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Policy 1013Santa Ana Police Department Santa Ana PD Policy Manual Copyright Lexipol, LLC 2025/11/19, All Rights Reserved. Published with permission by Santa Ana Police DepartmentPersonnel Records - 1Personnel Records 1013.1 PURPOSE AND SCOPE This policy governs maintenance and access to personnel records. Personnel records include any file maintained under an individual member's name. _ 1013.2 POLICY It is the policy of this department to maintain personnel records and preserve the confidentiality of personnel records pursuant to the Constitution and the laws of California (Penal Code § 832.7). 1013.3 PERSONNEL FILE The Personnel file shall be maintained as a record of a person's employment/appointment with this department. The department file should contain, at a minimum: (a)Personal data, including, marital status, names of family members, educational and employment history, or similar information. (b)Election of employee benefits. (c)Personnel action reports reflecting assignments, promotions, and other changes in employment/appointment status. (d)Original performance evaluations. (e)Commendations and awards. (f)Any other information, the disclosure of which would constitute an unwarranted invasion of personal privacy. Personnel files shall be retained in accordance with the City's records retention schedule. 1013.4 BUREAU FILE Bureau files may be separately maintained for the purpose of completing timely performance evaluations. The Bureau file may contain supervisor comments, notes, notices to correct, and other materials that are intended to serve as a foundation for the completion of timely performance evaluations. Adverse comments such as supervisor notes or memos may be retained in the member's bureau file after the member has had the opportunity to read and initial the comment (Government Code § 3305). (a)Once a member has had an opportunity to read and initial any adverse comment, the member shall be allowed to respond in writing to the adverse comment within 30 days (Government Code § 3306). (b)Any member response shall be attached to and retained with the original adverse comment (Government Code § 3306). (c)If a member refuses to initial or sign an adverse comment, at least one supervisor should note the date and time of such refusal on the original comment and the Santa Ana Police Department Santa Ana PD Policy Manual Personnel Records Copyright Lexipol, LLC 2025/11/19, All Rights Reserved. Published with permission by Santa Ana Police DepartmentPersonnel Records - 2member should sign or initial the noted refusal. Such a refusal, however, shall not be deemed insubordination, nor shall it prohibit the entry of the adverse comment into the member's file (Government Code § 3305). All materials intended for this interim file shall be provided to the employee prior to being placed in the file in accordance with Government Code § 3305 and Government Code § 3306. Additionally, the contents of a member's bureau file shall be emptied annually, with the contents being provided to the member. This should be done upon providing the member with their annual performance evaluation. 1013.5 TRAINING FILE An individual training file shall be maintained by the Training Commander for each member. Training files will contain records of all training; original or photocopies of available certificates, transcripts, diplomas and other documentation; and education and firearms qualifications. Training records may also be created and stored remotely, either manually or automatically (e.g., Daily Training Bulletin (DTB) records). _ (a)The involved member is responsible for providing the Training Commander or immediate supervisor with evidence of completed training/education in a timely manner. (b)The Training Commander or supervisor shall ensure that copies of such training records are placed in the member’s training file. 1013.6 INTERNAL AFFAIRS FILE Internal affairs files shall be maintained under the exclusive control of the Internal Affairs Division in conjunction with the office of the Chief of Police. Access to these files may only be approved by the Chief of Police or the Internal Affairs Division supervisor. These files shall contain the complete investigation of all formal complaints of member misconduct, regardless of disposition (Penal Code § 832.12). Investigations of complaints that result in the following findings shall not be placed in the member's personnel file but will be maintained in the internal affairs file: (a)Not sustained (b)Unfounded (c)Exonerated Investigation files arising out of sustained civilian's complaints involving misconduct shall be maintained pursuant to the established records retention schedule and for a period of at least 15 years. Investigations that resulted in other than a sustained finding may not be used by the Department to adversely affect an employee's career (Penal Code § 832.5). Investigation files arising out of internally generated complaints shall be maintained pursuant to the established records retention schedule and for at least five years (Government Code § 12946). Santa Ana Police Department Santa Ana PD Policy Manual Personnel Records Copyright Lexipol, LLC 2025/11/19, All Rights Reserved. Published with permission by Santa Ana Police DepartmentPersonnel Records - 3Investigation files arising out of a civilian complaint involving misconduct that was not sustained shall be maintained pursuant to the established records retention schedule and for at least five years (Penal Code § 832.5). 1013.7 MEDICAL FILE A medical file shall be maintained separately from all other personnel records and shall contain all documents relating to the member’s medical condition and history, including but not limited to: (a)Materials relating to a medical leave of absence, including leave under the Family and Medical Leave