Feb 22 PMB No Bleed.pdf

The Practice
Management
Vol. 40, No. 1 / February/March 2022
Bulletin

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The Practice
Management Bulletin
F E A T U R E D
Team Hiring
2 Rx for Hiring: Succeed with
Recruitment in a Challenging
Labor Market
8 AAO and AAO-Endorsed Resources
Help Members Recruit Effectively
10 Update Your Great Current Team’s
Knowledge
Advocacy Update
12 GAO Investigation of DTC Medical
Products to Proceed
13 Letter from the Bipartisan Group of
21 Members of Congress
CAP
14 Newest CAP Campaign Highlights
“Serial Straighteners”
News Bites
16 2022 Annual Session Updates:
Dan Marino to Speak at the
Excellence Awards Luncheon
18 AAO Update on CDT Changes and
Activity
20 Align Technology Pledges $1 Million
Over Five Years to Support the AAO
Foundation
22 Air Exchange Rate Calculation
Method Enables University of
Rochester Orthodontic Clinic
to Return to Normal Patient
Scheduling
Risk Management
24 Employment Practices Claims—
Practice Owner Protection
AAO People
26 Accolades
27 In Memoriam
28 Upcoming Professional
Meetings
Many orthodontists are finding it challenging to get their
practices fully staffed in today’s labor market. The AAO
Orthodontic Staff Shortage Task Force recently began
work on resources and solutions for members

2 The Practice Management Bulletin
Rx for Hiring: Succeed with Recruitment in a
Challenging Labor Market
TEAM HIRING
A recent AAO member survey asked members
to indicate whether a variety of conditions were
impacting their practices or were expected to do so in
the near future.
Difficulty hiring qualified staff received a moderate or
significant problem ranking from 78 percent of survey
respondents. The orthodontic specialty, of course, is
not alone in facing labor issues, with many industries
today struggling to find workers in the wake of the
2020-21 “Great Resignation.”
Parents challenged by childcare and virtual school
issues may have given up on employment, at least in
the short-term. Workers fearful of contracting COVID or
exposing vulnerable family members, those struggling
to recover from long COVID, and others who declined to
return from early pandemic furloughs are absent from the
workforce.
A recent economic analysis found that while the
unemployment rate is just 0.4 percentage point higher than
it was before the pandemic began, there are 1.7 million fewer
people in the labor force than would be expected given the
state of the economy.1
As these employment trends have
taken hold, the AAO provided free people management
educational resources for members (see page 9). In addition,
the AAO recently established the Orthodontic Staff Shortage
Task Force to focus on developing resources and tools for
members that would support recruitment and retention of
well-qualified employees.

Ideas from AAO Member Posts on
Orthodontic Pearls
The popular private Facebook group Orthodontic Pearls
recently had a discussion thread on communicating with
prospective patients who are deciding between treatment
from an orthodontist and direct-to-consumer orthodontics
(DTCO). In response to a question posted on the page,
commenters offered a variety of approaches to responding to
expressed interest in choosing DTC treatment, as opposed to
working with an orthodontic practice.
Posts from AAO members within the thread included
those appearing below. These comments represent varying
communication styles and time commitments for discussion,
and are presented as thought-starters for orthodontists
seeking new approaches to communicating about this topic.
From Orthodontic Pearls, July 2021
“I would politely ask, ‘What brings you here today?’. Then, ask if
February/March 2022 3
AAO Resources and Contact Information
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The American Association of Orthodontists is a professional association
of educationally qualified orthodontics specialists dedicated to ethically
advancing the art and science of orthodontics and dentofacial orthopedics,
improving the health of the public by the promotion of quality orthodontic
care, supporting excellence in the practice of orthodontics, and
maintaining the highest ethical standards in orthodontic education and
practice.
The Practice Management Bulletin
A publication of the American Association of Orthodontists
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© American Association of Orthodontists, 2022
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“Beyond finding the best-qualified applicants for orthodontic
staff positions, we also want to help AAO members discover
the approaches for hiring, training and employee retention
that will work best for their practices as we face today’s labor
market,” says Dr. Doug Depew, chair of the Orthodontic Staff
Shortage Task Force.
Initially, the task force wishes to help orthodontic practices
get off to a strong start in hiring this year, before many
potential new patients may be ready to start treatment
during the late spring and summer. AAO members serving
on the task force would like to offer solutions that are working
effectively in their practices. The tips below are from Dr.
Depew and Drs. Trista Felty, Scott Schulz and Robert Selden.
(Continued on page 4)

Tips for Finding Top-Quality New Members
of Your “Dream Team”
#1. Take a close look at your current team’s job descriptions
and think outside the box before recruiting new hires.
“Assess how tasks are divided among your current team,” Dr.
Felty suggests. “For example, if your state or province requires
certification to do certain procedures, look at what procedures
can be delegated away from your certified assistants to non-
certified staff members.
“This allows your trained staff to focus on the tasks that only
they can do and delegate the other items to people who may
be easier to recruit and can then be trained on the job,” adds
Dr. Felty. “Their tasks may include taking records including
photos and scans; X-rays (which may just require a weekend
course for certification); sterilization or lab work such as
retainer fabrication; and 3-D printing. It can also be helpful to
have a ‘rover’ – or an extra pair of hands in the clinic to help
turn over chairs more quickly, by providing items needed
chairside or helping type notes or book appointments.”
“The 2022 AAO Annual Session is poised to deliver timely
and relevant content – and finally, in person! Orthodontists,
residents, staff and suppliers look forward to Annual Session
because it is a literal smorgasbord of information and an
immersion into enduring professional networks. While it
will be refreshing to reunite with colleagues from around
the globe, what excites me the most is the wide variety of
scientific lectures.
“The AAO Annual Session remains a trusted source for the
state-of-the-art science of orthodontics in a rapidly shifting
landscape that impacts our educational and practice models.
#2. Recruit from within. Ask your team if they know of any
good candidates for open positions.
“Current team members tend to recommend people they
know can do the job,” says Dr. Selden. “Team members want
new co-workers with whom they can work easily.”
Dr. Depew also focuses recruitment efforts on current
employees.
“Some of our employees’ friends are already familiar with the
practice and its culture,” says Dr. Depew. “These new employee
candidates come pre-screened as our team member knows
them well and likely understands their current situation as
well as their aspirations, aptitudes and attitudes. The employee
only forwards those to us who they feel could be a good fit. We
don’t want just a warm body to fill a space. We want someone
who has good potential and is likely to stay with us for years to
come.”
TEAM HIRING
"The idea is that requiring
a little extra work on
their end might result in
fewer, but better qualified
applicants.”
- Dr. Doug Depew
(continued from page 3)

#3. Make it easy and rewarding for team members to refer
friends for employment.
“Monetary incentives do work," says Dr. Depew. “When we
have a need, we ask our employees to let their friends know
via casual conversation and over social media. We offer
them monetary incentives for referring someone who - after
reviewing their resume and conducting a phone interview -
we meet with for an in-person interview. An extra incentive
can be given to the employee who referred the person we
eventually hire.”
Even a small reward may be appreciated by the referring team
member. It is also important to ensure all current employees
have the job description for the open position, to help answer
initial questions when discussing the opening with friends.
During team meetings, it may also be helpful to discuss the
qualities needed in the person who will fill the position.
#4. Be selective in how you use social media for
recruitment.
When recruiting via social media, efforts will likely be most
successful if a strategic approach is used.
“I always advise colleagues against posting openings on the
practice Facebook page,” says Dr. Depew. “When we tried that
approach, we got many patients’ moms applying for the job.
That can result in some hurt feelings. It actually works better
to have posts on your team members’ personal social media
pages.”
If you provide team members with templates of social media
posts describing the position, which they can then customize
to the way they communicate on social media, they may be
better able to help their friends understand what the job is
and what qualifications are needed.
Among other recruitment tools for AAO member use, the
Orthodontic Staff Shortage Task Force plans to develop
sample social media posts that can be customized to the
practice’s needs and shared with team members.
#5. Look for people with training outside of dental or
orthodontic fields who have qualities that can be an asset
in your office.
“Consider people with training outside of dentistry and
orthodontics, who may be seeking a job change and
whose skill sets could be assets in your office,” says Dr.
Felty. “Receptionists from medical fields or veterinary offices
are usually good on the phone and familiar with scheduling
and collecting payments. Bank tellers are often very detail-
oriented and great with numbers. Those with computer
science and engineering backgrounds do well in 3-D lab work
and appliance fabrication. Hosts and hostesses at restaurants
are often very friendly and sound warm and welcoming on the
phone.”
“Someone with sales experience would have skills translating
well to a treatment coordinator role,” Dr. Depew suggests.
“Customer service employees can also be exceptional
candidates to work in our offices, especially if the work comes
naturally to them and they have received formal training from
their current employer.
“I recently hired a young woman who was a server at my
country club. Her enthusiasm, smile, and ‘yes sir, yes ma'am’
customer-driven attitude is what made me approach her
about a job,” says Dr. Depew. “She is now an amazing records
technician, with an eye to becoming a certified orthodontic
assistant. The way she speaks and interacts with patient
(Continued on page 6)
Dr. Robert Selden
Dr. Trista Felty

parents is top-notch - and we didn't have to train her on that. It
is just her natural ability.”
#6. As you observe workers in various settings, consider
how to engage with them about opportunities in
orthodontics.
When you become aware of people in other workplaces who
display the needed qualities for an open position in your
practice, a planned approach may be helpful. Such individuals
may not be used to people suggesting job or career changes
to them while they are on the job.
“Sometimes following a compliment on someone’s skills,
by simply asking if they would ever consider working at an
orthodontic office, can be a good way to a start,” says Dr.
Schulz. “I found someone who was working as a bank teller,
who turned out to be an amazing assistant in our office.”
#7. If you post openings on job boards like Indeed, use
strategies to reduce the quantity of applicants and improve
the quality.
“Online sites like Indeed provide ample candidates, but we
have found only a small fraction are worthy of an interview,”
says Dr. Depew. “And of those offered an interview, many
don’t accept it, or they fail to show up at the appointed time.
It’s a ‘needle-in-a-haystack’ situation - a lot of work with little
return.”
While Dr. Depew advocates enlisting current practice
employees to reach out to friends who may be qualified to fill
openings, he also suggests that job board results may be more
helpful if these tools are employed strategically.
“If you would like to use job boards for recruiting, an option
is to build requirements into the process to discourage less
motivated candidates,” he says. “For example, you could set
up a short application questionnaire on your website. Require
candidates – including those applying via job boards - to
complete it as part of the application process. The form might
be short, with just a few questions for which the responses
might indicate if this applicant is someone who would interest
you. The idea is that requiring a little extra work on their end
might result in fewer, but better qualified applicants.”
As an option for the application questionnaire requirement, Dr.
Depew also suggests giving applicants a choice of completing
the questionnaire or submitting a short video of themselves
discussing why they are interested in the job.
#8. In all recruitment materials – and in interviews with
top candidates – point out your practice’s benefits and
cultural environment. These can be great selling points for
prospective employees.
“I don’t think we advertise enough how great our benefits
are,” says Dr. Schulz. “Many orthodontic practices have short
weeks, are open during normal business hours with no
weekend work required, and offer 401K, profit sharing, and
healthcare. We just need to solicit good candidates with well-
written advertisements. In some cases, our positions may offer
flexibility in terms of how days at work are divided up, such
as having two assistants working two days a week each, vs.
one assistant for four days. That kind of flexibility may make it
easier to get good employees.”
While practice schedules and benefits may vary from one
TEAM HIRING
“Sometimes following a
compliment on someone’s
skills, by simply asking if they
would ever consider working
at an orthodontic office, can
be a good way to a start.”
- Dr. Scott Schulz
(continued from page 5)

orthodontic practice to another, workplace conditions at many
practices do fit well with needs that have been identified
among workers who may be re-entering the workplace soon.
For example, a recent NBC News editorial addressed the
concerns of many women interested in re-entering the work
force – in particular, predictable scheduling rather than the
shifting, last-minute scheduling that typifies many jobs in the
retail and hospitality sectors.2
The orthodontic specialty, and many individual practices,
also have a positive story to tell prospective employees about
workplace culture. Learning Solutions recently reported on
results of a Flexjobs survey indicating nearly 75 percent of
respondents would leave or not accept a job in a workplace
that they believed had a “toxic” culture.3
Many orthodontists have built management protocols and
leadership styles around maintaining a positive culture for
both team members and patients. If candidates perceive that
they will be part of a generally positive team that will receive
management support to address any issues that do arise, an
offer of employment may be especially appealing.
#9. Explore resources from the AAO that may help you
build an outstanding team.
As the Orthodontic Staff Shortage Task Force develops new
initiatives for helping AAO members with recruitment and
other staffing issues, existing resources for members also offer
insights, best practices updates and tools. Learn more on the
following two pages.
1. Lane S. Perplexing Jobs Report Raises Questions about
Absent Workers. The Hill, January 8, 2022. Downloaded
from https://thehill.com/policy/finance/588839-
perplexing-jobs-report-raises-concerns-about-absent-
workers
2. Alaimo K. COVID Proved That Women Need Stable Jobs
That Have Common-Sense Policies in Place. NBCnews.
com, January 16, 2022. Downloaded from https://www.
nbcnews.com/think/opinion/covid-proved-women-need-
stable-jobs-have-common-sense-policies-ncna1287558
3. Hogle P. Avert “Great Resignation” by Leading Positive
Culture Shift. Learning Solutions, October 18, 2021.
Downloaded from https://learningsolutionsmag.com/
articles/avert-great-resignation-by-leading-positive-
culture-shift
Members of the Orthodontic Staff Shortage Task Force
● Dr. Doug Depew, chair
Dr. Depew is also a member of the AAO Committee on Technology (CTECH) and is the owner and academic director of Trapezio
Orthodontic Assistant Training Programs, an AAO-endorsed service. He is in orthodontic practice in Kennesaw and Acworth, Georgia.
● Dr. Trista Felty
Dr. Felty is a member of the AAO Board of Trustees, representing the Pacific Coast Society of Orthodontists on the Board. Dr. Felty is
the Board liaison to the AAO Council on Orthodontic Practice (COOP). She previously served on the AAO COVID-19 Task Force and on
the Council on New and Younger Members (CONYM). Her practice is located in Abbotsford, British Columbia.
● Dr. Scott Schulz
Dr. Schulz is the secretary-treasurer of the Great Lakes Association of Orthodontists and also serves on the AAO Council on
Orthodontic Practice. He was the general chair of the 2021 AAO Annual Session. His practice has locations in Traverse City and
Charlevoix, Michigan.
● Dr. Robert Selden
Dr. Selden is an adjunct professor in the University of North Carolina orthodontic residency program. He is also a member of the AAO
Council on Orthodontic Practice. His practice has locations in Huntersville and Charlotte, North Carolina.
Working closely with the orthodontists on the task force are five representatives of the AAO staff and senior management:
● Mindi Brothers, vice president of growth and transformation
● Aimee Snyder-Jackson, vice president of human resources and governance
● Kitty Castilleja-Cutts, specialist, human resources and governance
● Gianna Nawrocki, government affairs associate
● Michelle Ritterscamp, continuing education coordinator
In addition, attorneys from the AAO Legal Department are supporting the task force as needed with state-level regulatory and
compliance information. Watch your in-box in coming months for announcements in the eBulletin about new initiatives and
resources from the Orthodontic Staff Shortage Task Force.

AAO and AAO-Endorsed Resources Help
Members Recruit Effectively
Try New Approaches to Job Board
Recruiting
• TalentBoost at the AAO Career Center
Heavily used by members who receive free listings to
hire orthodontists or sell their practices, the AAO Career
Center also offers an option for those who are recruiting
orthodontic staff.
By posting a staff opening on the Career Center platform
and purchasing the TalentBoost upgrade, you can
distribute your listing to a network of 1,000-plus national,
niche and local job boards. AAO member cost for the
upgrade is $199, which is less than the cost of posting on
just a few individual job boards.
Learn more at https://careers.aaoinfo.org.
• Trapezio Career Center
Trapezio Knowledge and Training Solutions, AAO-endorsed
orthodontic staff training provider, offers exclusive
discounts to AAO members and has a Career Center at
which any orthodontist may post an opening at no cost.
As you prepare to onboard new hires, consider Trapezio’s
online training in subjects essential to clinical chairside
assistants. Designed for both new and seasoned team
members, Trapezio's online programs offer knowledge
and training solutions for clinical assistants, as well as the
entire orthodontic team. Advanced training for seasoned
employees is also available.
Visit trapezio.com/career-center to learn more.
Explore CEDR HR’s New Hiring
Resource Page
AAO-endorsed CEDR HR Solutions offers exclusive
discounts to AAO members on state-of-the-art HR
services including custom-crafted, legally compliant
employee handbooks and personalized 1-on-1 HR support,
training, and guidance from certified HR specialists.
CEDR has created a new resource page just for AAO
members offering helpful tools and tips on common
hiring questions and concerns including how to create
job ads that attract top candidates, conducting working
interviews the legal way, an onboarding process designed
to reduce turnover, and building protections for your
practice during the hiring process.
Visit https://linktr.ee/cedr_aao to claim your free hiring
resources.
Learn from Orthodontic and Business
Experts in the Wharton-AAO MBO
Program
The Wharton-AAO Mastering the Business of Orthodontics
(MBO) certificate program is exclusively for AAO members.
The eight-week, asynchronous online course featuring
faculty from the top-ranked University of Pennsylvania
Wharton School of Business paired with orthodontic
experts.
Week 7 of the program, “Creating and Managing Your
Team,” addresses today’s most effective strategies and
TEAM HIRING
Known as a tool for recruiting orthodontists, the AAO Career Center also accepts posts of orthodontic staff positions. To get listings in
front of preferred candidates, purchase a TalentBoost upgrade to distribute your listing to 1,000-plus online job boards.

methods for building and retaining effective teams. Professor
Matthew Bidwell of the Wharton School and Tracy Moawad,
management systems consultant with Hummingbird
Associates, share a wealth of insight into each aspect of how
to hire the best people for your practice.
Two fall 2022 cohorts of the Wharton-AAO MBO program
are open for registration (August 24 – October 18 and
September 21 – November 15). Visit aaoinfo.org/wharton-
aao-mbo-program to learn more.
Find New Ideas via AAO CE Lectures in
the “People Management” Series
Recently recorded and available at no cost to AAO members,
lectures by noted experts offer insights into how to achieve
success with orthodontic staff recruitment:
• Cracking the Code on Hiring Your Dream Team
Presenter: Dr. Doug Depew
CE Credit: 1.25
Cost: FREE to AAO members
This program addresses ways to find employees who will fit
well into your “Dream Team,” reflect your ethics, drive and
high level of patient care, and contribute to a positive patient
experience. Learn how to develop and implement a hiring
system that will streamline recruitment tasks whenever your
practice has openings.
Dr. Depew is the owner and academic director of Trapezio,
AAO-endorsed orthodontic staff training provider. He also
serves on the AAO Committee on Technology (CTECH).
• Recruit! Retain! Develop!
Presenter: Cindi James
CE Credit: 1.25
COST: FREE to AAO members
Institute smart, repeatable recruitment and on-boarding
processes that involve best practices in virtual recruiting,
hiring, and training. Learn about a structured method, “Team
Bounty,” for bringing your existing team into the process for
potential new hire referrals.
Cindi James is the director of training at Peniche & Associates
Consulting.
To access the above lectures and others addressing
people management topics, visit education.aaoinfo.org/
aaoinfo/packages/1560/view. (First, log onto the member
website, www2.aaoinfo.org.)
Learn about the Latest Hiring Strategies
at the 2022 Annual Session
Recruitment of top-caliber talent is among the many
practice management topics that will be explored during
the 2022 Annual Session, in-person in Miami Beach and live
virtually, May 21-24. Practice management content is largely
found in the Collaborative Concepts for Doctors and Team
portion of the schedule.
Visit aaoinfo.org/register to register for the meeting and
access 17 hours of CE credit. Don’t miss:
• Interviewing, Onboarding, Training & Performance
Management (sponsored in part by the AAO Foundation)
Presenter: Matthew Bidwell, PhD
Matthew Bidwell is an associate professor of management
at the Wharton School of Business at the University of
Pennsylvania. In addition to his appointment at the top-
ranked U.S. business school, he also serves on the faculty of
the Wharton-AAO Mastering the Business of Orthodontics
Program. In preparation for the latter role, he has worked
closely with experts in orthodontic practice management.
• Next Generation Orthodontic Practice Leaders: How to
Attract, Engage & Retain a 5-Generation Workforce
Presenter: Mr. Scott Lesnick
Mr. Lesnick is a noted corporate leadership trainer who offers
creative solutions to the challenges of growing relationships,
improving employee engagement, increasing sales and
training your next generation of leaders.
Continuing Education Disclaimer
This Continuing Education Program provides attendees with
a relevant and rewarding continuing education experience.
However, neither the content of a course nor the use of
specific products in any program should be construed
as indicating endorsement or approval of the views
presented or the products used by the AAO or by any of the
respective subsidiaries. Speakers are required to disclose
to participants any financial, commercial or promotional
interest in a product or company that may influence their
presentations; however, the AAO shall not be liable for a
speaker’s failure to disclose such interest.
Recognition
The American Association of Orthodontists is an ADA CERP
Recognized Provider. ADA CERP is a service of the American
Dental Association to assist dental professionals in
identifying quality providers of continuing dental education.
ADA CERP does not approve or endorse individual lectures
or instructors, nor does it imply acceptance of credit hours
by boards of dentistry.
American Association of Orthodontists designates for all
CE activities, 0.25 credit hours will be awarded for each 15
minutes of activity time unless otherwise noted.
Concerns or complaints about a CE provider may be
directed to the provider or to the Commission for Continuing
Education Provider Recognition at www.ada.org/CERP.

Especially if your practice is not fully staffed, enabling
your existing team to contribute to the full extent of their
capabilities is more important than ever. Expand their
knowledge and skills by bringing them to the 2022 Annual
Session, May 21-24 in Miami Beach and live online for virtual
attendees.
The Annual Session Collaborative Concepts for Doctors and
Team program and the Orthodontic Team series will expose
your team to world-class experts on orthodontic clinical
and practice management topics. Attendees will learn
about 3-D printing, in-house aligners, clear aligner patient
management, cybersecurity, scheduling, time management,
digital workflow, marketing, effective social media use,
infection control, team building, patient photography,
customer service and more.
Virtual Annual Session attendees will have access to lectures
in the Collaborative Concepts for Doctors and Team program.
TEAM HIRING
Take Advantage of Annual Session
Discounts for Your Team
Annual Session registration incentives for orthodontic team
members attending Annual Session in person are listed
below. Eligible team members can take advantage of all three
incentives listed below:
• 20% discount on Annual Session registration when registering
four or more staff as a group for the in-person meeting;
• Early Registration discount (register by the Early Registration
deadline, April 30, and save $150 per registrant);
• $25 per person discount for members of the AAO Orthodontic
Staff Club. (Learn more about other benefits of Orthodontic Staff
Club membership, including free online CE, at www2.aaoinfo.
org. Go to Practice Management > Materials for Orthodontic
Staff and click on the Orthodontic Staff Club tab.)
Register your team for Annual Session at aaoinfo.org/register.
Enhance Your Current Team’s Great Knowledge
Online Continuing Education
for Your Team
Visit www2.aaoinfo.org/continuing-
education/#staff for links to the live webinar series
and OnDemand CE Catalog offering a wealth of
online programs for orthodontic staff, with lectures
in the Business of Orthodontic series free to AAO
members and their teams. Scroll down the page to
purchase the CE Passport - Doctors + Staff to secure
hundreds of hours of training for you and your team,
and membership in the AAO Orthodontic Staff Club
for your employees.

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Paid Advertising

GAO Investigation of DTC Medical
Products to Proceed
In early December, the AAO, in coordination with the AAO’s
advocacy firm Cozen O’Connor Public Strategies, secured a
bipartisan group of 21 Members of Congress to sign a letter
sent to Comptroller General Gene Dodaro requesting the
Government Accountability Office (GAO) “conduct a study of
the federal regulation of Direct-To-Consumer (DTC) advertising
practices for prescription medical products.” The signatories
also indicated that a GAO review of these issues “will be an
important step toward protecting consumers and towards
mitigating any potential medical or public health harms that
may arise from these marketing practices.”
The letter specifically pointed to mail-order orthodontic
treatment as well as mail-order contact lenses as two
examples of “recent issues within this industry [that have]
aroused repeated complaints and calls for each company to
be investigated by the Federal Trade Commission and Food &
Drug Administration….” You can view the letter on the opposite
page. Special thanks to Dr. Mike Durbin, AAO trustee from
the Midwestern Society of Orthodontists, for his important
advocacy work with Members of Congress on this effort as well.
The letter is led by two members on the Energy and Commerce
Health Subcommittee. Signers include members of the
Energy and Commerce Oversight Chair and Ranking Member,
the Energy and Commerce Consumer Protection Chair and
Ranking Member, 11 Democrat members, 10 Republican
members, 1 dentist, and 2 medical doctors.
According to the response now received from the GAO,
the GAO will be investigating what the FDA and FTC
are doing to regulate DTC products, including DTC
orthodontic aligners. The AAO appreciates the GAO’s
recognition of the importance of this issue in undertaking the
upcoming investigation.
The AAO likewise appreciates the members of Congress who
signed the initial letter and their concern for the health and
safety of patients who consider DTC products.
These efforts are a great snapshot of AAO Advocacy
efforts, as well as the vital role that the AAO Political Action
Committee plays in AAO advocacy work. As a nonprofit
organization, the AAO cannot contribute to the campaigns
of candidates. However, the AAOPAC can – which allows us
to have tremendous influence. The AAOPAC allows us to
pool contributions from members like you, and then make
significant contributions to candidates on behalf of the
specialty. This approach assures we can have the greatest
impact on the issues and candidates that matter most to our
specialty.
The AAOPAC also serves to reinforce the goals of the dental
profession by supporting candidates to whom other PACs
have already contributed the maximum amount allowed by
law. All contributions are greatly appreciated and help make
the vital work of AAOPAC possible.
ADVOCACY
UPDATE

Letter from the Bipartisan Group of
21 Members of Congress
ADVOCACY
UPDATE
December 6, 2021
The Honorable Gene L. Dodaro
Comptroller General of the United States
U.S. Government Accountability Office
441 G Street, N.W.
Washington, D.C. 20548
Dear Comptroller General Dodaro:
We write to request that the Government Accountability Office (GAO) conduct a study of the federal regulation of Direct-To-Consumer (DTC) advertising
practices for prescription medical products. Within the federal government, the Federal Trade Commission (FTC) is responsible for protecting consumers
and competition and has, for example, issued a Contact Lens rule to lay out consumers’ rights to shop around when buying contact lenses. The Food
and Drug Administration (FDA) is responsible for the safety and efficacy of medical products and tracking adverse events related to medical products.
Additionally, companies are required to submit promotional materials to the FDA for review once they are being used in the marketing of a drug and can
take action if the agency finds that a drug advertisement or other promotion is false or misleading.1
In recent years, there has been an increase in companies marketing prescription medical products directly to consumers via television, social media, and
internet advertising. A previous survey of healthcare providers conducted by the FDA found DTC advertising presented both benefits and challenges
to the doctor-patient relationship.2 While products advertised directly to consumers have the potential to increase convenience and lower costs to
consumers, concerns have also been raised about reports of poor quality or adverse events related to these products. Additionally, some DTC products
allow consumers to bypass evaluation or supervision by a healthcare provider entirely, which may be appropriate for some products and not for others. Two
instances that provide an example of recent issues within this industry, having aroused repeated complaints and calls for each company to be investigated
by the Federal Trade Commission and Food & Drug Administration:
• A mail-order orthodontics company that does not require typical in-person orthodontic visits faces allegations that they violated prescription labeling
requirements established under the Federal Food, Drug and Cosmetic Act (FFDCA) and endangered consumers by not taking sufficient diagnostic steps
prior to selling their orthodontic aligners, which has the potential to lead to long-term dental damage.3,4
• An online distributor of contact lenses is accused of using older materials and switching prescribed lenses for other brands, which doctors allege affect
the safety of the lenses. Advocacy groups and other complaints further allege that the company skirts existing prescription verification requirements under
the FTC’s Contact Lens Rule.5,6
The rise of internet marketing and the push toward a DTC model of healthcare delivery represents a major change within our healthcare system. We are
concerned that with the rapid growth of DTC advertising, appropriate regulatory oversight may be falling behind.
A GAO study into the ongoing practices and current regulatory oversight by federal agencies of these activities would provide valuable insight to guide
potential regulatory and legislative action, if needed, in the future.
For these reasons, we request that the GAO review the practice of DTC advertising of medical products to consumers. Specifically, we would like you to
examine the following:
1. What are the known advantages and concerns of marketing medical products that require prescriptions or other provider evaluation, such as contact
lenses, directly to consumers?
2. What actions are federal agencies, such as the FDA and the FTC, taking to address any identified concerns?
3. Are there limitations to FDA or FTC’s ability to enforce existing laws and regulations governing DTC advertising of prescription medical products and, if so,
what are those limitations?
A GAO review of these issues will be an important step toward protecting consumers and towards mitigating any potential medical or public health harms
that may arise from these marketing practices. Thank you for considering this request.
Sincerely,
(Members of Congress)
Angie Craig
John Joyce, MD
Jan Schakowsky
Diana DeGette
Bobby L. Rush
Gus M. Bilirakis
H. Morgan Griffith
David B. McKinley PE
Mariannette J. Miller-Meeks, MD
Cynthia Axne
Brian Babin, DDS
Tom O'Halleran
1. https://www.fda.gov/drugs/special-features/manufacturers-mouth-your-ears-direct-consumer-advertising
2. Id.
3. Griffith, Erin, and Peter Eavis. “This Company Says It Will Fix Your Smile. It May Shush You If It Doesn’t.” The New York Times, January 21,
2020. https://www.nytimes.com/2020/01/21/technology/smiledirectclub-smilenda.html.
4. Appleby, Julie, and Victoria Knight. “In-Home Teeth Straightening Can Save Thousands. But Brace Yourself for the Risks.” The LA Times,
January 23, 2020. https://www.latimes.com/business/story/2020-01-23/teethstraightening-boom.
5. Maheshwari, Sapna. “Contact Lens Start-Up, Big on Social Media, May Be Bad for Eyes, Doctors Say.” The New York Times, July 21, 2019.
https://www.nytimes.com/2019/07/21/business/media/hubble-contact-lens.html.
6. Griswold, Alison. “Contact Lens Startup Hubble Sold Lenses with a Fake Prescription from a Made-up Doctor.” Quartz, December 14, 2017.
Griffith, Erin, and Peter Eavis. “This Company Says It Will Fix Your Smile. It May Shush You If It Doesn’t.” The New York Times, January 21, 2020.
https://www.nytimes.com/2020/01/21/technology/smiledirectclub-smile-nda.html.
Tom Cole
Ron Kind
Brian K. Fitzpatrick
Kim Schrier, MD
Debbie Lesko
Lori Trahan
Jerry McNerney

Newest CAP Campaign Highlights
“Serial Straighteners”
CAP
As we all know, every AAO orthodontist is unique. Our
18,500 members around the world are humanitarians,
philanthropists, educators and community leaders. And while
the diversity of our members is a strength of the AAO, there is
one common bond that unites orthodontists: the passion for
problem-solving that doesn’t stop when you leave the office.
This is the theme of the AAO’s newest Consumer Awareness
Program (CAP) campaign, Serial Straighteners. In one
example, a woman pauses as she leaves home to straighten a
frame on the wall. In another, a man walks down the aisle of a
grocery store, casually pushing a box of pasta back in place on
the shelf. At a bustling birthday celebration, a woman subtly
straightens silverware that is ever-so-slightly askew. And in the
final example, a man with a passion for straightness eyes his
car carefully to ensure it’s parked evenly within the lines.
As we finally retreat to an orthodontist’s office, the voiceover
ties it all together: “When it comes to straightening, we’re the
experts. Find an orthodontist near you at AAOInfo.org.”
Serial Straighteners is just the latest in the series of award-
winning AAO CAP campaigns, aimed at urging consumers
to visit an AAO member near them. This campaign employs
friendly and relatable circumstances to remind consumers
that our members are fervent in their quest to get things
straight – both in and out of the office.
The objective of AAO CAP campaigns is to promote AAO
orthodontists to the general public, while educating
consumers on why they should see an orthodontist
for orthodontic treatment. As this campaign indicates,
orthodontists are deeply committed to their craft and the
specialty, resulting in treatment that gives patients their best
smile.
The AAO’s Consumer Awareness Program is the only mass-
market campaign designed to introduce the benefits of
orthodontic treatment. Key to the campaign – particularly in
today’s world of direct-to-consumer everything – is to promote
the importance and value of receiving care from qualified
professionals, namely, orthodontists.
The digitally-focused effort uses a wide range of free and
paid tactics to drive traffic to AAO’s consumer-facing
website, www.aaoinfo.org.
In FY20-21 alone, CAP ads drove over 4.8 million consumers
to the AAO consumer website. We continue to post to major
social media channels on a regular basis with informative,
entertaining and engaging content.
Learn more about the CAP, view these videos and incorporate
them into your practice’s social media by visiting https://
www.aaoinfo.org/CAP.

Register now | www2.aaoinfo.org/wharton

2022 Annual Session Updates:
Dan Marino to Speak at the Excellence
Awards Luncheon
NEWS
BITES
Join your friends and colleagues for the upcoming Excellence in
Orthodontics Awards Luncheon and enjoy insights and humor
from the luncheon speaker: football great, philanthropist and
entrepreneur Dan Marino. The event will be Sunday, May 22
beginning at 12 noon at The Fillmore Miami Beach at the
Jackie Gleason Theatre, as part of the 2022 Annual
Session.
Mr. Marino was a first-round draft pick by
the Miami Dolphins in 1983. He became an
instant NFL sensation and was named the
NFL's Most Valuable Player in his second
season. The nine-time Pro Bowler led
the Dolphins to the Super Bowl in 1985
against San Francisco.
Holder of 25 NFL regular-season
quarterback records, Mr. Marino
quarterbacked Miami for 17 years, and
positioned the Dolphins as perennial
championship contenders. He was named the
NFL Man of the Year in 1998 and was inducted into
the Pro Football Hall of Fame in August 2005. Post-
retirement, Mr. Marino continued to stay close to the game
as a studio analyst for 12 years for the CBS Television Network's
NFL pre-game show, The NFL Today, and now is an executive
advisor to the owner and CEO of the Miami Dolphins. He has
developed equity partnerships in numerous business ventures
and is a founding partner in his own wellness platform, Stay
Healthy Zone.
Football is a passion of Mr. Marino’s, but his family comes first.
When their son, Michael, was diagnosed with autism, he and his
wife, Claire were able to provide the best treatments available
and wanted to help all families have access to services. In
1992, they founded the Dan Marino Foundation which has
raised more than $84 million over 29 years to assist these
families.
As director of the Foundation’s Board, Mr. Marino
has advocated successfully at the state level for
improved services for children, teens, and adults
with autism. He worked with his wife to launch
the Marino Autism Research Institute and the
Marino Campus, a post-secondary school for
students with disabilities to continue their
studies and attain gainful employment.
He also has worked with technology
developers on tools designed to enhance
the lives of those with disabilities.
Opening Keynote Address to
Feature Michelle Gielan
Attendees at the 2022 Annual Session and virtual
Annual Session participants will have a positive and
inspiring start to the meeting experience: the Opening
Keynote address by speaker Michelle Gielan. The Opening
Keynote is a new Annual Session program and will begin at
8:00 am on Saturday, May 21.
Bestselling author of Broadcasting Happiness: The
Science of Igniting and Sustaining Positive Change, Ms.
Gielan was named one of the Top 10 authors on resilience by
the Harvard Business Review. A former anchor on the CBS
Morning News, she has spent the past decade researching
the link between happiness and success and holds an
Dan Marino

advanced degree in Positive Psychology from the University of
Pennsylvania.
Ms. Gielan’s Annual Session address will clarify how effective,
positive communication is the single biggest driver of success
at work. New research in the fields of neuroscience
and positive psychology is showing the incredible
ripple effect positive communication can have
on employee engagement, productivity, and
happiness.
Join us for the Opening Keynote on
Saturday, May 21 starting at 8 a.m.
to learn about simple, yet proven
techniques for positive communication
that drive individual and team success
for quantifiable results. Discover how to
inoculate your brain against stress and
negativity, praise effectively, get others
to adopt a more resilient mindset and shift
the culture in your practice to create a talent-
enhancing environment.
Enjoy 30-Day Replay
Whether you are joining us at the Miami Beach Convention
Center or virtually, you will have access to free 30-day replay
of all livestreamed lectures. Session evaluations and CE
certificates for these lectures will be included. (The virtual
option features three livestreamed lecture tracks.)
* Virtual Annual Session registration fees vary and do not
include an Early Registration deadline.
Reminder for Residents and Post-
November 2019 Graduates: AAO
Foundation Offering $400 to Help with
Annual Session Costs
If you are a student member (resident), registration
for the in-person Annual Session is free through
the Early Registration deadline (April 30, 2022).
In addition, the AAO Foundation has
extended eligibility for the Dr. Fred A.
Garrett Resident Education Program
for the 2022 Annual Session, to new
orthodontists who were residents during
the 2020 and 2021 meetings. Current
residents are also eligible, of course.
The change was made because of the 2020
and 2021 AAO Annual Sessions’ move to a
virtual format, due to the COVID-19 pandemic.
The Foundation’s one-time, $400 incentive to
help cover travel costs to attend Annual Session is
available to any AAO active or student member with a
graduation date after November 1, 2019, who:
• Has not previously received the Resident Gift; and
• Whose residency program is in the United States or Canada.
Qualifying AAO members may obtain the gift by:
•Registering for the 2022 Annual Session via meetings.
aaoinfo.org/annual-session-2022;
• Attending Annual Session in person and visiting the
AAO Foundation booth in the Exhibit Hall to complete the
attendance requirement.
Please note, the AAOF no longer requires an advance
application or W-9 form. Checks will be mailed directly to
recipients AFTER Annual Session concludes.
Register for Annual Session Early and Save $150
The world’s greatest celebration of orthodontics will include new special events in the
festive Miami Beach environment and an updated, innovative Exhibit Hall experience.
The Early Registration deadline to attend in-person is April 30, 2022.* Save $150 by
registering by that date.
After registering, you will be able to book hotel accommodations within the AAO hotel
block. Hotels within the block are already beginning to sell out, so register for the meeting
and book housing soon to get your preferred accommodations.
Learn more at aaoinfo.org/register.
Michelle Gielan

AAO Update on CDT Changes and Resources
NEWS
BITES
Over the past few months, there have been a lot of questions
about a change to the Code on Dental Procedures and
Nomenclature, also known as the CDT code. For background,
the Council on Orthodontic Health Care (COHC), the AAO
body responsible for making recommendations concerning
third party reimbursement plans, polled AAO Members in the
fall of 2020 to gauge whether the then-current CDT Code was
meeting orthodontists’ needs.
Many respondents to this survey selected “Determining when
a case is Limited vs. Interceptive” and “Determining when a
case is Limited vs. Comprehensive” as two of their top three
areas of concern with the code.
For this reason, the AAO suggested, and the ADA’s Code
Maintenance Committee voted to approve, deleting
the Interceptive Orthodontic Treatment subcategory
nomenclature, descriptor, and codes D8050 and D8060,
as well as revising the definition of Limited Orthodontic
Treatment. Among the unintended consequences of this
change, some dental insurance companies and state
Medicaid offices failed to make proper adjustments to their
adjudication processes and claims payments.
The AAO has provided resources for members (including
an updated FAQ document and CDT checklist) that
demonstrate how the new codes are intended to function,
answer frequently asked questions, explain how to negotiate
network provider agreements, and train employees on coding
strategies. Nonetheless, we understand that this decision may
have had adverse effects on some of our members’ practices,
and we are working to rectify the situation.
COHC would like to remind members that all orthodontic
treatment codes may be used more than once for the
treatment of a particular patient, depending on the
particular circumstance. This includes “Comprehensive
Orthodontic Treatment” procedure codes, when appropriate.
For example both Phase 1 treatments and Phase 2 treatments
can be coded under comprehensive codes. The entire
Orthodontics Section of the code can be found in the AAO’s
At-A-Glance Guide to CDT 2022.
As you are likely aware, the AAO does not control the
insurers’ policies and how they choose to handle the switch
from Interceptive to Limited coding. However, when these
issues were first identified after the change was announced
in July, the AAO began communicating with the payers,
expressing members’ concerns and requesting they make
necessary preparations. Beginning in October, the AAO
initiated discussions with organizations including the National
Association of Dental Plans, and this dialogue continues as
we work to educate payers on how this change in CDT codes
affects our members and their patients.
While the AAO cannot act unilaterally on behalf of our
members to negotiate higher payments, we accept the
responsibility for advocating on behalf of our members, and
we are unconditionally committed to these efforts.
In the meantime, AAO members can share their thoughts,
opinions, and inquiries concerning CDT changes via the Dental
Benefits Comment Box, participating in surveys, or contacting
your COHC representative. We appreciate the swift feedback
from our members on this issue, and we will communicate
additional updates in the near future.
Resources Referenced in This Article
To find items listed in this article and the first four items outlined below, log onto the member website at www2.
aaoinfo.org. Then, go to the Insurance Claims page via Practice Management > Insurance Claims.
• FAQ: CDT Code Changes
The FAQ addresses issues related to the primary question, “How
should our office code for more than one phase of orthodontic
treatment?” Topics addressed include the interceptive code
changes, payment processing, AAO coding resources and how the
AAO represents member interests concerning dental benefits.
• Preparing for Code Changes: The Practice Checklist
The checklist is also available at the Insurance Claims page. It lists
resources useful in preparing for each year’s code changes and
considerations for assessing the acceptability of reimbursements
of plans in which you participate.
• AAO At-A Glance Guide to CDT
This guide, updated annually by the Council on Orthodontic
Healthcare, includes many of the procedure codes most
commonly used in orthodontic practice, as listed in the American
Dental Association’s annual Dental Procedure Codes book. Note
that orthodontists may report any CDT code as long as they are
delivering procedures and services within the scope of their state
law. The presence of a CDT Code does not mean the procedure is
covered or reimbursed by a patient’s dental benefits plan.
• Dental Benefits Comment Box
Do you have comments or suggestions regarding dental benefits
programs, claim submissions, the CDT code guide, or other related
matters? If so, the AAO Council on Orthodontic Health Care
(COHC) would like to hear from you. To submit a comment via the
Insurance Claims page, scroll down the page to the comments
section and click on the gold tab, Dental Benefits Comment Box.
• Council on Orthodontic Healthcare COHC Representative
To find your representative log onto the member website, www2.
aaortho.org. Then, enter this URL into your browser: aaoinfo.org/
about/governance-leadership/council-committee-members

Align Technology, Inc. (“Align”) (Nasdaq: ALGN) a leading global
medical device company that designs, manufactures, and sells
the Invisalign system of clear aligners, iTero intraoral scanners,
and exocad CAD/CAM software for digital orthodontics and
restorative dentistry has announced a $1 million donation to
the AAO Foundation (AAOF), the charitable arm of the AAO.
The donation will be delivered in installments over five years,
having begun in December 2021.
“Align continues to be transformative in clinical orthodontics,
in generosity, and in its support of the science of orthodontics,”
said Dr. Orhan C. Tuncay, president of the AAOF Board of
Directors. “The AAO Foundation Board of Directors is grateful
for Align’s recent $1 million gift to support the science of
orthodontics. We are also thankful for the strong relationship
between the Board and Align in preparing for the future of
orthodontics.”
The AAOF aims to advance the orthodontic specialty by
supporting quality education and research that leads to
excellence in patient care. Since 1994, the AAO Foundation
Awards Program has provided $14.6 million in funding, which
has supported 264 Fellowship awards, 303 research awards
and publication of over 100 articles and abstracts supporting
ongoing professional advancement opportunities in the
orthodontics field.
The AAOF is also committed to helping those in need
with disaster relief for orthodontic practices and donated
orthodontic services for children that lack access to care. These
programs include the Disaster Relief Fund for AAO members
and the Donated Orthodontic Services program, through
which many AAO members provide pro bono treatment for
young patients from low-income families.
“Align Technology is focused on innovation that will advance
the future of orthodontics to transform smiles and change
lives,” said Simon Beard, Align Technology SVP and managing
Align Technology Pledges $1 Million Over Five
Years to Support the AAO Foundation
NEWS
BITES
director of the Americas region. “We are proud to be a long-
time partner of the AAOF, and to support orthodontic
education and research programs that will benefit orthodontic
treatment and support orthodontists across all stages of their
careers.”
Align has been a top corporate partner of the AAOF since 2017
and has contributed to a range of education and professional
support programs provided by the AAOF. Currently, Align
Technology VP and general manager (U.S.) Frank Quinn, holds
a seat on the AAOF Board of Directors.
Dr. Orhan Tuncay, AAOF President

Air Exchange Rate Calculation Method Enables
University of Rochester Orthodontic Clinic to
Return to Normal Patient Scheduling
NEWS
BITES
I
*
Since the COVID-19 pandemic began, healthcare leaders have
recognized that respiratory aerosol removal from treatment
areas is critical to minimize exposure for both employees and
patients. Ventilation (air exchange) rate impacts the length of
time that respiratory aerosol particles remain in the air in any
indoor environment.
Thanks to a simple and inexpensive process for assessing
ACH (air changes per hour), the University of Rochester
orthodontic program recently resumed normal operations.
Dr. Emile Rossouw, chair of the Division of Orthodontics and
Dentofacial Orthopedics at the university’s Eastman Institute
for Oral Health, says he has been able to remove patient flow
restrictions in the orthodontic clinic for the first time since it re-
opened following the 2020 COVID-19 shutdown.
“Achieving the recommended ACH within each area of
our facility makes it possible to have all chairs in the clinic
occupied at the same time, rather than having to wait 15 to
20 minutes between patients in each chair (due to CDC and
NYS Department of Health requirements),” says Dr. Rossouw.
“We are back on a regular patient schedule, with physical
distancing protocols still in place along with pre-appointment
screening. Everyone except patients in treatment continues to
wear appropriate PPE.”
While the U.S. Centers for Disease Control (CDC) does not have
a ventilation rate recommendation for dental offices, the CDC
has set guidelines for surgical procedure rooms in outpatient
healthcare facilities. These rooms are expected to have 15 full
air exchanges per hour.
With the aim of helping Eastman Institute and other dental
facilities meet this standard, a research team under the
leadership of Dr. Yanfang Ren studied factors related to
ventilation rate. Dr. Ren is a professor, associate chairman and
clinic chief in the Eastman Division of General Dentistry.
“We found that carbon dioxide levels in dental treatment
rooms are directly associated with ventilation rate and the
number of people in the room,” Dr. Ren told the Eastman
Institute news bureau. The research team’s ventilation rate
calculation method was published in the Journal of Dental
Research.
Along with their ACH assessment method, the researchers set
up an online interactive calculator accompanied by a list of
needed supplies, including a CO2
monitor. Using this approach,
dental and dental specialty providers can determine the
ACH rate for any room or space - without the need for costly
measurement equipment or services.
“The ACH also indicates how many air purifiers will be needed
to attain the effective ACH rate of 15 ACH,” says Dr. Rossouw.
“To enable our orthodontic clinic to attain this rate, we now
have eight air purifiers in the clinic. All of our seminar rooms,
the resident room and offices are also equipped with air
purifiers.”
Learn more about the Eastman researchers’ method and
access the Ventilation Calculator by visiting urmc.rochester.
edu/dentistry/research/covid-safety-resources.aspx.
Please note that although the preceding story contains one
account of a successful usage of ACH to satisfy pertinent
requirements, state and/or local requirements may differ by
jurisdiction. AAO members are encouraged to consult with
their state and/or local health authorities in order to remain
compliant with such requirements.

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Employment Practices Claims—
Practice Owner Protection
RISK
MANAGEMENT
This article was provided by Lockton Affinity, the administrator for the AAO-
Endorsed Insurance Program, and is not intended as legal advice. Available
insurance products include group term and level term life insurance, group
disability insurance, critical illness insurance, cyber liability insurance, business
overhead expense and more. Lockton Affinity is focused on enhancing the
insurance program to ensure it continues to meet the changing needs of
orthodontists. To learn more, contact Lockton Affinity at (844)-893-9888 or visit
AAO-Insurance.com.
Employment practices refers to the part of your business that
deals with hiring, firing and everyday workplace interactions.
Employment practices liability claims alleging workplace
discrimination or sexual harassment are increasingly common.
To protect your business, it’s important to understand the
different types of employment practices claims. Here is a
deeper dive into 4 common employment practices liability
claims and how to protect against them.
Types of Employment Practices Claims:
Hostile Work Environment
A hostile work environment claim can be complex and
involves behavior that discriminates against a group of people
based on their race, religion, sex, age, disability and more.
A hostile work environment creates a workplace environment
that the average person would find intimidating, hostile or
even abusive. This behavior may involve:
• Offensive jokes
• Sexual language
• Sexually suggestive pictures or objects
• Name-calling, insults or slurs
• Mockery, ridicule or intimidation
• Physical touching, assault or threats
• Interference with the performance of work
The person causing a hostile work environment may be a
supervisor, coworker or non-employee, such as a vendor or
regular customer. For a hostile work environment claim to
apply, the behavior must be:
• Severe, persistent and pervasive
• Disruptive to performing work duties
• Known to the employer but not remedied
Preventing a hostile work environment:
• Implement policies and procedures around worker
conduct and behavior
• Train supervisors and employees on proper prevention and
remedies
• Take corrective action once a discriminatory situation
becomes known
• Avoid any retaliation against the workers who reported or
witnessed the behavior
Sexual Harassment
Sexual harassment claims are also common. While sexual
harassment claims often involve a person in a position of
authority over the victim, this is not always the case. These
claims can result when employers or others:
• Make inappropriate sexual comments toward an
employee.
• Ask inappropriate sexual questions about their personal
life.
• Make unwanted sexual advances toward an employee.
• Request sexual favors from an employee.
A claim of sexual harassment does not need to meet the same
severe and pervasive standards as a hostile work environment
claim. A claim can be made when management becomes
aware of the issue but fails to take adequate steps to address
and stop the behavior.
Preventing sexual harassment:
• Develop and enforce safe workplace policies for all
employees
• Train supervisors and employees on behavioral
expectations
• Monitor operations to ensure a safe workplace
• Act quickly to remedy harassment that is reported or
witnessed
• Avoid any retaliation against the harassment victim or
witnesses
Quid Pro Quo
Quid pro quo is a Latin phrase used to mean an exchange of
one thing for another. A quid pro quo claim is a specific kind
of prohibited workplace discrimination where a manager or
supervisor offers employment or promotion to an employee in
exchange for sex, sexual contact or sexual favors.
This is a form of sexual harassment limited to:
• Persons in a position of authority with the power to hire,
fire, promote or reassign the employee if they do not comply
with unwanted sexual advances or refuse sexual favors.
• Other employees and non-employees may contribute to
the sexual harassment of an employee, but this would not
fall under a quid pro quo claim.
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CRITICAL ILLNESS INSURANCE
Provides support and cover associated
healthcare costs if you experience an
unexpected critical illness.*
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ge against the high costs of recovering
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MPENSATION
ganization from the lost wages and
u may have to pay to an employee who
he job.

Preventing quid pro quo:
• Develop specific policies and procedures for managers
and supervisors
• Train supervisors and employees on prevention and
reporting
• Investigate all complaints and take appropriate action as
needed
• Avoid any retaliation against the victim or witnesses of the
harassment
Protected Characteristics
Claims of discrimination for protected characteristics are
another common type of employment practices claim. Federal
equal employment opportunity laws prohibit employment
discrimination based on several protected characteristics:
• Race
• Color
• Religion
• Sex (including pregnancy, sexual orientation or gender
identity)
• National origin
• Age (aged 40 or older)
• Disability
• Genetic information (including family medical history)
The protections apply to:
• Job applicants during the hiring phase
• Employees during their employment
• Former employees after leaving employment
Preventing discrimination:
• Develop documented employment procedures and job
descriptions
• Plan for job postings, application screening and candidate
interviews
• Review key employment law provisions, including
prohibited questions
• Avoid interview questions that are not directly related to
the job
• Hire based on eligibility and qualifications
• Create an employee handbook with all workplace policies
and procedures
• Document everything in writing, including absences,
conduct and performance
• Document performance and code of conduct violations
• Fire according to your documented policies
Protect Your Practice from Employment
Practices Claims
It’s important to remember that any employer can be sued by
an employee over their employment practices. EPLI coverage
can save you if you or one of your employees makes a huge
mistake. However, it’s possible to receive a claim even when
you have done nothing wrong. For this reason, the American
Association of Orthodontists knows that Employment
Practices Liability insurance coverage is key for protecting
your business.
See how the AAO and their insurance partner, Lockton Affinity,
can help protect your practice at AAO-Insurance.com or call
(844) 893-9888.
For more information including features, costs, eligibility, renewability,
limitations and exclusions, visit AAO-Insurance.com.
The AAO-Endorsed Insurance Program is administered by Lockton Affinity,
LLC d/b/a Lockton Affinity Insurance Brokers LLC, Affinity Administrator
Services, LLC in California Insurance License Number 0795478, and in
Arkansas Insurance License Number 100108685. Coverage may not be
available in all states and is subject to actual policy terms and conditions.
Policy benefits are the sole obligation of the issuing insurance company.
American Association of Orthodontists (AAO) will receive a royalty fee for
the licensing of its name and trademarks as part of the insurance program
offered to the extent permitted by applicable law.

Accolades
The Midwestern Society of Orthodontists presented the 2021
Earl E. Shepard Distinguished Service Award to Dr. Deborah J.
Lien. The Shepard Award honors orthodontists for outstanding
service to the specialty and their communities. In orthodontic
practice in the Rochester, Minnesota area since 1986, Dr. Lien
is a past president of the MSO, the Minnesota Association of
Orthodontists, and the Southeast Minnesota Zumbro Valley
Dental Society. She is currently a delegate from MSO to the
AAO House of Delegates.
Long active in advocacy on behalf of the specialty at the
state and federal levels, Dr. Lien is a past member of the
AAO Council on Governmental Affairs. Since 2020, she has
served on the Board of Directors of the AAO Political Action
Committee.
The American Dental Education Association’s philanthropic
arm, the ADEAGies Foundation, awarded a 2022 William J, Gies
Award for Vision, Innovation and Achievement to Dr. Sylvia
Frazier-Bowers. An associate professor in the orthodontic
residency program at the University of North Carolina, Dr.
Frazier-Bowers also serves as assistant dean for inclusive
excellence and equity initiatives for the UNC Adams School
of Dentistry. She developed the Adams School DOCSpeaks©
program, featuring Ted Talk-style lectures addressing learning
and communication on cultural issues impacting health care.
A graduate of the UNC orthodontic residency program, Dr.
Frazier-Bowers also received a PhD in genetics from the UNC
School of Medicine. Her research interests include clinical
management and genetic diagnosis of eruption disorders and
Class III malocclusion.
A member of the AAO Foundation Planning and Awards
Review Committee (PARC) since 2016, Dr. Frazier-Bowers
is currently the vice-chair of the committee, which reviews
proposals for AAOF research and education awards and then
selects recipients. She also serves on the Foundation’s Rapid
Assessment of Evidence (RAE) panel. Any AAO member may
ask the RAE panel to review evidence related to orthodontic
supplier product claims and assess the validity of the claims.
Dr. Frazier-Bowers co-authored two RAE studies published
by the AJO-DO during the past year, including one currently
appearing online as an in press article, “American Association
of Orthodontists Foundation Rapid Assessment of Evidence:
SmileSonica, Inc, The Aevo System. In addition, Dr. Frazier-
Bowers is a past member and chair of the AAO Council on
Scientific Affairs (COSA) and is the current chair of the AAO
Practice-Based Research Network (PBRN).
* The AAO Foundation also received a 2022 ADEAGies
Foundation award at the organizational level. Visit tinyurl.
com/aaofadea to learn more.
AAO PEOPLE
Dr. Deb Lien received the MSO 2021 Shepard Award from her mentor, Dr. Arnie Hill.
Dr. Frazier-Bowers

In Memoriam
Dr. Albert E. Altongy of New Hartford, NY November 15, 2021
Dr. John A. Bimm of Peterborough, ON August 29, 2021
Dr. James J. Byrne of Saratoga Springs, NY October 9, 2021
Dr. Martin T. Carrow of Godfrey, IL October 19, 2021
Dr. Dennis M. DiPalma of Naples, FL December 13, 2021
Dr. Wanda Flinn of Rockville, MD September 18, 2021
Dr. Gene M. Fryar of Michigan City, IN October 2, 2020
Dr. Anthone T. Grana of Niagara Falls, NY November 21, 2021
Dr. Ted L. Harper, Jr. of Palm Desert, CA October 26, 2021
Dr. Maryam Hashemi of Hartsdale, NY April 3, 2021
Dr. Robert J. Isaacson of West Long Beach, NJ November 29, 2021
Dr. Samuel Israelovitch of Cote Saint-Luc, QC April 12, 2021
Dr. George Kaprelian of Sunnyvale, CA November 8, 2021
Dr. Ralph E. Karau of Alexandria, VA December 2021
Dr. Reuben A. Kirkpatrick of Tulsa, OK January 1, 2020
Dr. M. Kent Kiser of Radford, VA December 8, 2021
Dr. Warren L. Lee of Fremont, CA April 11, 2021
Dr. William W. McKinley of Hattiesburg, MS February 11, 2020
Dr. Randall Morita of Honolulu, HI January 19, 2022
Dr. Michael E. Northcutt of Grass Valley, CA April 11, 2021
Dr. Joseph Persichetti of Holland, PA October 7, 2021
Dr. Christopher Rankine, Jr. of Atlanta, GA September 24, 2021
AAO PEOPLE
Dr. Richard H. Renwick of Joliet, IL October 30, 2021
Dr. William V. Ridgeway of Long Beach, CA August 20, 2021
Dr. Larry B. Schrader of Austin, TX September 8, 2021
Dr. Nile A. Sorenson, Jr. of Yorba Linda, CA October 2, 2021
Dr. James E. Sumwalt of Tucson, AZ June 9, 2020
Dr. B. D. Vaden of N. Little Rock, AR December 28, 2021
Dr. Thomas R. White of San Francisco, CA September 2, 2021
Dr. Thomas Williams of Wewoka, OK August 10, 2021
Dr. Carol Wishart of Vancouver, BC January 25, 2020
Dr. Malcolm Yasny of Don Mills, ON December 19, 2021
Dr. William D. Ziegler, III of Mountain Top, PA January 14, 2022

American Association
of Orthodontists
Annual Session
Hybrid Virtual and In-Person
Meeting
May 21-24, 2022 | Miami Beach, FL
Information: https://meetings.aao-
info.org/annual-session-2022
College of Diplomates of
the American Board of
Orthodontists
Annual Meeting
July 22-25, 2022 | Sonoma, CA
Information: http://www.cdabo.org/
American Association
of Orthodontists
2023 Winter Conference
“Operation 3D Printing:
Revolutionizing Control of Your
Practice”
Hybrid Virtual and In-Person Meeting
January 27-29, 2023
Caesars Palace | Las Vegas, NV
Information: https://meetings.aao-
info.org/winter-conference-2023
Upcoming
Professional Meetings
AAO PEOPLE
For less than the price of a daily cup of
coffee, you can make a BIG impact in the
future of orthodontics!
easy | convenient | automatic
JOIN CENTURY CLUB
TODAY!
https://www.aaofoundation.net/ways-to-
give/join-century-club--monthly-giving
by making a minimum contribution of
$100/month via credit card or ACH withdrawal
"The easiest way to give is to join the Century Club.
Even the smallest level of giving makes a difference."
- Orhan C. Tuncay, DMD, FCPP
AAO Foundation President

The Practice
Management Bulletin
American Association of Orthodontists
401 N. Lindbergh Blvd. | St. Louis, MO 63141-7816
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