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The USTA* is fully committed to its obligations to eliminate Conflicts of Interest in all areas where it has control. The following summarizes the material terms of the Conflicts of Interest Policy.

1. General Provisions and Purpose

The Conflict of Interest Policy is intended to ensure that the business of the USTA* is conducted effectively, objectively, and without improper influence or the appearance of improper influence. Employees and volunteers must maintain high standards of honesty, integrity, and impartiality in the performance of their duties. The USTA’s policy is designed to help directors, officers, employees and other volunteers to identify situations that present potential conflicts of interest and provide a procedure that, if observed, will allow a transaction to be treated as valid and binding even though one has or may have a conflict of interest with respect to the transaction. It is the duty of each person to become familiar with, and abide by, all rules and regulations of the USTA including, but not limited to the Conflict of Interest and Disclosure Policy (hereinafter “Policy”).

2. Loyalty and Conflicts of Interest

The following circumstances will be deemed to create a potential Conflict of Interest:

a) A contract or transaction between the USTA and an employee or volunteer or a relative of an employee or volunteer;

b) A contract or transaction between the USTA and an entity in which an employee or volunteer has a financial interest or of which an employee or volunteer is a director, officer, employee, partner, or other representative;

c) An employee or volunteer competing with the USTA in the rendering of services or in any other contract with a third party; and

d) An employee or volunteer having a financial interest in, or serving as a director, officer, employee, agent, partner or other representative of, or consultant to, an entity or person that competes with the USTA in the provision of services or an any other contract with a third party.

Employees and volunteers of the USTA owe a duty of loyalty to the USTA to fulfill conscientiously their responsibilities on behalf of the USTA. Employees and volunteers should disclose and, where appropriate, refrain from engaging in any activity that might conflict, or appear to conflict, with the interests of the USTA, or that might result in or create the appearance of using one’s position as an employee or volunteer at the USTA for private gain; giving preferential treatment to any person; impeding the efficiency or economy of the USTA’s operations; or making decisions without impartiality.

Employees and volunteers may not do indirectly, through family or friends, what they are precluded by the Policy from doing directly.

Discrimination and Harassment Policies

The USTA is fully committed to its obligations to eliminate discrimination and harassment in the workplace and all areas where it has control over the environment including USTA work-related contexts (e.g., conferences, work functions, social events, meetings, and business trips). The following summarizes the material provisions of the Discrimination and Harassment Policies.

Discrimination and Harassment

The USTA recognizes it is the right of every employee and volunteer to be able to work and to perform their duties without being subjected to any form of discrimination or harassment. Equally it is the obligation and responsibility of every employee and volunteers to ensure that the workplace is free from discrimination and harassment.

The USTA prohibits discrimination or harassment of staff or volunteers by an employee, supervisor, volunteer or a USTA vendor, for any reason prohibited by federal, state, or local law.

Discrimination and/or harassment do not have any legitimate workplace function. The USTA will not tolerate discrimination, harassment, or victimization under any circumstances. The responsibility lies with every manager, supervisor, employee, and volunteer to ensure that discrimination, harassment or victimization does not occur.

The USTA strongly encourages any employee or volunteer who feels they have been harassed to take action, by making it clear that such behavior is unwelcome and offensive; alternatively, or in addition to that action, an employee or volunteer may follow the procedures for reporting the behavior set forth in the policy. Any reports of harassment will be treated seriously and promptly.

While it is not easy to define precisely what harassment is, it includes, but is not limited to, slurs, epithets, threats, derogatory comments, unwelcome jokes and teasing, derogatory pictures, posters, gestures, unwanted blocking of movement and interference with work.

A breach of this policy will result in disciplinary action. Depending upon the severity of the case, consequences may include apology, counseling, transfer, demotion, removal, dismissal, or other forms of disciplinary action deemed appropriate. It is a violation of USTA policy to retaliate against an employee or volunteer because they have made a good-faith complaint of harassment.

Whistleblower Policy

The Association has a Whistleblower Policy. The following summarizes the material terms of the Whistleblower Policy.

Reporting Suspected Improper Activities

1. Methods for Reporting

Any person may report allegations of suspected improper activities, or violations of laws or corporate policies. Normally, an employee should make an initial report to the employee’s immediate supervisor, or a volunteer to the next level of volunteers. However, in the interest of confidentiality, when there is a potential conflict of interest or for other reasons, the reporter may make a report to another corporate official or officer of the Board whom the reporter reasonably expects to have either responsibility over the affected area or the authority to review the suspected improper activity on behalf of the Association. Confidentiality of whistleblowers will be maintained. to the extent possible, within the limitations of the law and the need to conduct a competent investigation.

The Whistleblower Hotline is an alternate reporting process. Employees or volunteers should use the Hotline if they feel they cannot use other reporting channels or if the initial complaint is unresolved. Reports may be made anonymously if the reporter so chooses. The Whistle-blower Hotline can be accessed through either www.usta.ethicspoint.com or by calling toll-free at 866-654-6516.

2. No Retaliation

The Association does not condone or permit intimidation, harassment, discrimination or other retaliation against anyone who participates in a Whistleblower activity, and anyone who participates in the investigation of a Whistleblower report has the right of protection from retaliation. This right does not extend immunity for any complicity in the matters that are the subject of the allegation or an ensuing investigation. A supervisor or superior may not take adverse action against an employee or person because they: file a report of suspected improper activities; or participate or give information in an investigation, hearing, court proceeding, legislative or other inquiry, or other form of administrative review.

3. Good Faith Reporting

An employee or person is presumed to have communicated in good faith when reporting suspected improper activities to a supervisor superior, volunteer leadership, or the Whistleblower Hotline. The presumption may be rebutted by showing that the employee or person knew or reasonably ought to have known that the report is malicious, false, or frivolous. This is itself considered an improper activity that the Association has the right to act upon.

Anonymous whistleblowers must provide sufficient corroborating evidence to justify the commencement of an investigation. An investigation of unspecified wrongdoing or broad allegations cannot be undertaken without verifiable evidentiary support. Because investigators are unable to interview anonymous whistleblowers, it may be more difficult to evaluate the credibility of the allegations and therefore, less likely to cause an investigation to be initiated. Protection of a whistleblower’s identity will be maintained to the extent possible within the legitimate needs of the law and the investigation. Should the whistleblower self disclose his or her identity outside the reporting structure, the Association will no longer be obligated to maintain such confidence.

4. Review of Reports

The USTA has designated the Chief Administrative Officer and General Counsel to administer this policy and to coordinate any necessary USTA action. The Chief Administrative Officer and General Counsel will provide a summary of reports received under this policy to the Audit Committee of the Board of Directors on a quarterly basis (or a more frequent basis should conditions warrant more timely action).

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