Balloting & Handling Negative Votes ASTM Headquarters September 2018 Bob Morgan and Jimmy Farrell

General Overview of Different Levels of Balloting The Committee on Standards (COS) Main Committee Ballot / Society Review Subcommittee Ballot

Balance and Voting vs. Non Voting Status www.astm.org // 4

Balance of Interest Producer User & General Interest ASTM Technical Committees are balanced. No excess influence by any interest group. 5

Voting Rights: Voting vs. Non-Voting 1 official vote per interest (company) All are welcome to participate in technical discussions All members receive a ballot and are eligible to vote on technical issues All negatives are considered the same way

The Subcommittee Ballot www.astm.org // 7

Subcommittee Ballot Purpose of Subcommittee Ballot New Standards Major Revisions See Section 11.1 of ASTM Regulations on Issuance of Subcommittee Ballot The development of an initial ASTM work product generally occurs at the task group level. During this phase, an electronic work item is registered and displayed on a public section of the ASTM Web site showing the scope and timing of the effort. Following this drafting stage, the formal balloting process begins. All new standards and major revisions to existing standards must undergo at least one subcommittee ballot cycle before moving forward.

Subcommittee Ballot Qualifications Authorization of Subcommittee Ballots Sub chairman Motion at Meeting Ballot Open for Minimum of 30 Days Qualifications for Valid Subcommittee Ballot – 60% return and 2/3 affirmative Subcommittee ballots are authorized in one of two ways: by the subcommittee chair, or by motion at a subcommittee meeting. T The subcommittee level is where the initial review of the item occurs and where the membership is generally most knowledgeable in the topic at hand. At this stage, the author typically learns quickly whether their standards proposal is acceptable to colleagues or if it needs additional work. In order for a subcommittee ballot to be valid, two statistical requirements must be met: at least 60 percent of voting members must return ballot responses and a two-thirds affirmative rate must be achieved. The affirmative rate statistic captures the subcommittee’s confidence in the ballot item by determining how many affirmative votes were cast, out of the total of both negative and affirmative votes on the document. Abstentions are not included in this tally. These requirements ensure that a majority of members have reviewed and support the ballot item. All negatives votes cast on a ballot item must be considered by the subcommittee, which is a concept that we will cover later in this module.

Sub Ballot Notification Email All members on the relevant committee will receive the following notification when a new ballot opens. It is important to add the domain “astm.org” to your white list so that your ballot notifications and other relevant ASTM emails do not end up in your spam folder. If you follow me through the next few slides, I will walk you through how to view a ballot through your MyASTM member page on the website.

Viewing a Ballot Once you have logged into your member account on the website, you will be given choices on your home page. To access all Committee related information, click on MyCommittees. If you have any open ballots right now, there will be a red box with a number. You can see that in my screen shot in the right hand tool bar under My Outstanding Ballots. That link is active and can take you directly to the ballot. You can also access the ballot by clicking on ballots under the respective committee.

Here is an example of a subcommittee ballot which I am sure is familiar to most of you. This page was recently enhanced with an HTML comment box which will help make your comments much clearer.

We recently enhanced the balloting experience with an HTML box We recently enhanced the balloting experience with an HTML box. When adding a comment or negative statement, you can now use formatting features such as bold, strike through and so on. We are not quite at the point where the HTML box will accept track changes from the word document but we are definitely heading the right direction. You can also upload a file that contains track changes if you would like. Another feature to keep in mind is “add another comment” - - this feature is especially great for really long ballot items, such as a brand new standard and you are viewing the entire document. You can now go section by section with your comment instead of grouping into one entire commentary. It is a really great new feature and will definitely help with clarifying and resolving negatives down the road.

Subcommittee Ballot Results Ballot Results Summary Negatives and Comments are posted online with 24 hour updates Closing Report includes links to all the comments and negatives after the ballot closes ASTM will generate the ballot results and summarize them in an electronic closing report which will be available several days following the closing date of the ballot. If you voted negative or left a comment with your vote, it does take 24 hours for that to appear. The closing report contains all ballot item information, including the return and percent affirmative rates, the number of affirmative, negative and abstaining votes cast and the names of all negative voters and commenters. The full text of all negative votes and comments received for each item is also included in these reports. If you follow me on the next few slides, I will show you how to access the closing reports.

My ASTM Again - - once you have logged into your MyASTM member area via the ASTM website, click on My Committees. Under the relevant committee, click on Ballots.

My Ballots Click on View Closed Ballots/Closing Reports.

Closed Ballots/Closing Report Here you will be able to view the closing report online or you can download a PDF copy of it.

Closing Report Here is an example of a closing report. You can see the ballot statistics, and you can also see the blue highlighted links that will direct you to the respective subject.

Negatives The next two slides are examples of the Negative and Affirmative with Comment PDF’s that you will see on some of your closing reports. It includes the contact information of the voter in case you as the subcommittee chairman or the technical contact need to reach out for clarification.

Affirmative with Comments

Six Resolutions of a Negative Vote Persuasive Withdrawn Withdrawn with Editorial Change(s) Not Related Not Persuasive Previously Considered Bob

Persuasive General Agreement Lack of a “not persuasive” motion A “not persuasive” motion fails (does not achieve a 2/3 affirmative) Item is removed from ballot Bob

Withdrawn Withdrawn by the voter May withdraw negative at any time Ballot item moves forward Bob

Withdrawn with Editorial Change Withdrawn by the voter/agreed as editorial Editorial change introduces no change in technical content, but corrects typos or reduces ambiguity If editorial changes are involved, please include for next level of balloting Bob

Not Persuasive/Not Related/ Previously Considered Motion/Second/Rationale 2/3 affirmative vote at a meeting or via ballot Negatives that are determined Not Related must be addressed as items of new business Bob

The Main Committee Ballot Main committee ballots are much like subcommittee ballots, with a few marked differences. www.astm.org // 26

Initiation of Main Committee Ballots Submittal Requirements: For items that had Not Persuasive negatives on the subcommittee ballot, you must include the following: Name and affiliation of negative voters Negative voters statements Subcommittee negative resolution including rationale Numerical results of the subcommittee ballot Open for 30 Days Simultaneous with Society Review

Balloting Subcommittee & Main Committee simultaneously Concurrent Ballots Balloting Subcommittee & Main Committee simultaneously Used for revisions, withdrawals, or new standards that have undergone at least one subcommittee ballot Same requirements as Main Committee Ballot Simultaneous with Society Review Concurrent ballots are issued for simultaneous sub- and main committee review. This is typically used for minor revisions, reapprovals or new standards that have already gone through the subcommittee ballot at least once. Concurrent Ballots do require a motion at a meeting or need to have the approval of the subcommittee and main committee chair.

Qualifications for Valid Main Committee / Concurrent Ballots 90% Affirmative of Combined Affirmative & Negative Votes 60% Return Late Ballot Returns Closing Reports Final Ballot Results Disposition of Negatives Affirmative Votes w/ Comments Just like the subcommittee ballot, validity is again dependent on two statistical requirements: the 60-percent return rate and an affirmative rate of 90 percent. The affirmative rate is significantly higher at this level because a main committee ballot is the final level of committee review. The subcommittee should have great confidence at this level that their item will pass successfully and the 90%, if achieved, will support that. Negative votes cast by both main committee and Society members do need to be considered and are addressed first by the subcommittee and then by the main committee. It is important (and a requirement) that both the subcommittee and the main committee are a part of the resolution of any negative.

Society Review In Tandem with Main Committee Ballot Notifications posted on ASTM Website Requirements Disposition of All Negatives As said before, society review occurs in tandem with the Main and/or Concurrent ballot. The ASTM Web site contains listings of all main committee ballot actions under consideration and all Society members have the opportunity to request any of these ballot items for vote and comment. If any negatives are received on Society Review, they do need to be addressed by the committee.

Society Review This is an example of what the website shows for each Society Review. New items are displayed each month. Instructions on how to receive or vote on a ballot item is also included on the website.

Committee on Standards (COS) 9 Member Group Representing ASTM Committees Due Process Appeals Based on Procedural Matters (NOT Technical) COS Ballot Procedures Final Approval

The Three-Step Approach to Handling Negative Votes 1. COMMUNICATION 2. CONSIDERATION 3. DOCUMENTATION

Communication/Consideration/ Documentation Communication – Meeting agendas, correspondence, direct contact between member & negative voter and other documentation Consideration –Both subcommittee and main committee at a meeting or via ballot Documentation – Online negative resolution tool, minutes, correspondence

My Tools: Negatives If there are any negatives/comments that need to be addressed, you will be able to see it under the My Tools bar. The little red box will display how many negatives still need to be addressed. You can click on Negatives & Comments and it will direct you to that section of the website.

Negatives and Comments If you click on the name of the Negative Voter, you can view the negative and rationale for the negative vote. When you are ready to resolve the negative, you will click on Enter Disposition.

Resolution Options Here you will select the resolution. Withdrawn with editorial changes does require an editorially revised document.

Not Persuasive Ruling If you decide to enter a not-persuasive ruling, you will need to enter all of the information including the meeting dates, ballot number and item, ruling, ruling rationale and the vote count. If this was strictly a sub ballot, there would not be a main committee vote count included on this page.

Helpful Hints Ballot controversial sections individually Use good judgment when balloting sections separately Provide clear and informative cover letter for ballot item(s) Try to contact the negative voter before the meeting

More Hints Address each portion of the negative vote Provide editorially revised document when resolving a negative vote as withdrawn with editorial changes Comments are intended for editorial issues or technical items of new business

Resources ASTM Regulations – http://www.astm.org/COMMIT/Regs.pdf

Thank you for your attention!