Spreadsheet Name
Spreadsheet Validation
This Validation Plan Template (Template) is being provided by Praxis Management International,
LLC (Praxis) for the "fair use" by you, the User, as that term is defined under the U.S. Copyright
Laws. All other use, reproduction or re-transmission in any form or by any means, electronic or
mechanical, including photocopying and recording, or by any information storage or retrieval
system, without prior written permission from Praxis is prohibited. ©2013-2015 Praxis
Management International, LLC. All rights reserved.
Praxis makes no representations or warranties concerning the suitability or use of, or reliance on,
the Template. Any actual or implied representation or warranty that the Template does not
infringe the intellectual property rights of any third party is specifically hereby void. Any special,
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the User
V.1.0
15 May 2024
<Spreadsheet> Validation Plan
CONTENTS
1 Change Authorization.....................................................................................3
2 Validation Plan................................................................................................4
2.1 Validation Scope..................................................................................................... 4
2.2 Risk Assessment and Mitigation.............................................................................4
2.3 Validation Strategy.................................................................................................. 4
2.4 Test Plan................................................................................................................. 4
2.5 Acceptance Criteria................................................................................................. 5
3 User and Functional Requirements..............................................................6
4 Design Documentation...................................................................................7
5 Preliminary Approval......................................................................................8
6 Operation and Performance Qualification....................................................9
6.1 Test Design............................................................................................................. 9
6.2 Test Protocol........................................................................................................... 9
7 Verification Summary and Validation Conclusion.......................................11
7.1 Verification Summary.............................................................................................. 11
7.2 Validation Conclusion............................................................................................. 11
8 Validation Approval........................................................................................12
9 Installation Qualification................................................................................13
10 Validation Closure.......................................................................................14
Appendix A - Verification Issue Report.............................................................15
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<Spreadsheet> Validation Plan
1 Change Authorization
Change Request ID
Spreadsheet ID
Spreadsheet Title
Requested By
Change Request Description
Change Description Describe requested change(s):
Change Rationale Provide reason for requested change(s):
Authorization of Change
Role Decision Name Signature Date
Quality Approve
Manager
Reject
IT Manager Approve
Reject
Business Approve
Manager
Reject
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2 Validation Plan
2.1 Validation Scope
Describe the purpose and functions of the spreadsheet being validated. Identify whether
this is a new spreadsheet or a modification to an existing spreadsheet. For spreadsheet
modification, identify which functionality (if any) is not being re-validated.
2.2 Risk Assessment and Mitigation
Identify the spreadsheet’s risk level. Then state how the risk will be mitigated.
For example …
Risk Assessment:
Risk Component Category Rationale
Criticality
Complexity
Risk Mitigation:
To control quality risk, the criticality and complexity levels of spreadsheet will be utilized in
determining the approach to verification activities.
2.3 Validation Strategy
Identify the general strategy for validation of the spreadsheet. For example …
Documentation of User and Functional Requirements
Spreadsheet design per established Spreadsheet Design Standards, and
documentation of design
Documentation of an Operational and Performance Qualification protocol that includes
o Verification of use and functional requirements
o Tracing of Requirements to verification tests
o Path, stress, and boundary testing
o Utilization of data and scenarios similar to production data
Approval of requirements, design documentation, and protocols
Execution of the Operational and Performance Qualification protocols, and if needed:
o Documentation of testing failures
o Regression testing of corrections
Documentation of Installation Qualification protocol
Approval of executed the Operational and Performance Qualification protocol, test
failures (if any), regression tests (if any) and the Installation Qualification protocol
Execution of the Installation Qualification protocol
Approval of the executed Installation Qualification protocol
2.4 Test Plan
Identify the approach that will be taken for OQ/PQ testing. Include approach to
requirements coverage, boundary testing, path coverage, stress testing, data (e.g.,
production vs. engineered), and test methodologies.
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2.5 Acceptance Criteria
List the acceptance criteria that must be met to certify the spreadsheet for production use.
For example:
User and functional requirements have been approved
Design has been documented
The Operational and Performance qualification protocol has been executed and
approved
Any incidents detected during testing have been document and resolved;
regressing testing has been completed.
The Installation qualification protocol has been written and pre-approved
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3 User and Functional Requirements
Document the necessary functionality that must be available in the spreadsheet to meet
the intended business use of the spreadsheet.
User
1.0
Requirement
1.1
1.2
1.3
Functional Requirements
1.4
1.5
1.5
User
2.0
Requirement
2.1
2.2
2.3
Functional Requirements
2.4
2.5
2.5
Etc.
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4 Design Documentation
Document the design of the spreadsheet. For Example …
Reference any design standards followed
Insert or attach an image of the spreadsheet
Insert or attach a view of the spreadsheet showing the formulas in each cell
Insert or attach images of configurations, macros, security settings, and any other
design elements
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5 Preliminary Approval
The signatures below indicate:
Approval of the Validation Plan, User and Functional Requirements, and Design
Documentation
Pre-approval of the Operational and Performance Qualification protocol
Pre-approval of the Installation Qualification protocol
Role Name Signature Date
Quality Manager
IT Manager
Business Manager
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<Spreadsheet> Validation Plan
6 Operation and Performance Qualification
6.1 Test Design
Identify the OQ/PQ test cases that will be used to testing the spreadsheet vs. the User and
Functional Requirements. Identify any specific scenarios and data sets that must be used
to adequately challenge the spreadsheet’s functionality to ensure consistent, reliable
performance.
Test Scenario Data
Etc.
6.2 Test Protocol
Enter the actions and expected results to test the operation and performance of the
spreadsheet for its intended use. Cross-reference each Step to one or more Requirement
to provide traceability.
Test Case 1: Describe the Test Case
Actual Result =
Ste Expected Result
p Req. Description/Action Expected Result (Yes/No) Comment
1.1
1.2
1.3
1.4
1.5
Test Case 2: Describe the Test Case
2.1
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Test Case 1: Describe the Test Case
Actual Result =
Ste Expected Result
p Req. Description/Action Expected Result (Yes/No) Comment
2.2
2.3
2.4
2.5
Etc.
Tester Name, Signature, and Date ________________________________________________
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7 Testing Summary and Validation Summary
7.1 Testing Summary
Document a summary statement regarding the OQ/PQ testing. For example:
A total of xx issues were identified. Of these issues, xx were test protocol errors, xx were
spreadsheet functionality problems, and xx were test execution errors. See Appendix A
for test issue details.
OR
There were 0 issues identified by OQ/PQ testing.
7.2 Validation Summary
List the acceptance criteria (from the Validation Plan) that have been met and a conclusion
that the spreadsheet is ready for production use. For example:
The following criteria have been met, and therefore this spreadsheet can be implemented
for production use
User and functional requirements have been approved
Design has been documented
The Operational and Performance qualification protocol has been executed and
approved
(if incidents) Incidents detected during testing have been document and resolved;
regressing testing has been completed
The Installation qualification protocol has been written
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<Spreadsheet> Validation Plan
8 Validation Approval
The signatures below indicate:
Approval of the Operational and Performance Qualification test results, the
Verification Summary, and the Validation Conclusion
Authorization to move the spreadsheet into production use
Role Name Signature Date
Quality Manager
IT Manager
Business Manager
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9 Installation Qualification
Enter the action and expected results to implement the spreadsheet into production
Actual Result =
Expected Result
Step Description/Action Expected Result (Yes/No) Comment
1,
1
1.
2
1.
3
1.
4
1.
5
Etc.
Implementer Name, Signature, and Date __________________________________________
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10 Validation Closure
The signatures below indicate:
Completion of validation
Role Name Signature Date
Quality Manager
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<Spreadsheet> Validation Plan
Appendix A - Verification Issue Report
Document Operational and Performance Qualification issues.
Issue Number
Test Case
Test Step
Date of Issue
Description of Issue
Issue Type e.g., Protocol step error, spreadsheet functionality error, tester
error
Steps for Issue
Correction
Regression Testing
Required
Etc.
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