Considering a Time Limit for Document Approval

V

vpandora

#1
I am the document control coordinator for my company and I've had a lot of issues with documents being held up in pending status for too long. I've got one document that has been in pending status since October! When a document is rejected by any one approver the rejection response and document goes back to the originator, but we have nothing written about non-response. Of course, I email multiple reminders that documents are awaiting their approval, but that does nothing if the approver is unwilling to take decisive action.

I am considering a revision to our document control procedure that approvals or rejections shall be received within two weeks (or possibly longer if circumstances warrant). Documents that are not approved by all required approvers after that period shall be returned to the originator.

Then it will be the responsibility of the originator to meet with the other approvers to see what the hold-up was about, rather than me holding an archive of orphaned revisions.

Does anyone here have a process for handling non-responses or other recommendations?
 
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T

The Specialist

#2
Re: Considering a time limit for approval

Are you required to personally manage a database of incoming/outgoing documentation (self-tracking) or do you have an automated documentation management system?
 

somashekar

Staff member
Super Moderator
#3
Re: Considering a time limit for approval

I am the document control coordinator for my company and I've had a lot of issues with documents being held up in pending status for too long. I've got one document that has been in pending status since October! When a document is rejected by any one approver the rejection response and document goes back to the originator, but we have nothing written about non-response. Of course, I email multiple reminders that documents are awaiting their approval, but that does nothing if the approver is unwilling to take decisive action.

I am considering a revision to our document control procedure that approvals or rejections shall be received within two weeks (or possibly longer if circumstances warrant). Documents that are not approved by all required approvers after that period shall be returned to the originator.

Then it will be the responsibility of the originator to meet with the other approvers to see what the hold-up was about, rather than me holding an archive of orphaned revisions.

Does anyone here have a process for handling non-responses or other recommendations?
In ISO 9001 at 4.2.3.a) and b) it says ...
define the controls needed to approve documents for adequacy prior to issue,
define the controls needed to review and update as necessary and re-approve documents,

at 6.2.1 General, it says ...
Personnel performing work affecting conformity to product requirements shall be competent on the basis of appropriate education, training, skills and experience.
If you do a process interaction of these two, then the person who has to approve or reapprove documents shall be competent on the basis of appropriate education, training, skills and experience.
If these are in order, then the reason is procrastination.
Else the 6.2.1 is not in order considering approve and reapprove of documents.
So you have to tell us if they are sitting over it not being competent or if it is a personnel discipline issue.

I do not recommend fixing yourself a timeline for this in your procedure, as I feel it is not going to help you. It is not called for either.
If 6.2.1 is in order, then there is a valid reason that is taking the time else it is delay due to not being certain.
Check what it is internally and set them in order please.
Any required action has a time. If you see undue delay, look for rootcause and not get around your procedure thereby chocking yourself later.
Do come back ~~~
 
Last edited:
T

The Specialist

#4
Re: Considering a time limit for approval

Ultimately there is no specific way to handle this issue, other that what you, yourself suggested.

Firstly, implement the procedure change.

Then, roll out the training (read-understand, update training record etc...)

If the problem persists, then you may have to inform their superior of the problem (tread carefully) and hope that you get their support. This will be easier if you can demonstrate a business benefit (e.g. ‘bottle-neck’ effect).
 
M

MIREGMGR

#5
Re: Considering a time limit for approval

Your company's management culture needs improvement.

Top management shouldn't allow extended non-action. Period.
 

Jim Wynne

Staff member
Admin
#6
Re: Considering a time limit for approval

I am the document control coordinator for my company and I've had a lot of issues with documents being held up in pending status for too long. I've got one document that has been in pending status since October! When a document is rejected by any one approver the rejection response and document goes back to the originator, but we have nothing written about non-response. Of course, I email multiple reminders that documents are awaiting their approval, but that does nothing if the approver is unwilling to take decisive action.

I am considering a revision to our document control procedure that approvals or rejections shall be received within two weeks (or possibly longer if circumstances warrant). Documents that are not approved by all required approvers after that period shall be returned to the originator.

Then it will be the responsibility of the originator to meet with the other approvers to see what the hold-up was about, rather than me holding an archive of orphaned revisions.

Does anyone here have a process for handling non-responses or other recommendations?
You don't say whether you've attempted the first and most obvious remedy, which is to speak directly with the person in question. This doesn't solve the overall problem, but if you explain politely that your own work is being impeded by the would-be approver's inertia, it's a start.

As others have suggested, some people will avoid this sort of thing because they can, and it's ultimately a management issue. I've also seen instances where there are too many approvers, so many that the likelihood of there being at least one person hanging things up is almost inevitable. Another way around this (one that I don't recommend) is to establish approval by default. In your document control procedure you can say that failure to respond with a given amount of time will be interpreted as approval.
 
G

goodnede

#7
Re: Considering a time limit for approval

We had that issue also, mainly with the program managers. We tried lots of things but now if someone at our company revises a document and the document effects other departments a document review board (DRB) is scheduled. The stake holders of the effecetd areas are sent copies of the revised document and invited to the DRB. It is stated that if the invited person cannot attend then a representative should be sent. We have in our procedure that if you are invited to the DRB and choose not to attend and do not send a representative or coordinate someway with doc. control the people who do attend review/decide/approve/disapprove and thats it. After a couple of things were posted it got attention and we now have very good attendence and input.
 
V

vpandora

#8
Re: Considering a time limit for approval

Thanks for all the quick replies...

The Specialist:
Its a completely manual process.

Somashekar:
Without doing a process interaction I can tell you the problem is a combination of procrastination or not being sure, or "fine-tuning" the rest of the procedure to their liking.

Jim Wynne:
Yes, I have spoken with the person in question, told him I was concerned that it was appearing to others that I was not doing my job. Unfortunately, the person is my manager, an admitted procrastinator. He has good intentions, but I was unable to sway him with my idea that important changes (such as those required by corrective actions, or revising the document to reflect what is actually being done) should not be delayed in the interest of continuous improvement. Why not fix the big problem now (approve the change) and make a note about the rest to look at when you have the time to do so? I definitely don't want to do an 'approval by default'... which is why I'm essentially proposing a rejection by default.

Often, a document sits in pending status for weeks. Meanwhile, someone else proposes another revision... and they have no idea there is a revision already pending. What do I do then?

This approval by rejection would put the responsibility of getting management buy-in on the shoulders of the originator. Then the originator could set up a meeting to discuss concerns with the hesitant approvers. Or take them out to the back alley and "convince them" to approve :whip:. Or whatever. ;)
 
A

AliInMo

#9
I send an email with a link to the document and instructions for reviewing. It points out in my email (in bold red) that there is a 4 day review period. These are generally one page work instructions, with minor changes and all of the changes are listed on a document change form. If they don't respond with approval/rejection within the 4 days, I send a reminder and after a day or two if I still don't hear anything I inform my boss (Director of Quality) and he will send a reminder. I generally don't have too much trouble getting a response on the first email (it does help if you flag it as urgent).
 
J

JaneB

#10
I am the document control coordinator for my company and I've had a lot of issues with documents being held up in pending status for too long. I've got one document that has been in pending status since October! When a document is rejected by any one approver the rejection response and document goes back to the originator, but we have nothing written about non-response. Of course, I email multiple reminders that documents are awaiting their approval, but that does nothing if the approver is unwilling to take decisive action.
I like to put a time limit on approvals, because it can avoid the problem of things sitting in 'awaiting approval' for lengthy periods of time. And I'd certainly work through rejections to see if I can overcome them and get the document humming along its merry way to release.

But ultimately it's up to the person who has the authority. Sounds like that's your boss. And if they prefer it as is, and don't want to allow your proposed change through, then that's their call. Frustrating, I know. Sometimes you have to tell yourself that they know other factors at work that you don't, or have other priorities.
 
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