# Checklist - Records and Information > Fire Service Safety Management System, version 0.3.3 (2026-10-25). The Human Factor. Document FSSMS-AUD-C06. > > Canonical: https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information > > Licence: CC BY-NC-SA 4.0 with the Adopting Agency Grant (https://creativecommons.org/licenses/by-nc-sa/4.0/) > > General information only, not legal, medical or other professional advice. Verify every requirement against the current official text of the law, standards and manufacturer instructions that apply to you. Obtain your own legal review and consult your joint health and safety committee before adopting anything. You adopt, adapt, implement and rely on this material entirely at your own risk and on your own responsibility. Full terms: Terms of Use, thehumanfactor.ca. ## 1. Scope Category 6 audits whether the department keeps the records the law, the standards and its own programs require, keeps them for as long as required, protects the ones that are confidential, turns them into statistics that someone acts on, and gets safety information to every member on every shift and at every station. It covers the records system and retention, statistics and indicators, privacy of medical and behavioural records, exposure records, safety bulletins and lessons distribution, and communication across shifts and stations. It leaves to other categories: the control of policies, procedures and other documents (category 4); the indicator definitions and targets themselves (category 18); the content of medical, fitness and psychological programs (categories 10 and 11); and audit records (category 19). This category asks whether the record exists, is complete, is kept, is protected and is used. ## 2. Criteria The CFAI column in the checklist crosswalks each item to the 10th edition performance indicator where one applies [(CPSE, 2019)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cpse-2019); the 11th edition applies to agencies appearing before the Commission from 2027, and the crosswalk will be re-mapped then [(CPSE, 2024)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cpse-2024). | Source | What it requires | Items | |:---|:---|:---| | Applicable OHS statute: where it sets the written program’s content, provision for records and statistics, including inspection and investigation reports, and for monitoring the program’s implementation and effectiveness ([J03 OHS Policy and Program](https://thehumanfactor.ca/library/fire-service-safety/j03-ohs-policy-and-program); [J09 Records Retention](https://thehumanfactor.ca/library/fire-service-safety/j09-records-retention)) | Records and statistics as a named program element | 6.1, 6.2 | | Applicable OHS regulations: retention of inspection and maintenance records; committee minutes in the form the regulator requires ([J05 Joint Committee and Health and Safety Representative](https://thehumanfactor.ca/library/fire-service-safety/j05-joint-committee-and-health-and-safety-representative); [J09 Records Retention](https://thehumanfactor.ca/library/fire-service-safety/j09-records-retention); [J15 Equipment Inspection, Ladders and Aerial Devices](https://thehumanfactor.ca/library/fire-service-safety/j15-equipment-inspection-ladders-and-aerial-devices)) | Minimum retention periods | 6.1 | | ISO 45001 cl. 7.4 communication, 7.5 documented information, 9.1.1 monitoring and measurement (ISO 45001:2018) | Control of documented information; retention of evidence of results; internal and external communication processes | 6.1, 6.5, 6.6 | | NFPA 1550 ch. 6 records and data collection; ch. 15 exposure report retention and access; ch. 16 exposure documentation [(NFPA 1550, 2024)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-nfpa-1550) | Injury, illness, exposure records maintained; personal exposure reports for potentially traumatic events retained with access rules; fireground contaminant exposure documented | 6.1, 6.3, 6.4 | | CFAI 2A.5 standardized injury and loss documentation; 11A.10 exposure records per law and current research [(CPSE, 2019)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cpse-2019) | Reproducible method for documenting injuries, deaths and losses; exposure records collected and maintained | 6.2, 6.4 | | COR element 12, statistics, records and documentation [(CFCSA, 2021)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cfcsa-2021) | Records kept, statistics compiled and reviewed, documentation controlled | 6.1, 6.2 | | Package retention schedule in [05 Document Control and Records](https://thehumanfactor.ca/library/fire-service-safety/document-control-and-records) | Retention by record type; medical records separate and confidential; exposure records career-long plus 30 years | 6.1, 6.3, 6.4 | | Psychological safety as a condition of safety [(Edmondson, 1999)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-edmondson-1999) | Members learn what happened to what they reported; reporting data is published without blame | 6.5, 6.6 | ## 3. How to score 1. Score D, I and E for each item 0 to 3, then derive the item score ([01 Audit Program](https://thehumanfactor.ca/library/fire-service-safety/audit-program) section 5). 2. Both-required evidence codes (D+I, D+O, O+I) need each type before I can exceed 1. 3. Weights C3, K2, S1; L items must score at least 2 or the category fails its legislated floor. 4. Category score = sum(weight x item score) / sum(weight x 3). Effectiveness index uses E. 5. Record a finding, owner and due date for every item below 3, and give each finding its grade and priority ([01 Audit Program](https://thehumanfactor.ca/library/fire-service-safety/audit-program) section 6): a major nonconformity is P1 (Imminent) or P2 (Serious) by risk, a minor nonconformity P3 (Moderate), an opportunity for improvement P4 (Improvement). Every finding enters the [Corrective Action Register](https://thehumanfactor.ca/library/fire-service-safety/corrective-action-register) within five working days (a P1 the day it is found), with the due dates its priority sets. ## 4. Checklist | \# | Item | Stage | Wt | Evid | CFAI | Scoring anchors (1 / 2 / 3) | D | I | E | Score | Finding | Owner | Due | |:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---| | **6.1 Records system and retention** | | | | | | | | | | | | | | | 6.1.1 | A records inventory lists every safety record type the programs generate, where each is held, who is custodian, who may access it and how long it is kept ([05 Document Control and Records](https://thehumanfactor.ca/library/fire-service-safety/document-control-and-records)) | S1 | K2 L | D | 9C.4 | 1: partial list / 2: complete inventory approved / 3: inventory reviewed annually and matches what the auditor finds | | | | | | | | | 6.1.2 | A retention schedule states the period for each record type and the disposal method, and meets or exceeds every regulatory minimum ([J09 Records Retention](https://thehumanfactor.ca/library/fire-service-safety/j09-records-retention)) | S1 | C3 L | D | 9C.4 | 1: no schedule / 2: schedule approved, periods at or above the minimum / 3: disposal log shows the schedule applied; no record disposed early in the sample | | | | | | | | | 6.1.3 | Inspection and maintenance records (stations, apparatus, SCBA, PPE, equipment) are kept for at least the regulatory minimum and the package period of five years | S1 | C3 L | D | 9C.4 | 1: some kept / 2: sampled records retrievable for the full period / 3: retrieval in under one working day from any station | | | | | | | | | 6.1.4 | Investigation reports are kept at least ten years, and reports of serious injury, death or dangerous occurrence permanently | S1 | C3 L | D | 11A.7 | 1: no rule / 2: rule applied; sampled reports retrievable / 3: permanent file index exists and is tested | | | | | | | | | 6.1.5 | Committee minutes are kept in the form the regulator requires and retained at least ten years | S1 | K2 L | D | 9C.4 | 1: minutes incomplete / 2: complete set in the approved form / 3: posted, signed by both co-chairs, retrievable by meeting date | | | | | | | | | 6.1.6 | Training records are retained at least five years after the member leaves the department | S1 | K2 L | D | 9C.4 | 1: no rule / 2: rule applied / 3: departed members’ records retrievable in the sample | | | | | | | | | 6.1.7 | Fit test, medical clearance for respirator use, SCBA flow test and cylinder hydrostatic test records are retained for the life of the equipment or the member’s service, whichever the program requires | S1 | C3 L | D | 11A.10 | 1: current year only / 2: full history retrievable / 3: linked to the unit and the member by identifier | | | | | | | | | 6.1.8 | Records are stored in {{Records system}} with backup, access control and an audit trail of changes; paper originals, where used, have a stated custodian and scanning rule | S2 | K2 | D+O | 9D.2, 9D.4 | 1: shared drive, no control / 2: controlled system with backup / 3: backup restore tested in the last 12 months; audit trail inspected | | | | | | | | | 6.1.9 | Volunteer station records (inspections, SCBA, PPE, training attendance) reach the central system within a stated time and are as complete as career station records | S1 | K2 | D+I | 9D.2 | 1: kept at the station only / 2: monthly transfer, mostly complete / 3: completeness within five points of career stations in the sample | | | | | | | | | 6.1.10 | A legal hold procedure stops disposal when a claim, order, inquiry or investigation is pending | S2 | S1 | D | 9C.4 | 1: none / 2: procedure written / 3: a hold applied and released on record | | | | | | | | | **6.2 Statistics and indicators** | | | | | | | | | | | | | | | 6.2.1 | A standardized, reproducible method documents every injury, illness, exposure, vehicle collision, near miss and property loss, with definitions used the same way at every station [(CPSE, 2019, criterion 2A.5)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cpse-2019) | S1 | C3 L | D+I | 2A.5 | 1: forms differ by station / 2: one method, definitions written, data entry trained / 3: data quality checked quarterly; error rate reported | | | | | | | | | 6.2.2 | Injury and illness statistics are compiled monthly and annually by type, body part, mechanism, activity, station, platoon and career or volunteer status | S1 | K2 L | D | 2A.5 | 1: counts only / 2: monthly compilation with the listed splits / 3: three-year trend published and reviewed | | | | | | | | | 6.2.3 | Statistics are reconciled with workers’ compensation claims and with regulator reports at least quarterly, and discrepancies explained | S2 | K2 | D | 9D.2 | 1: not reconciled / 2: quarterly reconciliation on file / 3: zero unexplained discrepancies in the sample | | | | | | | | | 6.2.4 | The monthly indicator report ([03 Accountability and Reporting](https://thehumanfactor.ca/library/fire-service-safety/accountability-and-reporting)) is produced from the records on schedule and includes at least one psychological-safety measure (near-miss and good-catch reports, stop-work calls reviewed without reprisal) | S2 | K2 | D | \- | 1: produced irregularly / 2: produced monthly with the measure / 3: twelve consecutive months on file; a decision traced to a report | | | | | | | | | 6.2.5 | Data sources for every indicator in [04 Baseline Metrics and Indicator Set](https://thehumanfactor.ca/library/fire-service-safety/baseline-metrics-and-indicator-set) are named, and the person who compiles each is identified | S2 | S1 | D | 9D.2 | 1: unclear / 2: source table complete / 3: compiler can produce any indicator on request within a working day | | | | | | | | | 6.2.6 | Statistics go to the JOHSC every month and to council annually in a form that protects individual identity | S1 | K2 L | D+I | \- | 1: on request / 2: monthly to JOHSC, annual to council / 3: JOHSC members interviewed can describe the last month’s figures | | | | | | | | | **6.3 Privacy of medical and behavioural records** | | | | | | | | | | | | | | | 6.3.1 | Medical records (medical evaluations, fitness results, clearances, return-to-work medical information) are kept separate from personnel and operational files, under the custody of the occupational health provider or a named custodian, with access limited to those with a clinical or legal need | S1 | C3 L | D+O | 5F.6 | 1: in personnel file / 2: separate, custodian named, access list / 3: access log reviewed; the department holds fitness-for-duty outcomes only, not clinical content | | | | | | | | | 6.3.2 | Behavioural health and peer support records are held by the clinical provider or peer team under a written confidentiality protocol; the department receives aggregate activity only | S1 | C3 | D+I | 5F.6 | 1: ad hoc / 2: protocol written and followed / 3: peer supporters and members interviewed trust the protocol | | | | | | | | | 6.3.3 | Personal exposure reports for potentially traumatic events are retained with written access rules that the member controls, and the member can obtain a copy [(NFPA 1550, 2024, ch. 15)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-nfpa-1550) | S2 | K2 | D+I | 11A.10 | 1: no system / 2: system with access rules / 3: members interviewed know how to file one and who can see it | | | | | | | | | 6.3.4 | Requests for safety records under freedom-of-information or privacy law go through a written process that protects personal and medical information | S2 | K2 L | D | 5F.6, 9C.4 | 1: none / 2: process written with the municipality / 3: a request handled on record in the last three years, or a tabletop test | | | | | | | | | 6.3.5 | Records with personal information are not emailed, photographed or stored on personal devices; the rule is published and members know it | S1 | K2 | D+I | 5F.6, 9D.4 | 1: no rule / 2: rule published / 3: members interviewed state it; no breach in the year, or breaches reported and reviewed | | | | | | | | | **6.4 Exposure records** | | | | | | | | | | | | | | | 6.4.1 | Every member has a lifetime exposure record capturing fireground contaminant exposures, hazardous materials exposures, infectious disease exposures and noise, with incident number, duration, role, PPE worn and decontamination performed ([NFPA 1550, 2024, ch. 16](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-nfpa-1550); [CPSE, 2019, criterion 11A.10](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-cpse-2019)) | S1 | C3 L | D+I | 11A.10 | 1: exposure reports filed loosely / 2: per-member record, complete for sampled working fires / 3: members interviewed confirm they file after every working fire; completion rate measured | | | | | | | | | 6.4.2 | Exposure records are retained for the member’s career plus 30 years and are available to the member on request and on leaving | S1 | C3 L | D | 11A.10 | 1: no rule / 2: rule written and applied / 3: departing members given their record on record | | | | | | | | | 6.4.3 | Exposure reporting is possible within one shift of the exposure, from any station, including volunteer stations, by a method members can use without assistance | S1 | K2 | D+I | 11A.10 | 1: paper to headquarters / 2: electronic or station form available / 3: median time from incident to report under 24 hours | | | | | | | | | 6.4.4 | Exposure data is summarized quarterly for the Health, Wellness and Rehab team and the cancer screening program, and supports presumptive coverage claims | S2 | K2 | D+I | 11A.10 | 1: not summarized / 2: quarterly summary / 3: a claim or screening decision supported by the record in the last three years | | | | | | | | | **6.5 Safety bulletins and lessons distribution** | | | | | | | | | | | | | | | 6.5.1 | A numbered safety bulletin series carries hazard alerts, equipment notices and lessons learned, with a distribution list that reaches every station and every member | S1 | K2 | D+O | \- | 1: emails as needed / 2: numbered series, distribution list / 3: bulletin seen posted and acknowledged at sampled stations | | | | | | | | | 6.5.2 | Lessons from learning reviews and near-miss reports are published to members in a form that names conditions, not people, within a stated time of the review | S2 | K2 | D+I | \- | 1: lessons stay with the review team / 2: published on schedule / 3: members interviewed can name a lesson published this year | | | | | | | | | 6.5.3 | Every change to a policy, procedure or equipment standard is announced with a change notice saying what changed, why, and what the member must do differently ([05 Document Control and Records](https://thehumanfactor.ca/library/fire-service-safety/document-control-and-records)) | S1 | K2 | D+I | \- | 1: documents change silently / 2: change notices on file / 3: members interviewed describe the last change notice they read | | | | | | | | | 6.5.4 | External learning (fatality investigation reports, standards updates, other departments’ lessons) is reviewed and the relevant items distributed | S2 | S1 | D | \- | 1: none / 2: intake log with dispositions / 3: an external lesson produced a recorded change | | | | | | | | | 6.5.5 | The person who reported a hazard, near miss or concern is told the outcome, and the record shows it [(Edmondson, 1999)](https://thehumanfactor.ca/library/fire-service-safety/checklist-records-and-information#ref-edmondson-1999) | S1 | K2 | D+I | \- | 1: no feedback field / 2: feedback field completed in the sample / 3: members interviewed report hearing back on their last report | | | | | | | | | **6.6 Communication across shifts and stations** | | | | | | | | | | | | | | | 6.6.1 | Shift handover includes safety information: out-of-service equipment, open hazards, new notices, members’ fitness-for-duty issues flagged by the officer | S1 | K2 | O+I | \- | 1: informal / 2: handover checklist / 3: observed handover covered all four | | | | | | | | | 6.6.2 | Volunteer stations receive the same bulletins, notices and lessons as career stations, by a route that does not depend on the volunteer officer forwarding email | S1 | K2 | D+I | \- | 1: email to the officer / 2: direct distribution and posting / 3: volunteers interviewed saw the last bulletin | | | | | | | | | 6.6.3 | A standing safety message (bulletin board, screen or app) at every station shows the OHS policy, the JOHSC members and minutes, the last inspection, the reporting routes and the current bulletins | S1 | K2 L | O | \- | 1: policy only / 2: all five present / 3: current within 30 days at every station visited | | | | | | | | | 6.6.4 | The department has a method for urgent safety communication (immediate equipment withdrawal, hazard alert) that reaches every on-duty and on-call member within a stated time, and it has been tested | S1 | C3 | D+I | \- | 1: none / 2: method written / 3: tested or used in the last 12 months with the time recorded | | | | | | | | | 6.6.5 | Members have a two-way route to ask a safety question or raise a suggestion and receive an answer, and the volume and response time are reported | S2 | S1 | D+I | \- | 1: none / 2: route exists / 3: response time reported; members interviewed have used it | | | | | | | | | **Accountability loop** | | | | | | | | | | | | | | | 6.7 | The Records, Privacy and Health Information policy and [05 Document Control and Records](https://thehumanfactor.ca/library/fire-service-safety/document-control-and-records) carry a completed accountability and closed-feedback-loop table (owner, doer, verifier, feedback, closure) with default roles filled, including how a member’s concern about a record or a breach of privacy gets an answer back to that member, and the loop test holds when walked through with the owner | S1 | K2 | D+I | \- | 1: table present, roles blank / 2: table complete, owner can explain it / 3: loop test walked through with a real example from the last year | | | | | | | | **Loop test.** A career firefighter notices on a Monday that their lifetime exposure record is missing three working fires from the previous winter. They tell their captain; by Wednesday the custodian has the incident numbers, by Friday the record is corrected and the firefighter has confirmation, and within the quarter the HSO has sampled 20 other records for the same gap, found the cause (a reporting form that did not sync from one station), fixed it, and reported the finding and the fix to the JOHSC. ## 5. Effectiveness questions Answer from observation or interview only; record the evidence. 1. Ask the records custodian to retrieve, while you watch, one member’s training record, one apparatus inspection record from 18 months ago and one JOHSC minute from three years ago. How long did each take, and was each complete? 2. Ask five members what happened to the last thing they reported (hazard, near miss, exposure, suggestion). How many got an answer, and how long did it take? 3. Ask members whether they can raise a concern about how their medical, exposure or behavioural health information is handled and get an answer, and whether they trust that it stays confidential. Did they name a person and a response? ## 6. Interview and observation prompts 1. (Custodian) Show me the records inventory and the retention schedule. Pull the oldest record you hold of each type. 2. (Custodian) What happens when a member leaves? Who gets their exposure record? 3. (HSO) Walk me through building last month’s indicator report from the raw records. 4. (Occupational health provider or custodian) Who can open a medical file, and how do you know who has? 5. (Member) After your last working fire, how and when did you record your exposure? Show me on your phone or the station form. 6. (Member) When did you last see a safety bulletin, and what was it about? 7. (Volunteer) How do bulletins and change notices reach you? Who told you about the last one? 8. (Officer) What safety items did you pass on at the last shift change? 9. (Observe) The station notice board or screen: policy, JOHSC minutes, last inspection, reporting routes, bulletins, dates. 10. (Observe) A reporting form being completed: how long, how clear, where it goes. 11. (Everyone) Who would you tell if a record about you was wrong or had been seen by the wrong person, and what would happen? 12. (Everyone) What one thing about records or communication would you fix first? ## Jurisdiction requirements This chapter relies on the following legal requirements, which differ by province and territory. Check your jurisdiction’s section on each topic page before adopting it. | Topic | What to check in your jurisdiction | Page | |:---|:---|:---| | OHS Policy and Program | Whether the written program must provide for records and statistics and for monitoring its own effectiveness, and whether the committee and employees are entitled to a copy of the program (items 6.1, 6.2, 6.6.3) | [J03 OHS Policy and Program](https://thehumanfactor.ca/library/fire-service-safety/j03-ohs-policy-and-program) | | Joint Committee and Health and Safety Representative | The form in which committee minutes must be kept and posted, and for how long (items 6.1.5, 6.6.3) | [J05 Joint Committee and Health and Safety Representative](https://thehumanfactor.ca/library/fire-service-safety/j05-joint-committee-and-health-and-safety-representative) | | Records Retention | The general OHS record-keeping duty and the minimum retention periods for inspection, investigation, training, fit-test and exposure records (items 6.1.2 to 6.1.7, 6.4.2) | [J09 Records Retention](https://thehumanfactor.ca/library/fire-service-safety/j09-records-retention) | | Privacy and Health Information | Which freedom-of-information and privacy statute governs the department’s records, and which health information law applies to medical, behavioural and exposure records (items 6.3.1 to 6.3.5) | [J10 Privacy and Health Information](https://thehumanfactor.ca/library/fire-service-safety/j10-privacy-and-health-information) | | Respiratory Protection, Fit Testing and Breathing Air | How often fit tests must be done and which fit-test and respirator records the law requires (item 6.1.7) | [J14 Respiratory Protection, Fit Testing and Breathing Air](https://thehumanfactor.ca/library/fire-service-safety/j14-respiratory-protection-fit-testing-and-breathing-air) | | Equipment Inspection, Ladders and Aerial Devices | How long equipment inspection and maintenance records must be kept, against the package period of five years (item 6.1.3) | [J15 Equipment Inspection, Ladders and Aerial Devices](https://thehumanfactor.ca/library/fire-service-safety/j15-equipment-inspection-ladders-and-aerial-devices) | ## References Canadian Federation of Construction Safety Associations \[CFCSA\]. (2021). *National COR accreditation standard* (final draft, 2021-06-11). Center for Public Safety Excellence \[CPSE\]. (2019). *Fire and emergency service self-assessment manual* (10th ed.). Commission on Fire Accreditation International. Center for Public Safety Excellence \[CPSE\]. (2024). *Fire and emergency service self-assessment manual* (11th ed.). Commission on Fire Accreditation International. Edmondson, A. C. (1999). Psychological safety and learning behavior in work teams. *Administrative Science Quarterly, 44*(2), 350–383. https://doi.org/10.2307/2666999 International Organization for Standardization. (2018). *ISO 45001:2018, Occupational health and safety management systems: Requirements with guidance for use*. National Fire Protection Association. (2024). *NFPA 1550, Standard for emergency responder health and safety* (consolidates NFPA 1500, 1521 and 1561).