# Form - Audit Plan and Report Template > Fire Service Safety Management System, version 0.3.3 (2026-10-25). The Human Factor. Document FSSMS-FRM-02. > > Canonical: https://thehumanfactor.ca/library/fire-service-safety/form-audit-plan-and-report-template > > 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. ## How to use Part 1 is the audit plan, issued by the lead auditor 15 working days before an annual audit and five before a spot-audit ([01 Audit Program](https://thehumanfactor.ca/library/fire-service-safety/audit-program) section 10). Part 2 is the report, issued within 15 working days of the closing meeting (section 11). Part 3 is the finding record, one per nonconformity. The plan, the report, the category score sheets and the roll-up worksheet from [02 Audit Checklist Master Index](https://thehumanfactor.ca/library/fire-service-safety/audit-checklist-master-index) section 6 together are the audit file. The structure follows the elements ISO 19011 expects of an audit plan and an audit report (ISO 19011:2026, cl. 6.3.2 and 6.5). ## Part 1: Audit plan | Field | Entry | |:---|:---| | Audit reference | FSSMS-AUD-{{Year}}-{{Sequence}} | | Type | Spot-audit / Annual internal / Post-event / External / Follow-up | | Objectives | | | Scope: sites, platoons, modules, dates | | | Exclusions and reasons | | | Criteria: this management system’s edition; criteria register version; legal register date; standard editions | | | Lead auditor (role, division, competence record ref.) | | | Team members (role, division, competence record ref.) | | | Conflict declarations | | | Lead auditor independence confirmed by fire chief (date) | | | Auditee representative (role) | | | Schedule: opening meeting; site visits by day; interview slots; observations; closing meeting; report date | | | Sampling plan: stations selected and why; records sample sizes by type; interview numbers by group (career, volunteer, officer, member, chief, JOHSC, contractor) | | | Observations planned (incident or drill; apparatus and SCBA check; decon cycle; JOHSC meeting; station inspection; training evolution; fit test or medical scheduling process) | | | Documents requested in advance (list) and date due | | | Prior findings to follow up (register references) | | | Resources: auditor days; vehicle; access; PPE for observations | | | Approved by (role, date) | | ## Part 2: Audit report ### 2.1 Executive summary (one page) | Result | Value | |:---|:---| | Program score (per cent) and pass or fail | | | Category profile (20 scores; attach the roll-up worksheet) | | | Program effectiveness index and maturity band | | | Program documentation index | | | Legislated floors not met (list) | | | Findings: majors / minors / OFIs / good practices; and by priority (P1 / P2 / P3 / P4) | | | Psychological-safety measure (proportion positive on the two standing questions, by group) | | | Culture baseline score and the gap to the maturity band | | | Trend against the last audit (program score, effectiveness index) | | | Three things to fix first | 1\. 2. 3. | | Three things the department does best | 1\. 2. 3. | ### 2.2 Three-pillar view | Pillar | Paragraph | |:---------------------------------------------------------------|:----------| | Effective: do the controls work? | | | Efficient: does effort go where the risk is? | | | People: participation, culture, wellness, psychological safety | | ### 2.3 Scope, criteria, team, method and sampling | Field | Entry | |:-----------------------------------------------------------------|:------| | Scope as audited (and any departure from the plan, with reasons) | | | Criteria applied (versions) | | | Team and independence | | | Sites visited (career and volunteer), platoons, dates | | | Interviews completed by group, against the sampling table | | | Observations completed | | | Records sampled by type (population, sample size, method) | | | Limits of the sampling and of the audit | | ### 2.4 Category results (one block per category) | Category {{Category number}}: {{Category name}} | | |:---|:---| | Category score / effectiveness / documentation (per cent) | | | Legislated floor met? | | | Findings (references) | | | Good practice | | | Trend against last audit | | | Auditor’s note (two or three sentences on what the score means for this department) | | ### 2.5 Findings register (summary table; full records in Part 3) | Finding ref. | Grade | Priority (P1 to P4) | Category | Item | Criterion | Owner (role) | Plan due | Closure due | Register ID | |:---|:---|:---|:---|:---|:---|:---|:---|:---|:---| | | | | | | | | | | | ### 2.6 Status of prior findings | Register ID | Finding | Status (closed with evidence / open / overdue) | Evidence examined | Auditor’s conclusion | |:---|:---|:---|:---|:---| | | | | | | ### 2.7 Conclusion and priorities for the management review Free text, one page: the auditor’s overall judgment; the three priorities; what the department should expect the next audit to find if nothing changes. ### 2.8 Appendices Interview counts by group; observations completed; documents examined; completed category score sheets; roll-up worksheet; closing meeting attendance and auditee comments. ### 2.9 Distribution and acceptance | Field | Entry | |:---|:---| | Issued by (lead auditor role) and date | | | Accepted by fire chief (date) | | | Distributed to (roles, dates): senior officer H&S; HSO; deputy chiefs; program managers; JOHSC co-chairs; CAO or corporate safety; union; volunteer association | | | Member summary issued to stations (date, within 30 days) | | | Interview notes destroyed (date) | | ## Part 3: Finding record (one per nonconformity or OFI) **Grade and priority.** Every finding takes a grade and a priority on the department’s one scale, the same scale the [Corrective Action Register](https://thehumanfactor.ca/library/fire-service-safety/corrective-action-register) uses for every deficiency. A major nonconformity is P1 (Imminent) or P2 (Serious) by risk; a minor nonconformity is P3 (Moderate); an opportunity for improvement is P4 (Improvement). Good practice takes no priority. The priority sets the interim control and the due dates: | Priority | Meaning | Interim control | Plan due | Closure due | Extension and escalation | |:---|:---|:---|:---|:---|:---| | P1 (Imminent) | Could kill or seriously injure someone before the next shift or training night; a critical control absent or failed; a regulator stop-work order | Immediately, the same shift: stop the activity, isolate, tag out or remove from service; fire chief and JOHSC co-chairs told within 24 hours | 2 working days | 7 days | Fire chief may extend once, to 30 days, only with the interim control kept in place; fire chief informed at once if overdue | | P2 (Serious) | A legal duty not met; a critical control weakened but not absent; injury likely within the month | Within 24 hours where practicable | 7 days | 30 days | Deputy chief may extend once, to 90 days; deputy chief at the due date, fire chief at 30 days overdue | | P3 (Moderate) | An isolated lapse; injury potential that is not imminent | None beyond logging | 30 days | 90 days | Deputy chief may extend once, to 180 days; deputy chief at 30 days overdue, fire chief at 60 days | | P4 (Improvement) | Housekeeping, comfort, an opportunity to be more effective | None | Next quarterly program update | 365 days or the next budget cycle, dated | Cancelled only with a written reason | | Field | Entry | |:---|:---| | Finding reference | {{Audit reference}}-F{{Finding number}} | | Grade | Major / Minor / OFI / Good practice | | Priority | P1 / P2 (major, by risk) / P3 (minor) / P4 (OFI) | | Category and item number | | | Criterion (document, clause, or law found through the topic pages in [00 Jurisdiction Index](https://thehumanfactor.ca/library/fire-service-safety/jurisdiction-index)) | | | Evidence (what was seen, read or heard; D/O/I; where and when) | | | Statement of the finding (the gap between evidence and criterion, in one or two sentences; conditions, not people) | | | Root cause as understood at the closing meeting | | | Interim control (P1 the same shift; P2 within 24 hours where practicable) | | | Owner (role) | | | Corrective action plan due / closure due (from the priority table above) | | | Auditee comment | | | Register ID assigned | | | Verifier for closure (role; not the author for majors) | | | Effectiveness check due | | ## Fields | Field | Type | Required | Who completes | |:---|:---|:---|:---| | Audit reference | Text pattern | Yes | Lead auditor | | Type | Pick list | Yes | Lead auditor | | Objectives, scope, exclusions, criteria | Text | Yes | Lead auditor | | Team, conflicts, independence confirmation | Text; date | Yes | Lead auditor; fire chief | | Schedule and sampling plan | Table | Yes | Lead auditor | | Documents requested, date due | List; date | Yes | Lead auditor | | Prior findings | Register IDs | Yes (may be none) | Lead auditor | | Approval | Role, date | Yes | Fire chief or senior officer H&S | | Executive summary values | Numbers; lists | Yes | Lead auditor from the roll-up worksheet | | Three-pillar paragraphs | Text | Yes | Lead auditor | | Scope as audited, limits | Text | Yes | Lead auditor | | Category blocks (20) | Numbers; text | Yes for every applicable category | Audit team | | Findings register | Table | Yes | Audit team | | Prior findings status | Table | Yes | Audit team | | Conclusion | Text | Yes | Lead auditor | | Appendices | Attachments | Yes | Audit team | | Distribution and acceptance | Roles; dates | Yes | Lead auditor; fire chief; HSO | | Finding record fields | As listed | One record per finding | Audit team; HSO assigns register ID | ## 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 Legislation, Regulator and Enforcement | Which OHS statute and regulations supply the legal criteria and legislated floors an audit finding cites, who enforces them, and whether a federal regime applies instead | [J01 OHS Legislation, Regulator and Enforcement](https://thehumanfactor.ca/library/fire-service-safety/j01-ohs-legislation-regulator-and-enforcement) | ## References International Organization for Standardization. (2026). *ISO 19011:2026, Guidelines for auditing management systems* (4th ed.).