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GxP Computerised System Validation Plan Template (CSA, Annex 11, Part 11)

Risk-based CSV/CSA plan: intended use, GxP assessment, software category, risk scoring, supplier assessment, URS, testing, ALCOA+, Annex 11 and Part 11 mapping

उद्योग आर्किटेक्चरपूर्णEU GMP Annex 11 (2011); 21 CFR Part 11; FDA CSA guidance (2026); GAMP 5 2nd ed. (cited)gxpcomputerisedsystemvalidation
एडिटर में खोलें.md डाउनलोड करें

उपयोग कैसे करें: Use it when you validate a computerised system used in GMP, GLP, GCP, GDP or medical device quality processes. Fill the intended use and the risk assessment first, because they set how much testing every function needs. The main pitfall is testing everything the same way and producing screenshots that add no assurance.

प्रीव्यू

Computerised System Validation Plan: [System name]

Validation plan and record set for a computerised system used in a GxP-regulated activity (good manufacturing, laboratory, clinical or distribution practice) in the pharmaceutical, biotech or medical device industry. It follows a risk-based, critical-thinking approach in the spirit of computer software assurance (CSA), and maps to EU GMP Annex 11 (Computerised Systems, revision of January 2011, in force; a revised draft was consulted on from July to October 2025), US 21 CFR Part 11 (electronic records and electronic signatures), the FDA final guidance on Computer Software Assurance for Production and Quality Management System Software (February 2026), and the structure of ISPE GAMP 5 Second Edition (July 2022), which is cited by name and section only. Replace every [bracketed] value and every row marked Example. This is a documentation format, not regulatory or legal advice: follow your quality system, check the current official texts and consult qualified quality and regulatory professionals.

Document control

FieldValue
Document ID[CSV-PLAN-001]
System name and version[Example: Laboratory information management system, release 8.2]
System owner[@system-owner]
Process owner[@process-owner]
Quality assurance[@qa-reviewer]
GxP area[GMP / GLP / GCP / GDP / Medical device QMS]
Sites[Sites using the system]
Version[0.1]
Status[Draft / In review / Approved / Superseded]
Approvers/reviewers[@system-owner], [@process-owner], [@qa-reviewer], [@it-service-owner]
Classification[Internal / Confidential]
Last updatedYYYY-MM-DD

Approvals

RoleNameSignature meaningDate
Process owner[@name]Approves intended use and acceptanceYYYY-MM-DD
System owner[@name]Approves technical approachYYYY-MM-DD
Quality assurance[@name]Approves compliance with the quality systemYYYY-MM-DD

Revision history

VersionDateAuthorChange summary
0.1YYYY-MM-DD[@name]First draft
0.2YYYY-MM-DD[@name]Example: Risk assessment updated after supplier audit
1.0YYYY-MM-DD[@name]Example: Approved for execution

Contents

1. Intended use and system description

1.1 Intended use

[Example: The laboratory information management system records sample receipt, test assignment, instrument results and result review for release testing of finished product at the [Site] quality control laboratory. Approved results are the basis for batch certification. The system does not control instruments; chromatography data comes from a separate validated system through an interface.]

1.2 System description

IDItemDescription
SYS-001 (Example)SoftwareCommercial laboratory system, configured, with two custom reports
SYS-002 (Example)HostingSupplier-hosted software as a service in a qualified cloud region
SYS-003 (Example)InterfacesChromatography data system (results in), ERP (batch status out)
SYS-004 (Example)UsersAbout 120 analysts, 15 reviewers, 4 administrators
SYS-005 (Example)GxP recordsSample records, results, review and approval signatures, audit trail

1.3 Context diagram

The diagram shows the system boundary used for this plan: components inside the boundary are validated here; components outside are validated or qualified under their own records.

2. Regulatory basis

IDSourceStatus as checkedApplies because
REG-001EU GMP Guide (EudraLex Volume 4), Annex 11 Computerised SystemsRevision January 2011 in force; draft revision with revised Chapter 4 and a new Annex 22 on artificial intelligence was open for consultation from 7 July to 7 October 2025, final text not published as of October 2026Product released in the EU
REG-002EU GMP Guide, Chapter 4 DocumentationJanuary 2011 version in force; revision in the same consultationRecords are GMP documents
REG-00321 CFR Part 11, Electronic Records; Electronic SignaturesSubpart A General provisions (11.1 to 11.3), Subpart B Electronic records (11.10 to 11.70), Subpart C Electronic signatures (11.100 to 11.300)Records submitted to or required by FDA
REG-004FDA guidance, Computer Software Assurance for Production and Quality Management System SoftwareFinal, February 2026, docket FDA-2022-D-0795Risk-based assurance approach for production and quality system software
REG-00521 CFR Part 820, Quality Management System RegulationEffective 2 February 2026Only if the system supports medical device quality processes
REG-006UK MHRA and PIC/S data integrity guidance[Version checked]Inspection expectations on data integrity
REG-007ISPE GAMP 5 Second EditionJuly 2022, industry guidance, not lawLife cycle structure and terminology used by this plan

Notes:

  • Annex 11 is organised as a Principle and 17 numbered clauses: General (1 Risk management, 2 Personnel, 3 Suppliers and service providers), Project phase (4 Validation) and Operational phase (5 Data, 6 Accuracy checks, 7 Data storage, 8 Printouts, 9 Audit trails, 10 Change and configuration management, 11 Periodic evaluation, 12 Security, 13 Incident management, 14 Electronic signature, 15 Batch release, 16 Business continuity, 17 Archiving). Section 9 of this plan maps controls to these numbers.
  • When the revised Annex 11 is published, record its effective date in this table and re-assess section 9 against it.
  • GAMP 5 is a paid publication. Official text: ISPE, purchase or licensed access: https://ispe.org/publications/guidance-documents/gamp-5-guide-2nd-edition. This plan cites its structure only.

3. GxP assessment and system categorisation

3.1 GxP assessment

QuestionAnswer
Does the system create, change, store or report records required by GxP regulations?[Yes / No, with explanation]
Does the system support a decision on product quality, patient safety or batch release?[Yes / No]
Are records submitted to a regulator or available for inspection?[Yes / No]
Are electronic signatures used in place of handwritten signatures?[Yes / No]
Result[GxP relevant / Not GxP relevant]

3.2 Software category and function classification

GAMP 5 groups software by configurability: infrastructure software (category 1), non-configured products (category 3), configured products (category 4) and custom applications (category 5). The category helps judge supplier evidence; risk, not category alone, sets the assurance effort.

IDFunctionCategoryDirect GxP impactNotes
FUN-001 (Example)Result entry and calculation4Yes, highCalculations configured by the laboratory
FUN-002 (Example)Result review and approval with e-signature4Yes, highReplaces handwritten signature
FUN-003 (Example)Custom certificate of analysis report5Yes, highCustom code
FUN-004 (Example)Sample label printing3IndirectStandard function
FUN-005 (Example)Training calendar view3NoNot used for GxP decisions

4. Risk assessment

Example method: severity (S), likelihood (L) and detectability (D) are each scored 1 to 3 (for D, 3 means hard to detect). The risk priority is S x L x D, from 1 to 27. In this example, 12 or more is high, 6 to 11 is medium, and below 6 is low. Thresholds are set by your quality risk management procedure, not by this template.

IDFunctionFailureEffectSLDPriorityClassAssurance response
RSK-001 (Example)FUN-002Administrator can switch off the audit trailChanges to results not recorded32318HighConfiguration lock, scripted test, periodic review of configuration
RSK-002 (Example)FUN-001Configured calculation gives wrong resultWrong release decision3126MediumScripted test of each calculation with boundary values
RSK-003 (Example)FUN-004Label layout misalignedReprint needed1212LowUnscripted testing, supplier evidence
RSK-004 (Example)SYS-003Interface drops resultsMissing data for release32212HighScripted interface test, reconciliation report in operation
RSK-005 (Example)FUN-002Signature not linked to the recordSignature validity challenged3139MediumScripted test of signature manifestation and linking

5. Supplier assessment

IDSupplierAssessment methodResultEvidence relied onAgreement
SUP-001 (Example)[Software supplier]Questionnaire and remote auditAcceptable with observationsRelease test reports, development procedures, defect listQuality agreement signed YYYY-MM-DD
SUP-002 (Example)[Cloud hosting provider]Review of independent assurance reportsAcceptableISO/IEC 27001 certificate, SOC 2 reportService agreement with data location and exit terms

Supplier observations become actions with owners in section 11.

6. Requirements

IDRequirementFunctionRiskSource
URS-001 (Example)The system shall calculate assay results with the configured formula and round per the laboratory procedureFUN-001RSK-002Laboratory procedure [ID]
URS-002 (Example)The system shall record who changed which GxP data, when, and the old and new values, without the possibility of being disabled by usersFUN-002RSK-001Annex 11 clause 9; 21 CFR 11.10(e)
URS-003 (Example)Signed records shall show the signer's printed name, date and time, and meaning of the signatureFUN-002RSK-00521 CFR 11.50
URS-004 (Example)Signatures shall be linked to their records so that they cannot be copied or removedFUN-002RSK-00521 CFR 11.70
URS-005 (Example)Every result sent by the chromatography system shall be received or reported as missingSYS-003RSK-004Annex 11 clause 5
URS-006 (Example)Access shall be limited to authorised users with role-based permissionsAllRSK-001Annex 11 clause 12; 21 CFR 11.10(d)
URS-007 (Example)The system shall print a certificate of analysis with the approved resultsFUN-003[Risk ID]Quality procedure [ID]

7. Assurance approach and testing

7.1 Method by risk class

Risk classAssurance methodEvidenceWho reviews
HighScripted testing with predefined expected results, including negative and boundary casesExecuted test record, objective evidence of resultsQA
MediumScripted testing focused on the risk, or unscripted testing with documented objectivesTest record with summary of results and issuesSystem owner, QA sample
LowUnscripted or exploratory testing, or reliance on supplier evidenceBrief record: what was tested, by whom, when, resultSystem owner

7.2 Test plan

IDRequirementMethodEnvironmentAcceptance criterion
TST-001 (Example)URS-001Scripted, each formula with normal, boundary and invalid inputsValidation environmentAll results equal independently calculated values
TST-002 (Example)URS-002Scripted, change data as each role, try to disable audit trailValidation environmentAll changes recorded; no role can disable the audit trail
TST-003 (Example)URS-003, URS-004Scripted, sign, export, attempt to copy signatureValidation environmentManifestation complete; signature cannot be moved
TST-004 (Example)URS-005Scripted, send 500 results including malformed onesIntegration environment500 accounted for: received or reported
TST-005 (Example)URS-006Unscripted, role matrix explorationValidation environmentNo access beyond the role matrix
TST-006 (Example)URS-007Unscripted, review report layoutsValidation environmentReport content matches approved results

7.3 Deviations during testing

Record every unexpected result as a test incident with an ID, impact assessment, resolution and retest. A test incident that reveals a requirement or risk error updates sections 4 and 6 before release.

8. Data integrity controls

IDPrincipleControlVerified by
DI-001 (Example)AttributableUnique user accounts, no shared loginsTST-005, user access review
DI-002 (Example)Legible and enduringRecords stored in a format readable for the retention periodArchive test in section 12
DI-003 (Example)ContemporaneousServer time stamps synchronised to a trusted sourceConfiguration record
DI-004 (Example)OriginalRaw data from the interface kept unchanged with the resultTST-004
DI-005 (Example)AccurateCalculations verified, manual entries second-person checkedTST-001, procedure
DI-006 (Example)Complete and consistentAudit trail on all GxP data, reviewed before result approvalTST-002, review procedure
DI-007 (Example)AvailableBackup and restore tested, records retrievable for inspectionRestore test in section 12

9. Electronic records and signatures controls

IDAnnex 11 clause21 CFR Part 11 sectionControl in this systemEvidence
ERS-0011 Risk management11.10 (system controls, in general)Section 4 risk assessmentThis plan
ERS-0023 Suppliers and service providersNot specificSUP-001, SUP-002Supplier records
ERS-0034 Validation11.10(a)Sections 6, 7, 10, 11Validation report
ERS-0045 Data, 6 Accuracy checks11.10(h)URS-005, DI-005TST-001, TST-004
ERS-0057 Data storage, 17 Archiving11.10(b), 11.10(c)Backup, archive and retrieval proceduresRestore test
ERS-0068 Printouts11.10(b)Report generation with record identifiersTST-006
ERS-0079 Audit trails11.10(e)URS-002TST-002
ERS-00810 Change and configuration management11.10(k)Change control procedureChange records
ERS-00912 Security11.10(d), 11.10(g), 11.300URS-006, password and account rulesTST-005
ERS-01014 Electronic signature11.50, 11.70, 11.100, 11.200URS-003, URS-004TST-003
ERS-01115 Batch releaseNot specificOnly qualified persons can certify; system enforces roleTST-005
ERS-01216 Business continuityNot specificManual fallback procedure and recovery planContinuity test

10. Traceability matrix

RequirementRiskTestResultOpen issue
URS-001RSK-002TST-001[Pass / Fail][Incident ID]
URS-002RSK-001TST-002[Pass / Fail][Incident ID]
URS-003RSK-005TST-003[Pass / Fail][Incident ID]
URS-004RSK-005TST-003[Pass / Fail][Incident ID]
URS-005RSK-004TST-004[Pass / Fail][Incident ID]
URS-006RSK-001TST-005[Pass / Fail][Incident ID]
URS-007[Risk ID]TST-006[Pass / Fail][Incident ID]

General method: traceability matrix (requirements/traceability-matrix).

11. Release and validation report

ItemContent
Summary of activities[Sections 3 to 10 completed; list of executed tests]
Results[Example: 6 tests executed, 5 passed first time, 1 passed after fix]
Deviations and test incidents[IDs, impact, resolution]
Open actions[ID, owner, due date, justification]
Procedures in place[Use, administration, backup, incident, change, periodic review]
Training[Users trained before access granted]
Conclusion[The system is fit for its intended use / is not released]
Release decision[@process-owner], [@qa-reviewer], YYYY-MM-DD

12. Operational phase

IDProcessFrequencyOwnerRecord
OPS-001 (Example)Change control with impact and regression assessmentEach changeSystem ownerChange record
OPS-002 (Example)Supplier release assessment for hosted updatesEach releaseSystem ownerRelease assessment
OPS-003 (Example)Periodic review of validated state, configuration, incidents and audit trail review effectivenessYearly for high riskSystem owner, QAPeriodic review report
OPS-004 (Example)User access reviewQuarterlyProcess ownerAccess review record
OPS-005 (Example)Backup restore testTwice a yearIT service ownerRestore record
OPS-006 (Example)Incident and deviation handling, with CAPA where neededEach incidentSystem ownerIncident and CAPA records
OPS-007 (Example)Decommissioning with data migration or archiveEnd of lifeSystem ownerDecommissioning report

Artificial intelligence and machine learning: if a future change adds a model that influences GxP decisions, assess it against the draft EU GMP Annex 22 and its final version when published, and treat model updates as changes under OPS-001.

13. Roles and responsibilities

RoleResponsibilities
Process ownerIntended use, requirements, risk acceptance, release decision
System ownerTechnical design, configuration, supplier management, operational processes
Quality assuranceReview of plan, risk assessment and report; release approval
Subject matter expertsRequirements, test design and execution
IT service ownerInfrastructure, backup, access administration
SupplierDevelopment, release testing, hosting under the quality agreement

14. Glossary and references

14.1 Glossary

TermMeaning
GxPGood practice regulations, for example manufacturing, laboratory, clinical and distribution
CSVComputerised system validation: documented evidence that a system is fit for intended use
CSAComputer software assurance: risk-based approach to establishing confidence in software
ALCOA+Attributable, legible, contemporaneous, original, accurate, plus complete, consistent, enduring, available
Audit trailSecure, computer-generated record of who did what to GxP data, and when
Scripted testingTesting with predefined steps and expected results
Unscripted testingTesting without step-by-step scripts, guided by objectives, such as exploratory testing
Qualified personPerson responsible in the EU for certifying batches before release

14.2 References

ReferenceVersion or dateOfficial access
EudraLex Volume 4, Annex 11 Computerised SystemsJanuary 2011 (revision in consultation 2025)https://health.ec.europa.eu/medicinal-products/eudralex/eudralex-volume-4_en
21 CFR Part 11Current eCFRhttps://www.ecfr.gov/current/title-21/chapter-I/subchapter-A/part-11
FDA, Computer Software Assurance for Production and Quality Management System SoftwareFinal guidance, February 2026https://www.fda.gov/regulatory-information/search-fda-guidance-documents/computer-software-assurance-production-and-quality-management-system-software
ISPE GAMP 5: A Risk-Based Approach to Compliant GxP Computerized SystemsSecond Edition, July 2022Official text: ISPE, purchase or licensed access: https://ispe.org/publications/guidance-documents/gamp-5-guide-2nd-edition
[Data integrity guidance used by the site][Version][Link]

Standard and licence note

Based on public regulatory texts (EU GMP Annex 11 and Chapter 4, 21 CFR Part 11) and the FDA guidance on computer software assurance; structure aligned with ISPE GAMP 5 Second Edition, which is a paid publication cited by name, edition and public structure only. Official text: ISPE, purchase or licensed access: https://ispe.org/publications/guidance-documents/gamp-5-guide-2nd-edition. No text from GAMP 5 or the regulations is reproduced; clause and section numbers are given for reference and all descriptions are original text written for this collection. Check the current official texts, in particular the status of the Annex 11 revision and the new Annex 22, before use. This is a documentation format, not regulatory or legal advice; follow your quality system and consult qualified professionals. GAMP is a trademark of ISPE; this template is not affiliated with or endorsed by ISPE, the European Commission or the FDA. Template licence: MIT.

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