to the general collection or discarded, as appropriate. Languages English is the most commonly collected language, but materials are collected in foreign languages if appropriate to the subject area. Catalog and Circulation All books in the AAO Library Rare Book Collection will be catalogued and listed in the AAO Online Catalog. Books in the AAO Library Rare Book Collection may be viewed by appointment only in the AAO Library by AAO members. Books in the AAO Library Rare Book Collection will not circulate. The AAO Library Rare Book Collection will be housed in the AAO Library collection. DIGITAL/ONLINE MATERIAL COLLECTION DEVELOPMENT POLICY Amended April 21-22, 2014 Purpose As library resources are increasingly moving from traditional print formats to digital/online formats, the AAO Library will, when possible, acquire, preserve, and make available for research material that is published in a digital/online format. This policy outlines general guidelines for the AAO Library Digital/Online Material Collection Development Policy. Collection Guidelines Digital/online material may be purchased from a company or may be acquired, via donation, from AAO members. The AAO Library does not offer payment to AAO members or to any individual who might approach the AAO Library to offer their digital/online collection(s). The person offering their digital/online material must own the copyright to the material. Selection Criteria

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Digital/online material must meet the selection criteria already stated in the Collection Development Policy. The following also applies:

• The author of the material must be an AAO member. • The author must have previously published material in at least one of these formats:

book, e-book, journal, or e-journal. Categories and Characteristics The following categories and characteristics are considered when digital/online material is evaluated for inclusion in the AAO Library Collection. Format The format of the digital/online material must be supported by the AAO website. Subject Areas Digital/online material must focus on orthodontics or peripheral dentistry fields that include orthodontics as part of an interdisciplinary treatment. Languages Digital/online material must be in English. Hosting of Digital/Online Material The AAO may at any time remove the material from the AAO website without giving notice to the donor. The following disclaimer will be included in the digital/online material on the AAO Library website: “The information contained in the digital/online material section of the AAO Library website has not been reviewed by the AAO. Claims and representations made in this material are those of the authors alone.” The author of the material must give a written statement to the AAO to the following effect:

• The author holds the copyright on the material • The author gives permission to the AAO to place the material on the AAO website

The author must allow AAO members to use the material for free. The AAO will not provide the author with contact information or email addresses of members who access the material. AAO LIBRARY GIFT POLICY December 6-8, 1998 The library and archives of the American Association of Orthodontists exists as a service to assist members in their continuing education. It serves as repository of orthodontic publications, related dental and association publications, along with recordings of AAO’s annual sessions, and houses some of the archives of the Association, and serves as the Trustee for collections of the AAO Foundation.

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The AAO and the AAOF encourages gifts to the library and archives, when these gifts are deemed suitable to the collections. The Association and the Foundation greatly appreciate the interest and support of all donors, past, present and potential. The primary consideration for the acceptance of gifts is the contribution such gifts will make to the breadth, depth and mission of the collection. The following procedures will be followed by the Librarian when considering the acceptance or rejection of any donations to the library or the archives:

• Donations of library and archival materials (except for those of the AAO) should be directed to the AAO Librarian.

• If the potential donation significant monetary value, then the AAO Librarian will contact the AAO Foundation Executive Vice President on how to proceed with the potential donation.

• Gifts should be orthodontic in nature, or of current or historical interest to the Association or the Foundation.

• Potential donors are requested to submit a written statement of the proposed gift, specifying its content and condition along with a photograph. This statement should be submitted to the AAO Librarian.

• Potential donors of books are requested to submit a list of the books. The list should include the following for each book: author, title, edition and year of publication. This list should be submitted to the AAO Librarian.

• The AAO Librarian will evaluate all proposed non-book gifts to determine their potential

value to the library and will determine, with the help of the Library Advisory Committee, whether the gift should be accepted or rejected.

• For books, the AAO Librarian will determine if the title is needed for the collection and will inform the donor which book(s) are wanted for the collection.

• Neither the AAO Library nor the AAOF will appraise the gifts. Any appraisals are the responsibility of the donor.

• Transportation of the gifts to the AAO Library is the responsibility of the donor. However,

the AAOF may, at its discretion, provide for such transportation or the cost of shipping.

• Donors whose gifts are accepted will receive a letter of acknowledgment from the AAO Library or AAOF shortly after receipt of the gift.

• Acceptance of gifts is without condition as to their eventual disposition.

• All gifts become the sole property of the AAO.

Library Usage and Library Services Provided

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February 21-23, 2002 Amended November 21-22, 2008 AAO Member Onsite Usage and Services Provided The AAO Library will be available for use by all members during normal AAO central office business hours of operation, provided sufficient advance notice has been given to the librarian. When sufficient notice is impossible, access is at the discretion of the librarian who will make every effort to accommodate members’ use if the librarian is available. Reproductions of library material are subject to availability of the librarian and equipment. The librarian will determine whether the material is in good enough condition to be copied. The librarian will make every effort to accommodate the member's needs but will have the final discretion regarding the use of all library materials. AAO Member/International Member Offsite Usage and Services Provided Books – Lending The AAO Library staff will lend book(s) from the AAO Library collection only to AAO members who live in the United States and Canada. Books are checked out for 45 days with renewal possible if no other member is requesting the book(s). The AAO will pay for the mailing charges to get the book to the member. The member is responsible for the mailing charges to return the book to the AAO Library. An AAO member who checks out a book from the AAO Library and does not return the book is responsible for replacing the book. The AAO Library will attempt to purchase another copy of the lost book. If a copy can be purchased, then the AAO member will be charged the cost for replacing the book. If a copy cannot be purchased, then the AAO member will be charged the cost for replacing the book with a book similar to the lost book. Books – Scanning/Copying Sections The AAO Library staff will scan/email or copy/mail pages from a book as long as no copyright violation is involved. Theses The AAO Library staff will scan/email or copy/mail the title page, introduction, abstract, summary/conclusion and bibliography of a thesis The AAO Library staff will attempt to interlibrary loan the title page, introduction, abstract, summary/conclusion and bibliography of a thesis title not available in the AAO Library collection. The AAO Library staff will not lend theses.

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Archive Material/Rare Books/Reference Books and Materials The AAO Library staff does not lend members archival material, books in the rare book collection or books/material in the reference collection. This includes all annual session OnSite programs, past issues of the AAO Bulletin and all constituent materials. Journal Issues AAO members can request articles in the collection to be scanned/emailed or copied/mailed free of charge. US copyright law prohibits the copying/scanning of entire journal issues, and the AAO Library must abide by that prohibition. The AAO Library staff will not lend journal issues from the AAO Library collection to AAO members. Reference Service/Mediated Literature Searches The AAO Library staff will provide reference services and mediated PUBMED literature searching to members. The AAO Library staff will email results of these searches to members.

Interlibrary Loan The AAO Library staff will provide Interlibrary Loan service to members for journal articles. The AAO Library staff will not Interlibrary Loan books for members. AV Material The AAO Library staff will circulate audio tapes and MP3s of annual session lectures to HOD members only. The AAO Library staff does not lend VHS tapes, DVDs, CDs, audio tapes, slides or MP3s in the collection to members. AAO Student Member/International Student Member Offsite Usage and Services Provided The policies in section 12.6.b apply to student members/international student members with the exception that the AAO Library does not provide Interlibrary Loan services to student members/international student members. Non-member Onsite/Offsite Usage The use of the AAO Library and its material is a benefit of being an AAO member. The AAO library and its services are not available for use by non-members. Specific Guidelines Regarding Scanning Articles and Books May 9-11, 2011 AAO Members/International Members/Retired Members The AAO Librarian will scan/email 1 journal article out of a journal issue for a member.

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The AAO Library will not scan/email 2 journal articles out of the same issue for the member on the same request. Rationale: This is in compliance with Section 108(e) of the United States Copyright Law. The AAO Librarian will scan/email 1 chapter of a book. If more than 1 chapter is requested by the member then the librarian will ask the member if they would like to check out the book. Rationale: This is in compliance with the small excerpts language of Section 108(d). The AAO Librarian will only scan/email 10 journal articles a week for a member. Rationale: To prevent potential violations of the US Copyright Law.

All journal articles emailed will have a page inserted before the first page of the article. This page will contain the copyright statement. Rationale: Prior to seeing the article the member, when the article is open, will encounter the copyright statement. The AAO Librarian will use interlibrary loan to request articles for members when those articles are not found in the library’s own collection. However, statement 1 will be applied to all requests. Rationale: This is in compliance with Section 108(e). The use of interlibrary loan in such a case is appropriate, since the AAO Library serves as the members’ main library for obtaining orthodontic/dental literature. All scanned/emailed articles become the property of the user. Rationale: This is in compliance with the small excerpts language of Section 108(d). Open Access Journals: When a journal article request is from an open access journal (the article is free and one does not need a username and password to access the article), then the library staff will email directions explaining how to obtain the requested article from the open access journal’s website. Rationale: A member can retrieve an open access journal article, without causing any problems of copyright infringement for the AAO Library. Paperwork for all articles requested by AAO members is retained for one calendar year. AAO Student Members/AAO International Student Members The policies in section 12.7.a apply to student members/international student members with the exception that the AAO Library does not provide Interlibrary Loan services to student members/international student members. The AAO Librarian will not use interlibrary loan to request articles for student members. Rationale: Student members are expected to use the library of the school which they attend.

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The AAO library is not their main library for obtaining orthodontic/dental literature. The students’ school library should be responsible for obtaining articles for its students, and also for staying compliant with copyright law with regard to the articles it provides. WFO Members/Non-AAO Members The AAO Library staff will not scan/email journal articles for WFO members or non-members, nor obtain journal articles via interlibrary loan for WFO members or non-members.

Copyright Compliance for Interlibrary Loan Articles The AAO uses the Copyright Clearance Center to pay for those articles obtained through interlibrary loan when the number of articles exceeds the fair use limit under copyright law. Copyright clearances are only required for articles published within the current year or within the five years previous to the current year. A clearance is considered to be necessary:

• Whenever six or more articles have been copied from issues of a single journal published during the six years in question.

• Whenever more than one article has been copied from a single issue published during the six years in questions.

Paperwork for all articles requested through Interlibrary Loan is retained for three calendar years. INTERLIBRARY LOAN GUIDELINES Guidelines for the Proviso of Subsection l08(g)(2) 1. As used in the proviso of subsection 108(g)(2), the words "... such aggregate quantities

as to substitute for a subscription to or purchase of such work" shall mean: a. with respect to any given periodical (as opposed to any given issue of a periodical),

filled requests of a library or archive (a "requesting entity") within any calendar year for a total of six or more copies of an article or articles published in such periodical within five years prior to the date of the request. These guidelines specifically shall not apply, directly or indirectly, to any request of a requesting entity for a copy or copies of an article or articles published in any issue of a periodical, the publication date of which is more than five years prior to the date when the request is made. These guidelines do not define the meaning, with respect to such a request, of "... such aggregate quantities as to substitute for a subscription to [such periodical]".

b. with respect to any other material described in subsection 108(d), (including fiction and poetry), filled requests of a requesting entity within any calendar year for a total of six or more copies or phonorecords of or from any given work (including a collective work) during the entire period when such material shall be protected by copyright.

2. In the event that a requesting entity -

a. shall have in force or shall have entered an order for a subscription to a periodical, or

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b. has within its collection, or shall have entered an order for, a copy or phonorecord of any other copyrighted work, material from either category of which it desires to obtain by copy from another library or archives (the "supplying entity"), because the material to be copied is not reasonably available for use by the requesting entity itself, then the fulfillment of such request shall be treated as though the requesting entity made such copy from its own collection. A library or archive may request a copy or phonorecord from a supplying entity only under those circumstances where the requesting entity would have been able, under the other provisions of section 108, to supply such copy from materials in its own collection.

c. No request for a copy or phonorecord of any material to which these guidelines apply may be fulfilled by the supplying entity unless such request is accompanied by a representation by the requesting entity that the request was made in conformity with these guidelines.

d. The requesting entity shall maintain records of all, requests made by it for copies or phonorecords of any materials to which these guidelines apply and shall maintain records of the fulfillment of such requests, which records shall be retained until the end of the third complete calendar year after the end of the calendar year in which the respective request shall have been made.

e. As part of the review provided for in subsection 108(i), these guidelines shall be reviewed not later than five years from the effective date of this bill.

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Chapter 11. MEETINGS AND CONFERENCES (See also Annual Session Operations Manual) 11.1. MEETING SCHEDULING AND CALENDAR 11.1.1. MEETING SCHEDULING February 17-19, 2005 Board of Trustees’ meetings, council meetings and affiliated organization’s meetings shall be scheduled three years in advance. 11.1.2. MEETING SCHEDULING May 16-18, 2005 The President or his designee, Chief Executive Officer and Director of Administration and Facilities are authorized to approve the adjustments in the AAO meeting calendar. 11.2. REGISTRATION 11.2.1. REGISTRATION FEES (See Annual Session Fee Waiver in AS Operations Manual) February 23-24, 1992 Amended August 22-24, 1992 Amended April 29-May 1, 1997 Amended November 18-19, 2017 Registration fees for AAO-sponsored national seminars and meetings, including the AAO Annual Session, are to be waived for the current members of the Board of Trustees, Past Presidents, Past Speakers of the House of Delegates, Past Editors. 11.2.2. REGISTRATION FEES May 12-14, 1993 The AAO shall waive the registration fees for speakers at AAO annual sessions, AAO-sponsored seminars, clinical congresses, management conferences and similar programs. 11.2.3. REGISTRATION FEES November 18-19, 2005 Registration fees are waived for members of PARC attending any AAO meeting (e.g., Early Treatment Conference), where the annual PARC face-to-face meeting is held as an add-on 11.2.4. REGISTRATION FOR AAO-SPONSORED MEETINGS February 21-23, 2002 All participants must register for an AAO-sponsored or co-sponsored meeting prior to securing official housing.

11.2.5. REFUNDS AND CANCELLATIONS November 18-20, 1994 Amended November 18-19, 2017

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1. Cancellations will be accepted up to 30 days after a meeting upon written request. A cancellation fee of $50 will be applied.

2. No cancellations will be accepted and no refunds will be issued on site for any fees or any ticketed events at any AAO meeting. Ticketed events will be refunded up to the first day of the meeting. We do not refund ticketed events unless the entire registration is cancelled once the program starts.

3. Exceptions to the cancellation and refund policy may be made by the Chief Executive Officer or his designee only in the case of medical or personal emergencies, and then only upon written request.

4. All approved refunds will be processed by the AAO Central Office within 30 business days of the request.

11.3. LEADERSHIP DEVELOPMENT CONFERENCE FOR COMPONENT AND

CONSTITUENT OFFICERS AND EMERGING LEADERS February 17-19, 2005 Amended November 16-17, 2007 Amended May 20, 2015 Amended May 7, 2018 Amended May 6, 2019 The AAO will host a Leadership Development Conference every year. In lieu of the former Emerging Leaders Development Conference, the Leadership Development Conference invitation list will include up to 25 emerging leaders who have not previously held leadership positions within the AAO. These emerging leaders will be new and younger members as well as others considering, or being recruited for, participation in AAO leadership.

The Leadership Development Conference will be planned by a committee appointed by the AAO President and consisting of a BOT chair; two Trustees; four members representing four different constituents; and at least one constituent executive director. Any member participating in Component or Constituent leadership, as well as any emerging leader, is encouraged to apply for inclusion in the annual Leadership Development Conferences. The AAO will sponsor training opportunities for component and constituent officers and emerging leaders to help develop them as leaders in the organization and to create awareness of the governance model, current issues and the strategic and operating plans of the organization.

11.4. PROFESSIONAL ADVOCACY CONFERENCE (Formerly known as Governmental Affairs Conference) February 21-23, 2002 Amended February 20-22, 2003 Amended February 21-23, 2008 Amended April 30-May 2, 2012 The objective of the Governmental Affairs Conference shall be to develop and foster governmental relations’ skills. The following should constitute the invitation list for each of the conferences:

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Governmental Affairs: Board of Trustees, Council on Governmental Affairs, AAOPAC Board of Directors; Key Contacts selected by the constituent organizations and relevant AAO staff. Additional at-large representatives of constituent or component organizations may attend on a space available basis at their own expense. November 20-21, 2009 One or two representatives from each dental specialty group shall be invited to attend the Professional Advocacy Conferences. 11.5. AAO ANNUAL SESSION 11.5.1. REGISTRATION, AAO ANNUAL SESSION 11.5.2. REGISTRATION May 19, 1999

Registration for the AAO annual session shall not be closed for any category of membership without prior approval of the Board of Trustees. 11.5.3. REGISTRATION FEES August 21-22, 1998

All members of the Annual Session Committee will be exempt from paying registration fees at the annual session for which they are responsible.

11.6. ANNUAL SESSION PHOTOS August 21-22, 1998 Annual Session photos will be available for purchase at aaoinfo.org following each Annual Session.

11.7. CONCURRENT COURSES December 7, 1988 If the Board of Trustees and/or the executive staff is aware that any individual or corporate entity intends to conduct a course, meeting or program concurrent with the AAO annual session, such individual or corporate entity shall be advised of the existing AAO House of Delegates policy on the issue.

11.8. CONTACT INFORMATION OF STAFF May 7, 2003 Staff is to provide their contact information to the delegation chairs and Board of Trustees during Annual Sessions.

11.9. AAO-SPONSORED SYMPOSIA TOPICS April 24-27, 2000 The Board of Trustees will not set topics for future AAO-sponsored symposia further than three (3) years in advance of the meeting, except when such meetings are co-sponsored with other

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organizations.

11.10. RELIGIOUS SERVICES February 23-25, 2001 The American Association of Orthodontists (AAO) neither promotes nor discourages members or guests from participation in religious services during the Annual Session or other meetings sponsored by the AAO. Most hotels utilized by the AAO usually maintain a list of churches, synagogues, temples and other venues where religious services are held on a regular basis, and members are encouraged to utilize this information as they plan for their religious needs during an AAO Annual Session or meeting.

In keeping with its other policies, the AAO will not permit the scheduling of events by any group in the convention center or hotels utilized by the AAO that would conflict with the major program elements of the AAO such as the scientific lectures, opening ceremonies and similar significant features of a meeting. The AAO will permit the utilization of space in a convention center or hotel for religious services so long as such space is available and does not pose a major conflict as determined by the AAO in its sole discretion. Such services may, by their nature, conflict with early morning limited interest programs, social events or by-invitation-only events. The sponsoring organization/person(s) is encouraged to minimize such conflict if possible. The announcement of such services and any and all costs for the holding of such services will be at the expense of the sponsoring organization/person(s) or group. Such services will not be announced in the preliminary program or on-site programs of the Annual Session or other meetings.

Paid notices of such services may be placed in The Bulletin or on such other signs as the AAO, in its sole discretion, may permit.

Requests for space, paid notices and other arrangements shall be made on a form supplied by the Meetings Department. All announcements or publicity regarding such services must disclaim sponsorship by the AAO.

The Chief Executive Officer or his/her designee is delegated the responsibility for the implementation of this policy.

11.11. DISCLOSURE OF FINANCIAL INTEREST August 20-22, 1994 All participants in AAO programs are to disclose any financial interest that they or their families have in any product or services related in any way to their presentation. Disclosure of such financial interest shall be by a signed statement. Any financial interest will be noted in the program with an asterisk placed by the participant's name.

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Chapter 12. MEMBERSHIP 12.1. MEMBERSHIP PROCESS 12.1.1. MEMBERSHIP APPLICATION FORM May 16, 1984 Revised May 1996 Amended April 29-May 1, 1997 Amended May 19, 1999 Amended April 25, 2017 There shall be a standard membership application form for the following categories of members:

Active Academic Members (non-United States/Canada graduates) Service Student International

The membership form will be automatically changed by staff to conform by Bylaws changes made by the House of Delegates. 12.1.2. MEMBERSHIP IN NATIONAL DENTAL ASSOCIATION February 25-26, 1990 Membership in the National Dental Association shall be accepted as a substitute for membership in the American Dental Association for purposes of determining eligibility for membership in the AAO 12.1.3. FEES FOR INTERNATIONAL APPLICANTS November 18-19, 1988 Effective January 1, 1989, a $30 (U.S. currency) application fee shall be required for processing all applications for International membership.

12.2. COMPLAINTS 12.2.1. MEMBER COMPLAINTS November 20-21, 1987 Amended April 29-May 1, 1997 Written complaints received from members shall be handled by the person to whom the compliant is addressed whenever possible. All written responses to member complaints directed to staff shall be reviewed by the Chief Executive Officer or his designee prior to mailing. Responses to complaints shall, whenever appropriate, be distributed to the president, constituent president, trustee and constituent staff. Written responses to members’ written complaints which are responded to by officers and trustees should be distributed to the Chief Executive Officer so that accurate, permanent files can be maintained. Responses to complaints should be made as soon as possible, but no later than within five working days. If a complete response cannot be made within five days, a partial response should be made.

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12.2.2. PATIENT COMPLAINTS December 6-8, 1998 Amended November 18-19, 2017 Complaints regarding members of the AAO, whether written or oral, which are received by the AAO from patients, shall be referred to the Vice President, Advocacy and General Counsel for response within five days. In the absence of the Vice President, Advocacy and General Counsel, the response shall be handled by the Associate General Counsel and by the Chief Executive Officer.

The response shall be copied to the member about whom the patient has complained. If three or more complaints about a particular member are received in a 12-month period, then the Vice President, Advocacy and General Counsel shall so advise the president and the respective trustee. Unless requested by the trustee, copies of letters from the Vice President, Advocacy and General Counsel to the patient will not be distributed. Annually, at the November (or December) meeting of the Board of Trustees, the Vice President, Advocacy and General Counsel will submit a report detailing the number of complaints received, categorized by constituent organization, the type of complaint received and the disposition of the complaints. Additional detailed information will be available to each Trustee upon request. 12.3. MEMBER RECOGNITION 12.3.1. AAO LOGO MATERIALS SOLD THROUGH ORDER DEPARTMENT February 26-27, 1989 Items for sale through the AAO Order Department, which includes material bearing the AAO logo, shall be sold only to AAO members, provided that patient education materials may be purchased in bulk by members for use by referring dentists. See Guidelines for use of AAO Marketing and Communication materials in Section 12.6.

12.3.3. CERTIFYING BOARD LOGO USAGE February 19-21, 2004 AAO members can use only ADA recognized certifying board logos on their stationary letterheads and any other public publications that also contain the AAO logo.

12.3.2. RECOGNITION AND AWARDS 12.3.2.1. CERTIFICATE OF RECOGNITION FOR LIFE ACTIVE MEMBERS February 18-20, 2010 Life Active members shall be provided with a certificate of recognition and in subsequent years, the AAO shall publish a list of new Life Active members in The Bulletin and Annual Session on-site program, as well as send a certificate. 12.3.2.2. SERVICE AWARD PLAQUE May 16-18, 2005 The constituent organizations shall be offered the opportunity to display a service award plaque

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at the AAO Central Office upon request in a suitable location to be determined by staff.

12.3.2.3. DISTINGUISHED ORTHODONTISTS February 19-21, 1999 The President, in consultation with the Chief Executive Officer and/or the President-Elect, has the discretion to use his best judgment as to the manner in which to recognize “distinguished orthodontists or friends of orthodontics”; and if a gift is deemed appropriate, the cost shall be no more than $75.00. 12.3.2.4. LIFETIME ACHIEVEMENT AWARD (See also Remuneration for Awards, Section 12.3.2.7 and the Annual Session Operating Manual) November 20-21, 2015 An AAO Lifetime Achievement Award in Orthodontic Research will be awarded at each Annual Session, and nominees must meet the following criteria: 1. Nominee has made significant contributions to the science related to the specialty of orthodontics through research. 2. Nominee has made significant contributions of original, outstanding, or innovative discoveries in orthodontic research across his/her lifetime. 3. Nominee has established a legacy of research and discovery that is inspiring to members of the academic community. 4. Nominee has produced information that is useful, or potentially useful, in advancing the clinical practice of orthodontics. 5. Nominee does not have to be an orthodontist. 6. Nominations shall come from any member of the AAO through the Editor-in-Chief of the AJO-DO. 7. Nominations may also be solicited and received from other editors of other orthodontic journals published throughout the world. 8. The Nomination Committee shall consist of the Editor-in-Chief of the AJO-DO and past awardees. 9. Nominations will be presented to the AAO Board of Trustees by the Editor-in-Chief of the AJO-DO. 10. At the time of selection of the awardee, nominees that are deceased will not be considered. 11. The AAO Board of Trustees shall make the final decision. 12. This award would be made annually, unless it was determined that a suitable nominee is not available.

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13. Nominees and past awardees will also be considered with regard to the AAO nomination for the Norton Ross Award made by the ADA. 12.3.2.5. HUMANITARIAN AWARD (See also Remuneration for Awards, Section 12.3.2.7 and the Annual Session Operating Manual) February 18-20, 2010 Amended February 17-19, 2011 Amended September 14-15, 2012 Amended February 22-23, 2013 Amended April 26, 2014 Amended August 20, 2015 An AAO Humanitarian Award shall be awarded during the Annual Session at the Excellence in Orthodontics luncheon. The criteria follow:

1. Any AAO member, AAO constituent or component organization, or WFO-affiliated organization is eligible to nominate an AAO member in good standing for the AAO Humanitarian Award by submitting a nomination by March 31 of each year for consideration by the AAO Board of Trustees. Nominations received after the March 31 deadline will be placed on file along with the required documentation for consideration the following year. A nominator is limited to one Humanitarian Award nomination per year.

2. A posthumous nominee must have met the criteria listed in numbers 1 and 3.

3. Nominee has rendered outstanding public humanitarian service to improve the

quality of human life of those served. The service must be beyond the scope of private practice, academic organization, and the usual function of organized dentistry.

4. Nominee has made significant contributions to such areas as government,

community economics, public welfare, or any area which improves the general health or well-being of the community, state, nation or foreign nation.

5. Nominee provides leadership and humanitarian volunteer efforts that reflect

favorably upon the profession of dentistry. 6. Nominee provides volunteer service that reflects a significant devotion of time,

energy and altruism that brings honor to the profession without indirect or direct personal or organizational gain or profit.

7. Nominee has established a legacy that is an inspiration to other members of the

dental profession and beneficial to underserved populations. 8. The nominations shall come from a constituent, component, WFO-affiliated

organization, or an AAO member. 9. The Humanitarian Award Nomination Committee shall consist of the eight

immediate past presidents of the AAO, representing the eight constituent organizations, and the senior past president shall serve as chair. In the event of a vacancy, such vacancy shall be filled by the President of this Association, in

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consultation with the president and trustee of the represented constituent organization.

10. The Humanitarian Award Committee shall make the final decision. 11. Once the AAO Humanitarian Award winner is selected, the candidate, if eligible,

will be submitted to the ADA as a nomination for the ADA Humanitarian Award.

12.3.2.6. OUTSTANDING CONTRIBUTION AWARD BY A NON-ORTHODONTIST (See also Remuneration for Awards, Section 12.3.2.7 and the Annual Session Operating Manual) May 7, 2018 Amended August 16-17, 2019 That the American Association of Orthodontists provides an award to a non-orthodontist, recognizing that person for outstanding service to the specialty of orthodontics. This award will be called the Outstanding Contribution Award by a Non-Orthodontist. Nominations may come from the following sources:

• Each constituent organization or WFO-affiliated organization may submit one nomination per year.

• Any group of five or more American Association of Orthodontists’ members may submit a nomination.

Please follow these guidelines during your selection and nomination process:

• The complete nomination must be submitted by March 31. No nomination will be

considered if it is received after March 31. • The letter of nomination is to include a description of the particular achievements

of the nominee, a brief background statement supporting the nomination along with appropriate credentials and curriculum vitae.

• Each organization shall determine how its nominee is to be selected and need not limit itself to choosing only from its own membership.

• A formerly nominated individual may be re-nominated. Only current nominees will be considered for the award.

Who may be nominated? Any non-orthodontist who has rendered distinguished service to the American Association of Orthodontists and to the specialty of orthodontics.

All nominations must remain confidential. Any announcement, disclosure or campaign on behalf of a nominee may disqualify that candidate for the year in which he or she is nominated. The person must be a non-orthodontist, and may come from an allied health field, from the corporate environment or be a private individual. 12.3.2.7. REMUNERATION FOR AAO AWARDS February 19-20, 2016 Amended May 7, 2018 Amended August 16-17, 2019

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That the recipients of the Brophy, Humanitarian, Lifetime Achievement Awards and the Outstanding Contribution Award by a Non-Orthodontist shall be reimbursed as $1,500 honorarium and the expense reimbursement as outlined.

• Round trip economy airfare for two plus basic ground transportation (i.e. taxi, UberX, Lyft, etc.) between home/hotel/airports.

• Three nights for one hotel room at an AAO designated leadership hotel (direct billed to AAO).

• A total of $75 per diem (per individual) for three days to cover meals and incidental expenses.

• Two seats in the VIP section for Opening Ceremonies. • Six complimentary tickets to the Excellence in Orthodontics lunch.

Should the award recipient be deceased or disabled at the time of the Annual Session at which the award is to be presented, his/her spouse or next-of-kin will be entitled to and offered full remuneration as outlined above. The spouse or next-of-kin will also be offered the opportunity to accept the award on the recipient’s behalf at the Excellence in Orthodontics luncheon.

12.4. MEMBER SERVICES 12.4.1. PRACTICE OPPORTUNITIES AND CAREERS POLICIES August 19-20, 2005 Amended December 2010 (via mail ballot) The objective of the AAO’s Practice Opportunities and Careers service (POC) is to provide a mechanism through which individual AAO members may pursue various practice opportunities through marketing their practices and seeking employment, partnerships, purchases and similar opportunities. It is an individual member service, designed for AAO members. To that end, the following principles and policies shall apply to the POC:

• The AAO will obtain information on opportunities available for, and sought by, all members, regardless of whether they are engaged or interested in practice as a professional corporation, partnership, affiliated with orthodontic management support organizations or otherwise.

• To further the efficiency of managing the POC, the AAO will inquire of each member as

to the specific type of practice opportunity offered or sought by such member. Therefore, all members utilizing the POC will be asked to identify only those locations, sellers/offerors, arrangements, etc. that they prefer to consider. The AAO will advise those members of only those situations that satisfy the parameters established by them.

• All inquiries by and information from participating members shall be kept confidential,

except as provided below, to the extent authorized by the member, or necessary to effect a potential arrangement between users of the POC, all as determined by the AAO in its sole discretion.

• Prior to participating in the POC, all members shall be required to expressly:

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o acknowledge that the AAO has made no judgment or opinion as to the nature, viability or suitability of any practice opportunity offered by, or sought through, the POC, and shall agree to indemnify the AAO from any damages therefore;

o represent and warrant that all information they supply to the AAO in connection

with the POC is true and accurate to the best of their knowledge and belief; o agree that they will not use or divulge any information obtained through the POC

except in accordance with these policies or as expressly authorized by the AAO; and,

o agree that the AAO may use all non-personal data (i.e. demographic, locations,

practice modality, etc.) supplied to the POC by such members to evaluate the POS and other AAO-sponsored programs and services.

Applications to the POC necessary to effectuate these policies shall be implemented by the AAO, both as to existing and future POC participants.

12.4.2. LOSS DUE TO NATURAL DISASTER April 26-28, 1994 Amended November 18-19, 2017 Upon receipt of a bona fide request from an active or associate member who has sustained loss due to natural disaster, the AAO will replace patient education or other office materials purchased from the AAO at no cost to the member (value not to exceed $500.00 per request).

12.5. MEMBER'S/LEADER’S DEATH 12.5.1. PROTOCOL TO FOLLOW IN THE EVENT OF MEMBER'S DEATH November 20-22, 1992

Following is the protocol to follow for communicating in the event of a member's death: 1. Suggest that an obituary should appear in the AJO/DO, and such obituary should be

written or coordinated by the constituent necrology committee. 2. If the member was known to AAO staff or officers a card or letter will be sent from the

Central Office. 3. If the member was a significant leader, a memorial contribution to the AAOF may be

appropriate. 4. If the member was a past president, mention at the next annual meeting would be

appropriate during the 1st session of the House of Delegates.

12.5.2. RECOGNITION OF LEADERS WHO HAVE PASSED November 20-21, 2009

1. Leaders are defined as present or past members of the AAO Board of Trustees, and/or the American Board of Orthodontics.

2. A communication of sympathy will be made from the central office on behalf of

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the AAO upon the passing of an above identified individual or AAO/ABO leader spouse. A floral arrangement will be sent, as appropriate.

3. A contribution will be made on behalf of the deceased individual to the AAO Foundation or instead, to a charity identified by the surviving spouse/family. This contribution is initially set at $125. This amount is to be reviewed on an as needed basis.

4. The leader will be recognized at the following AAO Annual session and in AAO publications in an appropriate manner consistent with past practice.

5. Current officers and trustees may, if attending memorial services, recognize the contributions of the individual as appropriate.

6. An identified official AAO representative and his/her spouse will be reimbursed for travel and lodging in attending a funeral and/or memorial service for a past member of the AAO Board of Trustees. It is recommended that representation be by the most senior AAO officer able to attend or a past AAO president designated by the current AAO president in consultation with the AAO Board of Trustees Executive Committee and the current trustee from the constituency of the deceased volunteer leader.

7. The AAO president, in consultation with the AAO Board of Trustees Executive Committee, may make adjustments to this policy on an individual basis as is appropriate. Any such adjustment will be reported to the entire AAO BOT coincidentally or no later than the following meeting of the AAO BOT.

12.6. GUIDELINES FOR AAO MEMBERS’ USE OF AAO MARKETING AND COMMUNICATION MATERIALS BY CONSTITUENTS, COMPONENTS, GROUPS, OR INDIVIDUAL MEMBERS February 14-16, 1997 Amended August 24-25, 2007 Amended May 12-14, 2008 Amended May 9-11, 2011 Amended April 30-May 2, 2012 Amended September 5-6, 2014 Amended November 18-19, 2017 The AAO permits and encourages the use of AAO marketing and/or communication materials by constituents, components, groups or individual AAO members. A. Marketing and/or communication materials produced by the AAO may be used by such

groups or individuals for the benefit of AAO members and for purposes consistent with the objectives of the AAO, such as the promotion of orthodontic treatment by orthodontists and the education of the public if, at the sole discretion of the AAO:

1. They are used unaltered, except, members in good standing may include any of the following information:

a. Doctor’s name b. Doctor’s photo c. Practice name (all doctors in the practice must be AAO members) d. Office address(es) e. Office phone(es) f. Fax number g. Email address

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h. Web site address i. Practice logo j. QR code k. Services offered l. Appliance brands

If members in good standing want to affix the information in 1a – 1l to AAO printed materials and need assistance doing so, that member will be charged a nominal hourly rate for the customization of such materials.

2. They do not violate applicable ethics rules, copyright or other laws or use agreements; and

3. They are not used in conjunction with other materials which convey a message inconsistent with AAO policies.

B. If AAO members want to use AAO materials to promote themselves as AAO-member

orthodontists or to promote their practice, as long as the practice is solely comprised of AAO-member orthodontists, they are asked to abide by the following guidelines: 1. AAO photographs: Members are asked to insert “Courtesy American Association

of Orthodontists” under the bottom right hand corner of the photo.

2. AAO artwork or graphics: Members are asked to insert “Courtesy American Association of Orthodontists” under the bottom right hand corner of the artwork or graphic

3. AAO text: As long as the text is used verbatim, members are asked to insert “Courtesy American Association of Orthodontists” either before or after the text.

4. Photos from mylifemysmile.org and AAOmembers.org: Unless the photos are downloaded from the section of www.AAOmembers.org that does not require permission, we ask that AAO members not download photos from mylifemysmile.org or AAOmembers.org.

The AAO Board of Trustees, at its sole discretion, is the final arbiter regarding the interpretation, application, or any exceptions to these Guidelines, which are subject to change at any time.

12.7. GUIDELINES FOR USE OF AAO MARKETING AND COMMUNICATION MATERIALS BY THOSE WHO ARE NOT AAO MEMBERS August 24-25, 2007 All requests for use of marketing and/or communication materials produced by the AAO by individuals or groups who are not AAO members must be submitted in writing to the AAO Director of Communications and Marketing. The submission shall include:

• the proposed usage, • where the materials are expected to appear.

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In addition to the AAO Director of Communications and Marketing, the request shall be reviewed by the AAO Vice President, Advocacy and Legal Counsel and the AAO Chief Executive Officer.

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Chapter 13. POSITION STATEMENTS 13.1. ADA’S EFFORTS IN ACCESS TO ORAL HEALTHCARE February 17-19, 2005 The AAO supports ADA’s efforts in their access to oral healthcare venture.

13.2. ABO CERTIFICATION August 20-21, 2004 The Board of Trustees supports the concept of ABO certification for orthodontic residents upon graduation from an ADA-accredited program upon passing the ABO Phase II exam and continued clinical competency shall be examined through recertification.

13.3. ACCESS TO ORTHODONTIC CARE A White Paper for the American Association of Orthodontists Adopted November 2006 Amended February 2007 Amended April 27-29, 2009

The AAO will work with the ADA and other dental organizations to increase access to quality orthodontic care for patients in need. Orthodontists receive an additional two to three years of education after dental school. The AAO defines access to orthodontic care as follows: Access to orthodontic care is defined as an individual’s ability to seek and receive orthodontic treatment based upon the following criteria:

1. The availability of orthodontic services as related to the geographical distribution of orthodontic services;

2. The capacity of the oral healthcare system to provide orthodontic care; 3. The individual’s ability to afford necessary orthodontic care; 4. The individual’s ability to access orthodontic treatment; and, 5. The individual’s recognition of need and desire to seek orthodontic treatment.

Please note that the AAO firmly believes the most important factor with dental healthcare is that all individuals have access to primary oral healthcare. One area that is lacking is the public health infrastructure, such as adequate reimbursement rates for primary providers. GEOGRAPHICAL DISTRIBUTION In certain regions of the country, individuals may have difficulty accessing orthodontic care due to the geographic distribution of orthodontic practices. While it may be economically prohibitive for healthcare professionals to have an active practice in under-populated regions of the country, many volunteer to travel to community based healthcare centers to provide services. The AAO actively supports and encourages our members to volunteer time in under-populated regions to provide orthodontic services. State licensing requirements that determine freedom of movement for healthcare professionals can also be a determent for orthodontists seeking to practice in underserved regions of the country. Reciprocal state licensing or licensing by credentials should be explored. DENTAL EDUCATION

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Dental education funding as well as the recruitment and retention of dental faculty is at a crisis. There are a limited number of orthodontists graduating each year in order to replace the number of retiring orthodontists. The federal government has severely reduced spending on dental education. This could have a negative impact on encouraging dental educators to stay in education which is vital to train all future dentists and dental specialists. ABILITY TO AFFORD NECESSARY ORTHODONTIC CARE Patients’ circumstances may affect their ability to obtain orthodontic care. Those with greater financial means generally have more options available to them than those with limited income. Public funding for those in need without the necessary financial resources should be directed toward primary oral healthcare which is critical to an individual’s health and wellbeing. With respect to orthodontic care and government resources, we believe that financial support should be directed to those patients where the need is the greatest, such as young people with debilitating malocclusion, cleft palate and other craniofacial deformities. The decisions about where to focus resources are best left to the individual states since they are closest to the situation and are most likely to better understand the unique needs and circumstances of the underserved within their states. Collectively, AAO members provide over $62,000,000 in free and discounted treatment each year to those in need. This information is based on a recent needs assessment survey that had the following results:

• 87% of practicing AAO members provide free or discounted treatment to those in need • The majority provide more than $10,000 in pro bono, free and discounted treatment

annually • 10% provided more than $20,000 in pro bono, free and discounted treatment annually

In addition, the AAO has endorsed and is a major supporter of the Virginia Brown Foundation which, on a local basis, provides orthodontic treatment to children that have limited financial resources. Orthodontists provide pro bono care to many for medically necessary treatments, such as those with cleft palates or other serious craniofacial deformities. The AAO also encourages orthodontists to participate in other organizations that provide low- or no-cost dental care such as the “Give Kids A Smile” program and Donated Dental Services. NEED AND DESIRE TO SEEK ORTHODONTIC TREATMENT Many individuals may be unaware of the need for orthodontic care, some of which may have undiagnosed and severe malocclusions for a lifetime. The AAO has taken many steps to educate the public as to when orthodontic care may be needed. In the mid-1990’s, the AAO obtained approval for the expansion of the definition of “orthodontics” to include “dentofacial orthopedics.” This change was necessary to more accurately inform the public that the field of orthodontics is more than simply “straightening teeth.” Additionally, the AAO coined National Orthodontic Healthcare Month, which occurs each year in October. The purpose of this program is to make the public aware of the role of orthodontics in the healthcare area. Most recently, the AAO learned that much of the public was unaware of the different roles of orthodontists and general dentists in relation to providing orthodontic treatment. Therefore, the AAO has devoted substantial resources to a national public relations campaign designed to educate the public as to the role of the orthodontist in the context of overall dental health. This campaign will include targeted advertising and announcements that are specifically designed to reach those that, based on extensive research, need to know most.

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All of the factors described above present unique challenges related to access and cannot be addressed by any single solution. Each challenge will require a specific plan of action devised to be beneficial for all parties involved. The AAO, comprised of individual members and as the leading dental specialty organization in the United States, has been actively involved in serving the underserved. The AAO will continue to do its part by working with local and federal authorities that will provide primary oral healthcare where orthodontic treatment is of the greatest need with debilitating malocclusion, cleft palate and other craniofacial deformities.

13.4. BOARD CERTIFICATION December 6-8, 1998 The American Association of Orthodontists supports board certification for program directors.

13.5. ORTHODONTIC INSURANCE REIMBURSEMENT COHC Position Statement Regarding Orthodontic Insurance Reimbursement November 20-21, 2009 Since dental insurance companies began offering coverage for orthodontic treatment to their policy holders, third party payers have imposed a lifetime maximum patient benefit. In many instances the amount of this lifetime maximum benefit has not increased, in spite of the orthodontists’ dramatic increase in costs to provide treatment over the same period. This policy amounts to a limited benefit for the insured that is constantly decreasing in its ability to offset the cost of orthodontic care. No other dental specialty has a lifetime benefit cap.

Other dental procedures performed previous to or after the beginning of orthodontic treatment are sometimes charged against the patient’s orthodontic lifetime maximum benefit. These procedures may include dental extractions, periodontal surgery, and exposure of unerupted teeth. This policy not only restricts the reimbursement to the patient for orthodontic fees charged, but it is even possible for a patient to completely exhaust his/her lifetime maximum orthodontic benefit before orthodontic treatment is initiated.

The COHC recommends that the AAO encourage third party payers to work with their employer/clients in creating programs that will provide:

A) Orthodontic benefit plans that reflect the true cost of providing treatment. B) Benefits that are not diluted by payment for procedures outside the scope of

providing orthodontic treatment. 13.6. SUPPORT OF ADA'S COUNCIL ON DENTAL EDUCATION FINDINGS August 22-24, 1992 The AAO Board of Trustees strongly supports the ADA's Council on Dental Education findings and recommendation reported in the 1992 study of the Specialty Recognition Process.

13.7. AAO PRIVACY STATEMENT February 17-19, 2005 The American Association of Orthodontists (AAO) respects the privacy of its members and other visitors to its Web site. To protect your online privacy, the AAO has the following policies.

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1.1.1 What Information Does the AAO Collect? Most data the AAO collects are used primarily to help the AAO better serve its members. If our privacy policies change, they will be updated on our Web sites. General Users: The AAO does not collect any personal information from users browsing its Web site. Users to the public areas of the AAO's Web site browse anonymously. Only aggregate data -- such as the number of views per page -- are collected. Aggregate data is used only for internal and marketing purposes and does not provide any personally identifying information. AAO Members and Conference Registrants: To gain access to members-only resources and personalization features on the AAO Web site, members and other users are asked to register and provide some limited information. These data are submitted voluntarily. Members wanting access to member only sites or section are asked to provide their name, member number and e-mail address. For conferences, the AAO asks users to provide their name, member number (for members), organization name, business phone, address and e-mail. Similar information may be submitted to the AAO through membership applications, conference or seminar registration, publication orders, subscriptions, and contest registrations. Additionally, for some e-mails sent in HTML format by the AAO to its members through its listservers and electronic newsletters, the AAO will collect specific information regarding what the recipient does with that e-mail. For those e-mails, the AAO will monitor whether a recipient subsequently clicks through to links provided in the message. Other information collected through this tracking feature includes: e-mail address of a user, the date and time of the user's "click," a message number, name of the list from which the message was sent, tracking URL number and destination page. The AAO only uses this information to enhance its products and those it endorses or approves and distribution of those products to its members. This information is not sold or distributed in any other manner. 1.1.2 How Does the AAO Use Data Collected? The AAO uses information voluntarily submitted by members and other customers in the following ways: AAO Member Services and Products. Generally, the AAO and its direct subsidiaries use data collected to improve their own Web content; to respond to visitors' interests, needs and preferences; and to develop, endorse or approve new products and services. Disclosures to Third Parties. The AAO also makes member contact information available through the AAO Membership Directory to other members using its Web site and to those who register for its conferences. In addition, the AAO incorporates information provided by users into hard copies of the Membership Directory, which it provides to members. On occasion, the AAO may also provide limited data to third parties that offer products and services. These limited data include names, job titles, companies and business addresses, but do not include business phone numbers, business fax numbers or e-mail addresses. Users may request that the AAO refrain from disclosing the data it collects to third parties on the membership application form, conference registration form or any other form on which they are providing information; an opt-out box will appear on each form on which a user provides information. Alternatively, users may contact the AAO at membership@AAOrtho.org or (314) 993-1700 to express their preferences if they determine later that they do not wish to have the information shared. Consent to Use Personal Information. For the purposes of the Data Protection Act(s) of 1984 and 1998 (as applicable), the AAO or its agents must store, host and otherwise process the

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information (including personal data) supplied by the User when registering for this Web site. Users supply consent at the time of application for membership in the AAO. Credit Card Account Information. The AAO does not disclose credit card account information provided by its members and customers. When members and customers choose to pay using their credit cards, the AAO submits the information needed to obtain payment to the appropriate clearinghouse. 1.1.3 How Does the AAO Use “Cookies”? Cookies are files that contain information created by a Web server that can be stored on a User's hard disk for use either during a particular session ("per-session" cookie) or for future use ("persistent" cookie). The AAO uses cookies only to facilitate automated activity, store and track passwords, determine appropriate solicitations, and review navigation patterns. Cookies are not used to disseminate significant information about Users over the Internet or to analyze any information that Users have knowingly or unknowingly provided. When a user registers, the system will ask whether the user approves of the attachment of a cookie. Users may instruct their Internet browsers to opt out of accepting a "persistent" cookie and rather accept only a "per-session" cookie, but will need to login each time they visit the site to enjoy the full benefits. If the user declines the attachment of any cookie, the user may not have access to the full benefits of the Web site. Registration enables the site to better determine members' interest areas and provide the most relevant information. 1.1.4 What Privacy Issues Arise With Links To Other Sites? This Web site contains links to other Web sites. The AAO has no control over and is not responsible for the privacy policies or content of such sites. 1.1.5 What Means Of Redress Are Available? If any User suspects that the AAO has handled its personal information in a manner that does not comply with this privacy statement, please contact us by e-mailing to info@aaortho.org or by calling (314) 993-1700.

13.8. FUNDING OF DENTAL RESEARCH PROGRAMS February 25-27, 1995 It is the position of AAO to support federal funding of dental research programs, as well as the availability and tax deductibility of student loans and tuition.

13.9. EXCUSED SCHOOL ABSENCE POLICY August 18-19, 2000

INTRODUCTION There have been reports from AAO members that student orthodontic patients in some communities may have been penalized when they were absent for orthodontic treatment appointments which occur during school hours. Such penalties have resulted from school board policies, individual school policies, or the actions of individual classroom teachers. The intent of these board, school, and teacher policies is to eliminate or reduce truancies and absences during important class time. While such an objective should be applauded, the penalizing tactic can create a stressful and negative experience which can set a bad precedent regarding the relative value of education and personal health. Both education and health are

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essential and should be positively supported. In many situations, the improvement in self-esteem which results from orthodontic treatment or other health care is important to the student’s growth and social development; as well it can lead to improved academic performance. The AAO has been asked to consider the issue and to develop a policy which may serve as a resource for members. In the opinion of the AAO, it is not fair to penalize the conscientious student orthodontic patient for a necessary orthodontic appointment which occurs during school hours. The purpose of an AAO excused absence policy is to provide a resource for AAO members in their potential role as advocates for students and parents in achieving a reasonable approach for the overall well-being of the student orthodontic patients. AAO members located in communities where excused school absences for orthodontic treatment may have become an issue may choose to make use of the AAO position when appropriate. With regard to individual member procedures regarding scheduling appointments during school hours and the provision of excuses for student orthodontic patients, it is important to keep several considerations in mind. For example, typically, orthodontists should strive for a balance of non-school-hour appointments and school-hour appointments to ensure that students are present at their classes as much as possible. However, there are situations when appointments during school hours are necessary. A student orthodontic patient may request a written excuse at the time of the appointment. The excuse should state the appointment time, date, and, if practical, the length of the appointment. When a student appointment is made, it may also be appropriate to remind the student to inform the appropriate school administration and teacher(s) for the class(es) which will be missed of the appointment in advance of the appointment, and for the student to make arrangements for making up any missed work and obtaining homework assignments.

POLICY POSITION FOR

EXCUSED SCHOOL ABSENCES FOR ORTHODONTIC PATIENTS The American Association of Orthodontists (AAO) recommends that all school districts recognize that orthodontic treatment for school-age children is a necessary treatment relating to overall dental health and emotional well-being of the student, and, as such, orthodontic treatment should be considered an excused absence when orthodontic appointments must be scheduled during regular school hours. The AAO supports the rights of all students to be absent from school without penalty for necessary orthodontic and dental appointments. AAO members are encouraged to document and provide a written excuse upon request, with the excuse stating the time, date, and, if practical, the duration of the orthodontic appointment. SUGGESTIONS ON THE PROCESS OF PRESENTING YOUR POSITION ON EXCUSED SCHOOL ABSENCES FOR ORTHODONTIC TREATMENT TO SCHOOL POLICY DECISION-MAKERS

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The AAO policy on excused school absences for orthodontic treatment and the following suggestions are intended to provide AAO members with guidelines which may serve as a source of information which may be helpful as members consider issues which have arisen concerning excused school absences in their communities. Because each situation is unique, members should carefully evaluate each situation before proceeding, and they should modify and adapt such information as contained herein to fit each situation. 1. Determine that there is, indeed, a problem and that you are dealing with a sufficiently high

incidence of an excused absence problem to warrant special efforts to change school policies. It is conceivable that, when only one or two problems have arisen, there may be extenuating circumstances involving a particular individual’s attendance record which have little or nothing to do with absence for an orthodontic appointment.

If the problem is not widespread in your experience or that of other orthodontists or dentists, you may wish to consider whether to call attention to the issue. Making an issue where none exists could lead to the establishment of a new policy which is inconsistent with your best intentions.

2. If you do choose to initiate action, you may wish to talk with your orthodontic and dental

colleagues about the issue. In this way you’ll learn more, and you’ll be able to gain consensus and support for action. You also may wish to talk with other health care givers such as pediatricians and family physicians. There is strength in numbers, plus this larger coalition may be able to network through friends, acquaintances, and patients in order to deliver an effective message to the decision-makers and influentials. A coalition made up of physicians and dentists enables you to position the concern on a broader health care foundation, rather than only on orthodontics—it is a local professional concern for the welfare of children.

If you or others know a school board member, a superintendent, a principal, and/or other appropriate community leader, you may wish to approach them with an eye toward discussing the issue, learning more about the political and administrative landscape, and determining whether to proceed and, if so, how best to proceed. Each school system and school board has its own protocol, policies, and criteria.

Talking with key leaders, along with your dental and medical colleagues, may help ensure that you will be able to avoid missteps and ultimately gain acceptance of your ideas.

At every step of the way, it is important that you maintain a professional, courteous manner and that you sincerely assure those with whom you speak that your goal is the same as theirs: The wellbeing and development of healthy young people who are obtaining a high-quality education.

3. If a presentation to a decision-making individual or body, such as a school board, is defined

as the appropriate forum for presenting your recommendation on excused school absences for orthodontic treatment or for health care in general, consider the following factors in order to enhance your presentation:

a. Do your homework. Talk with appropriate school board members, the

superintendent, principal, and/or other key individuals. This process may help you gain their acceptance in advance of the presentation. In some cases, even if you have gained approval, you may wish to proceed with your presentation in

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order to generate favorable word-of-mouth among attendees and to a bigger audience as a result of news media coverage.

b. If you have time, attend one or more meetings of the school board in advance of

your presentation; that way, you’ll learn more about the atmosphere, procedures, and participants, and you’ll gain a greater comfort level.

c. Carefully prepare your presentation. You want this to be positive and convincing;

so position your message so it will be perceived as beneficial to the goals of the audience and of the students. Speak in terms your audience understands. Your goal is to help them fulfill their wants, their needs, and their mission. . .and, in doing so, you will achieve your goal.

If you’re part of an orthodontist/dentist/physician coalition, make sure that the most effective presenter from your group does the presentation. Keep your presentation brief and to the point; be respectful of their busy, full agenda. Allow time for questions. And rehearse! As media consultant Tripp Frohlichstein has educated AAO members regarding media interviews and presentations: Follow the “5 P’s”—Plan. . .Practice. . .Prepare. . .Polish. . .Proceed. Be sure to dress as a professional and check your appearance before the meeting. Relax before you begin your presentation. Inhale deeply and slowly let the air out. Or make a couple of tight fists behind your back for a count of ten, then slowly relax the tension in your fists. As you present, maintain good eye contact with the chair and each board member. Avoid looking down at your script and reading each word. By rehearsing, you will have learned your material well and will not have to read word-for-word.

State your key message point at the beginning, middle, and end. Have a specific closing statement. Re-phrase the question when you follow-up questions with your answers. In the end, thank them for their consideration and time. Be prepared for follow-up by the news media after your presentation. Welcome the opportunity to acknowledge the educators, board members, and local professionals for the important work they are doing. Recognize their willingness to consider the benefits for students and working parents by accommodating the health care which can be so important to the physical and emotional wellbeing of the students and to their success in both their academic life and in their service to the community. Point out that your goal is to enhance the health of your community while working with educators to help them provide high quality education.

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13.10. PAY FOR PERFORMANCE CRITERIA February 21-23, 2008 Amended November 18-19, 2017 The following is the criteria by which “pay for performance” (P4P) proposals will be evaluated: 1. The primary objective of P4P or other third-party financial incentive programs must be

improvement in the quality of oral health care, so performance measures in those plans shall be quality-related.

2. The provisions of P4P or other third-party financial incentive programs must not interfere with the patient-doctor relationship by injecting factors unrelated to the patient’s needs into treatment decisions.

3. The incentives in P4P or other third-party financial incentive programs must reward both the achievement of desired quality levels and significant improvement in quality directed toward meeting the desired levels.

4. P4P or other third-party financial incentive programs must not limit access to care for patients requiring extraordinary levels or types of care.

5. The incentives in a P4P or other third-party financial incentive program must be positive and of a type and magnitude that will drive improvement in quality of care or support consistently high quality care.

6. The measures upon which incentive payments are based: • must be exact, clear, measurable and based on valid science as widely

recognized and accepted within the orthodontic community; • must be risk-adjusted to account for the unique differences in each patient as

they relate to orthodontic treatment; • must factor in patient compliance.

7. Reporting of quality to the public must be fair and provide an opportunity for orthodontists to comment on ratings. Payers must discuss quality problems they identify with orthodontists before any public action is taken.

8. Participation by orthodontists must be voluntary. 9. Savings in cost must not accrue to plans but must be returned to patients in reduced co-

payments or expansion of benefits. 10. Regular reassessment of P4P or other third-party financial incentive programs must be

done with input from participating orthodontists. 11. The AAO does not support the concept or any type of program that uses pay for

performance.

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Chapter 14. PRODUCT AND PROGRAM ENDORSEMENTS 14.1. ENDORSEMENTS February 14-15, 1988 Revised November 18-20, 1994 Revised November 24-26, 1996 Revised May 11, 1999 Revised February 23-25, 2001 Revised November 22-23, 2019 The American Association of Orthodontists Board of Trustees will consider, for purposes of endorsement, any product or service that is of interest and value to members and/or orthodontic patients. The AAO Board of Trustees may appoint a decision-making body for endorsements who will assume all of the responsibilities of the Board of Trustees detailed in the following endorsement process: When considering such requests for AAO approvals or endorsements of products or services, the AAO will adhere to the following procedures: 1. AAO staff will vet and recommend endorsement opportunities to the Board of Trustees. 2. The Board will review the recommendation and take action. 3. If an endorsement is accepted, then Staff will be assigned the duty of contracting and

ongoing management of the endorsed provider. 4. New endorsements will be communicated to the Board of Trustees in a report submitted

by the VP of Growth & Transformation at each Board meeting. 5. Each year at the August Board meeting, the VP of Growth & Transformation will furnish to

the board a report of all current AAO endorsements. 14.2. CRITERIA FOR EVALUATING ENDORSEMENTS April 30-May 1, 2002 Revised November 22-23, 2019 The following criteria is used for evaluating AAO endorsement opportunities and at the time of contract renewal.

Endorsement Criteria Checklist Company/Product Name

YES NO Product Category 1) Has broad-based appeal 2) No negative impact on an existing product/program Company/Brand/Product 1) Aligned with AAO’s vision and values 2) Is financially stable

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3) Is of high quality 4) Broadly available to a reasonable percentage of AAO members 5) Has excellent customer service 6) Offers AAO members a discounted price or added value 7) Provides AAO royalty 8) Will buy advertising in AAO vehicles and/or mailing lists 9) Compares favorably vs competition 10) Is the risk of endorsing this product reasonable 14.4. AAO PROGRAM, PRODUCT AND SERVICE ANALYSIS May 1-3, 2006 Objective: AAO to sustain relevance over time – Advocacy, Education and Services Key Questions:

1. What new programs, products and services need to be developed and implemented in order for the organization to remain relevant?

2. What current programs, products and services need to be updated or eliminated in order for the portfolio to be the highest quality?

The analysis is based on the following assumptions:

1. There are more opportunities to respond to volunteer needs, wants and expectation than there are resources to meet those expectations.

2. Given the need for resources, the organization generally should not directly duplicate services of other organizations unless they can be done better and more cost effective.

3. Focus is important. Focus on providing high quality programs to meet member needs as opposed to programs that meet special interests (special interests defined as influential members, suppliers, etc.).

Analyzing Proposed and Existing Programs:

1. Program Attractiveness: Factors contributing to judgments about whether the program is attractive to the organization as a basis for current and future resource deployment (i.e. do or will the members participate?)

2. Competitive Position: Factors contributing to judgments about whether the organization is in a strong position to support the program (resources)

3. Alternative Coverage: The extent to which other organizations can, or may be position to serve the same clients through similar programs.

Evaluation Criteria Program Attractiveness

• How central is it to the mission of the AAO? • Will the need for the program continue over a period of time? • Can/will support for the program be sustained? • Are the members interested in the program? (A reasonable percentage – 25%)

Competitive Position

• Do we have the financial resources?

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• Do we have the human resources? • Do we have or can we outsource the expertise?

Alternative Coverage

• Are there other sources that can meet the need? Recommendation If it is recommended the program continued or pursued, please provide the following information:

• Specify the action(s) that will be recommend with the strategic plan reference • Specify the budgetary implications • Specify the specific implementation plan and timetable

14.5. ALLIANCES AND PARTNERSHIPS EVALUATION FORM

November 16-17, 2018 SAMPLE Framework – Partnerships & Alliances

1. The AAO seeks to develop partnerships and alliances with nonprofit or for-profit organizations

that share in the AAO’s vision: To advance our members success through education, advocacy, and research that drive excellence in patient care.

2. The AAO staff and BOT will use this framework as a guide to evaluate proposed alliances,

partnerships, or coalitions (see attachment). Existing arrangements will be evaluated annually to ensure that partnerships, alliances, or coalitions further the goals of the organization as stated in the AAO Strategic Plan. All alliances, partnerships or coalitions must promote the goals of the AAO.

Alliances and Partnerships: Evaluation Form

Note: All partnerships should promote AAO goals. Date: Name of Organization/Potential Partner: Name of Event (if applicable): Section 1 Criteria for partnership: These are baseline criteria all potential partners must meet to be considered for approval. Check Box if the statement is true (insert comments as appropriate) The organization, coalition or group is non-partisan and non-denominational.

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The organization, coalition or group’s mission or area of expertise specifically focuses on

(insert mission or specific objective of the strategic plan for which partnership or alliance is being sought).

The organization, coalition or group’s mission relates to one or more stated goals,

objectives or strategic initiatives of the current association strategic plan. Identify them below:

The program or activity proposed for a partnership with the AAO is compatible with at least

one strategic goal or objective in the AAO strategic plan.

The proposed program or activity is significant to the AAO or to its sphere of influence within the larger dental community. Please describe.

The partnership can be supported with current resources e.g., staff, budget, program materials. If not, please briefly describe what additional support might be necessary to maintain the partnership.

Section 2 Activities: List the activities required for participation in the partnership. Check all that apply: Letter of Agreement

Payment of dues. Specify amount: $___________ Education of members (if applicable) e.g., webinar(s), course(s). Specify:

________________________________________________________________________ Representation on the BOT. Specify number of meetings and locations:

________________________________________________________________________ Representation of an AAO member-leader at a meeting(s) or event(s). Specify number of

meetings/events and locations: _______________________________________________________________________

Attendance at meetings, conventions or workshops by staff. Specify number of meetings and locations: _______________________________________________________________________

Distribution of materials on behalf of the partnership. Specify if the materials will be part of an existing distribution or will need to be separate. _______________________________________________________________________

Fundraising activity on behalf of the partnership (if applicable). Specify activity: _______________________________________________________________________

Comments and/or Any Other Requirements for the Partnership:

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Chapter 15. PUBLICATIONS AND AAO PRODUCED MATERIALS 15.1. AJO/DO 15.1.1. AJO/DO EDITORIAL BOARD COMPOSITION August 3-4, 1986 Amended November 18-19, 2017 The Editor-in-Chief of the American Journal of Orthodontics and Dentofacial Orthopedics shall be authorized to appoint annually, subject to the approval of the Board of Trustees, the members on the basis of expertise to serve without compensation as a member of the Editorial Board. The term of service for members of the Editorial Board shall parallel the term of service for the Editor-in-Chief. 15.1.2. AJO/DO FOREIGN EDITIONS November 24-25, 1986 Recommendations from the AJO/DO Editor-in-Chief regarding proposed AJO/DO foreign editions shall be received and considered by the Board of Trustees 15.2. AAO BULLETIN 15.2.1. AAO BULLETIN The AAO Bulletin shall be published six times per year. Committee C shall be responsible for approving the content of The Bulletin. 15.2.2. AAO BULLETIN August 25-26, 1991 No unsolicited material will be published in The Bulletin. 15.2.3. ON-SITE BULLETIN August 24-25, 2001 The on-site Bulletin shall be eliminated from the AAO Annual Session, beginning with the 2002 Annual Session. 15.2.4. DISTRIBUTION OF THE BULLETIN August 21, 2009 The appropriate person(s) shall receive copies of The Bulletin at the following groups and associations: Canadian Association of Orthodontists, American Dental Association, Academy of General Dentistry, American Cleft Palate Association – Craniofacial Foundation, World Federation of Orthodontists, College of Diplomates of the American Board of Orthodontics, American Dental Educators Association, American Student Dental Association, American College of Dentists, International College of Dentists; and the officers of the following groups and associations: American Academy of Oral and Maxillofacial Pathology, American Academy of Pediatric Dentistry, American Association of Endodontists, American Academy of Periodontology, American Academy of Oral and Maxillofacial Radiology, American Association

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of Oral and Maxillofacial Surgeons, American Association of Public Health Dentistry, and the American College of Prosthodontists.

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Chapter 16. RELATED ENTITIES 16.1. AAO FOUNDATION 16.1.1. AMERICAN ASSOCIATION OF ORTHODONTISTS FOUNDATION February 19-21, 1999 Effective August 1, 2000 the American Association of Orthodontists Foundation shall reimburse the AAO for all identifiable expenses attributed to the organization. 16.1.2. RESEARCH -- FINANCIAL ASSISTANCE FOR ORTHODONTIC DEPARTMENTS February 23-25, 1991 The Association shall not provide unrestricted financial aid to orthodontic departments and the AAO Foundation is encouraged to continue its role in this particular area. 16.2. AAO PAC 16.2.1. AAO POLITICAL ACTION COMMITTEE February 19-21, 1999 All AAO Political Action Committee expenses shall be paid by the AAO to the full extent permitted by federal election laws and by the AAO budget so that the maximum amount of funds contributed may be distributed to political candidates; and the AAOPAC shall annually submit its request to the Budget Advisory Committee for such expenses. 16.2.2. AAOPAC DIRECTORS’ ELECTION February 18-20, 2010 Amended September 5-6, 2014 During each February meeting of the Board of Trustees, the Board shall appoint AAOPAC Directors from constituent organizations whose Directors’ terms will expire and elect an AAOPAC Chair for the term beginning at the close of the Annual Session of the same year. Prior to the meeting, constituent organizations whose Directors’ terms will expire shall nominate one individual for the position. The Board of Trustees is not bound to choose the Director from the name submitted and may request additional nominations. 16.3. AAO SERVICES, INC 16.3.1. AAO SERVICES, INC. February 19-21, 1999 The relationship with AAO Services, Inc. shall be flexible as it relates to the payment of, or reimbursement of, expenses in order to properly deal with the tax status of each organization.

16.4. AMERICAN ASSOCIATION OF ORTHODONTISTS INSURANCE COMPANY 16.4.1. AMERICAN ASSOCIATION OF ORTHODONTISTS INSURANCE COMPANY (a RRG) February 19-21, 1999

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The AAOIC shall remain totally self-sustaining and AAOIC or AAOSI, as appropriate, shall reimburse the AAO for all identifiable expenses attributed to AAOIC. 16.4.2. AAOIC RISK MANAGEMENT ELECTRONIC NEWSLETTER February 18-20, 2010 A quarterly electronic newsletter shall be developed by AAOIC on risk management issues for distribution to all AAO members.

16.5. WORLD FEDERATION OF ORTHODONTISTS February 19-21, 1999 Effective January 1, 2002 the World Federation of Orthodontists shall reimburse the AAO for all identifiable expenses including compensation for Executive Director's time based on the percentage of his time allocated at his current salary and benefits rate.

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Chapter 17. SEAL 17.1. USE OF SEAL May 15, 1973 The following two official seals shall be recognized by the American Association of Orthodontists: A. Corporate Seal - This shall be utilized as evidence of incorporation on any official

document requiring such evidence and shall be located in the Association office. B. Ornamental Seal - This shall be utilized only according to the following stipulations:

1. On the official stationery, checks, brochures or other items of the American Association of Orthodontists at the direction of the Board of Trustees.

2. On membership certificates and such other certificates of merit as may be approved by the Board of Trustees.

C. The Chief Executive Officer is authorized to use the corporate seal or the ornamental

seal on such documents that require the corporate seal to be attached with his signature.

17.2. USE OF THE SEAL BY CONSTITUENT ORGANIZATIONS May 15, 1973 The ornamental seal may be used by constituent organizations of the American Association of Orthodontists provided it is accompanied by the ornamental ribbon bearing the name of that society. Its use shall be restricted to those limitations placed on its use by the American Association of Orthodontists. Use of the seal for any other purpose than the above stipulation must be with the consent of the Board of Trustees of the American Association of Orthodontists.

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Chapter 18. STAFF AND CENTRAL OFFICE 18.1. CHIEF EXECUTIVE OFFICER 18.1.1. CHIEF EXECUTIVE OFFICER CRISIS TRANSITION PLAN November 19-20, 2004 Revised November 17, 2007 Revised May 1, 2017

Chief Executive Officer Crisis Transition Plan

Introduction This policy provides guidance should the AAO Board of Trustees find itself in the position of having to institute an emergency plan to arrange for management of AAO activities and the direction and administration of staff due to an unexpected departure or short-term absence of the AAO Chief Executive Officer. Chief Executive Officer’s Status If it is determined that the Chief Executive Officer must take a temporary leave of absence due an injury or illness, Plan A will be implemented. If the Chief Executive Officer leaves due to an unexpected departure on a permanent basis, then Plan B will be implemented following the completion of Plan A. Plan A Immediate Steps (Within hours)

1. The President will authorize the Vice President, Advocacy and General Counsel to take over full responsibilities of the Chief Executive Officer (CEO), using the title of “Interim Chief Executive Officer.” The President will notify all staff via an email directive authorizing this temporary administrative change, with copies to all Board members, Council Chairs, Council Members, Constituent Officers and directors and other AAO-related entities.

2. The Executive Committee of the Board of Trustees (EXCOM) may, in its sole and absolute discretion and not withstanding Section 1 above, name an individual other than the Vice President, Advocacy and General Counsel as Interim CEO. In the event of such action, the Vice President, Advocacy and General Counsel shall continue to be responsible, in the discretion of the Interim CEO, for all of the functions of the Interim CEO.

3. The Interim Chief Executive Officer will direct the Vice President, Finance to take all necessary steps to ensure the integrity of financial processes, including any signature changes required and make all necessary authorizations.

4. The Interim CEO will meet with all AAO and AAO related entity staff, to discuss the

situation, outline a plan of action and time table, and answer any relevant questions. 5. The Interim CEO will immediately meet with the Vice President, Finance to review the

CEO’s calendar and to-do list, preparing an action plan to assume all duties and tasks as required. The Interim CEO will focus on duties involving the external activities of the

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Association including BOT projects and dental organization relationships. The Interim CEO will authorize the Vice President, Finance to assume internal administration activities of the AAO. A brief report on this meeting shall be prepared by the Interim CEO and sent to the BOT.

6. The Interim CEO will notify via E-mail to Councils, Committees and AAO-related entity

Boards acknowledging assumption of the new administrative role, offering assistance and assurance of continuity of AAO business and service.

Plan B Intermediate Steps (Within first week)

1. The President will authorize the Vice President, Advocacy and General Counsel to take over full responsibilities of the Chief Executive Officer (CEO), using the title of “Interim Chief Executive Officer.” The President, or his or her designee, will notify all staff via an email directive authorizing this temporary administrative change, with copies to all Board members, Council Chairs, Council Members, Constituent Officers and directors and other AAO-related entities.

2. The Executive Committee of the Board of Trustees (EXCOM) may, in its sole and

absolute discretion and notwithstanding Section 1 above, name an individual other than the Vice President, Advocacy and General Counsel as Interim CEO prior to a full search pursuant to Section 5 of this provision, below. In the event of such action, the Vice President, Advocacy and General Counsel shall continue to be responsible, in the discretion of the Interim CEO, for all of the functions of the Interim CEO.

3. The appointment of the Interim CEO and appropriate information about the former CEO

should be announced to the general membership in an immediate e-mail to AAO members.

4. Communications shall be forwarded to those responsible for all meetings and/or events

which the former CEO was to have attended, informing them that the Interim CEO (or his surrogate) will attend.

5. Representatives of the American Dental Association, the dental specialty organizations

and other associated dental groups shall be contacted with an update and interim contact information.

6. The Board, at the President’s direction, shall thereafter take appropriate action in a

timely manner to find a candidate to become the permanent CEO. Such appropriate action may include the appointment of a special committee of the Board by the President, which may have the ability to hire one or more professional search firms to assist the committee in its search for acceptable candidates for the position. The final decision on the candidate shall be made by the voting members of the BOT.

Long Range Step (as appropriate) 1. An announcement of the appointment of the interim CEO and a complete description of

the search committee and process should be announced in the earliest possible Bulletin.

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2. An announcement of the selection of a new CEO and a description of the selection process as well as the new CEO’s qualifications should be announced in the earliest possible Bulletin.

18.1.2. CHIEF EXECUTIVE OFFICER INTERNATIONAL TRAVEL POLICY May 1-6, 2006 The Chief Executive Officer is authorized to attend international meetings, with the approval of the Board that would benefit the AAO. 18.1.3. COMMUNICATIONS AND INTERACTIONS AMONG THE BOARD OF TRUSTEES, COUNCILS AND STAFF Chief Executive Officer area of responsibility or assignment:

1. Select the staff person most qualified to serve as the staff liaison to each council, committee or task force.

2. Monitor the performance of staff liaisons. 18.1.4 CEO Spouse Travel August 16-17, 2019 Effective, November 1, 2019, reimbursement for all CEO spouse travel will mirror the policy for non-officer trustee spouse travel. 18.2. PAST PRESIDENTS 18.2.1. LIST OF PAST PRESIDENTS May 12-14, 1993 The AAO Central Office shall maintain a current list of all past presidents and annually send a letter to the past presidents requesting they immediately notify the AAO of any personal situations which would be of interest and concern to the other past presidents. 18.3. CENTRAL OFFICE BUILDING 18.3.1. AAO CENTRAL OFFICE BUILDING May 10, 1984 The Chief Executive Officer shall be responsible for executive office management and maintenance of the AAO central office building. 18.3.2. USE OF AAO CENTRAL OFFICE BUILDING August 12-13, 1978 Amended April 29-May 1, 1997 Only meetings authorized by the Board of Trustees, the Chief Executive Officer or his designate shall be held in the central office building.

18.4. RECORDS MANAGEMENT

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18.4.1. ELECTRONIC RECORDS MANAGEMENT POLICY May 16-18, 2005

1. Keep electronic records (i.e., e-mails) the same length of time you would keep paper records with similar content under the AAO Record Retention Schedule.

2. Primary responsibility for retention of electronic records rests upon the originator, author, sender, forwarder and/or recipient of the record.

3. Electronic documents must be stored so as to be retrievable by authorized AAO personnel throughout the applicable retention period.

4. When a computer workstation is retired or assigned to a different employee, the AAO should review e-mail and other electronic records on the workstation before any data or files of any kind are altered or removed.

5. Each storage medium (i.e., offline tape or disk) must be retained as long as the record on it that has the longest preservation period. Therefore, records with similar preservation periods should be stored together on the same medium, whenever possible.

6. Use write-once storage, such as DVD, or CD-ROM, to store documents that need to remain unchanged throughout their life.

7. E-mails that do not correspond to a paper record requiring retention for some period of time should be destroyed after they have served their intended purpose, except if an event has occurred requiring suspension of the disposal schedule. For example, if litigation is threatened or commenced, e-mails and other electronic documents relating to the subject matter of the litigation should be preserved.

8. When retiring an application, take appropriate measures to ensure that the associated record is retained in a retrievable, usable, format for the preservation period associated with that record.

9. If the preservation period for a particular electronic record is more than three years, and if the program that produced the data is not widely accessible (i.e. other than Word, Excel, PowerPoint, Adobe PDF, etc.), then either print and save a hard copy instead of the electronic record, or convert the electronic record into a more widely used format. If neither of these alternatives is sufficient, then make arrangements for keeping and properly storing necessary hardware and software (such as computers, tape or CD drives, operating systems and programs) so that the data can be read and printed. Document what hardware and software is being retained for the purpose of these records, and where located. This should include training materials and setup and configuration for the hardware, operating system and programs, as well as instructions on how to restore and access data (i.e. user's guide).

10. Electronic records sent to a storage facility should have a destruction date and a content label on the storage medium describing its contents.

11. Programs, program listings and other automatic data processing devices must be retained for the same duration as the data they support.

12. When ownership of documents changes, passwords and security access to applications and documents must also change appropriately.

18.4.2. RETENTION OF RECORDS February 20-22, 1993 Amended April 29-May 1, 1997 All AAO records shall be retained at the AAO central office and shall be released only upon prior

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authorization of the Board of Trustees. However, the Chief Executive Officer is authorized to release such records as may be required by a bonafide subpoena or other applicable law. The Vice President, Advocacy and General Counsel will review all subpoenas and will review all records or other documents before they are released. The Chief Executive Officer will notify the Board of all subpoenas that may be received.

18.5. AAO INSURANCE POLICIES May 17-18, 1974 Amended April 29-May 1, 1997 Amended November 18-19, 2017 The insurance policies covering the Central Office building and AAO staff shall be maintained by the Chief Executive Officer or his/her designee.

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Chapter 19. VENDORS 19.1 CONSULTANT AND VENDOR RELATIONSHIP MANAGEMENT February 14-16, 1997 Amended February 21-22, 2014 Amended September 5-6, 2014 Amended April 26, 2016 Amended February 16, 2018 Amended February 15-16, 2019 Relationships with consultants and vendors (for purposes of this policy “vendors”) should be managed professionally to ensure the highest value to the AAO. Gifts or preferred services of any sort provided to members of any AAO board, council, committee or other groups are unnecessary and considered inappropriate. Gifts and preferred services to staff are addressed in AAO’s Personnel Policy Manual. Vendor Selection Process It is the responsibility of staff to ensure vendor selection is always in the best interest of the AAO and that products and services align with the pricing and standards in the agreement. Vendors providing products and services shall be selected based upon competitive proposals/bids if the anticipated cost of the product or service exceeds $25,000, with the exception of emergency services (e.g. repair services).

• Proposals/Bids must be received from at least 3 qualified vendors • Vendors determined to be uniquely qualified or market competition is absent will be

exempt from the bid process (e.g. expert based services like legal, employment recruiting or social media). Documentation must be presented to support the rationale for not obtaining a bid.

• A single bid may only be used in the case of an emergency where the requirement will not permit a delay due to the bid process.

• All vendors must be provided the same information so that bids received are comparable.

• It is not required that the vendor with the lowest bid be selected. However, if the lowest bid is not accepted, a memo justifying the selection of another vendor must accompany the invoice.

Working with Vendors Approval/Review All contracts must be reviewed by Legal Counsel prior to signing. Contracts equal to or greater than $25,000 (applies to total project costs of $25,000 or more even if paid in installments of less than $25,000):

o Must be reviewed by Legal Counsel prior to signing

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o Must also be review by the VP of Finance before signing

o Must be signed by the AAO Chief Executive Officer

Contracts less than $25,000:

o Must be reviewed by Legal Counsel prior to signing

o Should be signed by the Vice President or Director of each department

Vendors should be paid promptly for products and services provided in accordance with the agreement. Any dispute regarding an invoice or payment should be addressed immediately in conjunction with the AAO Vice-President of Finance. Payments to vendors equal to or greater than $5,000 must be supported by a statement of work, contract or purchase order. This applies to total project costs of $5,000 or more even if paid in installment of less than $5,000. Vendor Evaluation Any performance issues should be addressed with the vendor on a timely basis and the vendor should present a plan to bring performance to required standard. If the vendor’s performance does not improve to meet the required standard then the AAO CEO should be informed along with Legal Counsel, if necessary. A vendor performance evaluation should be completed annually for vendors with a cumulative spend of $25,000 or more to be reviewed by the AAO CEO in conjunction with senior staff. The AAO should undertake a Request for Proposal or Request for Information (RFI) at least once every three years for vendors with a cumulative spend of $50,000 per year. At a minimum, an RFP must be done every six years. The decision to accept or reject the RFP or RFI must be completed at least 3 months prior to the expiration of the existing contract. A Request for Information (RFI) focuses on gathering data regarding products and services without the intent of changing vendors. The current vendor is not included in the RFI process. The goal of the RFI process is to ensure that AAO is keeping up-to-date with best practices and products on the market and that vendor pricing is fair and competitive. All documentation regarding vendor selection and evaluation must be maintained in vendor files available for internal or external audit review. 19.2. VENDOR ADVISORY GROUP July 17, 2009

• An invitation list to 20 presidents and/or high level officials with orthodontic and dental vendors shall be invited to serve on the Vendor Advisory Group. The list will include OMA members, but is intended to reach groups that are not part of the OMA.

• Upon approval by the BOT, an invitation letter will be sent out for an initial meeting on the Thursday morning prior to the November meeting of the BOT. The letter will include the various initial goals of the advisory group.

• The date of the meeting with the OMA shall be moved.

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The vendor advisory group shall meet once per year (face-to-face) with a committee of the BOT as opposed to the entire BOT

19.3. GIFTS FROM VENDORS August 27-28, 1989 Amended April 29-May 1, 1997 Gifts from vendors and prospective vendors in any form to members of the Board, councils, committees are unnecessary and considered inappropriate. If such vendors wish to show appreciation to the Association, they shall be advised to consider a gift to the AAO Foundation. Gifts to staff are covered by the Association’s Personnel Policies.

19.4. AUTHORIZED LOGO USAGE BY INSURANCE COMPANIES April 24-25, 1980 Amended April 29-May 1, 1997 Currently endorsed insurance carriers may be granted a limited license to use the logo of the Association on printed material which will be sent to the membership, and such license shall be set forth in a written agreement, which shall contain appropriate limitations on the use of the logo.

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AAO ADVERTISING GUIDELINES ................................................................................. 3 AAO BULLETIN ............................................................................................................ 80 AAO LIBRARY-SCANNING AJO ARTICLES ................................................................ 46 AAO MEMBERS SERVING ON ADA-RELATED ENTITIES ........................................... 8 AAO POLITICAL ACTION COMMITTEE ...................................................................... 82 AAO PROGRAM, PRODUCT AND SERVICE ANALYSIS ............................................ 76 AAO SERVICES, INC. .................................................................................................. 82 AAOIC RISK MANAGEMENT ELECTRONIC NEWSLETTER ...................................... 83 AAOPAC DIRECTORS’ ELECTION.............................................................................. 82 AAO-SPONSORED SYMPOSIA TOPICS ..................................................................... 52 ABO CERTIFICATION .................................................................................................. 64 ACCESS TO ORAL HEALTHCARE .............................................................................. 64 ACCESS TO ORTHODONTIC CARE ........................................................................... 64 ADA CANDIDATES (FINANCIAL SUPPORT) ................................................................ 8 ADA EXHIBIT SPACE AT AAO/CONSTITUENT ANNUAL SESSIONS .......................... 9 ADA HOD RESOLUTIONS CONFERENCE CALL ......................................................... 9 ADA HOUSE OF DELEGATES ....................................................................................... 8 ADA PRESIDENT/PRESIDENT-ELECT ......................................................................... 9 ADA’S EFFORTS IN ACCESS TO ORAL HEALTHCARE ............................................ 64 AD-INTERIM MEETINGS .............................................................................................. 25 ADVERTISEMENTS BY ASSOCIATION MEMBERS ..................................................... 7 ADVERTISING GUIDELINES ......................................................................................... 3 ADVERTISING--VENDOR .............................................................................................. 7 AJO/DO EDITORIAL BOARD COMPOSITION ............................................................. 80 AJO/DO FOREIGN EDITIONS ...................................................................................... 80 ALLIANCES AND PARTNERSHIPS EVALUATION FORM .......................................... 77 AMERICAN ASSOCIATION OF ORTHODONTISTS FOUNDATION ........................... 82 AMERICAN ASSOCIATION OF ORTHODONTISTS INSURANCE COMPANY (A RRG)

................................................................................................................................... 82 AMERICAN DENTAL EDUCATION ASSOCIATION ..................................................... 10 ANNUAL SESSION PHOTOS ....................................................................................... 52 APPLICATION FORM ................................................................................................... 54 APPROVALS AND ENDORSEMENTS ......................................................................... 73 ATTENDEES AT ORTHODONTIC CAUCUS ................................................................. 9 BOARD CERTIFICATION ............................................................................................. 66 BULLETIN ..................................................................................................................... 80 BULLETIN-DISTRIBUTION OF ..................................................................................... 80 BYLAWS ....................................................................................................................... 24 CANCELLATIONS ........................................................................................................ 50 CENTRAL OFFICE BUILDING ..................................................................................... 87 CENTRAL OFFICE STAFF TRAVEL ............................................................................ 24 CERTIFICATE OF RECOGNITION FOR LIFE ACTIVE MEMBERS............................. 55 CERTIFYING BOARD LOGO USAGE .......................................................................... 55 COHC Position Statement Regarding Orthodontic Insurance Reimbursement ............. 66 COMMUNICATION ....................................................................................................... 12 COMMUNICATION BETWEEN LEGISLATIVE COUNSEL AND THE AAO ................. 12

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COMMUNICATIONS PLAN .......................................................................................... 12 COMPLAINTS ......................................................................................................... 54, 55 COMPONENT SOCIETIES (STATE) IN CONSTITUENT ORGANIZATIONS .............. 23 CONCURRENT COURSES .......................................................................................... 52 CONSTITUENT AD-INTERIM MEETINGS ................................................................... 25 CONSTITUENT ORGANIZATION BYLAWS ................................................................. 24 CONSTITUENT ORGANIZATION MEETING DATES .................................................. 25 CONSUMER AWARENESS PROGRAM ...................................................................... 27 COPYRIGHT PROTECTION ........................................................................................ 31 COUNCIL ON DENTAL EDUCATION ........................................................................... 66 CRISIS COMMUNICATIONS PLAN.............................................................................. 12 CRITERIA CHECKLIST FOR ENDORSED PROGRAMS ............................................. 75 CRITERIA FOR IDENTIFYING AND EVALUATING PRODUCTS ................................ 74 DEATH .......................................................................................................................... 60 DECEASED LEADERS-RECOGNITION OF ................................................................ 60 DENTAL ASSISTING NATIONAL BOARD ................................................................... 10 DISASTER .................................................................................................................... 60 DISCLOSURE OF FINANCIAL INTEREST ................................................................... 53 DISTANCE LEARNING ................................................................................................. 27 DISTANCE LEARNING EDUCATION PROGRAMS ..................................................... 27 DISTANCE LEARNING PROGRAM COMPENSATION PROGRAM ............................ 27 DISTANCE LEARNING PROGRAM SPEAKER APPRECIATION GIFT ....................... 27 DISTINGUISHED ORTHODONTISTS .......................................................................... 56 EDITORIAL BOARD COMPOSITION ........................................................................... 80 EDUCATION LEADERSHIP CONFERENCE ............................................................... 26 ELECTRONIC COMMUNICATION WITH MEMBERS .................................................. 13 ELECTRONIC RECORDS MANAGEMENT POLICY .................................................... 87 E-MAIL ADDRESSES ................................................................................................... 18 ENDORSED PROGRAM CRITERIA CHECKLIST ........................................................ 75 ENDORSEMENT .......................................................................................................... 73 EXCUSED SCHOOL ABSENCE POLICY ..................................................................... 68 EXECUTIVE DIRECTOR INTERNATIONAL TRAVEL POLICY .................................... 87 EXHIBIT BOOTH AT INTERNATIONAL MEETINGS .................................................... 11 FDI WORLD DENTAL FEDERATION ........................................................................... 10 FEES FOR INTERNATIONAL APPLICANTS ............................................................... 54 FINANCIAL ASSISTANCE ............................................................................................ 82 FINANCIAL INTEREST ................................................................................................. 53 FINANCIAL SUPPORT ................................................................................................... 8 FOREIGN EDITIONS .................................................................................................... 80 FRATERNIZATION ................................................................................................. 29, 30 FUNDING OF DENTAL RESEARCH PROGRAMS ...................................................... 68 GIFTS ............................................................................................................................ 25 GIFTS FOR OUTGOING CONSTITUENT PRESIDENTS ............................................ 25 GIFTS FROM VENDORS ............................................................................................. 92

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GUIDELINES FOR AAO MEMBERS’ USE OF AAO MARKETING AND COMMUNICATION MATERIALS BY CONSTITUENTS, COMPONENTS, GROUPS, OR INDIVIDUAL MEMBERS ..................................................................................... 61

GUIDELINES FOR USE OF AAO MARKETING AND COMMUNICATION MATERIALS BY NON-MEMBERS .................................................................................................. 62

HARASSMENT AND FRATERNIZATION ..................................................................... 29 HOD RESOLUTIONS ...................................................................................................... 9 HPV IMMUNIZATION…………………………………………………………………………27 HUMANITARIAN AWARD ............................................................................................. 57 INSURANCE POLICIES ................................................................................................ 89 INTERNATIONAL APPLICANTS .................................................................................. 54 INTERNATIONAL MEETINGS-EXHIBIT BOOTH ......................................................... 11 KEY CONTACT ............................................................................................................. 28 KEY CONTACTS .......................................................................................................... 28 KEY CONTACTS SELECTION GUIDELINES .............................................................. 28 LEGAL ASSISTANCE TO CONSTITUENTS AND COMPONENT ORGANIZATIONS . 30 LEGAL FEES ................................................................................................................ 29 LEGISLATIVE COUNSEL ............................................................................................. 12 LEGISLATIVE UPDATE ................................................................................................ 28 LEGISLATIVE VISITS TO WASHINGTON DC ............................................................. 28 LIBRARY USAGE ......................................................................................................... 44 Library Usage--AAO Member Offsite Usage ..................................................... 45, 46, 47 Library Usage--Non-member Onsite Usage .................................................................. 46 LIBRARY-SCANNING AJO ARTICLES ........................................................................ 46 LIFE ACTIVE MEMBER CERTIFICATE ........................................................................ 55 LOGO MATERIALS SOLD THROUGH ORDER DEPARTMENT ................................. 55 LOGO USAGE .............................................................................................................. 55 LOGO USAGE BY INSURANCE COMPANIES ............................................................ 92 LOSS DUE TO NATURAL DISASTER .......................................................................... 60 MARKETING AND COMMUNICATION MATERIALS--GUIDELINES FOR USE BY

CONSTITUTENTS-COMPONENTS-GROUPS-INDIVIDUAL MEMBERS ................. 61 MARKETING AND COMMUNICATION MATERIALS--GUIDELINES FOR USE BY

NON-AAO MEMBERS ............................................................................................... 62 MATCH PROGRAM ...................................................................................................... 26 MATCH SERVICE EXEMPTION POLICY ..................................................................... 26 MEDIA CALLS .............................................................................................................. 13 MEETING DATES ......................................................................................................... 25 MEETING SCHEDULING ............................................................................................. 50 MEMBER CERTIFICATE-RECOGNITION OF LIFE ACTIVE MEMBERS .................... 55 MEMBER COMPLAINTS .............................................................................................. 54 MEMBER'S DEATH ...................................................................................................... 60 MEMBERSHIP APPLICATION FORM .......................................................................... 54 MEMBERSHIP IN NATIONAL DENTAL ASSOCIATION .............................................. 54 MEMBERSHIP MAILING LISTS ..................................................................................... 15 NATIONAL DENTAL ASSOCIATION ............................................................................ 54 ON-SITE BULLETIN ...................................................................................................... 80

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ORAL HEALTHCARE ................................................................................................... 64 ORTHODONTIC CAUCUS ............................................................................................. 9 ORTHODONTIC INSURANCE REIMBURSEMENT ..................................................... 66 ORTHODONTISTS ....................................................................................................... 56 PARC, Registration Fees .............................................................................................. 50 PAST PRESIDENTS ..................................................................................................... 87 PATIENT COMPLAINTS ............................................................................................... 55 PENDING ADA HOUSE OF DELEGATES’ RESOLUTIONS .......................................... 8 PHOTOS ....................................................................................................................... 52 POLICY CONCERNING COMPONENT SOCIETIES (STATE) IN CONSTITUENT

ORGANIZATIONS ..................................................................................................... 23 Position Statement Regarding Orthodontic Insurance Reimbursement ........................ 66 PRACTICE OPPORTUNITIES SERVICE POLICIES .................................................... 59 PRINTED MATERIAL .................................................................................................... 31 PRIVACY STATEMENT ................................................................................................ 66 PRODUCT AND SERVICE ANALYSIS ......................................................................... 76 PROFESSIONAL ADVOCACY CONFERENCE ........................................................... 52 PROTOCOL TO FOLLOW IN THE EVENT OF MEMBER'S DEATH ............................ 60 RECOGNITION OF LEADERS WHO HAVE PASSED ................................................. 60 RECORDS .................................................................................................................... 88 REFUNDS AND CANCELLATIONS .............................................................................. 50 REGISTRATION ........................................................................................................... 52 REGISTRATION FEES ........................................................................................... 50, 52 REGISTRATION FEES FOR PARC MEMBERS .......................................................... 50 REGISTRATION FOR AAO-SPONSORED MEETINGS ............................................... 50 RELIGIOUS SERVICES ................................................................................................ 53 RESEARCH -- FINANCIAL ASSISTANCE FOR ORTHODONTIC DEPARTMENTS.... 82 RESEARCH PROGRAMS ............................................................................................ 68 RETENTION OF RECORDS ......................................................................................... 88 RISK MANAGEMENT ELECTRONIC NEWSLETTER .................................................. 83 SCHEDULING OF MEETINGS ..................................................................................... 50 SCHOOL ABSENCE ..................................................................................................... 68 SEAL ............................................................................................................................. 84 SEAL BY CONSTITUENT ORGANIZATIONS .............................................................. 84 SERVICE ANALYSIS .................................................................................................... 76 SERVICE AWARD PLAQUE ......................................................................................... 55 SERVICE VENDOR REVIEWS ..................................................................................... 90 STAFF TRAVEL ............................................................................................................ 24 SUPPORT OF ADA'S COUNCIL ON DENTAL EDUCATION FINDINGS ..................... 66 SURVEYS ..................................................................................................................... 19 SYMPOSIA TOPICS ..................................................................................................... 52 TELEPHONE NUMBERS .............................................................................................. 52 THE LEGAL, LEGISLATIVE AND REGULATORY PRIORITIES DIRECTIVE……..31, 32 TRAVEL POLICY-EXECUTIVE DIRECTOR INTERNATIONAL ................................... 87 VENDOR ADVERTISING ................................................................................................ 7 VENDOR ADVISORY GROUP ..................................................................................... 91

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VENDOR REVIEWS ..................................................................................................... 90 VENDORS-GIFTS FROM ............................................................................................. 92 WEB SITES ................................................................................................................... 19 WEB SITES HOSTED ON AAO WEB PLATFORM ...................................................... 19 WORLD FEDERATION OF ORTHODONTISTS ........................................................... 83