Ballot and Resolution Process

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Last updated: Jun 23, 2023 by Former user (Deleted)Version comment
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Ballot Submission

This section is written with reference to the HL7 AU Ballot submission excel worksheet.

Current balloting submission process prefers direct entry in JIRA - instructions for use of HL7 AU JIRA for balloting is forthcoming.

gForge is no longer in use - all references to gForge should be ignored.

Ballot Submission
BallotUse the columns under the "Ballot" tab to enter your vote and any suggestions and comments.  Note that columns used by working groups in reviewing and responding to ballot comments have been hidden on this response form.  
SectionSection of the ballot, e.g., 3.1.2.  Note:  This column can be filtered by the committee, for example, to consider all ballot line items reported against section 3.1.2.
Vote and TypeNegative Vote:

(Neg) Negative Vote (with comment).  Use this in the situation where the content of the material is non-functional, incomplete or requires correction before final publication.  All Neg votes must be accompanied by comments and be resolved by the Work Group.

Affirmative Votes:

(Aff) Affirmative Vote without qualification

(Aff+Sugg) Affirmative Vote with  Suggestion.  Use this if you are including a suggestion (comment) for the WG's consideration; such as additional background information or justification for a particular solution.

(Aff+Typo) Affirmative Vote with Typo.  Use this if you are (comment) reporting a typographical error.

(Aff+Qry) Affirmative Vote with Question.  Use this if you submitted a  question (comment) for consideration by the WG.

(Aff+Note) Affirmative Vote with Comment - Use this for a generic Affirmative with a comment other than a suggestion, question, or typo .
Sub-CategoryFor negative votes or Affirmative Votes with a Suggestion or Comment, this column should be used to identify the specific nature of the desired change:
Correction: Indicates that there is believed to be an issue with the specification such that it does not reflect the intent of the author or will not achieve the intended objective without adjustment
Clarification: Indicates that the wording of the specification, as written, is not sufficiently clear as to how conformant implementations should behave
Enhancement: Indicates that an additional feature is desired that is felt to fall within the declared scope of the specification.
PubIf the submitter feels that the issue being raised directly relates to the formatting or publication of this document rather than the content of the document, flag this field with a "Y" value, otherwise leave it blank or "N".
Existing WordingThe wording of concern/relevance for this comment.  Copy and Paste from ballot materials.
Proposed WordingUsing the Existing Wording as a template, denote the desired changes.
Ballot CommentDescription of concern, question or reason for change.  For purposes of WG review state why this change would be beneficIal.  Should the proposed wording require further comment or clarificaton enter it following your rationale.
In PersonSubmitters can use this field to indicate that they would appreciate discussing particular comments in person or conference call.  Reasonable efforts will be made to coordinate discussion such that the commenter can be present, either at a face-to-face meeting or conference call.  
Work Group Reconciliation
Comment NumberThis is an identifier used by HL7 AUs WGs.  Please do not alter.
Submitter NameName of ballot comment submitter (for reconciliation purposes)
ScheduleIndicates when this item is tentatively planned for review
Triage NoteAn initial proposed disposition or evaluation of the line item, including assertion of duplication, etc.  Asserted during the ballot triage process.
Disposition WGPrior to disposition, this is the WG that has been "assigned" the ballot line item.  It may be changed if the responsibility moves from one WG to another.  Once a vote is made, it indicates the WG that voted on the item's disposition.  Must correspond to one of the work groups.
DispositionThe instructions for selecting dispositions were too large for this section and have been moved to the worksheet titled "Instructions Cont.." 
Disposition CommentEnter a reason for the disposition as well as the context.  Can also include work-group notes and/or preliminary dispositions.  When not capturing a final disposition, capture the date and context of the comment.  E.g.:
20130910 CQ WG Meeting: Require more discussion with submitter.  Comment is unclear
20131117 CQ Telecon: Editor recommends that proposed wording be accepted. 

Note that date and vote of the final disposition are captured in separate columns.

This column must be populated unless the disposition is Persuasive, Considered - Tracked for Future Consideration or Considered - No Action Required

If a ballot comment is withdrawn or retracted, contextual information about the withdrawl is captured here (e.g. Conference call, etc.  May also include the stated reason for retraction/withdrawal)
Disposition DateIndicates the date on which the disposition was approved by the indicated work-group.  If the comment is retracted/withdrawn prior to disposition, that date is captured instead.
Mover/Seconder, For, Against, AbstainThese columns capture details about the vote taken in the work group about the resolution of the line item.  FOR or AGAINST the proposed resolution, or ABSTAIN from the vote.  Note: votes are required for Normative Ballot line items; votes may be taken for Informative and DSTU Ballot line items, but are not required; typically no votes are taken for Comment-only Ballot line items.  No votes are necessary on Affirmative line item comments.
Change AppliedAn indicator to be used by the WG co-chairs to indicate if the proposed changes have indeed been made to the specification's official source material.  Values are:
  • Yes - Agreed change has been made
  • No - Agreed change has not yet been made (default)
  • Pre - Change has been pre-applied based on proposed disposition.  Once final disposition is agreed, this may be changed to Y if the final disposition is unchanged from the proposed disposition.

This column must be populated (and should only be populated) if the disposition is Persuasive, Persuasive with Mod or Not Persuasive with Mod.
Substantive ChangeYes, No, or blank indicator to be used by the WG co-chairs to indicate if the line item involves a change considered to be substantive.  This column should only be populated if the disposition is Persuasive, Persuasive with Mod or Not Persuasive with Mod. If any confusion as to status, may be a substantive change.  NOTE: Substantive change is only a consideration on Normative Ballot items.

The ANSI definition of substantive change is "A substantive change in a proposed American National Standard is one that directly and materially affects the use of the standard. Examples of substantive changes are "shall" to "should" or "should" to "shall"; addition, deletion or revision of requirements, regardless of the number of changes; addition of mandatory compliance with referenced standards."

Disposition

The HL7 AU working group(s) responsible for the specification review the comments provided and decide (and document) what changes, if any, will be made to the specification as a result of the comment.  This process is called  Disposition.  In it, the work group makes one of the following determinations:

  1. Persuasive: Whatever changes was proposed by the balloter will be made as requested
  2. Not Persuasive: The work group will not make any change based on the raised issue (and will provide a rationale for why)
  3. Persuasive with Mod: The work group agrees with the issue identified and will make changes, but the changes will differ in a noticable way from the balloter's suggestion/intention
  4. Not Persuasive with Mod: The work group disagrees with the issue, but will make a change to the specification as a result of the comment anyhow - e.g. to better document why things are the way they are
  5. Not Related: The comment does not fall within the scope of the ballot.  (The comment itself may eventually be dealt with as part of other review, but the comment is not deemed to be relevant to the current ballot.)
  6. Considered - No action required: This is used for comments that do not propose a change
  7. Considered for future use: No change will be made based on this comment for the current release, but the comment will remain "outstanding" and will be considered as a possible change in a future release
  8. Duplicate: The proposal is substantially the same as another comment and the decision will be documented on the other comment.

As part of the disposition process there may be a need to seek further input:

  • Referred and Tracked: This should be used in circumstances when a comment was submitted to your WG in error and should have been submitted to another WG.  If you use this disposition you should also select the name of the WG you referred the comment to under the Column "Referred To".  Note: This disposition is not used for ballots making use of the gForge tracker.  Simply re-assign the dispositioning work group and leave the disposition unspecified.
  • Pending Input from Submitter: This should be used when the WG has read the comment but didn't quite understand it or needs to get more input from the submitter.  By selecting "Pending Input from Submitter" the WG can track and sort their dispositions more accurately. In no case shall a WG seek further input from a submitter of a negative without comment.
  • Pending Input from other WG: The WG has determined that they cannot give the comment a disposition without further input or a final decision from another WG.  This should be used for comments that do belong to your WG but  require a decision from another WG, such as ARB or MnM.  Use "Disposition WG" to designate the WG providing additional input.

Disposition Column

The "Disposition" column must be populated or the Disposition Comment column identifies the row as a duplicate of another comment line for which a disposition comment is provided.

Note that "Referred and Tracked", "Pending Input from Submitter" and "Pending Input from Work Group" values are not considered final.  These values cannot be present in the final disposition spreadsheet for Normative or Draft ballots.

The sections below outline more detail on Disposition.

Negative Ballot line item without Comment: Any negative line item without a viable comment or proposed solution shall be ignored.

Applicable to All Ballot Comments (Affirmative and Negative)

1. Persuasive. 

A majority of the WG has accepted the ballot comment as submitted and will make the appropriate change in the next ballot cycle.  At this point the comment is considered resolved and the corresponding cell in the "Withdrawn" column should be marked appropriately. 

For Normative Ballot negative line items HL7 Essential Requirements (ER) §02.09.01.03 states that "Where a majority of the Work Group voting on reconciliation agrees that the position expressed by the negative response is persuasive, the changes recommended by the comment shall be incorporated into the specification as reasonable and necessary revisions.  The submitter may choose to withdraw their negative in favor of an affirmative; if not, the response shall be recorded and reported to ANSI as a resolved negative given that the submitter’s concern has been satisfied by the adoption of their recommended solution." 

2. Not Persuasive. 

The WG does not believe the ballot comment has merit or is unclear. For non-Normative Ballots, the decision of the WG is final.  The change proposed will not be incorporated into the ballot material. The WG must indicate in Disposition Comments their rationale for declaring the comment Not Persuasive. The HL7 ER §02.09.01.02 states "A negative response should be considered not persuasive if it deals with processes or issues not in the purview of the Work Group responsible for ballot content; suggests the use of alternate methodologies or solutions; or questions the validity of the approach or the expertise of the developers."

Example scenarios include, but are not limited to;

  • the submitter has provided a recommendation or comment that the WG deems invalid or unworkable
  • the recommendation/solution provided by the submitter is not clear; the submitter is encouraged to submit a proposal on a future ballot

For Normative Ballot negative line items HL7 ER §02.09.01.02 states "Approval of a motion to declare a negative response not persuasive shall require an affirmative majority vote of the combined affirmative and negative votes cast by the Work Group during reconciliation.  The submitter of a negative response declared not persuasive shall be advised of the disposition of their response and the reasons therefore.  The submitter may choose to withdraw their negative in favor of an affirmative or abstention; otherwise, the response shall be recorded and reported to ANSI as an unresolved negative."

For a Normative Ballot the ballot submitter has the option to appeal this decision: HL7 ER §02.13. 

3. Persuasive with Mod. 

A majority of the WG believes the ballot comment has merit, but has changed the submitter's proposed solution. 

Example scenarios include, but are not limited to;

  • The WG has accepted the intent of the ballot comment, but has changed the proposed solution
  • The WG has accepted part of the ballot comment, and will make a change to the standard; the other part was declared not persuasive
  • The WG has accepted part of the ballot comment, and will make a change to the standard; the other part may be persuasive but is out of scope

The standard will be changed accordingly in the next ballot cycle. The nature of, or reason for, the modification is reflected in the Disposition Comments.  In the case of a Normative Ballot this action does not fully met the requirements of declaring the comment persuasive per HL7 ER §02.09.01.03.  Therefore; the decision to support the resolution proposed by the WG by withdrawing the negative is solely at the discretioin of the submitter.  For non-Normative Ballots the negative comment may be marked as withdrawn or resolved.

4. Not Persuasive with Mod. 

The comment was declared not persuasive (see 3. above) by the WG; however, the WG has agreed to make certain modifications to the ballot material based on this comment.  For example, adding additional explanatory text.  The proposed changes suggested by the comment deemed not persuaive will not be made to the ballot material. For non-Normative Ballots the decision of the WG is final. The WG must indicate in Disposition Comments their rationale for declaring the comment Not Persuasive.  For a Normative Ballot the submitter has the option to appeal this decision: HL7 ER §02.13.

5. Not Related. 

Although this disposition is applicable to all ballot types; in the case of a Normative Ballot HL7 ER §02.09.01.01 states:

"A negative response should be considered not related if it deals with issues or functionality that is beyond the scope of or is, in the considered opinion of the Work Group, clearly not related to the ballot subject matter.  Approval of a motion to declare a negative response not related shall require an affirmative majority vote of the combined affirmative and negative votes cast by the Work Group during reconciliation.  Negative responses declared not related shall be recorded and reported to ANSI as a “negative without comment” and shall not impede progress of the ballot.

Those items declared not related shall become recommended actions for the development of new or revision of existing HL7 ANS. The submitter of a negative response declared not related shall be advised of the disposition of their response and the reasons therefore.  No further action is required."

The decision of the WG is final and requires no vote on non-Normative Ballot items. 

Example scenarios include, but are not limited to;

  • the submitter is commenting on a portion of the ballot material that is not part of the current ballot
  • the submitter's comments may be persuasive but is beyond the scope of the material  in the ballot cycle.
  • the submitter is commenting on something that is not part of the domain

 Applicable only to Affirmative Ballot Comments

6. Considered-No action required.

Applicable only to Affirmative Ballot Comments

Occasionally people will submit an affirmative comment that does not require an action.  For example, some WG's have received comments of praise for a job well done.  This comment doesn't require any further action on the WG's part, other than to keep up the good work.

This also applies to a Question. The WG, or a representative of the WG (editor or task force), has responded to the question affixed to the affirmative line item.  In so doing, the WG has determined that no change will be made to the ballot material at this time. This is in keeping with ANSI requirements.  If appropriate, the topic raised can be recorded for use in a future release of the ballot material.

7. Considered for future use. 

Applicable only to Affirmative Ballot Comments

The WG, or a representative of the WG (editor or task force), has reviewed the affirmative suggestion or comment and has determined that it is not applicable to the ballot material at this point in time.  It will be considered for a future release of the ballot material. This is in keeping with ANSI requirements. The reviewer should comment on the result of the ballot comment consideration.  

React or Withdraw

Balloters have the opportunity to decide to adjust their votes:

  1. A balloter can  Retract their vote prior to the work group making a decision on what changes will be made.  Essentially this means that the balloter has changed their mind (possibly after discussion, re-reading the content, new understanding, etc.) and no longer believes the comment should have been submitted
  2. A balloter can  Withdraw their vote after the work group has disposed of the comment.  This means that the balloter accepts the resolution to the issue raised and, once the resolution is applied, the issue should no longer create a barrier to publication.
  3. If a balloter no longer has any negative comments remaining after retracting or withdrawing comments, the balloter's overall vote changes to "affirmative"

Withdrawn

This term relates to the decision by a submitter to accept the dispostion of the line item proposed by the WG. Seeking the withdrawal of a Normative Ballot negative line item is particularly important, since a withdrawn negative becomes an affirmative.  Of the other Ballot Types (Informative, DSTU, Comment-only) seeking the withdrawal of a negative may certainly contribute toward the Ballot passing, but it is not required; particularly on a Comment-only Ballot.

To help submitters and co-chairs understand the use of "Withdrawn", the following example scenarios indicate when "Withdrawn" might be used:

  • the WG has agreed to make the requested change; e.g. found the comment "Persuasive"
  • the WG has agreed to make the requested change (Persuasive), but with modification to it or portions therof
  • the WG has found the requested change to be persuasive but out-of scope for the particular ballot cycle and the submiter has agreed to submit the change for the next release
  • the WG has found the requested change to be non-persuasive and has convinced the submitter to accept that decision. 

If the negative submitter agrees to "Withdraw" a negative line item it must be recorded in the ballot spreadsheet as a "withdrawn". Should the submitter, for whatever reason, not agree to withdraw a negative comment found persuasive, this column should be marked "resolved". In all other cases where the submitter refuses to withdraw the negative comment it should be left blank.

The intent of this field is to help manage negative line items, but the WG may elect to manage affirmative comments (suggestions, typos, questions) using this field if they so desire.

Retract

The submitter has been convinced by the WG to retract the ballot line item.  This may be due to a decision to make the change in a future version or a misunderstanding about the content. This action is not to be confused with a withdrawal which signifies the successful resolution of a negative line item; rather a line item retraction equates to the line item never having been submitted and it is not counted in any Ballot tally.