利益冲突政策
A. 目的
作为一个以科学为基础的非营利组织, public trust in the integrity and independence of the 美国心脏协会’s (AHA’s) scientific review and decision-making processes as well as AHA’s adherence to high standards for the conduct of its charitable activities is essential. 它也被承认和期望志愿者, 雇员和其他代表AHA工作的人(AHA代表)有无数的关系, 利益, 以及支持和受益于AHA使命的会员. 然而, there are times when these multiple relationships may give rise to or give the appearance of an actual or potential conflict of interest.
The purpose of this Policy is to protect the 利益 of the AHA when it is contemplating entering into a transaction or arrangement that might benefit or appear to benefit the private interest of any present or former AHA Representative, 或不恰当地使关联方受益.
作为一个非营利性的公共慈善机构, AHA must serve a public purpose to retain its tax-exempt status and must therefore carefully handle potential conflicts of interest. 保护美国心脏协会和美国心脏协会代表, this Policy requires disclosure of relationships by 啊哈代表 and resolution of any conflicts by AHA to ensure that actions taken are in the best interest of AHA. This protects AHA’s and 啊哈代表’ decision-making from the appearance of bias or improper influence by individual personal or business 利益, 在AHA的家人或亲密伙伴.
B. 定义
1. 啊哈代表
AHA代表包括董事, 军官, 委员会成员, 科学委员会成员, 志愿者, 工作人员, 特定的签约方或代理人, 以及由公司秘书指定担任决策角色的关键人物.
2. 利益冲突
When a person covered by this Policy has a relationship that interferes with that person’s duty of primary loyalty to the AHA or prevents that person from being impartial to the AHA and its charitable purposes, 那个人的利益与美国心脏协会的利益有冲突. The potential for a conflict of interest may arise within (i) an actual adverse interest (where the two 利益 are on opposite sides of an issue or transaction) or (ii) a competing interest (where the two 利益 are in competition for the same goals).
3. 关联方
关联方系指以下人员或实体之一:
(a)美国心脏协会或其附属机构的任何董事、管理人员、雇员或志愿者.
(b)上文第(a)款所述任何个人的任何亲属.
(c)上述第(a)或(b)款所述任何个人担任董事的任何实体或信托, 受托人, 官, 员工, 或志愿者.
(d) Any entity or trust in which any individual described in subsection (a) or (b) above has a thirty-five percent (35%) or greater ownership or beneficial interest.
(e) Any partnership or 专业 corporation in which any individual described in subsection (a) or (b) above has a direct or indirect ownership interest in excess of five percent (5%).
(f)上述(a)或(b)款所述任何个人拥有重大经济利益的任何其他实体或信托.
4. 的关系
在本保单中, “关系”指的是经济关系, 家庭或非经济关系, 或持有的权益, 披露信息的人.
5. 相对
在本保单中, 个人的“亲属”是指下列人员之一, 虽然在特定情况下可以使用其他定义, 例如为了AHA审计委员会的“独立性”评估目的:
(a)配偶或家庭伴侣;
(b)的祖先;
(c)兄弟姐妹或半兄弟姐妹, 儿童(无论是亲生的还是收养的), 孙子, and great-孙子; or
(d)以上(c)款所述任何人的配偶或家庭伴侣.
C. 信息披露原则
美国心脏协会代表应严格避免实际或感知的利益冲突, 包括但不限于:不公平利益, 不仅仅是微不足道的个人利益, 或在与美国协会的交易或交易中施加不符合美国协会最佳利益的不当影响.
1. 信息披露美国心脏协会代表应充分披露财务和非财务关系, 包括他们的就业, 所有权利益, 会员资格, 安排, 投资, 和持有, 包括那些由家庭成员持有的, 按照美国心脏协会关系披露问卷的要求.
(a)在大多数情况下，初步披露应在任命或选举之前进行, 但可能在接受任命时发生, 此后每年一次.
(b) All 啊哈代表 are expected to update their 信息披露 Questionnaire whenever any material change occurs with their relationships.
(c)在AHA会议或活动过程中, 啊哈代表 are to disclose any direct or indirect 利益 in a transaction or decision that potentially could be a conflict of interest.
(d) The Corporate Secretary is to ensure that (a) all disclosures are appropriately maintained as required by this Policy and applicable law, 及(b)每年向审计委员会主席提供所有董事会成员的披露副本.
2. 评价: Reporting personal and other business relationships generally does not prevent an individual from working with 或志愿者ing for the AHA. AHA will evaluate non-financial and financial relationships for actual or perceived conflicts based on the nature of AHA Representative’s position(s) and scope of decision-making authority, 关系的实体性, the pervasiveness of the conflict and whether additional measures are needed to protect the integrity and reputation of the AHA Representative and the AHA.
3. 决议: Conflicts may be resolved by having the AHA Representative refrain from deliberating and voting on the particular transaction or matter, 避免对AHA施加任何影响以影响决策, 或者根据冲突的性质和合理管理冲突的能力采取其他措施. 决议 will be based on the facts and circumstances of each individual situation but may in some cases require action up to and including the withdrawal of the individual from the conflicting relationship or from the AHA position. No person with a 利益冲突 may attempt to influence improperly the deliberation or voting on the matter giving rise to such conflict.
4. 与关联方的交易:下列除外, the Executive Committee of the AHA Board of Directors is responsible for reviewing any proposed transaction between the AHA and any 关联方, 或关联方在其中有重大经济利益的交易, 在这种关系对AHA产生约束力之前. 这样做的时候, 执行委员会将以本政策及根据本政策采取的程序为指导. 下列活动不包括在本节的审查要求之内:
(a)该交易或关联方在该交易中的财务利益为 微量允许;
(b) the transaction would not customarily be reviewed by the AHA Board of Directors or boards of similar organizations in the ordinary course of business and is available to others on the same or similar terms; or
(c) the transaction constitutes a benefit provided to a 关联方 solely as a member of a class of the beneficiaries that the AHA intends to benefit as part of the accomplishment of its mission which benefit is available to all similarly situated members of the same class on the same terms.
D. 某些职位的要求
因为美国心脏协会的活动和运作的多样性, different volunteer and 工作人员 positions in AHA may require more specific and distinct procedures for disclosing and addressing potential conflicts of interest. 所有程序必须符合适用法律和本政策.
志愿者, 以美国心脏协会志愿者的身份行事, 不得为其个人招揽或接受, 专业, 或商业收益任何礼品, 小费, 谢礼, 娱乐, 来自现有或潜在供应商的优惠或其他商品或服务, 服务提供商, 企业合作伙伴, 或AHA的竞争对手.
E. 保密
All information submitted in response to the request to disclose relationships will be kept strictly confidential and only used by the AHA for the limited purposes for which it was collected.
F. 实现
指示首席执行官及其指定人员制定和维护适当的程序以实施本政策, 在不与上述披露原则相冲突的情况下，包括以下领域的详细信息. 审计委员会将负责监督并确保本政策得到遵守.
利益冲突的存在和解决方案应记录在美国心脏协会的公司记录中, 包括任何讨论或表决冲突的会议记录.
每一个导演, 官, 员工, 志愿者有责任报告任何美国心脏协会代表未披露的任何可疑信息, 无论位置如何, 根据美国心脏协会的告密者政策.
违反本政策的行为总是被认为超出了代表美国心脏协会的任何员工的雇佣范围.
For information regarding conflict of interest standards that apply to all Federal grants and cooperative agreements awarded to the 美国心脏协会 please review the 联邦财政利益冲突政策.