standing rules and orders...effective date for adopted hod actions 81 26-13 h – may 6, 2013 82 83...

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Standing Rules and Orders of the American Association of Orthodontists

Standing Rules and Orders are special policy statements of the House of Delegates. As Bylaws relate to the organization of the Association, Standing Rules and Orders relate to the procedures necessary for running the Association. Standing Rules and Orders may enhance, add to or even vary from the rules of parliamentary law or the current parliamentary authority. Standing Rules and Orders may establish general rules and obligations of Association members or governance bodies. Standing Rules and Orders are in effect until revoked by the House of Delegates. Standing Rules and Orders always defer to Bylaws.

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Amended May 2015 1 Amended April 2017 2 Amended May 2018 3 Amended May 2019 4 5

AAO STANDING RULES/ORDERS 6 7 HOUSE OF DELEGATES 8

9 Accountability for Progress of the Prior Year’s Approved Resolutions 10 6-99 H – May 18, 1999 11

12 RESOLVED, that prior to constituent interim Board meetings, a report on 13 the progress and/or status of all resolutions from the prior year be 14 provided to constituent organizations. 15

16 ADA Officers Addressing AAO House of Delegates 17 6-91A H – May 15, 1991 – Amended May 7, 2002 (16-02 H) 18

19 RESOLVED, that it be the policy of this Association that an officer of the 20 American Dental Association who has been invited by the AAO President, 21 with the concurrence of the Speaker of the House, may address the AAO 22 House of Delegates and that the address shall be limited to ten minutes. 23

24 Board of Trustees Recommendation Reporting to the House of Delegates 25 55-03 H – May 6, 2003 26

27 RESOLVED, that the Board of Trustees, when voting on resolutions to 28 the House of Delegates, will, at the request of a Trustee, provide a written 29 summary of both the majority and minority discussion points. 30

31 Proprietary Interest 32 26-87 H -- May 13, 1987 – Amended May 16, 2011 33

34 RESOLVED, that any purveyor of services or a person having a propriety 35 interest in a matter before the House of Delegates will be excused by the 36 Speaker, with the approval of the House, from the House floor or visitors 37 gallery. Such individuals may be called upon by the Speaker, prior to or 38 during debate, to present background information to the Delegates 39 regarding a specific matter before the House. 40

41 Elected Officers’ Assumption of Office 42 62-99 H – May 18, 1999 43

44 RESOLVED, that even though the election of officers, trustees, and 45 council chairs takes place midway through the activities of the House, 46 those members who are elected shall not assume their positions until 47

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after the close of the session of the second meeting of the House of 48 Delegates. 49 50

Results of AAO Surveys 51 50-03 H – May 6, 2003 52

53 RESOLVED, that it be Association policy that the results and supporting 54 information from all AAO surveys during each fiscal year be reported at the 55 next session of the House of Delegates. 56 57

House Policy Review Committee Duties 58 37-12 H – May 4, 2012 59 60

RESOLVED, that the Policy Review Committee, as directed by the 61 Speaker of the House, shall review policy and determine which policies 62 are to be archived. The Committee shall submit a report to the November 63 Board meeting for approval and subsequent distribution to delegation 64 chairs and constituent executive directors. This distribution of policies to 65 be archived should occur as early as possible and prior to the constituent 66 ad interim meetings 67

68 Strategic Plan 69 68-06 H- May 2006 – Amended April 28, 2014 - 20-14 H 70 71

RESOLVED, that the Strategic Planning Committee (SPC) be an annual 72 standing committee of the Board of Trustees, composed of the President-73 elect who shall be chair, one (1) Trustee, and four (4) delegates 74 appointed by the Speaker of the House, and be it further 75

76 RESOLVED, that any recommendations from these reviews be submitted 77 to the House of Delegates for approval. 78

79 Effective Date for Adopted HOD Actions 80 26-13 H – May 6, 2013 81 82

RESOLVED, that it be the policy of the AAO that all actions of the House 83 of Delegates shall become effective upon the close of the second (final) 84 session of the HOD, unless otherwise stated in the motion. 85

86 Diversity Policy 87 19-18 H – May 7, 2018 88 89

RESOLVED, that the AAO House of Delegates recognizes that 90 orthodontists are increasingly diverse in terms of age, gender, race and 91 ethnicity and in how they practice. The House of Delegates of the AAO 92 strives to reflect this diversity throughout AAO leadership. 93

94 Diversity of Delegations 95 12-15 H – May 18, 2015 – Amended May 7, 2018 - 20-18 H 96

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97 RESOLVED, that constituents are encouraged to assemble delegations 98 to the House of Delegates that reflect the diversity of members in their 99 geographic region, and be it further 100

101 RESOLVED, that the AAO House of Delegates strives to increase 102 diversity in its delegations to reflect the increasing racial and gender 103 diversity in the AAO membership, and be it further 104

105 RESOLVED, that each year, the breakdown of delegates, in the terms of 106 race and gender, by constituent, be reported to the HOD by the AAO staff 107 at the Annual Session, and be it further 108

109 RESOLVED, that the AAO staff investigate the best method to assess the 110 racial and gender makeup of our membership and our leadership. 111

112 Mandated Volunteer Leadership Criteria 113 15-15 H – May 18, 2015 114 115

RESOLVED, that the following be adopted as criteria to be used when 116 appointing and/or electing volunteer leaders to positions of delegate, 117 trustee and council, and further, that this policy take place beginning at 118 the close of the 2015 House of Delegates. 119

120 CRITERIA FOR A REPRESENTATIVE TO THE AAO HOUSE OF DELEGATES 121 122 Existing Policy Requires 123

124 1. Each constituent organization shall appoint delegates annually from 125

among its active membership and in accordance with the number allotted 126 by AAO Bylaws. Each constituent organization may elect from among its 127 active members the same number of alternate delegates as delegates. 128

2. Each delegate shall be elected by the constituent organization in 129 accordance with the procedures of such constituent organization. 130

3. In its deliberations, the members of the House of Delegates have the 131 primary responsibility for the welfare of the Association, the specialty of 132 orthodontics, and the dental profession as a whole. The members have a 133 secondary duty of considering the wishes of their constituents. 134

135 Desired Qualifications 136 137 When seeking qualified candidates, the following characteristics and personal 138 traits should be strongly considered by the constituent organizations: 139 140 1. Should have strategic thinking skills with a three- to five-year horizon in 141

their thinking. 142 2. Work well within a voluntary leadership organization setting by supporting 143

decisions of the whole. 144 3. Build teamwork among peers with different needs and interests. 145

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4. Ability to guide the Association in the future through a shared vision with 146 staff and volunteers. 147

5. Ability to build consensus among peers with different needs and interests. 148 6. Realizes micromanaging is not compatible with leadership governance. 149 7. Is a recognized leader and demonstrates leadership commitment through 150

past or current involvement with orthodontic, dental, healthcare or other 151 nonprofit entities including local community organizations. 152

8. Relevant expertise and or interest in the disciplines of nonprofit 153 management including branding, fundraising, component/constituent 154 relations, international and organizational alliances. 155

9. Possesses sufficient technological expertise, including the use of social 156 networks, file sharing programs, email, text, video conferencing and other 157 electronic communication tools. 158

10. Supports regular self-evaluation of the House of Delegates and its 159 role/function within the AAO. 160

11. Time commitment includes, but is not limited to the following: 161 a. Attendance at the AAO Annual Session 162 b. Attendance at the constituent ad interim and fall meetings 163 c. Conference calls as required 164 165 Self-Assessment of the House of Delegates 166 17-15 H - May 18, 2015 167

168 RESOLVED, that beginning in 2016 all Delegates and Alternate 169 Delegates of the House of Delegates participate in an annual 170 performance assessment of the performance of the House of Delegates, 171 and be it further 172

173 RESOLVED, that the performance assessment be distributed within a 174 week following the second session of the House of Delegates and results 175 provided to the Board of Trustees and Speaker of the House of Delegates 176 for distribution to the Constituent. 177

178 BOARD OF TRUSTEES 179

180 Board Planning Session 181 37-91 H – May 15, 1991 – Amended May 6, 1997 (53-97 H) 182

183 RESOLVED, that the House of Delegates encourage and support the 184 option of the Board of Trustees to meet annually for a planning session; 185 and that the planning session be in addition to the regularly scheduled 186 meetings of the Board and not be of more than five days duration. 187

188 AAO Information 189 15-97 H – May 6, 1997 190

191 RESOLVED, that it be the policy of the AAO that all voting members of 192 the Board of Trustees shall have direct access to any and all information 193

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dealing with the management of the Association (excluding personal 194 information on office personnel). AAO Trustees are encouraged to be 195 actively involved in review of this information. 196 197

Mandated Volunteer Leadership Criteria 198 15-15 H – May 18, 2015 – Amended April 24, 2017 (10-17 H) 199 Amended May 6, 2019 – (32-19 H) 200 201


206 CRITERIA FOR AN AAO TRUSTEE 207 208 Existing Policy Requires 209 210

1. A Trustee shall be an active member of this Association of the 211 constituent organization he/she is elected to represent. Should the 212 status of any Trustee change in regard to the preceding qualifications 213 during his/her term of office, that office shall be declared vacant, and 214 such vacancy shall be filled as hereinafter provided. 215

2. A Trustee shall be nominated and elected by the constituent 216 organization in accordance with the procedures of such constituent 217 organization. 218

3. Understands that the Trustee has a fiduciary responsibility to 219 represent the interests of the AAO as a whole over the constituent 220 who elected/appointed the Trustee. 221

222 Desired Qualifications 223 224

When seeking qualified candidates, the following should be strongly considered by 225 the constituent organizations: 226

227 1. That potential Trustees have a demonstrated ability and possess the following 228

basic leadership skills: 229 a. The ability to lead and motivate volunteers; managing is secondary. 230 b. Eight to ten year horizon in their thinking; should have strategic thinking 231

skills. 232 c. Work within a team setting by looking to the future with a shared vision. 233 d. Ability to inspire and empower both volunteers and staff. 234 e. Build teamwork among peers with different needs and interests. 235

2. Ability to guide the Association in the future through a shared vision. 236 3. Understand the difference between “governing” and “managing”. 237 4. Ability to guide peers from micromanaging to leadership governance. 238 5. Demonstrated leadership commitment through past or current involvement with 239

orthodontic, dental and other nonprofit entities including local community 240 organizations. 241

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6. Relevant expertise in the disciplines of nonprofit management including branding, 242 fundraising, component/constituent relations, international and organizational 243 alliances. 244


8. Supports routine performance feedback by fellow board members and reports of 248 performance to constituent organization. 249

9. Understands that the time commitment required includes the following, but not 250 limited to: 251

a. Three meetings per year in St. Louis (two nights, three days in 252 September, November and February) 253

b. One (1) Board Planning Session held in the summer (three nights, four 254 days) 255

c. Ten (10) days at the AAO Annual Session 256 d. Attendance at the ADA Annual Session, AAO Winter Conference, 257

Advocacy Conference, and Leadership Conference 258 e. Evening and/or daytime conference calls as required 259 f. Subcommittee work using electronic communication tools 260 g. Attendance at constituent ad interim and fall meetings 261

10. Ensure that the views and interests of each party are honestly and accurately 262 communicated between parties. 263

11. Advocate for the values, intents, interests and actions of the AAO. 264 265

COUNCILS 266 267 Substitute for Mandated Volunteer Leadership Criteria 268 15-15 H – May 18, 2015 269 270


275 CRITERIA FOR AN AAO COUNCIL MEMBER 276 277 Existing Policy Requires 278 279

1. Each council shall consist of one member from each constituent organization; 280 except that (1) the Council on Orthodontic Education shall also include one 281 member nominated by the American Board of Orthodontics, (3) Council on New 282 and Younger Members shall have graduated from an accredited orthodontic 283 program within no more than six years from the time of their appointment, and 284 such Council shall also include two representatives selected by the Board of 285 Trustees from nominations submitted by accredited orthodontic programs, who 286 must be enrolled in an accredited orthodontic program and be student members 287 of the AAO in good standing. Councils serve as advisors to the Board of 288 Trustees. 289

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2. Nominations and Elections: Nominations for all constituent organization council 290 representatives shall be made by the Board of Trustees. Additional nominations 291 may be made from the floor of the House of Delegates. Members of councils 292 shall be elected by the House of Delegates in accordance with these Bylaws. 293

3. Eligibility: All members of the councils must be active members in good standing 294 of this Association with the exceptions that: 295

a. Council members who are reclassified as retired while serving their 296 elected term shall remain eligible to complete such elected term; 297

b. Student members may serve on the Council on New and Younger 298 Members as set forth in Article VIII. C. 1; and 299

c. Academic members (non-US/CA graduates) may serve on councils as set 300 forth in Article III. C. 3. B. 301

302 TERMS OF OFFICE 303 304 The term of office of members of councils shall be two (2) years. The consecutive tenure 305 of a member of all councils except the Council on New and Younger Members shall not 306 exceed six (6) years, provided that a member who fills a vacancy for a partial term shall 307 be eligible to be elected for three (3) full terms. The consecutive tenure of a member of 308 the Council on New and Younger Members shall not exceed four (4) years, provided that 309 a member who fills a vacancy for a partial term shall be eligible to be elected for two (2) 310 full terms, and further, no member of the Council on New and Younger Members shall 311 serve past the 10th anniversary of graduation from the member’s orthodontic program. 312 313 Desired Qualifications 314 315 When seeking qualified candidates, the following should be strongly considered by the 316 constituent organizations: 317 318

1. That potential council members have a demonstrated ability and possess the 319 following basic skills: 320

a. A demonstrated expertise or interest in the content area of the Council. 321 b. Maintains outside relationships that can enhance their service to the 322

AAO. 323 c. 3-5 year horizon in their thinking; should have strategic thinking skills 324 d. Work within a team setting by looking to the future with a shared vision 325 e. Build teamwork among peers with different needs and interests 326

2. Ability to guide the Association in the future through a shared vision. 327 3. Councils are advisory to the Board of Trustees in developing programs and 328

policy. 329 4. Demonstrated leadership commitment through past or current involvement with 330

orthodontic, dental and other nonprofit entities including local community 331 organizations. 332


6. Supports routine performance feedback from leadership and reports of 336 performance to constituent organization. 337

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7. Understands expected time commitment including one to two meetings per year 338 in St. Louis (two days, one night), occasional evening and/or daytime conference 339 calls, ongoing subcommittee work using electronic communication tools and 340 attendance at the Annual Session (if chair of council). 341

342 Substitute for Self-Assessment of Standing Committees and Councils 343 16-15 H – May 18, 2015 – Amended May 7, 2018 (07-18 H) – Amended 344 February 14-15, 2020 345

346 RESOLVED, that individual members of councils and the Committee on 347 Technology be required to participate in an annual, confidential 348 assessment of the council/committee, each individual member and the 349 board liaison, and be it further 350

351 RESOLVED, that the assessments be submitted to the staff liaison by 352 March 15th electronically. Results of the assessments should be shared 353 with the AAO Board of Trustees and other parties as appropriate to 354 ensure any concerns are effectively addressed. 355

356 MEMBERSHIP: RULES, OBLIGATIONS AND BENEFITS 357

358 International Member Identification 359 43-02 H – May 7, 2002 360 361

RESOLVED, that it be the policy of the American Association of 362 Orthodontists that International members in good standing be permitted to 363 identify themselves by use of the phrase, “International Member of the 364 American Association of Orthodontists.” The phrase may only be used on 365 professional letterhead, stationery, business cards, interior building 366 signage, web sites and telephone directories. It may not be used on 367 exterior signage, promotions for seminars, lectures, publications or other 368 business ventures. If more than one dentist is represented on the 369 published item or sign, all dentists must be International members in good 370 standing of the Association, or the phrase may not be used. 371

372 Member’s Pledge 373 9-87 H – May 13, 1987 Amended May 6, 1997 (29-97 H) 374

375 RESOLVED, that the following unified pledge be adopted for placement 376 on all forms of application for membership in the AAO: 377 378 The American Association of Orthodontists seeks to exemplify and 379 promote the highest traditions in the practice of orthodontics. 380 381 In submitting this application, I agree that the American 382 Association of Orthodontists may investigate my qualifications. 383 384

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I, therefore, pledge myself, as a condition of membership in the 385 Association, to abide by its principles, declarations and 386 regulations, including those presented in the Bylaws of the 387 American Association of Orthodontists and the Principles of Ethics 388 and Code of Professional Conduct, copies of which I have 389 received and read. 390

391 GENERAL RULES 392

393 Closed Session Policy 394 42-95 H – May 16, 1995 – Amended May 7, 2018 (04-18 H) 395

396 RESOLVED, that it be the policy of the AAO that the Board of Trustees, 397 councils, committees and subcommittees thereof, may go into a closed 398 session upon a duly adopted motion to go into closed session. Only 399 members of the convened meetings of the AAO Board of Trustees, 400 councils, committees and subcommittees shall be allowed to attend the 401 closed session unless non-members or consultants are approved, by the 402 appropriate vote, to attend, and be it further 403 404 RESOLVED, that a closed session will be on the agenda of the House of 405 Delegates, at each Annual Session, and be it further 406 407 RESOLVED, that the Speaker of the House will schedule the time and list 408 of additional attendees able to attend the closed session at the House of 409 Delegates, in consultation with the President of the AAO and the General 410 Counsel of the AAO. 411 412

AAO Policy on Conflict of Interest 413 85-97 H – May 6, 1997 – Amended May 18, 1999 (34-99 H) – Amended May 2, 414 2000 (10-00 H) – Amended May 8, 2001 (7-01 H) 415 416

POLICY ON CONFLICT OF INTEREST 417 Preamble 418 Individuals serving as fiduciaries of the American Association of 419 Orthodontists shall at all times act in a manner consistent with their legal 420 and ethical responsibilities to the Association and shall exercise particular 421 care that no detriment to the Association results from conflicts between 422 their interests and those of the Association. A conflict of interest exists 423 when an individual has a direct or indirect (i.e., beneficiary) interest or 424 relationship, financial or otherwise, that may conflict or be inconsistent 425 with the individual’s duties or exercise of independent judgment with 426 respect to the Association. If any such individual believes that he or she 427 may have a conflict of interest, the individual shall promptly and fully 428 disclose the possible conflict and shall refrain from participating in any 429 way in any matter in which the possible conflict relates until and unless 430 any such possible conflict has been properly disclosed and resolved per 431 this policy. In addition, when nominating, electing or appointing any 432 officer, member of a council or committee, or representative, the Board of 433

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Trustees, the House of Delegates and the President of this Association, 434 as the case may be, shall give careful consideration to any possible 435 conflict of interest which may exist or be created. 436 437 Resolution of Conflicts of Interest 438 439 Generally, decisions as to whether a conflict of interest exists and should 440 be disclosed, and whether participation in matters that may be affected by 441 the conflict of interest is appropriate, are left to the judgment of the 442 individual. However, in some cases, the existence of a conflict of interest 443 may materially affect the interests of the Association. In such cases, if any 444 member of the Board of Trustees, councils, committees, House of 445 Delegates, or representative or staff person (an “Official”) has a conflict of 446 interest with respect to any issue and does not disclose such conflict of 447 interest and/or refrain from participation in matters relating to the issue, 448 then the Board of Trustees (as to fellow Board members, council 449 members, committee members, representatives and staff) and the House 450 of Delegates (as to any delegate or alternate delegate) shall in a manner 451 consistent with due process, determine whether or not a conflict of 452 interest exists, and may, by a majority vote, take one or more of the 453 following actions: 454 455 1. Determine that there is no conflict of interest; 456 2. Determine that such Official’s disclosure of the conflict of interest 457

is sufficient, and that no further action is warranted; 458 3. Request that the Official divest himself/herself of the position or 459

relationship that gives rise to the conflict of interest in order to 460 participate in matters relating to the issue; and/or 461

4. Require that the Official: 462 a. Refrain from all deliberations and actions on issues 463

affected by the conflict of interest, including abstaining 464 from voting thereon; 465

b. Be physically absent from all deliberations and actions on 466 issues that are affected by the conflict of interest; and/or 467

c. To the extent permitted by law, be denied access to any 468 and all information, including written documents and oral 469 and written reports that relate to issues affected by the 470 conflict of interest. 471

472 With respect to any Official representing a constituent organization: 473 1. The Board of Trustees or the House of Delegates, as the case 474

may be, shall notify the constituent organization of action 475 referenced in paragraphs 3 or 4, above, prior to any such action 476 being taken, and constituent organization shall have the 477 opportunity to be represented on such matter through the 478 appointment of another person. 479

480 In addition, any consideration of a conflict of interest of an Official 481 shall be considered during a duly scheduled meeting of the Board 482

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of Trustees or House of Delegates, as the case may be, and shall 483 be disclosed in the minutes of that meeting. 484 485

2. When possible, the constituent organization for whom the Official 486 serves as a representative shall be promptly notified of the time, 487 date and place of the meeting of the Board of Trustees or House 488 of Delegates, as the case may be, at which its determination of 489 the existence of a conflict of interest and action relating thereto will 490 occur, and such constituent organization may submit a written 491 report on any and all issues relating to the issues. 492

493 Conflict of Interest Form 494 In consideration of the Association’s policy and the Official’s position with 495 the Association, each Official shall complete, sign and date the following 496 disclosure form on an annual basis, and shall update it if and when any 497 change in the information occurs. The purpose of this form is to allow the 498 Association to make reasonable judgments about potential conflicts and 499 avoid total disqualification of an individual whenever possible, while giving 500 more guidance to individuals completing the questionnaire. This will allow 501 individuals to continue with their work for the Association to the extent 502 possible. Answering “yes” to many or even most of the questions may 503 not automatically disqualify an individual. Indeed, individuals who have 504 attained high levels of expertise through affiliation with other 505 organizations, academia, or businesses are important to the Association, 506 provided their activity does not involve a conflict. Please keep in mind 507 that, to avoid even the appearance of impropriety, an Official should 508 always disclose any relationship or interest that might affect a vote, 509 decision or action on behalf of the Association. 510 511 PART I 512 For purposes of this form, “You” and “Your” means you, your immediate 513 family or any other third party with whom you or your immediate family 514 has a business relationship; and “Material Interest” means: 515 516 (a) a financial interest or professional relationship which directly, 517 indirectly or beneficially contributes materially to your income; or 518 (b) a significant position, such as proprietor, director, partner, 519 spokesperson, consultant, or key employee. 520 521 If you answer “yes” to any of the following questions, please complete 522 Part II of this form. 523 524 1. Do You have, or do You anticipate having within the next 12 525 months, a Material Interest in or with any business that furnishes goods or 526 services, or is seeking to furnish goods or services, to the Association? 527 Yes 528 No 529 2. Do You have, or do You anticipate having within the next 12 530 months, a Material Interest in or with any health care business or facility 531

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(i.e., HMO, PPO, practice management organization, orthodontic 532 manufacturer or service provider, etc.), other than Your orthodontic 533 practice? 534 Yes 535 No 536 3. Do You currently have, or do You anticipate having within the next 537 12 months, a Material Interest in or with any health care organization, 538 association or related professional society? 539 Yes 540 No 541 4. Do you currently hold, or do You plan holding within the next 12 542 months, any faculty positions? 543 Yes 544 No 545 5. Do You currently have, or do You anticipate having within the next 546 12 months, any other Material Interest or involvement with any other 547 activity that may be inconsistent with your duties or exercise of 548 independent judgment with respect to the Association? 549 Yes 550 No 551 552 By signing this form, I agree not to use my position, or any reference to 553 past, present or future positions, with the Association to promote personal 554 business interest. I further agree not to capitalize on, profit, or attempt to 555 profit, from information gained as a result of my position with the 556 Association. I agree to abide by the outcome of the resolution of any 557 conflict of interest I may have in accordance with the procedures outlined 558 in this policy. 559 560 I understand that the information on this form shall be provided to all 561 members of the body or group within the Association to which I have 562 been elected or appointed and other Association Officials who possess a 563 legitimate interest in my disclosures, as determined by the Board of 564 Trustees. I also understand that this information shall be accessible to 565 AAO members to the extent permitted by law. 566 567 Signed: 568 569 Print Name: 570 571 Date 572 573 PART II 574 If you answered “yes” to any of the questions above, please indicate for 575 each question: 576 Question No. 577 1. Name of Business(es), Organization(s) or Institution(s): 578 579

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2. Nature of Its Business or Activities: 580 _________________ 581 3. Brief Description of Your Material Interest (i.e., extent of financial 582 interest, position held, part-time, full-time, etc.): 583 584 Question No. 585 1. Name of Business(es), Organization(s) or Institution(s): 586 _______________________ 587 588 2. Nature of Its Business or Activities: 589 ___________ 590 591 3. Brief Description of Your Material Interest (i.e., extent of financial 592 interest, position held, part-time, full-time, etc.): 593 594 Question No. 595 1. Name of Business(es), Organization(s) or Institution(s): 596 ___________ 597 2. Nature of Its Business or Activities: 598 599 3. Brief Description of Your Material Interest (i.e., extent of financial 600 interest, position held, part-time, full-time, etc.): 601 602 Question No. 603 1. Name of Business(es), Organization(s) or Institution(s): 604 _______________________ 605 606 2. Nature of Its Business or Activities: 607 ___________ 608 609 3. Brief Description of Your Material Interest (i.e., extent of financial 610 interest, position held, part-time, full-time, etc.): 611 612 613

Conflicts of Interest (AAO Employees) 614 9-01 H – May 8, 2001 – Amended May 7, 2002 (38-02 H) 615 Amended – May 6, 2019 (32-19 H) 616

617 RESOLVED, that it be the policy of the American Association of 618 Orthodontists that all potential employees of the Association review the 619 conflict of interest policy and complete and sign the conflict of interest 620 disclosure form prior to becoming employed by the Association; and be it 621 further 622 623 RESOLVED, that the Board of Trustees be notified of these conflicts. 624 Further, that it be the responsibility of the employee to inform the Chief 625 Executive Officer of potential conflicts once employed. The Chief 626 Executive Officer will immediately report these conflicts to the Board of 627

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Trustees, which may suggest action in accordance with the AAO’s policy 628 on conflict of interest, including necessary revision to job descriptions. 629 630

Dental Service Organizations 631 57-99 H – May 18, 1999 632 Title Amended April 24, 2017 – Formerly known as Dental Management 633 Service Organizations 634

635 RESOLVED, that Corporations, either public or private, which provide 636 managed services for orthodontic practice shall be referred to as Dental 637 Service Organizations within the AAO. 638

639 Membership in the Friends of the NIDCR 640 42-00 H – May 2, 2000 641

642 RESOLVED, that the American Association of Orthodontists become an 643 ongoing member of the Friends of the National Institute of Dental and 644 Craniofacial Research (NIDCR). 645

646 MEETINGS 647 648

ANNUAL SESSION 649 650

Volunteer Leadership Appreciation Event 651 19-10 H May 3, 2010 652 Amended May 18, 2015 (43-15 H) 653 Amended May 6, 2019 (07-19 H) – (formerly known as the President’s Volunteer 654 Appreciation Reception) 655 Amended February 14-15, 2020 656 657

RESOLVED, that the AAO establish a new recognition event for 658 volunteers called the Volunteer Leadership Appreciation Event, and be it 659 further 660 661 RESOLVED, that current council members be included in the invitation 662 list for the event as published in the Annual Session Operations Manual 663 as shown below: 664 665 INVITATION LIST: 666 • AAO Board of Trustees 667 • AAO Delegates & Alternate Delegates 668 • AAO Past Editors 669 • AAO Past House Speakers 670 • AAO Past Presidents 671 • AAO Staff 672 • AAOF Board of Directors 673 • AAOIC Board of Directors 674 • AAOPAC Board of Directors 675 • AAOSI Board of Directors 676

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• ABO Board of Directors 677 • Annual Session Planning Committee 678 • Canadian Association of Orthodontists Board 679 • College Board of Directors 680 • Committee on Technology 681 • Constituent Board of Directors – host constituent only 682 • Constituent Executive Directors 683 • Constituent Officers 684 • Current Council Members 685 • General Chair of the succeeding ASPC 686 • Others at the discretion of the President (including Presidents and ED’s 687 of other dental specialties) Not to exceed over 10 extra guests. Above 10 688 will be paid for by the President. 689 • President and Executive Director of ADA, AGD 690 • WFO Affiliated Society Presidents, as approved by E.D. and/or AAO 691 President 692 • WFO Executive Committee 693 694

Annual Session Fee Waiver 695 33-04 H – May 4, 2004 696

697 RESOLVED, that the AAO Annual Session registration fees be waived for 698 delegates, alternate delegates, AJO/DO Editor, AAO Council Chairs, and 699 any other AAO members required to be in attendance at the House of 700 Delegates. 701

702 Waiver of Annual Session Registration Fees 703 08-05 H – May 24, 2005 704

RESOLVED, that the AAO Annual Session registration fees for Past 705 Presidents, Past Speakers and Past Editors be waived, in honor of their 706 service to the Association. 707 708

Annual Session Registration Fees for Junior Faculty 709 52-05 H - May 24, 2005 710

711 RESOLVED, that the American Association of Orthodontists’ Annual 712 Session registration fees be $0.00 for Junior Faculty members of U.S. 713 and Canadian accredited orthodontic programs who utilize AAO housing 714 and $80 for Junior Faculty (defined as anyone that is considered full-time 715 by their university and who holds the rank of Assistant Professor or lower, 716 such as Instructor or Lecturer) who do not utilize AAO housing. 717 718

Full-Time Faculty Annual Session Fee Waiver 719 16-06 H - May 8, 2006 720

721 RESOLVED, that the American Association of Orthodontists’ Annual 722 Session registration fee be $0.00 for full-time faculty members of U.S. 723 and Canadian accredited orthodontic programs who utilize AAO housing 724

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and $80.00 for full-time faculty (defined as anyone that is considered full-725 time by their university) who do not utilize AAO housing. 726

727 Annual Session Dates 728 43-94 H – May 4, 1994 – Amended May 7, 2012 – Amended May 6, 2013 729

730 RESOLVED, that it be the policy of this Association that the annual 731 session be scheduled so as not to include Mother's Day. 732

733 Annual Session Presenter Introduction 734 9-98 H – May 19, 1998 735

736 RESOLVED, that the following statement be read during the introduction 737 of presenters at all AAO-sponsored programs that have a financial and/or 738 beneficial interest in their presentation: “This participant(s) has a financial 739 and/or beneficial interest in a product or service related to his/her 740 presentation,” and be it further 741 742 RESOLVED, that the AAO strongly encourages constituent and 743 component organizations to adopt a similar policy statement. 744

745 AAO Professional Advocacy Conference and Leadership Development 746 Conference 747 13-99 H – May 18, 1999 – Amended May 7, 2002 (49-02 H) Amended May 16, 748 2011 – Amended May 4, 2012 (41-12 H) – Amended May 7, 2018 (27-18 H) – 749 Amended May 6, 2019 (35-19 H) 750

751 RESOLVED, that the AAO host a Professional Advocacy Conference 752 every year and a Leadership Development Conference every year, and 753 be it further 754 755 RESOLVED, that the Leadership Development Conference be planned 756 by a committee appointed by the AAO President and consisting of a BOT 757 chair; two Trustees; four members representing four different 758 constituents; and at least one constituent executive director, and be it 759 further 760 761 RESOLVED, that any member participating in Component or Constituent 762 leadership, as well as any emerging leader, be encouraged to apply for 763 inclusion in the annual Leadership Development Conferences. 764

765 Education Leadership Conference and Educators’ Workshop 766 46-04 H – May 4, 2004 – Amended May 8, 2006 (56-06H) 767 Amended May 16, 2011 768

769 RESOLVED, that the Board of Trustees name the Education Leadership 770 Conference and Educators’ Workshop in an educator’s honor when 771 deemed appropriate. 772

773

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Constituent Organization Joint Meetings 774 41-94 H – May 19, 1994 775

776 RESOLVED, that constituent organizations be encouraged to continue to 777 plan joint, concurrent or sequential constituent meetings. 778

779 AAO FINANCES 780

781 Rationale for Budget 782 24-90 H – May 9, 1990 783

784 RESOLVED, that it be the policy of this Association that the budget 785 recommended by the Board of Trustees to the House of Delegates 786 include the Board's rationale for implementation of any new programs or 787 elimination of currently funded programs. 788

789 Annual Budgets 790 32-94 H – May 4, 1994 791

792 RESOLVED, that the Board of Trustees be directed to review current 793 programs, materials and policies in preparing annual budgets; and that 794 programs or materials deemed by the Board to have inadequate 795 utilization or value shall be eliminated or receive reduced funding in the 796 Board's proposed budget. 797 798

Non-Bylaws Resolutions 799 22-97 H – May 6, 1997 – Amended May 6, 2003 (10-03 H) – Amended May 19, 800 2008 (10-08 H) – Amended April 28, 2014 (19-14 H) 801

802 RESOLVED, that all non-Bylaws resolutions to the House of Delegates 803 should be presented to the Board of Trustees 30 days prior to the AAO 804 annual meeting. If there is a new resolution of new subject matter with a 805 budgetary issue greater than $25,000 that has not been so presented, the 806 issue can only be considered by the House of Delegates with a three-807 fourths (3/4) vote. If the new resolution has no budgetary implication or a 808 budgetary implication less than $25,000, and has not been so presented 809 to the House of Delegates, the issue can only be considered by the 810 House of Delegates with a 2/3 vote. A resolution introduced less than 30 811 days before the HOD which is considered to be an amended version of, 812 or a substitution for, a properly introduced resolution (submitted more 813 than 30 days preceding the HOD), shall require the same vote for 814 adoption as the preciously submitted resolution. 815 816

Financial Reports 817 80-98 H – May 19, 1998 - Amended May 24, 2005 (12-05 H) - Amended May 6, 818 2013 - Amended May 6, 2013 – Amended May 6, 2019 819

820 RESOLVED, that the Secretary-Treasurer provide a financial report to the 821 House of Delegates which includes two previous years of actual income 822

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and expenses, percent of total each line item represents to the total of 823 each year, current budget, projected annual income and expenses, 824 proposed budget, and one projected year. Included in the financial report 825 will be explanations for any new budget items and significant line item 826 variances. The year-end financial report will be included in the House of 827 Delegates’ Book of Reports. 828 829

Full Financial Disclosure 830 85-98 H – May 19, 1998 Amended May 16, 2011 831

832 RESOLVED, that a complete financial report, including all AAO assets, 833

liabilities and investments will be made available to any AAO member, 834 and further, will be posted on the members-only portion of the AAO 835 website. 836

837 Reserves Policy 838 49-03 H – May 6, 2003 – Amended May 24, 2005 (15-05 H) – Amended May 8, 839 2006 (12-06 H) – Amended May 21, 2007 (04-07 H) Amended May 16, 2011 – 840 Amended May 6, 2013 (05-13 H) Amended April 25, 2014 – Amended May 2, 841 2016 (24-16 H) - Amended May 6, 2019 (32-19 H) 842

843 AAO Reserves Policy 844

845 AAO shall maintain Average Liquid Reserves (1) equal to 75% of the 846 average of the previous three years’ operating expenses (2). This amount 847 shall be deemed Target Liquid Reserves. Average Liquid Reserves in 848 excess of Target Liquid Reserves shall be deemed Excess Liquid 849 Reserves. This amount shall be reduced by appropriations, if any, to 850 determine Unappropriated Excess Liquid Reserves. 851 852 For purposes of this policy, the following definitions will be used: 853 854 (1)Average Liquid Reserves: Average of the previous 36 month-end 855 Liquid Reserves(3) 856 857 (3)Liquid Reserves: Cash and Investments at Month-End Market Value 858 Less: Restricted Cash and Investments at Month-End 859 Less: Total Liabilities at Month-End 860 861 (2)Operating Expenses: Total Expenditures per the annual independent 862 auditor’s report 863

Less: Extraordinary Expenses per the independent 864 auditor’s report 865

Less: Excess Reserve Spending approved by the House 866 of Delegates 867

Less: Expenditures Funded by Special Assessment 868 Less: Annual Session Expenses per the independent 869

auditor’s report 870 871

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When the Average Liquid Reserves for the 12 month period immediately 872 preceding each meeting of the House of Delegates exceeds Target Liquid 873 Reserves by more than 2%, The Board of Trustees may recommend the 874 House of Delegates approve a dues rebate of up to 50% of Excess Liquid 875 Reserves. An approved dues rebate will be paid to AAO members as a 876 credit against the upcoming year’s dues on a pro-rate basis in 877 accordance with each member’s current membership classification. If 878 payment by credit is not possible, the AAO will pay the rebate in the form 879 of a check issued to the member. 880 881

Liquid Reserves Policy 882 5-00 H – May 2, 2000 – Amended May 6, 2003 (18-03 H) 883

884 AAO POLICY ON LIQUID RESERVES 885

886 The expenditure of liquid reserves, with the exception of capital 887 expenditures up to $25,000 per project shall require, in the absence of 888 House of Delegates’ direction, a 3/4 vote of the Board of Trustees. 889 890 The purpose of AAO’s liquid reserves are: 891 892 1. To sustain basic operations and core member services during a 893

short-term economic downturn. 894 895 2. To continue the operation of those activities designed as fee for 896

service which maintain strong income over expense. 897 898 3. To sustain essential member services during a transition to a long-899

term economic downturn. 900 901 4. To provide a source of capital for funding of capital expenditures. 902 903 5. To cover unbudgeted and extraordinary expenditures brought 904

about by unanticipated challenges or opportunities for emergency 905 funding, e.g., critical activities. 906

907 6. To provide the AAO with a source of capital for research and 908

development of new products and services that have the potential 909 to significantly benefit the members. 910

911 Non-Liquid Reserves Policy 912 6-00 H – May 2, 2000 913

914 AAO POLICY ON NON-LIQUID RESERVES 915 916

The American Association of Orthodontists’ “non-liquid reserves”, 917 consisting of fixed assets (i.e., the 401 North Lindbergh Boulevard 918 property and equipment) shall be used only to fund catastrophic 919 expenses in the event that substantial “liquid reserves” (cash and 920

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investments less accounts payable and other liabilities) may have to be 921 expended. The Board of Trustees shall update annually and report both 922 the depreciated value and market value of the non-liquid reserves to the 923 House of Delegates at each annual session. 924 925

AAO Salary and Pension Schedules 926 31-95 H – May 16, 1995 927 928

RESOLVED, that AAO Staff salaries and pension schedules be made 929 available to AAO trustees upon majority request of the Board. 930 931

Renewal of CAP Assessment 932 27-13 H – May 6, 2013 - Amended May 18, 2015 (24-15 H) 933 934

RESOLVED, that for any multi-year funding program in existence for the 935 CAP, the HOD will evaluate the effectiveness of the program and make a 936 decision on the length and dollar amount of the assessment one year 937 prior to the expiration of the current program. 938

939 CAP Assessment (Also see Financial Policies, I. Dues., II. Assessments C.) 940

03-18 H – May 7, 2018 - Amended May 6, 2019 (03-19 H) 941 942

RESOLVED, that the consumer awareness program be funded to $8.2 943 million to be continued at $800 per year assessment for FY 19-20 944 recognizing a $8.2 million CAP budget, and be it further. 945 946 RESOLVED, that the balance to be taken out of Excess Liquid Reserves, 947 and be it further 948 949 RESOLVED, that a Task Force be formed specifically to investigate the 950 ramifications of converting the Consumer Awareness Program (CAP) 951 assessment into dues. Investigation should include implications on each 952 member class, implications on excess liquid reserves, as well as dues 953 rate, with a detailed report, including specific recommendations for 954 funding the CAP, due at the 2019 Virtual House of Delegates meeting. 955 The task force will work in consultation with the Vice President of Finance 956 and will be composed of the Secretary-Treasurer of the AAO, two 957 delegates from the House of Delegates, a member of the Council on 958 Communications, a member of the Council on Membership, Ethics, and 959 Judicial Concerns, and a member from the Council on New and Younger 960 Members to be appointed by the AAO President. 961

962 LEGISLATIVE ADVOCACY 963

964 Required Annual Report to the House of Delegates by AAO’s Washington 965 Legislative Counsel 966 46-07 H – May 21, 2007 967 968

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RESOLVED, that the AAO Washington legislative counsel prepare an 969 annual report to the Board of Trustees, for further submission to the 970 House of Delegates, on actions and interactions by the company on 971 behalf of the AAO; and be it further 972 973 RESOLVED, that the report provide a summary of the progress on key 974 issues and identify conflicts of interest, real or potential, relative to the 975 AAO advocacy efforts and define what impact these issues have upon the 976 AAO and its members. 977

978 Component Legal Support Fund 979

29-15 H - May 18, 2015 - Amended May 7, 2018 (28-18 H) 980 981

RESOLVED, that the AAO establish a state legal support fund to aid 982 component societies faced with potential legislative or regulatory 983 challenges that will directly affect the practice of orthodontics, and be it 984 further 985

986 RESOLVED, that the Component Legal Support Fund be increased to a 987 $1million balance as of June 1, 2018, to be funded from excess liquid 988 reserves. 989

990 ADMINISTRATION 991

992 AAOPAC Student Membership on AAO Dues Statement 993 13-07 H – May 21, 2007 994 Amended May 6, 2019 (32-19 H) 995 996

RESOLVED, that the AAO dues statement to Student Members include 997 an opt-in provision for eligible members for the AAOPAC’s “Student’s 998 Club”. 999 1000

Retired Reclassification 1001 8-92 H – May 1992 1002 1003

RESOLVED, that all members be notified annually in the dues notice of 1004 the procedures for requesting reclassification as retired. 1005

1006 Nominations for AAO Distinguished Service Award 1007 33-11 H – Revision of House Policy 21-01 H – May 8, 2001, Nominations for 1008 AAO Distinguished Service Award, 21-01 H – May 8, 2001 Amended May 16, 1009 2011, Amended April 24, 2017 1010 1011

RESOLVED, that nominations for the James E. Brophy AAO 1012 Distinguished Service Award shall come from the constituent 1013 organizations and be limited to one nominee per constituent per year. In 1014 addition, any group of five or more AAO members may make a 1015 nomination. All nominations shall be submitted to the AAO Central Office 1016 no later than March 30 for the year following, and be it further 1017

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1018 RESOLVED, that sitting members on the Distinguished Service Award 1019 Committee not be eligible for the award. 1020

1021 Publication of AAO Constituent Fact Sheet 1022 20-11 H –May 16, 2011 1023 1024

RESOLVED, that the Constituent Fact Sheet be published and retained in 1025 a secure portion of the member website. 1026 1027

Active AAO Committees Listed on the AAO Website 1028 26-11 H – May 16, 2011 1029 1030

RESOLVED, that when appropriate, all active AAO committees be listed 1031 on the AAO members website displaying the purpose of each committee, 1032 committee members, and their contact information. 1033

1034 AFFILIATED ORGANIZATIONS/INDEPENDENT ORGANIZATIONS 1035

1036 Board Positions in AAO-Affiliated Organizations 1037 68-00 H – May 2, 2000, Amended May 16, 2011 1038

1039 RESOLVED, that it be the policy of the Association that no member of 1040 AAO staff be permitted to serve in a voting capacity on any council, 1041 committee or board of the AAO or any AAO-affiliated organization (i.e., 1042 AAO Foundation, AAOSI, AAOIC, etc.), 1043 1044

Qualifications and Characteristics of a Director of American Board of 1045 Orthodontics 1046 06-08 H – May 19, 2008 1047 1048

RESOLVED, that the following qualifications and characteristics be 1049 considered when selecting individuals to serve as ABO Director by both 1050 constituent organizations and the American Board of Orthodontics: 1051 The following are requirements that “must”* be considered when 1052 nominating/selecting a Director for the ABO: 1053

• Resides within the constituent organization 1054 • ABO certified and re-certified with recognized clinical expertise 1055 • Demonstrates highest level of integrity; currently practicing and/or 1056

teaching in some capacity 1057 • Understands the duties, long-term commitment, travel and time 1058

commitment required to serve on the ABO Board 1059 • Has no conflicting commercial interests 1060 • Demonstrated commitment to the orthodontic specialty and 1061

recognized in the community as a leader with organizational skills 1062 • Demonstrates adaptability - team player 1063

1064 *must is defined as mandatory 1065

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The following are requirements that “should”** be considered when 1066 nominating/selecting a Director for the ABO, recognizing that no 1067 candidate would likely demonstrate all of these attributes: 1068 • Knowledge of evidence-based concepts and the latest 1069

technological advances 1070 • Experience with orthodontic teaching and research 1071 • Experience with orthodontic testing and outcomes assessment 1072

programs 1073 • Demonstrates the ability to be an individual “thinker” 1074 • Recognized as an excellent educator and communicator 1075 • Understands that special/unique skills needed for service on the 1076

ABO Board may vary from year-to-year 1077 • Demonstrates fairness and empathy 1078 • ABO examiner experience 1079

1080 **should is defined as strongly recommended 1081 1082

National Health Care 1083 46A-92 H – May 13, 1992 1084 1085

RESOLVED, that the American Association of Orthodontists, when 1086 appropriate, work with the American Dental Association in providing input 1087 into discussions of state or national health care programs which includes 1088 dentistry. 1089

1090 PUBLIC RELATIONS/ADVERTISING/CONSUMER AWARENESS 1091 1092

AAO Marketing and Communication Materials 1093 6A-78 H – May 19, 1978 – Amended May 7, 2002 (44-02 H) 1094 Amended May 18, 2015 (22-15 H) 1095

1096 RESOLVED, that the AAO grant permission for constituent and 1097 component societies to use its Marketing and Communication Materials 1098 prepared by the Council on Communications, provided the component 1099 and constituent societies abide by the Guidelines for AAO Members’ Use 1100 of AAO Marketing and Communication Materials by Constituents, 1101 Components, Groups, or Individual Members. These AAO materials are 1102 intended to aid the constituent and component societies in carrying out 1103 their public relations and advertising programs at their own expense. 1104

1105 Public Relations and Advertising Guidelines 1106 LA-77 H – May 24, 1977, Amended May 2, 2016 (05-16 H) 1107 1108

RESOLVED, that the Association adopt the following Public Relations 1109 and Advertising Goals as guidelines. 1110 1111

THE AMERICAN ASSOCIATION OF ORTHODONTISTS 1112 PUBLIC RELATIONS AND ADVERTISING GOALS 1113

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1114 The material that follows delineates the goals the American Association of 1115 Orthodontists seeks to achieve through its public relations and advertising 1116 efforts. 1117 1118 Succinctly, it is a set of guidelines, against which we must measure all 1119 communication efforts and opportunities to make certain they are both 1120 compatible with these goals, and within the purview of the Association's 1121 Council on Communications. 1122 1123

1. To maintain and expand communication and trust between the 1124 orthodontic specialty, other dental specialties, and dentistry as a 1125 whole. 1126

2. To communicate the function of orthodontics in developing and 1127 maintaining optimum oral health to the lay public, the family dentist, 1128 other specialty areas in dentistry, and others in the health field. 1129

3. To communicate the training and dedication of the orthodontist that 1130 makes him uniquely qualified to diagnose and treat dental and facial 1131 disharmonies. 1132

4. To encourage participation by the membership of the American 1133 Association of Orthodontists in communicating to the public the 1134 nature of orthodontics and the specialized training of the 1135 orthodontist. 1136

5. To continue and to expand communication with the membership 1137 itself, so that there is an ongoing understanding and commitment to 1138 achieving the Association's established communication goals. 1139

6. To utilize any and all mass communication media to disseminate 1140 information relative to the specialty of orthodontics. 1141

1142 Public Relations, Advertising and Patient Education Materials 1143 30-94 H – May 4, 1994, Amended May 2, 2016, 04-16 H 1144 1145

RESOLVED, that the public relations, advertising and patient education 1146 materials released by the AAO, where appropriate, state the benefits to 1147 patients of selecting an orthodontist as the provider of their 1148 comprehensive orthodontic services. 1149

standing rules and orders...effective date for adopted hod actions 81 26-13 h – may 6, 2013 82 83...

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