Whistleblower Policy

The American Heart Association (the “AHA”) requires its directors, officers, employees, and volunteers (each, a “Representative”)，务求在履行职责时，保持高度的商业及个人操守. As Representatives of the AHA, 我们必须诚实守信，遵守所有适用的法律法规.

Purpose

The purpose of this Whistleblower Policy (the “Policy”) is to:

(a)鼓励并使代表能够对涉嫌非法或不道德的行为或做法或违反美国心脏协会关于保密和, if desired, anonymous basis.

(b) Protect Representatives from retaliation for raising such concerns.

(c)为AHA制定政策和程序，以接受和调查所报告的关切，处理和纠正不适当的行为和行动.

Reporting Responsibility

每位代表都有责任真诚地报告任何对实际或疑似违反AHA政策或任何联邦法规的担忧, state, or municipal law or regulation, or executive order governing the AHA’s operations (each, a “Concern”). 根据本政策报告的适当主题包括但不限于财务不当行为, accounting or audit matters, ethical violations, sexual or other unlawful harassment, discrimination or other similar illegal or improper practices. 任何举报“关注”的人都必须真诚行事，并有合理的理由相信所披露的信息表明存在违法行为, AHA policy or ethical standards. Any unfounded allegation that proves to have been made maliciously, recklessly, 或故意作假将被视为严重的违法行为，并导致纪律处分, up to and including termination of employment or volunteer status.

Retaliation Is Prohibited

美国心脏协会认真对待有关问题的投诉和报告，并根据我们的程序和任何适用法律的要求进行调查. No Representative, 如果独立承包商或前雇员真诚地报告了“关注”或参与了“关注”的审查或调查，则会受到骚扰, retaliation, or, in the case of an employee, adverse employment consequences, threats of adverse employment consequences, or actual or threatened reports to immigration authorities, because of such report or participation. This protection extends to Representatives, 独立承包商和前雇员，他们真诚地报告了“关注”, even if the allegations are not substantiated after an investigation.

任何代表都不会因依照美国法律第18条披露商业秘密而承担责任或受到报复.S.C. §1833 either:

(a) In confidence to a federal, state, or local government official or to an attorney solely for the purpose of reporting or investigating a Concern; or

(b)在诉讼或其他程序中提交的投诉或其他文件中加盖印章.

任何代表若对善意报告或参与关注事项审查或调查的人员进行报复，将受到纪律处分, up to and including termination of employment or volunteer status. Anyone who believes that a Representative has been subject to harassment, retaliation, 或由于善意报告或参与对关注的审查或调查而导致的不利就业后果，应联系美国心脏协会总法律顾问, who also serves as the AHA’s Ethics Officer. 本政策不限制美国心脏协会禁止非法骚扰政策中的程序和保护, which is contained in the Employee Policy Manual.

For the purposes of this Policy, “善意”一词是指记者合理地相信该关注是真实的，并合理地相信该关注构成非法行为, fraud, or violation of AHA policy. 本政策中的“诚信”保护并不妨碍对参与非法活动的记者采取行动, fraud, harassment, or violation of AHA policy.

Confidentiality

美国心脏协会鼓励任何报告问题的人表明自己的身份，以便于对问题的调查. 但是，可以在保密和/或匿名的基础上提交问题. 美国心脏协会应采取合理措施保护代表的身份，并应尽可能保密有关问题的报告, consistent with the need to conduct an adequate investigation.

Reporting Procedures

美国心脏协会已经并将维持一个系统，供任何代表以及组织外的人员报告所关注的问题. 如果您对遵守上述任何政策有疑问或担忧, or are unsure about what is the “right thing” to do, we strongly encourage you to first talk with your supervisor, program leader, another AHA Leader or the Human Resources department. 如果因为任何原因你觉得和这些人交谈不舒服，请联系 AHA ethics hotline at 866-293-2427 or www.ethicspoint.com to report your concerns. Your calls will be handled in confidence.

根据道德操守官或道德操守官的决定，将对每项关注进行适当的评估和调查, 严格涉及人事事务或遵守人力资源政策的事项, the EVP of Human Resources. Concerns regarding financial improprieties or, 会计或审计事项将在美国心脏协会审计委员会主席的监督下进行调查. 对本段所列任何领导人的关切，将在首席行政干事的监督下进行调查.

Periodic Reviews

确保美国心脏协会以符合慈善目的的方式运作，不从事可能危及其声誉或免税地位的活动, the Audit Committee shall conduct periodic reviews of this Policy. The Ethics Officer will report to the Audit Committee, at least annually, on the nature and results of all investigations covered by this Policy, as well as the need for any modifications to this Policy, while preserving any confidences required by law.

Miscellaneous

美国心脏协会应按照美国心脏协会记录保留和销毁政策的要求，保留与调查和解决报告的问题有关的任何记录. All such records are considered privileged and strictly confidential.

This Policy shall be distributed to all Representatives. Failure to comply with the Policy may result in discipline or removal, up to and including termination of employment, contract or volunteer status.