partner in the City of Santa Barbara since 2019. City Net works to provide services that will result in ending street-level homelessness through the provision of street outreach, case management, housing navigation, bridge housing, non-congregate shelter operation, reunifications, census coordination, and more. City Net also works to mobilize community resources, including meals, volunteers, donations, and advocacy, to coordinate care in emergency shelters, parks and other public areas where homeless neighbors live. These efforts seek to reduce the wasteful duplication and fill missing gaps in the continuum of care, with the long-term goal of ending homelessness by providing homeless neighbors a stable context in which their emergency needs are met, so they can work on long-term housing plans.
City Net’s basic organizational and management structure employs Street Outreach Specialists, Case Managers, Housing Navigation experts, and contracted Licensed Clinical Social Workers. They have an experienced management team of professionals, including Regional Supervisors, Operations Specialists, and Finance, Data, Development and Program Teams. City Net’s Chief Executive Officer, Chief Program Officer, Chief Finance Officer, and HR Team operate laterally to provide supervision and oversight of program outcomes and contract requirements.
In 2024, across California City Net facilitated 4,477 positive exits from the street, 983 permanent housing placements, and 39,798 client interactions. They also provided 232,257 emergency bed nights and 364,749 meals. This includes serving 709 families, 315 veterans, 8,713 disabled individuals, and 5,336 chronically homeless clients. Over the last five years, City Net has grown from its initial offering of street outreach and case management to a comprehensive set of services from homelessness prevention to permanent housing.
Navigation Center Services
City Net has been providing the only contracted on-site case management and housing navigation services at the FARO Center since its opening. With that level of understanding and years of experience working with the unhoused population in the City of Santa Barbara, City Net is proposing a staffing structure that includes a Regional Program Director, Site Supervisor, Client Engagement Associate, two Case Managers, two Cal-AIM Community Supports Navigators, Data Analyst, and Community Engagement/Neighborhood Coordinator. Designated staff will also be able to leverage the Street Outreach and Case Management teams that are already contracted by the City of Santa Barbara seven days a week, which will help facilitate referrals more efficiently and effectively to help address the diversity and complexity of needs.
City Net is committed to serving an estimated 80 unduplicated clients per month with achievement of the following objectives:
10% of clients connecting to temporary or permanent housing; 10% of clients linked to income, employment, and benefits; Council Agenda Report
Selection of Provider for Referral-Based Navigation Center Services at 621 Chapala Street [Resolution; Agreement]
December 9, 2025
20% of clients connected to behavioral health or primary care services; 90% engagement pertaining to client satisfaction and engagement rates; and Less than one neighborhood complaint and/or law enforcement-related call for service per month.
City Net works with law enforcement agencies, social service providers, and City and County personnel to connect with all residents experiencing homelessness. They work to ensure there are no barriers for clients to receive the services they need to become housed, be it in language, accessibility or otherwise.
Neighborhood Relations
In entering into a Sublease and Funding Agreement with the City, City Net will need to adhere to the Conditional Use Permit (CUP) that was approved on April 4, 2024. City Net has a Good Neighbor Policy which outlines the agency’s responsibilities to all relevant stakeholders, be it the general public, neighborhood, business, press/media, local law enforcement and fire departments, and city, county, and service providers.
City Net is committed to communication with neighbors on an ongoing basis. As part of this commitment, City Net is open to facilitating Community Forums, as needed. These forums will provide opportunities to answer questions that members of the surrounding community might have on the operations of the Center. City Net will also continue to attend monthly Downtown Santa Barbara Improvement Association (DSBIA) Civil Sidewalks Committee meetings.
All community complaints and/or inquiries about the Center will be recorded and forwarded to the appropriate staff for prompt investigation and resolution. City Net is fully committed to an appropriate customer services response and will consider the resolution of community complaints a high priority. City Net will also maintain a program webpage that will include important information for community stakeholders and clients alike in a monthly-produced Data Dashboard.
A City Net staff-led Neighborhood Patrol will assembly daily to monitor the grounds around the shelter perimeter. The role of this patrol group is to collect litter, promote cleanliness, and engage with and enhance the safety and cleanliness of the immediate vicinity. Additionally, they will prevent and control issues of loitering, unauthorized parking of client vehicles in the neighborhood, abandoned property, and shopping carts. A log will be kept of the daily patrols. The following actions will be completed by the Neighborhood Patrol:
All litter and trash items will be removed from the area and properly disposed of; Clients without a scheduled appointment or no intention of making such an appointment, but found solely loitering, will be issued a warning and be asked to move along;
Council Agenda Report
Selection of Provider for Referral-Based Navigation Center Services at 621 Chapala Street [Resolution; Agreement]
December 9, 2025
Client vehicles that are parked in unauthorized areas in the neighborhood are subject to towing; and
City Net will follow City municipal code regulations for removing personal property found in the surrounding area.
City staff are also committed to ensure that City Net has the support they need to address any issues, concerns, or illegal activity outside of the facility. Given our long-standing partnership, City staff already work very closely with the City Net team and communicate with each other in a timely and effective manner to respond to any issues that may arise.
Staff Recommendation
In the City’s over six years of partnership with City Net, they have continued to perform at the highest-level. They have a significant depth and breadth of knowledge of our unhoused population along with an understanding of the needs of our local business community and residents. In the past two years, the City expanded its street outreach contract with City Net to include nights and weekends with specific attention and engagement in the Downtown Corridor. This has included getting to know every business owner and being responsive to their concerns.
Given this track record of responsiveness and City Net’s role in providing the only contracted case management services at the Center, City staff feels that this recommendation is a continuation of services they already provide, while at the same time integrating and simplifying the entire process of operations, referral, scheduling, and case management appointments through the Downtown Navigation and Workforce Development Center.
Next Steps
City staff recognizes that this recommendation will result in a transition of service provision at the FARO Center. Therefore, we will be working with SB ACT as the current operator to identify a timeline that is realistic for all parties and is the least disruptive to clients accessing services. Both SB ACT and City Net are long-term service provider partners of the City of Santa Barbara, so it is our hope that we can approach this thoughtfully in light of our shared mission to support our most vulnerable community members. The City is also continuing to fund SB ACT to facilitate the ACT on Homelessness Collaborative, a south countywide collaboration of cross-sector agencies addressing homelessness. There continues to be considerable progress on key objectives pertaining to homelessness prevention, behavioral health, housing retention, and community engagement.
Additionally, City staff are committed to integrating the feedback from community stakeholders and partner agencies received during this process to increase our communication, facilitate more dialogue around strategy development and implementation, as well as bringing together mission-aligned partners to support the Council Agenda Report
Selection of Provider for Referral-Based Navigation Center Services at 621 Chapala Street [Resolution; Agreement]
December 9, 2025
success of new initiatives. More specifically, it has been suggested that a Community Advisory Board for the Downtown Navigation and Workforce Development Center be created to meet periodically to hear about progress, discuss any new strategies and approaches, and address challenges as needed. The City Administrator’s Office is pleased to execute this vision as part of this service provider transition.
BUDGET/FINANCIAL IMPACT:
The proposed budget from City Net for staffing, service delivery, facilities management and operations, as well as security services and neighborhood engagement from January 5, 2026 through February 1, 2027 is $600,000. Given that this Agreement will span two fiscal years, City staff are recommending an allocation of $250,000 from the Fiscal Year 2026 Measure I Flexible Housing and Homelessness Fund which is the total remaining after the funding allocations to support local immigrant-serving organizations ($500,000) and to the interim service provider agreement for emergency shelter services at 816 Cacique Street ($750,000). Additionally, this agreement would require an allocation of $350,000 from the $1.5 million allocation budgeted for this fund in Fiscal Year 2027, which staff will request during the upcoming FY2027 mid-cycle budget cycle beginning in April 2026. The exact amount to be provided to City Net under a funding agreement will be determined when the contract and sublease are drafted.
A copy of the agreement will be available from the City Administrator’s Office for public review; please contact Talhia Dorado at [email protected] to request a copy.
PREPARED AND Anthony Valdez, Deputy City Administrator
SUBMITTED BY: Barbara Andersen, Sr. Assistant to the City Administrator APPROVED BY: Kelly McAdoo, City Administrator
RESOLUTION NO. __________
A RESOLUTION OF THE COUNCIL OF THE CITY OF
SANTA BARBARA AMENDING RESOLUTION NO. 25-066,
ADOPTING THE BUDGET FOR FISCAL YEAR 2026, TO
APPROVE AN ALLOCATION IN FISCAL YEAR 2026
EXPENDITURE APPROPRIATIONS IN THE FLEXIBLE
HOUSING FUND IN THE AMOUNT OF $250,000 TO FUND
AN AGREEMENT FOR REFERRAL-BASED NAVIGATION
CENTER SERVICES AT 621 CHAPALA STREET
WHEREAS, in accordance with the City Charter, the City Administrator filed with the Council a proposed budget for the fiscal year beginning July 1, 2025; WHEREAS, the City Council is required to adopt a budget before the beginning of the fiscal year on July 1, 2025;
WHEREAS, the City Charter provides that at any public meeting after the adoption of the budget, the City Council may amend or supplement the budget by motion adopted by the affirmative votes of at least a majority of the total members of the City Council; and WHEREAS, as authorized by Resolution No. 25-066, this Resolution approves the amendment to the budget as provided herein
NOW, THEREFORE, be it resolved by the Council of the City of Santa Barbara that in accordance with the provisions of Section 1205 of the City Charter, the budget for the fiscal year 2026, as adopted by Resolution No. 25-066, is hereby amended as follows:
1. The Council approves of the expenditure appropriation of $250,000 in the Fiscal Year 2026 Flexible Housing and Homelessness Fund budget to fund an agreement with City Net as the selected service provider for referral-based navigation center services at 621 Chapala Street in Santa Barbara.
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Finance Department
SUBJECT: Statement of Investment Policy and Delegation of Investment Authority for Fiscal Year 2026 [Resolution]
RECOMMENDATION:
That Council adopt, by reading of title only, a Resolution of the Council of the City of Santa Barbara Adopting the Investment Policy for the City and Rescinding Resolution No. 24- 076.
DISCUSSION:
California Government Code (State Code) Section 53600 establishes legally permitted investments for local governments statewide. Except for County governments, the State Code does not contain any provisions specifying what must be included in the investment policy of a local agency. If a local agency’s policy is submitted to the legislative body, it must be an agenda item at a public meeting and should be approved by a vote of the legislative body.
While not required by the State Code, each year the City Council adopts a Statement of Investment Policy, which further defines the suitable and authorized investments specifically for the City. In some cases, the City’s policy is more restrictive than the State Code. Moreover, the policy serves as a guide for setting and achieving the City’s own investment objectives and defines guidelines for the management of the portfolio.
Revisions to the annual investment policy are made each year, as needed, to incorporate policy or statutory changes affecting the City’s investment program and daily investing activities. Policy revisions are generally technical in nature, such as process changes or language clarifications. Statutory changes are changes in state law affecting allowable investments or procedures related to investing activities.
As provided in the Investment Policy, Council formally delegates authority to the City Treasurer (i.e., the City Administrator) to invest and reinvest funds and to sell or exchange Agenda Item No. 5
File Code No. 260.01
Council Agenda Report
Statement of Investment Policy and Delegation of Investment Authority for Fiscal Year 2026 [Resolution]
December 9, 2025
securities for a one-year period, as specified on page 4 of the proposed Investment Policy.
Management and oversight of the investment program is delegated to the Finance Director. The City may engage the services of one or more external investment advisers, who are registered under the Investment Advisers Act of 1940, to assist in the management of the City’s investment portfolio in a manner consistent with the City’s objectives. External investment advisers may be granted discretion to purchase and sell investment securities in accordance with this investment policy.
In line with Vision 2030 and focusing on optimizing revenue from existing revenue sources and ongoing efforts to streamline and enhance the investment portfolio’s management and performance, in 2024 the City hired Chandler Asset Management to manage the City’s investment portfolio.
The Finance Department usually submits the annual policy update to Council in the last quarter of the calendar year to capture any changes in statute that may impact the City’s policy. Staff recommends the changes shown in the red-lined sections of Attachment 1 (“Statement of Investment Policy – Fiscal Year 2026”). The policy aligns with Chandler Asset Management’s investment strategy for the City’s portfolio and investment policy best practices.
BUDGET/FINANCIAL INFORMATION:
There are no direct budget or financial impacts by adopting the revised Statement of Investment Policy.
ATTACHMENT: Statement of Investment Policy – Fiscal Year 2026 Redlined Version
PREPARED BY: Salvatore Parrilla, Treasury Analyst
SUBMITTED BY: Lyndsay Maas, Assistant Finance Director
APPROVED BY: Kelly McAdoo, City Administrator
City of Santa Barbara
Finance Department
Statement of Investment Policy
Fiscal Year 20252026
Effective July December 19, 20242025
Attachment 1
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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TABLE OF CONTENTS
I. MISSION STATEMENT..................................................................................................................................... 2 A. POOLING OF FUNDS................................................................................................................................................2 B. FUNDS INCLUDED BY THIS POLICY ..............................................................................................................................2 C. FUNDS EXCLUDED FROM THIS POLICY.........................................................................................................................2 II. GENERAL OBJECTIVES .................................................................................................................................... 2 A. SAFETY.................................................................................................................................................................2 B. LIQUIDITY .............................................................................................................................................................3 C. YIELD (RETURN ON INVESTMENT)..............................................................................................................................3 III. STANDARDS OF CARE................................................................................................................................. 3 A. PRUDENCE............................................................................................................................................................3 B. ETHICS AND CONFLICTS OF INTEREST..........................................................................................................................3 C. DELEGATION OF AUTHORITY.....................................................................................................................................4 D. INTERNAL CONTROLS ..............................................................................................................................................5 IV. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS.............................................................................. 5 V. SAFEKEEPING AND CUSTODY ......................................................................................................................... 6 VI. SUITABLE AND AUTHORIZED INVESTMENTS .............................................................................................. 7 A. INVESTMENT TYPES ................................................................................................................................................7 B. INVESTMENT POOLS AND MUTUAL FUNDS ................................................................................................................11 C. COLLATERALIZATION.............................................................................................................................................12 D. SOCIAL RESPONSIBILITY .........................................................................................................................................12 E. INVESTMENTS NOT APPROVED ...............................................................................................................................13 F. EXCEPTIONS TO PROHIBITED AND RESTRICTED INVESTMENTS ........................................................................................13 VII. INVESTING PARAMETERS......................................................................................................................... 13 A. DIVERSIFICATION .................................................................................................................................................13 B. MAXIMUM MATURITIES........................................................................................................................................14 C. RISK MANAGEMENT .............................................................................................................................................14 VIII. REPORTING.............................................................................................................................................. 15 A. MONTHLY REPORTING TO CITY COUNCIL ..................................................................................................................15 B. QUARTERLY REPORTING TO CITY COUNCIL ................................................................................................................16 C. PERFORMANCE STANDARDS ...................................................................................................................................16 IX. INVESTMENT POLICY COMPLIANCE AND ADOPTION ............................................................................... 17 A. POLICY COMPLIANCE AND CHANGES ........................................................................................................................17 B. ANNUAL STATEMENT OF INVESTMENT POLICY ...........................................................................................................17 X. GLOSSARY OF TERMS ................................................................................................................................... 18 City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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I. MISSION STATEMENT
It is the policy of the City to invest public funds in a manner that will provide maximumsecurity, adequate liquidity and sufficient yieldreturn, while meeting the daily cash flow demands of the City and conforming to all statutes and regulations governing the investment of public funds.
SCOPE
This investment policy applies to all the financial assets of City of Santa Barbara. These funds are accounted for in the City’s audited Annual Comprehensive Financial Report. If the City invests funds on behalf of another agency and, if that agency does not have its own policy, the City's investment policy shall govern the agency's investments.
A. Pooling of Funds
Except for cash in certain restricted and special funds, the City shall consolidate cash balances from all funds to maximize investment earnings. Investment income shall be allocated to various funds as identified in the investment procedures manual in accordance with generally accepted accounting principles.
B. Funds Included by this Policy
General Fund
Special Revenue Funds
Capital Project Funds
Enterprise Funds
Internal Service Funds
Trust and Agency Funds
Any new fund created by City Council unless specifically exempted C. Funds Excluded from this Policy
Bond Proceeds. Investment of bond proceeds shall be subject to the conditions and restrictions of bond documents and are not governed by this policy. Bond investment conditions and restrictions shall be reviewed by the Finance Committee and forwarded to City Council for approval. Other funds excluded include post-retirement medical funds and pension rate mitigation funds.
II. GENERAL OBJECTIVES
The primary objectives, in priority order, of the City’s investment activities are safety, liquidity and yield.
A. Safety
Preservation of principal is the foremost objective of the investment program.
Investments of the City shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio. The objective shall be to mitigate credit City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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risk and interest rate risk. To attain this objective, the City shall diversify its investments by investing funds among several financial institutions and a variety of securities offering independent returns.
B. Liquidity
The City’s investment portfolio shall remain sufficiently liquid to enable the City to meet all operating requirements which might be reasonably anticipated without requiring a sale of securities. Since all possible cash demands cannot be anticipated, the portfolio should consist largely of securities with active secondary or resale markets. A portion of the portfolio also may be placed in money market mutual funds or LAIF, which offers same-day liquidity for short-term funds.
C. Yield (Return on Investment)
The City’s investment portfolio shall be designed with the objective of attaining a benchmark rate of return throughout budgetary and economic cycles, commensurate with the City’s investment risk constraints and the liquidity characteristics of the portfolio. Return on investment is of secondary importance compared to the safety and liquidity objectives described above. The core of investments is limited to relatively low risk securities in anticipation of earning a fair return relative to the risk being assumed.
III. STANDARDS OF CARE
A. Prudence
The standard of prudence to be used by City investment officials shall be the “Prudent Investor Standard” in that a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the City, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of an enterprise of a like character and with like aims. This standard shall be applied in the context of managing the overall portfolio. City investment officers acting in accordance with written procedures and the investment policy and exercising due diligence shall be relieved of personal responsibility for an individual security’s credit risk or market price changes, provided deviations from expectations are reported in a timely fashion and appropriate action is taken to control adverse developments.
B. Ethics and Conflicts of Interest
Officers and employees involved in the City investment process shall refrain from personal business activity that could conflict with proper execution of the investment program, or that could impair their ability to make impartial investment decisions. City employees and investment officials shall disclose any material financial interests in financial institutions that conduct business within their jurisdiction, and they shall further disclose any personal financial/investment positions that could be related to the performance of the City immediately to the City of Santa Barbara Treasurer or designee and annually to the Fair Political Practices Commission. City employees and officers shall refrain from undertaking personal investment transactions with the same individual with whom business is conducted on behalf of the City.
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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C. Delegation of Authority
Authority to manage the City’s investment program is derived from the Charter of the City of Santa Barbara. City Council shall delegate to the Treasurer, for a 1-year period, the authority to invest or to reinvest funds, or to sell or exchange securities. The Treasurer and/or designees shall thereafter assume full responsibility for those transactions until the delegation of authority is revoked or expires.
Management responsibility for the investment program is delegated to the Finance Director who shall establish a separate written investment procedures manual. The operation of the investment program shall be consistent with this policy and the investment procedures manual. Such procedures shall include explicit delegation of authority to persons responsible for investment transactions. No person may engage in an investment transaction except as provided under the terms of this policy and the procedures established by the Finance Director. The Assistant Finance Director is authorized to conduct investment-related activities, under the supervision of the Finance Director, on behalf of the City. The City may engage the services of one or more external investment advisers, who are registered under the Investment Advisers Act of 1940, to assist in the management of the City’s investment portfolio in a manner consistent with the City’s objectives. External investment advisers may be granted discretion to purchase and sell investment securities in accordance with this investment policy.
Apart from investment purchases and sales conducted by the City’s investment adviser, investment purchases and sales require signature approval from the Treasurer and Finance Director or their designee, by the close of business on the next business day following the purchase or sale.
The following documents are by reference incorporated in the investment procedures manual:
1. Listing of authorized personnel
2. Relevant investment statutes and ordinances
3. Repurchase agreements and tri-party agreements
4. Listing of authorized broker/dealers and financial institutions
5. Credit ratings and/or reports for securities purchased and financial institutions used
6. Safekeeping agreements
7. Sample investment reports
8. Investment accounting documents
9. Methodology for calculating rate of return
10. Banking services contracts
11. Cash flow forecasting
12. Collateral/depository agreements
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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D. Internal Controls
The Finance Director is responsible for establishing and maintaining a system of written internal controls. These controls shall be reviewed annually with an independent external auditor who will notify the City Council if there is a material noncompliance with its policies and procedures. The internal controls shall be designed to prevent losses of public funds arising from fraud, employee error, and misrepresentation by third parties, unanticipated changes in financial markets, or imprudent action by City employees and officers. The internal structure shall be designed to provide reasonable assurance that these objectives are met. The concept of reasonable assurance recognizes that (1) the cost of a control should not exceed the benefits likely to be derived, and (2) the valuation of costs and benefits requires estimates and judgments by management.
The internal controls shall address the following points:
1. Control of collusion
2. Separation of transaction authority from accounting andrecord-keeping
3. Custodial safekeeping
4. Delivery versus payment (DVP)
5. Clear delegation of authority to subordinate staff members
6. Written confirmation of transactions for investments and wiretransfers
7. Wire transfer agreements
IV. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS
The Finance Director shall establish selection criteria for pre-approval of financial institutions and security broker/dealers to do business with the City of Santa Barbara. The Finance Director shall maintain a list of City approved financial institutions and security broker/dealers who are authorized to provide investment services to the City. These may include primary dealers, or regional dealers that qualify under Securities & Exchange Commission Rule 15C3-1 (uniform net capital rule). In accordance with Section 53601.5, institutions eligible to transact investment business with the City include:
▪ Institutions licensed by the state as a broker-dealer as defined in Section 25004 of the Corporations Code, with proof of FINRA certification.
▪ Institutions that are members of a federally regulated securities exchange. ▪ Primary government dealers as designated by the Federal Reserve Bank and nonprimary government dealers. ▪ Nationally or state-chartered banks.
▪ Savings association or federal association (as defined in Section 5102 of the Financial Code).
▪ The Federal Reserve Bank.
▪ Direct issuers of securities eligible for purchase.
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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To qualify for consideration, a financial institution or a security broker/dealer must also have an office in California and that office must perform the transactions with the City.
All financial institutions and broker/dealers who desire to become qualified for investment transactions must supply the following to the Finance Director as appropriate:
▪ Current audited financial statements
▪ Proof of Financial Industry Regulatory Authority (FINRA), formerly National Association of Security Dealers (NASD), certification
▪ Trading resolution
▪ Complete broker/dealer questionnaire
▪ Proof of State of California registration
▪ For banking institutions, a statement of compliance with the Federal Reserve Bank of New York’s capital guideline
▪ Statement of having read, understood and agreeing to comply with the City’s investment policy and depository contracts
The Finance Director shall annually review each of the approved financial institutions and security broker/dealers selected for current State of California registrations and financial condition.
Public deposits will be made only in qualified public depositories as established by State law.
Deposits will be insured by the Federal Deposit Insurance Corporation, or, to the extent the amount exceeds the insured maximum, will be collateralized in accordance with State law.
Selection of broker/dealers used by an external investment adviser retained by the City will be at the sole discretion of the adviser. Where possible, transactions with broker/dealers shall be selected on a competitive basis and their bid or offering prices shall be recorded. If there is no other readily available competitive offering, best efforts will be made to document quotations for comparable or alternative securities. When purchasing original issue instrumentality securities, no competitive offerings will be required as all dealers in the selling group offer those securities at the same original issue price.
V. SAFEKEEPING AND CUSTODY
All security transactions, including collateral for repurchase agreements, entered into by the City shall be conducted on a delivery-versus-payment (DVP) basis which will ensure that securities are deposited in an eligible financial institution prior to the release of funds. Securities shall be held by a third-party custodian designated by the Finance Director and evidenced by safekeeping receipts with a written custodial agreement. The only exception to the foregoing shall be depository accounts and securities purchases made with: LAIF, time certificates of deposit, and money market mutual funds, since the purchased securities are not deliverable.
Settlement instructions sent to the safekeeping agent shall require dual authorization unless the trade is executed by the City’s investment adviser. The Treasurer and the Finance Director, and if applicable, their designee, shall be bonded to protect the public against possible embezzlement and malfeasance. Safekeeping procedures shall be reviewed annually by an independent external auditor and any irregularities noted should be reported promptly to the Treasurer or designee and City Council.
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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VI. SUITABLE AND AUTHORIZED INVESTMENTS
The City shall be governed by the California Government Code, Sections 53600 et seq. Within the investments permitted by the Code, the City seeks to further restrict eligible investments to the guidelines listed below. In the event a discrepancy is found between this policy and the Code, the more restrictive parameters will take precedence. The City shall be required to present any changes to Code in the annual review of the. Surplus funds are defined as funds not required for the immediate necessities of the City and include investments in individually managed portfolio(s), money market fund(s) and/or State LAIF, and all portfolio limitations and restrictions shall apply to this aggregate amount. For purposes of compliance with the California Government Code and the City’s Investment Policy, the credit rating requirement for mediumterm notes, deposit notes, bank notes and commercial paper shall be based on the quality ratings at the time of purchase. Percentage limitations of surplus funds invested are noted for the various investment instruments. Where there is a specified percentage limitation for a particular category of investments, that percentage is applicable only at the date of purchase.
A later increase or decrease in a percentage resulting from a change in values or assets shall not constitute a violation of that restriction.
The City is empowered by statute to invest in the following types of securities and those that the investment managers are trained and competent to handle.
A. Investment Types
1. Bonds, notes, or other forms of indebtedness issued by the City, including bonds payable solely out of the revenues from a revenue producing property owned, controlled, or operated by the City or by a department, board, agency, or authority of the local agency.
2. United States Treasury notes, bonds, bills, or certificates of indebtedness, or any other government obligation for which the full faith and credit of the United States are pledged for the payment of principal and interest. There are no limits on the dollar amount or percentage that the City may invest in U.S. Treasuries, provided that the maximum maturity is five (5) years.
3. Federal Agency or United States government-sponsored enterprise obligations (GSE), participations, or other instruments, including those issued by or fully guaranteed as to principal and interest by federal agencies or United States government-sponsored enterprises. There are no limits on the dollar amount or percentage that the City may invest in Federal Agency or Government-Sponsored Enterprises (GSEs), provided that:
▪ No more than 30% of surplus funds may be invested in any single Agency/GSE issuer.
▪ The maximum maturity does not exceed five (5) years.
▪ The maximum percent of Agency callable securities in the portfolio will be 20%.
4. State of California and Local Agency Obligations. Registered state warrants or treasury notes or bonds of this state, including bonds payable solely out of the revenues from revenue-producing property owned, controlled, or operated by the state or by a department, board, agency, or authority of the state; and bonds, notes, warrants, or other evidence of indebtedness of any local agency within this City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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state including bonds payable solely out of the revenues from revenue-producing property owned, controlled, or operated by the local agency, or by a department, board, agency, or authority of the local agency. Notes eligible for investment, other than those issued by the City or operated by a department, board, agency, or authority of the local agency, shall be rated in a rating category of "A" or its equivalent or better by at least one Nationally Recognized Statistical-Rating Organization (NRSRO). Moreover:
▪ No more than 5% of surplus funds may be invested in any single issuer. ▪ No more than 30% of surplus funds may be in municipal securities issued by the City, the state of California, its political subdivisions, or the registered treasury notes or bonds of the other 49 states in addition to California combined.
▪ The maximum maturity does not exceed five (5) years.
5. Registered treasury notes or bonds of any of the other 49 states in addition to California, including bonds payable solely out of the revenues from a revenueproducing property owned, controlled, or operated by a state or by a department, board, agency, or authority of any of the other 49 states, in addition to California. ▪ The securities must be rated in a rating category of “A” or its equivalent or better by at least one NRSRO.
▪ No more than 5% of surplus funds may be invested in any single issuer. ▪ No more than 30% of surplus funds may be in municipal securities issued by the City, the state of California, its political subdivisions, or the registered treasury notes or bonds of the other 49 states in addition to California combined.
▪ The maximum maturity does not exceed five (5) years.
6. Medium-Term Notes, defined as all corporate and depository institution debt securities with a maximum remaining maturity of 5 years or less, issued by corporations organized and operating within the United States or by depository institutions licensed by the United States or any state and operating within the United States. Purchases of medium-term notes may not exceed 30 percent of the City's surplus funds. Notes eligible for investment shall be rated in a rating category of "A" or its equivalent or better by at least one NRSRO. Investments in medium-term notes shall be limited to no more than 5 percent of surplus funds per issuer.
7. Bankers Acceptances, otherwise known as bills of exchange or time drafts, drawn on and accepted by a commercial bank, which are eligible for purchase by the Federal Reserve System. Purchased bankers acceptances may not exceed 180 days maturity or 40 percent of the City's surplus funds, and no more than 5 percent of the City's surplus funds may be invested in the bankers’ acceptances of any single commercial bank. Issuers must be institutions which have short-term debt obligations rated “A-1” or its equivalent or better by at least one NRSRO, or long-term debt obligations which are rated in a rating category of “A” or its equivalent, or better by at least one NRSRO.
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 20252026
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8. Commercial Paper of “prime” quality of the highest ranking or the highest letter and number rating as provided for by a Nationally Recognized Statistical-Rating Organization. The entity that issues the commercial paper shall meet all of the following conditions in either paragraph (a) or paragraph (b):
a. The entity is organized and operating in the United States as a general corporation and has total assets in excess of $500,000,000. In addition, its debt other than commercial paper, if any, must be rated in a rating category of “A” or higher by a Nationally Recognized Statistical-Rating Organization. b. The entity is organized within the United States as a special purpose corporation, trust, or limited liability company and has a program wide credit enhancement including, but not limited to, over collateralization, letters of credit, or surety bond. In addition, the entity has commercial paper that is rated “A-1” or higher, or the equivalent, by a Nationally Recognized Statistical-Rating Organization.
Eligible commercial paper shall have a maximum maturity of 270 397 days or less. Under a provision sunsetting on January 1, 20262031,the City may not invest more than 40 percent of its surplus funds in commercial paper, and the City may invest no more than 5% in any single issuer, and no more than 10% of its total investment assets in the commercial paper and the medium-term notes of any singleissuer.
9. Negotiable Certificates of Deposit issued by a nationally or state-chartered bank or savings association or federal association or a state or federal credit union or by a federally-licensed or state-licensed branch of a foreign bank. Purchases of negotiable certificates of deposit shall not exceed 30 percent of the City's surplus money invested and shall be limited to no more than 5 percent of any single issuer. Deposit notes and banknotes purchased through a broker or dealer shall be included with negotiable certificates of deposit in calculating allowable maximum percentages. Purchases of negotiable certificates of deposit, deposit notes and bank notes of up to $250,000 are allowable in any institution that insures its deposits with the Federal Deposit Insurance Corporation, while purchases greater than $250,000 shall be rated in a category of "A" or its equivalent or better by at least one NRSRO. Maturities for negotiable certificates of deposit shall not exceed five years.
10. Time Deposits. The City may invest in non-negotiable Certificates of Deposit at commercial banks and savings and loan associations that are collateralized in accordance with the California Government Code. To be eligible to receive City funds, the depository institution shall have received an overall rating of not less than “satisfactory” in its most recent evaluation of its record of meeting the credit needs of California’s communities, including low and moderate-income neighborhoods. In selecting depositories, the credit worthiness of institutions shall be considered. Banks and Savings and Loan Associations seeking to establish an investment relationship with the City shall submit an audited financial report that shall be reviewed for compliance with the City's investment standards. Any institution not providing an audited annual financial report shall be removed from the approved list and all funds maturing will be withdrawn. A list of eligible institutions shall be maintained in the investment procedures manual.
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11. Collateralized Bank Deposits. Savings accounts when used in conjunction with the City's checking accounts at a qualified bank where funds are collateralized in accordance with the California Government Code 53651. There are no limits on the dollar amount or percentage that the City may invest in collateralized bank deposits.
12. U.S. Government money market funds registered with the Securities and Exchange Commission and which comply with rule 2a7 of the Investment Company Act of 1940. The fund must be comprised of only U.S. Treasury bills, notes and bonds, repurchase agreements, and obligations issued or guaranteed as to principal and interest by the U.S. Government or its agencies or instrumentalities. The percentage of repurchase agreements in the fund shall be reviewed and approved based on the fund's policy limits. The dollar weighted average maturity of the portfolio shall be less than 90 days and the portfolio is managed to maintain a $1.00 share price. Also, the fund shall meet either of the following criteria: (a) attained the highest ranking or the highest letter and numerical rating provided by not less than two Nationally Recognized StatisticalRating Organizations; (b) retained an investment adviser registered or exempt from registration with the Securities and Exchange Commission with not less than 5 years' experience managing money market mutual funds with assets under management in excess of $500,000,000. Purchase of securities authorized by this section shall not exceed 20 percent of the City’s surplus money invested and no more than 10 percent may be invested in any single money market fund.
13. Repurchase Agreements. Investments in repurchase agreements, so long asthe proceeds of the repurchase agreement are invested solely to supplement the income normally received from these securities. The City shall adopt as a standard the Bond Market Association Master Repurchase Agreement and shall maintain a list of approved counterparts and limit counter parties to primary dealers rated "A" or better by two Nationally Recognized Statistical-Rating Organizations. Reverse repurchase agreements shall require City Council authorization separate from City Council approval of this policy. a. Investments in repurchase agreements may be made on any authorized investment, when the term of the agreement does not exceed 1 year.
14. Local Agency Investment Fund (LAIF). The City may invest in LAIF up to the amount permitted by LAIF; At least quarterly, the Finance Director shall report to the Finance Committee on the composition of the LAIF portfolio. The California Government Code states that moneys placed for deposit in LAIF are in trust in the custody of the State Treasurer and cannot be borrowed or be withheld from the City. Further, the right of the City to withdraw its deposited money from the LAIF upon demand may not be altered, impaired, or denied in any way by any state official or agency based upon the State’s failure to adopt a budget by July 1 of each new fiscal year.
15. United States dollar denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or Inter- American Development Bank, with a maximum remaining maturity of five years or less, and eligible for purchase and sale within the United States. Investments under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by City of Santa Barbara
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at least one NRSRO and shall not exceed 30 percent of the City’s moneys that may be invested pursuant to this section. No more than 10% of surplus funds may be invested in any single issuer.
16. Commercial paper, debt securities, or other obligations of a public bank, as defined in Section 57600. (This section shall remain in effect only until January 1, 2026, and as of that date is repealed).
17. Placement service deposits and placement service certificates of deposit at a commercial bank, savings bank, savings and loan association, or credit union that uses a private sector entity that assists in the placement of deposits, as defined in Section 53601.8. No more than 30 percent of the City's surplus funds may be invested in time deposits, including certificates of deposit, through a placement service as authorized under Section 53601.8.
18. Local Government Investment Pools. Shares of beneficial interest issued by a joint-powers authority organized pursuant to Section 6509.7
19. Asset-backed, mortgage-backed, mortgage passthrough securities, and collateralized mortgage obligations from issuers not defined in paragraphs 2 and 3 of this section, provided that:
▪ The securities are rated in a rating category of “AA” or its equivalent or better by a NRSRO.
▪ No more than 20% of the total surplus funds may be invested in these securities.
▪ No more than 5% of the total surplus funds may be invested in any single Asset-Backed or Commercial Mortgage security issuer.
▪ The maximum legal final maturity does not exceed five (5) years.
B. Investment Pools and Mutual Funds
The City shall conduct a thorough investigation of any pool or mutual fund prior to making an investment, and on a continual basis thereafter. The Treasurer or designee shall develop a questionnaire which will answer the following general questions:
▪ A description of eligible investment securities, and a written statement of investment policy and objectives.
▪ A description of interest calculations and how it is distributed, and how gains and losses are treated.
▪ A description of how the securities are safeguarded (including the settlement processes), and how often the securities are priced and the program audited. ▪ A description of who may invest in the program, how often, and what size deposit and withdrawal are allowed.
▪ A schedule for receiving statements and portfolio listings. ▪ Are reserves, retained earnings, etc. utilized by the pool/fund? ▪ A fee schedule, and when and how is it assessed?
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▪ Is the pool/fund eligible for bond proceeds and/or will it accept such proceeds?
C. Collateralization
Collateralization shall be required on two types of investments: certificates of deposit and repurchase (and reverse) agreements. A collateral agreement must be current and on file before any funds can be transferred for collateralized certificates of deposit.
Collateral shall be held by an independent third party with whom the City has a current written custodial agreement. A clearly marked evidence of ownership (safekeeping receipt) must be supplied to the City and retained. The right of collateral substitution is granted.
1. Certificates of Deposit
a. Government Securities used as collateral require 102 percent of market value to the face amount of the deposit
b. Promissory Notes secured by first trust deeds used as collateral require 150 percent of market value to the face amount of the deposit c. Irrevocable Letters of Credit issued by the Federal Home Loan Bank of San Francisco require 105 percent of market value to the face amount of the deposit
2. Repurchase Agreements
a. Only U.S. Treasury securities or Federal Agency securities are acceptable collateral. All securities underlying repurchase agreements must be delivered to the City’s custodian bank versus payment or be handled under a properly executed tri-party repurchase agreement. The total market value of all collateral for each repurchase agreement must equal or exceed 102 percent of the total dollar value of the money invested by the City for the term of the investment. For any repurchase agreement with a term of more than 1 day, the value ofthe underlying securities must be reviewed on an ongoing basis according to market conditions. Market value must be calculated each time there is a substitution of collateral.
b. The City or its trustee shall have a perfected first security interest under the Uniform Commercial Code in all securities subject to the repurchase agreement.
D. Social Responsibility
In addition to and subordinate to the objectives set forth in Section III herein, investment of funds should be guided by the following socially responsible investment goals when investing in corporate securities and depository institutions. Investments shall be made in compliance with the socially responsible goals to the extent that such investments achieve substantially equivalent safety, liquidity and yield compared to investments permitted by state law.
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Investments are encouraged in entities that support community well-being through safe, environmentally-sound, practices and fair labor practices. Investments are encouraged in entities that support equality of rights regardless of race, sex, religion, age, national or ethnic origin, sexual orientation, or disability. Investments are encouraged in entities that promote community economic development. Investments are discouraged in entities that manufacture, distribute or for tobacco products, weapons and military systems not used for our national defense, nuclear power and fossil fuels. Investments are discouraged in entities that exhibit corrupt corporate ethics and governance.
E. Investments Not Approved
Any security type or structure not specifically approved by this policy is hereby prohibited. Security types, which are thereby prohibited include, but are not limited to:
shares of beneficial interest issued by diversified management companies (except U.S. Government money market funds), reverse repurchase agreements used as a leveraging vehicle, "exotic" derivatives structures such as range notes, dual index notes, inverse floating-rate notes, leveraged or de-leveraged floating-rate notes, interest-only strips that are derived from a pool of mortgages and any security that could result in zero interest accrual if held to maturity, or any other complex variable or structured note with an unusually high degree of volatility or risk. Local governments that are not Qualified Institutional Buyers (QIB) as defined by the Securities and Exchange Commission are prohibited from purchasing Private Placement Securities.
The SEC defines a QIB as having at least $100,000,000 in securities owned and invested.
F. Exceptions to Prohibited and Restricted Investments
1. The City shall not be required to sell securities prohibited or restricted in this policy, or any future policies, or prohibited or restricted by new State regulations, if purchased prior to their prohibition and/or restriction. Insofar as these securities provide no notable credit risk to the City, holding of these securities until maturity is approved. At maturity or liquidation, such monies shall be reinvested only as provided by this policy.
2. The City may invest in securities issued by, or backed by, the United States government that could result in zero- or negative-interest accrual if held to maturity, in the event of, and for the duration of, a period of negative market interest rates. The City may hold these instruments until their maturity dates. (This section shall remain in effect starting January 1, 2021, and only until January 1, 20262031).
VII. INVESTING PARAMETERS
A. Diversification
The City shall diversify its investments by security type, issuer, maturity, and financial institutions. No percentage limitations are established for United States government, United States government agencies and United States government sponsored enterprises; however, percentage limitations are established for other permitted City of Santa Barbara
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investments, as noted in Section VII of this policy. The investments shall be diversified by limiting investments to avoid overconcentration in securities from a specific issuer or business sector (excluding U.S. Treasury securities), limiting investment in securities that have higher credit risks, and investing in securities with varying maturities.
The City recognizes that investment risks can result from issuer defaults, market price changes or various technical complications leading to temporary illiquidity. Portfolio diversification is employed as a way to control risk. Investment managers are expected to display prudence in the selection of securities as a way to minimize default risk. No individual investment transaction shall be undertaken which jeopardizes the total capital position of the overall portfolio. To control market price risks, volatile investment instruments shall be avoided. To control risks of illiquidity, a minimum of 10 percent of the total portfolio shall be held in highly marketable U.S. Treasury Bills and Notes and/or the State of California Local Agency Investment Fund and/or Money Market Funds and/or securities maturing within 90 days.
B. Maximum Maturities
To the extent possible, the City will attempt to match its investments with anticipated cash flow requirements. Where there is no specified maturity limitation on an investment, no investment shall be made in any security which, at the time of the investment, has a term remaining to maturity in excess of 5 years (measured from the settlement date to final maturity, with a forward settlement date not to exceed 45 days from the time of investment), unless the City Council has granted express authority to make that investment no less than 3 months prior to the investment.
C. Risk Management
1.Mitigating Credit Risk in the Portfolio—Credit risk is the risk that a security or a portfolio will lose some or all its value due to a real or perceived change in the ability of the issuer to repay its debt. The City will mitigate credit risk by adopting the following strategies:
▪ The diversification requirements included in the “Authorized Investments” section of this policy are designed to mitigate credit risk in the portfolio. ▪ No more than 5% of the total portfolio may be deposited with or invested in securities issued by any single issuer unless otherwise specified in this policy. ▪ The City may elect to sell a security prior to its maturity and record a capital gain or loss in order to manage the quality, liquidity or yield of the portfolio in response to market conditions or City’s risk preferences. ▪ If a security owned by the City is downgraded to a level below the requirements of this policy, making the security ineligible for additional purchases, 1) it shall be reported to the City Council with a recommendation, and ongoing information shall be provided if the bond is not sold, and 2) any actions taken related to the downgrade by the investment adviser will be communicated to the Treasurer or designee in a timely manner.
2.Mitigating Market Risk in the Portfolio— Market risk is the risk that the portfolio value will fluctuate due to changes in the general level of interest rates. The City City of Santa Barbara
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recognizes that, over time, longer-term portfolios have the potential to achieve higher returns. On the other hand, longer-term portfolios have higher volatility of return. The City will mitigate market risk by providing adequate liquidity for shortterm cash needs, and by making longer-term investments only with funds that are not needed for current cash flow purposes. The City further recognizes that certain types of securities, including variable rate securities, securities with principal paydowns prior to maturity, and securities with embedded options, will affect the market risk profile of the portfolio differently in different interest rate environments.
The City, therefore, adopts the following strategies to control and mitigate its exposure to market risk:
▪ The City will maintain a minimum of six months of budgeted operating expenditures in short-term investments to provide sufficient liquidity for expected disbursements.
▪ The maximum stated final maturity of individual securities in the portfolio will be five (5) years, except as otherwise stated in this policy. ▪ The duration of the portfolio will generally be approximately equal to the duration (typically, plus or minus 20%) of a Market Benchmark, an index selected by the City, based on the City’s investment objectives, constraints, and risk tolerances.
VIII. REPORTING
The Treasurer or designee shall submit investment reports to the City Council that provide a clear picture of the status of the current investment portfolio and shall contain sufficient information to permit an independent organization to evaluate the performance of the investment program.
Based on the discretion of Finance Committee, an independent advisor may be contracted, from time to time to perform one or more of the following functions: confirm that the portfolio is in compliance with the Government Code of the State of California and with the Statement of Investment Policy of the City of Santa Barbara; present an evaluation of the portfolio and investment strategy recommendations; and, provide any other information that may be helpful to Finance Committee in their review of the portfolio.
A. Monthly Reporting to City Council
The Treasurer or designee shall submit to City Council, within 30 days following the end of the month, an investment report that summarizes all securities in the portfolio and a separate listing of investment transactions occurring during the month. The report shall include:
1. Investment type
2. Purchase date
3. Maturity date
4. Credit quality
5. Coupon and yield
6. Book value
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7. Market value
8. Book gain/loss
9. Market gain/loss
10. Source of valuation
11. Average days to maturity
12. Variable rate(s) or call features
B. Quarterly Reporting to City Council
In addition to the components required in the monthly investment report, within 45 days following the end of the quarter, a narrative shall accompany the portfolio report addressing noteworthy items, deviations from the investment policy, comments on the fixed income markets and economic conditions, possible changes in the portfolio going forward, and thoughts on investment strategies. The quarterly report shall also include a statement of compliance with the investment policy and a statement of the ability to meet expenditures for the next 6 months (or an explanation as to why sufficient money shall, or may, not be available).
C. Performance Standards
The investment portfolio shall be managed in accordance with the parameters specified within this policy and always with consistently safe and prudent treasury management. Securities shall not be sold prior to maturity with the following exceptions:
• A security with declining credit sold early to minimize loss of principal • A security swap that would improve the quality, yield, or target duration in the portfolio
• Unforeseen liquidity needs of the portfolio require that the security be sold • A security that, subsequent to purchase, fails to meet the City’s socially responsible goals
Market Yield (Benchmark): The Treasurer or designee shall monitor and evaluate the portfolio’s performance relative to the chosen market benchmark(s), which will be included in the Treasurer’s quarterly report. The Treasurer or designee shall select an appropriate, readily available index to use as a market benchmark..
Marking to Market: The market value of the portfolio shall be calculated at least monthly and a statement of the market value of the portfolio shall be issued at least quarterly. This will ensure that review of the investment portfolio, in terms of value and price volatility, has been performed. In defining market value, consideration shall been given to pronouncements from the Government Accounting Standards Board (GASB) that address the reporting of investment assets and investment income for all investment portfolios held by governmental entities. The fair value of all securities reported in the City’s portfolio is based on currently quoted market prices.
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IX. INVESTMENT POLICY COMPLIANCE AND ADOPTION
A. Policy Compliance and Changes
Any deviation from the policy shall be reported to Finance Committee at the next scheduled meeting and to City Council as part of the monthly review of the portfolio The Treasurer or designee shall promptly notify Finance Committee and City Council of any material change in the policy and any modifications to the policy must be approved by Finance Committee and City Council.
B. Annual Statement of Investment Policy
The Treasurer or designee shall render a written Statement of Investment Policy that shall be reviewed at least annually by Finance Committee and City Council to ensure its consistency with the overall objectives of preservation of principal, liquidity and return, and its relevance to current law and financial and economic trends. City Council shall consider the annual Statement of Investment Policy and any changes therein at a public meeting. The Statement of Investment Policy shall be adopted by resolution of City Council.
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X. GLOSSARY OF TERMS
AGENCY: A debt security issued by a federal or federally sponsored agency. Federal agencies are backed by the full faith and credit of the U.S. Government (i.e. Government National Mortgage Association). Federally sponsored agencies (FSA's) are backed by each particular agency with a market perception that there is an implicit government guarantee (i.e. Federal National Mortgage Association).
ASK: The price at which securities are offered for sale; also known as offering price.
BENCHMARK: A comparative base for measuring the performance or risk tolerance of the investment portfolio. A benchmark should represent a close correlation to the level of risk and the average duration of the portfolio’s investments.
BID: The price offered by a buyer of securities. (When you are selling securities, you ask for a bid.) BOND PROCEEDS: The money paid to the issuer by the purchaser or underwriter of a new issue of municipal securities. These moneys are used to finance the project or purpose for which the securities were issued and to pay certain costs of issuance as may be provided in the bond contract.
BOOK VALUE: The value at which a debt security is shown on the holder's balance sheet. Book value is often acquisition cost plus/minus amortization and accretion, which may differ significantly from the security’s current value in the market.
BROKER: Someone who brings buyers and sellers together and is compensated for his/her service.
CD PLACEMENT SERVICE: A service that allows local agencies to purchase more than $250,000 in CDs from a single financial institution while still maintaining FDIC insurance coverage. See “CDARS”.
CDARS (CERTIFICATE OF DEPOSIT ACCOUNT REGISTRY SYSTEM): A private CD placement service that allows local agencies to purchase more than $250,000 in CDs from a single financial institution (must be a participating institution of CDARS) while still maintaining FDIC insurance coverage.
CDARS is currently the only entity providing this service. CDARS facilitates the trading of deposits between the California institution and other participating institutions in amounts that are less than $250,000 each, so that FDIC coverage is maintained.
CERTIFICATE OF DEPOSIT (CD): A time deposit with a specific maturity evidenced by a certificate.
Large denomination CDs are typically negotiable.
COLLATERAL: Securities, evidence of deposit or other property which a borrower pledges to secure repayment of a loan. Also refers to securities pledged by a bank to secure deposits of public monies.
ANNUAL COMPREHENSIVE FINANCIAL REPORT (ACFR): The official annual financial report for a public agency. It includes combined statements for each individual fund and account group prepared in conformity with GAAP. It also includes supporting schedules necessary to demonstrate compliance with finance-related legal and contractual provisions, extensive introductory material, and detailed statistical section.
CREDIT QUALITY: The measurement of the financial strength of a bond issuer. This measurement helps an investor to understand an issuer's ability to make timely interest payments and repay the loan principal upon maturity. Generally, the higher the credit quality of a bond issuer, the lower the interest rate paid by the issuer because the risk of default is lower. Credit quality ratings are provided by a Nationally Recognized Statistical-RatingOrganization.
CREDIT RISK: The risk to an investor that an issuer will default in the payment of interest and/or principal on a security.
CUSTODIAN: A bank or other financial institution that keeps custody of stock certificates and other assets.
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CURRENT YIELD (CURRENT RETURN): A yield calculation determined by dividing the annual interest received on a security by the current market price of that security.
DEALER: A dealer, as opposed to a broker, acts as a principal in all transactions, by buying and selling for his/her own account.
DELIVERY VERSUS PAYMENT: There are 2 methods of delivery of securities: delivery versus payment and delivery versus receipt. Delivery versus payment, also referred to as “cash on delivery”, is delivery of securities with an exchange of money for the securities. Delivery versus receipt is delivery of securities with an exchange of a signed receipt for the securities.
DERIVATIVES: (1) financial instruments whose return profile is linked to, or derived from, the movement of one or more underlying index or security, and may include a leveraging factor, or (2) financial contracts based upon notional amounts whose value is derived from an underlying index or security (interest rates, foreign exchange rates, equities, or commodities).
DIVERSIFICATION: Dividing investment funds among a variety of security types by sector, maturity and quality ratings offering independentreturns.
DURATION: A measure of the timing of the cash flows, such as the interest payments and the principal repayment, to be received from a given fixed-income security. This calculation is based on three variables: term to maturity, coupon rate, and yield to maturity. The duration of a security is a useful indicator of its price volatility for given changes in interest rates.
FAIR VALUE: The amount at which an investment could be exchanged in a current transaction between willing parties, other than in a forced or liquidation sale.
FEDERAL CREDIT AGENCIES: Agencies of the Federal Government set up to supply credit to various classes of institutions and individuals, e.g., savings and loan associations, small-business firms, students, farmers, farm co-operatives, andexporters.
FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC): The federal agency that insures bank deposits up to $250,000 per deposit at participating banking institutions. In an effort to increase consumer confidence in the banking system, the previous $100,000 insurance limit was temporarily increased to $250,000 in 2008, extended to 2013, and then permanently increased on July 21, 2010, with the passage of the Wall Street Reform and Consumer ProtectionAct.
FEDERAL HOME LOAN BANKS (FHLB): Government sponsored wholesale banks (currently 12 regional banks) that lend funds and provide correspondent banks services to member commercial banks, thrift institutions, credit unions and insurancecompanies.
FEDERAL NATIONAL MORTGAGE ASSOCIATION (FNMA): FNMA is a federal corporation working under the auspices of the Department of Housing and Urban Development (HUD). It is the largest single provider of residential mortgage funds in the United States. Fannie Mae, as the corporation is called, is a private stockholder-owned corporation. The corporation’s purchases include a variety of adjustable mortgages and second loans, in addition to fixed-rate mortgages.
FEDERAL OPEN MARKET COMMITTEE (FOMC): Consists of 7 members of the Federal Reserve Board and 5 of the 12 Federal Reserve Bank Presidents. The President of the New York Federal Reserve Bank is a permanent member, while the other Presidents serve on a rotating basis. The Committee periodically meets to set Federal Reserve guidelines regarding purchases and sales of Government Securities in the open market as a means of influencing the volume of bank credit and money.
FEDERAL RESERVE SYSTEM: The central bank of the United States created by Congress and consisting of a 7-memberBoard of Governors in Washington, D.C., 12 Regional Banks and approximately 3,000 commercial banks that are members of thesystem.
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA): A private corporation that acts as a selfregulatory organization (SRO) of all stock market operations in the United States, including brokerage City of Santa Barbara
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firms and exchange markets. Its regulatory mandate includes authority over firms that distribute mutual fund shares as well as other securities.
GOVERNMENT ACCOUNTING STANDARDS BOARD (GASB): A standard-setting body, associated with the Financial Accounting Foundation, which prescribes standard accounting practices for governmental units.
GOVERNMENT NATIONAL MORTGAGE ASSOCIATION (GNMA or Ginnie Mae): Securities influencing the volume of bank credit guaranteed by GNMA and issued by mortgage bankers, commercial banks, savings and loan associations, and other institutions. Security holder is protected by full faith and credit of the U.S. Government. Ginnie Mae securities are backed by the FHA, VA, or FMHA mortgages. The term “pass-throughs” is often used to describe Ginnie Maes.
GOVERNMENT SECURITIES: An obligation of the U.S. government, backed by the full faith and credit of the government. These securities are regarded as the highest quality of investment securities available in the U.S. securities market. See "Treasury Bills, Notes, and Bonds." INTEREST RATE RISK: The risk associated with declines or rises in interest rates which cause an investment in a fixed-income security to increase or decrease in value.
INTERNAL CONTROLS: An internal control structure designed to ensure that the assets of the entity are protected from loss, theft, or misuse. The internal control structure is designed to provide reasonable assurance that these objectives are met. The concept of reasonable assurance recognizes that 1) the cost of a control should not exceed the benefits likely to be derived and 2) the valuation of costs and benefits requires estimates and judgments by management. Internal controls should address the following points:
▪ Control of collusion - Collusion is a situation where 2 or more employees are working in conjunction to defraud theiremployer.
▪ Separation of transaction authority from accounting and record keeping - By separating the person who authorizes or performs the transaction from the people who record or otherwise account for the transaction, a separationof duties is achieved. ▪ Custodial safekeeping - Securities purchased from any bank or dealer including appropriate collateral (as defined by state law) shall be placed with an independent third party for custodial safekeeping.
▪ Avoidance of physical delivery securities - Book-entry securities are much easier to transfer and account for since actual delivery of a document never takes place. Delivered securities must be properly safeguarded against loss or destruction. The potential for fraud and loss increases with physically delivered securities.
▪ Clear delegation of authority to subordinate staff members - Subordinate staff members must have a clear understanding of their authority and responsibilities to avoid improper actions.
Clear delegation of authority also preserves the internal control structure that is contingent on the various staff positions and their respective responsibilities. ▪ Written confirmation of transactions for investments and wire transfers - Due to the potential for error and improprieties arising from telephone and electronic transactions, all transactions should be supported by written communications and approved by the appropriate person. Written communications may be via fax if on letterhead and if the safekeeping institution has a list of authorizedsignatures.
▪ Development of a wire transfer agreement with the lead bank and third-party custodian - The designated official should ensure that an agreement will be entered into and will address the following points: controls, security provisions, and responsibilities of each party making and receiving wire transfers.
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LIQUIDITY: A liquid asset is one that can be converted easily and rapidly into cash without a substantial loss of value. In the money market, a security is said to be liquid if the spread between bid and asked prices is narrow and reasonable size can be done at those quotes.
LOCAL AGENCY INVESTMENT FUND (LAIF): Chapter 730, Statutes of 1976 of the State of California, established the Local Agency Investment Fund. This fund enables local governmental agencies to remit money not required for immediate needs to the State Treasurer for the purpose of investment. In order to derive the maximum rate of return possible, the State Treasurer has elected to invest these monies with State monies as a part of the Pooled Money Investment Account. Each local governmental unit has the exclusive determination of the length of time its money will be on deposit with the State Treasurer. At the end of each calendar quarter, all earnings derived from investments are distributed by the State Controller to the participating government agencies in proportion to each agency's respective amounts deposited in the Fund and the length of time such amounts remained therein. Prior to the distribution, the State's costs of administering the program are deducted from the earnings.
MARK-TO-MARKET: The process whereby the book value or collateral value of a security is adjusted to reflect its current market value.
MARKET RISK: The risk that the value of a security will increase or decrease as a result of changes in market conditions.
MARKET VALUE: The current price at which a security is trading and could presumably be purchased or sold at that particular point in time.
MASTER REPURCHASE AGREEMENT: A written contract covering all future transactions between the parties to repurchase-reverse repurchase agreements that establish each party’s rights in the transactions. A master agreement will often specify, among other things, the right of the buyer-lender to liquidate the underlying securities in the event of default by the seller-borrower.
MATURITY: The date upon which the principal or stated value of a financial obligation is due and payable.
MONEY MARKET MUTUAL FUND: Mutual funds that invest solely in money market instruments (shortterm debt instruments, such as Treasury bills, commercial paper, bankers' acceptances, repos, and federal funds).
MUTUAL FUND: An investment company that pools money and can invest in a variety of securities, including fixed-income securities and money market instruments. Mutual funds are regulated by the Investment Company Act of 1940 and must abide by Securities and Exchange Commission (SEC) disclosure guidelines.
NATIONALLY RECOGNIZED STATISTICAL-RATING ORGANIZATION (NRSRO): Standard and Poor’s, Moody’s, and Fitch Financial Services are examples of such organizations.
OFFER: An indicated price at which market participants are willing to sell a security or commodity. Also referred to as the "Ask” or “Ask Price”.
PLACEMENT SERVICE CERTIFICATES OF DEPOSIT: Certificates of deposit placed with a private sector entity that assists in the placement of certificates of deposit with eligible financial institutions located in the United States.
PLACEMENT SERVICE DEPOSIT: Deposits at depository institutions placed by a private sector placement service entity.
PAR VALUE: The amount of principal that must be paid at maturity. Also referred to as the face amount of a bond, normally quoted in $1,000 increments per bond.
PORTFOLIO: Combined holding of more than one stock, bond, commodity, real estate investment, cash equivalent, or other asset. The purpose of a portfolio is to reduce risk by diversification.
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PRINCIPAL: The face value or par value of a debt instrument, or the amount of capital invested in a given security.
PRIMARY DEALER: A group of government securities dealers who submit daily reports of market activity and monthly financial statements to the Federal Reserve Bank of New York and are subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC) registered securities broker/dealers, banks, and a few unregulatedfirms.
PRINCIPAL: (1) The face amount or par value of a debt instrument. (2) One who acts as a dealer buying and selling for his ownaccount.
PUBLIC BANK: A corporation, organized as either a nonprofit mutual benefit corporation or a nonprofit public benefit corporation for the purpose of engaging in the commercial banking business or industrial banking business that is wholly owned by a local agency, as specified, local agencies, or a joint powers authority.
RATE OF RETURN: The yield obtainable on a security based on its purchase price or its current market price. This may be the amortized yield to maturity on a bond or the current income return.
REINVESTMENT RISK: The risk that a fixed-income investor will be unable to reinvest income proceeds from a security holding at the same rate of return currently generated by that holding.
REPURCHASE AGREEMENT (RP OR REPO): A holder of securities sells these securities to an investor with an agreement to repurchase them at a fixed price on a fixed date. The security "buyer" in effect lends the "seller" money for the period of the agreement, and the terms of the agreement are structured to compensate the buyer for this. Dealers use RP extensively to finance their positions. Exception: When the Fed is said to be doing RP, it is lending money that is increasing bank reserves.
REVERSE REPURCHASE AGREEMENT: An agreement of one party (for example, a financial institution) to purchase securities at a specified price from a second party (such as a public agency) and a simultaneous agreement by the first party to resell the securities at a specified price to the second party on demand or at a specific date.
RISK: Degree of uncertainty of return on an asset.
RULE 2A-7 OF THE INVESTMENT COMPANY ACT: Applies to all money market mutual funds and mandates such funds to maintain certain standards, including a 13-month maturity limit and a 90-day average maturity on investments, to help maintain a constant net asset value of $1.00.
SAFEKEEPING SERVICE: A service to customers rendered by banks for a fee whereby securities and valuables of all types and descriptions are held in the bank's vault for protection and security.
SECONDARY MARKET: A market is made for the purchase and sale of outstanding issues following the initial distribution.
SECURITIES LENDING: An agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.
STRUCTURED NOTES: Notes issued by Government Sponsored Enterprises, (FHLB, FNMA, FHLMC, etc.), and Corporations that have imbedded options, (e.g., call features, step-up coupons, floating rate coupons, derivative-based returns), into their debt structure. Their market performance is impacted by the fluctuation of interest rates, the volatility of the imbedded options and shifts in the shape of the yield curve.
SUPRANATIONAL INSTITUTIONS: International institutions formed by two or more governments that transcend boundaries to pursue mutually beneficial economic or social goals. There are three supranational institutions that issue obligations that are eligible investments for California local agencies:
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the International Bank for Reconstruction and Development (IBRD), International Finance Corporation (IFC), and Inter-American Development Bank (IADB).
SWAP: Trading one asset for another.
TOTAL RETURN: The sum of all investment income plus changes in the capital value of the portfolio.
TREASURY BILLS: Short-term U.S. government non-interest-bearing discounted debt securities with maturities of no longer than 1 year and issued in minimum denominations of $10,000. Auctions of 3- and 6-month bills are weekly, while auctions of 1-year bills are monthly. The yields on these bills are monitored closely in the money markets for signs of interest ratetrends.
TREASURY BOND: A long-term coupon-bearing U.S. Treasury security issued as a direct obligation of the U.S. Government and having an initial maturity of more than 10 years and issued in minimum denominations of $1,000.
TREASURY NOTE: A medium-term coupon-bearing U.S. Treasury security issued as a direct obligation of the U.S. Government and having an initial maturity of from 1 to 10 years and issued in denominations ranging from $1,000 to $1 million ormore.
UNIFORM NET CAPITAL RULE: Securities and Exchange Commission (SEC) Rule 15C3-1 outlining requirements that member firms as well as nonmember broker-dealers in securities maintain a maximum ratio of indebtedness to liquid capital of 15 to 1; also called net capital rule and net capital ratio.
Indebtedness covers all money owed to a firm, including margin and commitments to purchase securities, one reason new public issues are spread among members of underwriting syndicates. Liquid capital includes cash and assets easily converted into cash.
VOLATILITY: A degree of fluctuation in the price and valuation of securities.
YIELD: The current rate of return on an investment security generally expressed as a percentage of the security’s current price. (a) INCOME YIELD is obtained by dividing the current dollar income by the current market price for the security. (b) NET YIELD or YIELD TO MATURITY is the current income yield minus any premium above par or plus any discount from par in purchase price, with the adjustment spread over the period from the date of purchase to the date of maturity of the bond.
RESOLUTION NO.
A RESOLUTION OF THE COUNCIL OF THE CITY OF
SANTA BARBARA ADOPTING THE INVESTMENT
POLICY FOR THE CITY AND RESCINDING
RESOLUTION NO. 24-076
WHEREAS, the City Council adopted Resolution Nos. 85-065 and 85-121, establishing a policy regarding the investment of City funds;
WHEREAS, the Council last reaffirmed the policy by adopting Resolution No. 24-076; and WHEREAS, the City of Santa Barbara has consistently maintained a policy of due diligence and the minimizing of risk in the investment of City funds.
NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE ClTY OF SANTA BARBARA AS FOLLOWS:
SECTION 1. The attached Exhibit, City of Santa Barbara Statement of Investment Policy, is hereby adopted and made a part of this resolution.
SECTION 2. Resolution No. 24-076 is hereby rescinded.
City of Santa Barbara
Finance Department
Statement of Investment Policy
Fiscal Year 2026
Effective December 9, 2025
Exhibit
City of Santa Barbara
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TABLE OF CONTENTS
I. MISSION STATEMENT .................................................................................................................................. 2 A. POOLING OF FUNDS ................................................................................................................................................ 2 B. FUNDS INCLUDED BY THIS POLICY .............................................................................................................................. 2 C. FUNDS EXCLUDED FROM THIS POLICY ......................................................................................................................... 2 II. GENERAL OBJECTIVES .................................................................................................................................. 2 A. SAFETY................................................................................................................................................................. 2 B. LIQUIDITY ............................................................................................................................................................. 3 C. YIELD (RETURN ON INVESTMENT) .............................................................................................................................. 3 III. STANDARDS OF CARE .............................................................................................................................. 3 A. PRUDENCE ............................................................................................................................................................ 3 B. ETHICS AND CONFLICTS OF INTEREST .......................................................................................................................... 3 C. DELEGATION OF AUTHORITY ..................................................................................................................................... 4 D. INTERNAL CONTROLS .............................................................................................................................................. 5 IV. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS ............................................................................. 5 V. SAFEKEEPING AND CUSTODY ....................................................................................................................... 6 VI. SUITABLE AND AUTHORIZED INVESTMENTS ............................................................................................. 7 A. INVESTMENT TYPES ................................................................................................................................................ 7 B. INVESTMENT POOLS AND MUTUAL FUNDS ................................................................................................................ 11 C. COLLATERALIZATION ............................................................................................................................................. 12 D. SOCIAL RESPONSIBILITY ......................................................................................................................................... 12 E. INVESTMENTS NOT APPROVED ............................................................................................................................... 13 F. EXCEPTIONS TO PROHIBITED AND RESTRICTED INVESTMENTS ........................................................................................ 13 VII. INVESTING PARAMETERS ...................................................................................................................... 13 A. DIVERSIFICATION ................................................................................................................................................. 13 B. MAXIMUM MATURITIES ........................................................................................................................................ 14 C. RISK MANAGEMENT ............................................................................................................................................. 14 VIII. REPORTING ........................................................................................................................................... 15 A. MONTHLY REPORTING TO CITY COUNCIL .................................................................................................................. 15 B. QUARTERLY REPORTING TO CITY COUNCIL ................................................................................................................ 16 C. PERFORMANCE STANDARDS ................................................................................................................................... 16 IX. INVESTMENT POLICY COMPLIANCE AND ADOPTION .............................................................................. 17 A. POLICY COMPLIANCE AND CHANGES ........................................................................................................................ 17 B. ANNUAL STATEMENT OF INVESTMENT POLICY ........................................................................................................... 17 X. GLOSSARY OF TERMS ................................................................................................................................. 18 City of Santa Barbara
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I. MISSION STATEMENT
It is the policy of the City to invest public funds in a manner that will provide maximum security, adequate liquidity and sufficient return, while meeting the daily cash flow demands of the City and conforming to all statutes and regulations governing the investment of public funds.
SCOPE
This investment policy applies to all the financial assets of City of Santa Barbara. These funds are accounted for in the City’s audited Annual Comprehensive Financial Report. If the City invests funds on behalf of another agency and, if that agency does not have its own policy, the City's investment policy shall govern the agency's investments.
A. Pooling of Funds
Except for cash in certain restricted and special funds, the City shall consolidate cash balances from all funds to maximize investment earnings. Investment income shall be allocated to various funds as identified in the investment procedures manual in accordance with generally accepted accounting principles.
B. Funds Included by this Policy
General Fund
Special Revenue Funds
Capital Project Funds
Enterprise Funds
Internal Service Funds
Trust and Agency Funds
Any new fund created by City Council unless specifically exempted C. Funds Excluded from this Policy
Bond Proceeds. Investment of bond proceeds shall be subject to the conditions and restrictions of bond documents and are not governed by this policy. Bond investment conditions and restrictions shall be reviewed by the Finance Committee and forwarded to City Council for approval. Other funds excluded include post-retirement medical funds and pension rate mitigation funds.
II. GENERAL OBJECTIVES
The primary objectives, in priority order, of the City’s investment activities are safety, liquidity and yield.
A. Safety
Preservation of principal is the foremost objective of the investment program.
Investments of the City shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio. The objective shall be to mitigate credit City of Santa Barbara
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risk and interest rate risk. To attain this objective, the City shall diversify its investments by investing funds among several financial institutions and a variety of securities offering independent returns.
B. Liquidity
The City’s investment portfolio shall remain sufficiently liquid to enable the City to meet all operating requirements which might be reasonably anticipated without requiring a sale of securities. Since all possible cash demands cannot be anticipated, the portfolio should consist largely of securities with active secondary or resale markets. A portion of the portfolio also may be placed in money market mutual funds or LAIF, which offers same-day liquidity for short-term funds.
C. Yield (Return on Investment)
The City’s investment portfolio shall be designed with the objective of attaining a benchmark rate of return throughout budgetary and economic cycles, commensurate with the City’s investment risk constraints and the liquidity characteristics of the portfolio. Return on investment is of secondary importance compared to the safety and liquidity objectives described above. The core of investments is limited to relatively low risk securities in anticipation of earning a fair return relative to the risk being assumed.
III. STANDARDS OF CARE
A. Prudence
The standard of prudence to be used by City investment officials shall be the “Prudent Investor Standard” in that a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the City, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of an enterprise of a like character and with like aims. This standard shall be applied in the context of managing the overall portfolio. City investment officers acting in accordance with written procedures and the investment policy and exercising due diligence shall be relieved of personal responsibility for an individual security’s credit risk or market price changes, provided deviations from expectations are reported in a timely fashion and appropriate action is taken to control adverse developments.
B. Ethics and Conflicts of Interest
Officers and employees involved in the City investment process shall refrain from personal business activity that could conflict with proper execution of the investment program, or that could impair their ability to make impartial investment decisions. City employees and investment officials shall disclose any material financial interests in financial institutions that conduct business within their jurisdiction, and they shall further disclose any personal financial/investment positions that could be related to the performance of the City immediately to the City of Santa Barbara Treasurer or designee and annually to the Fair Political Practices Commission. City employees and officers shall refrain from undertaking personal investment transactions with the same individual with whom business is conducted on behalf of the City.
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C. Delegation of Authority
Authority to manage the City’s investment program is derived from the Charter of the City of Santa Barbara. City Council shall delegate to the Treasurer, for a 1-year period, the authority to invest or to reinvest funds, or to sell or exchange securities. The Treasurer and/or designees shall thereafter assume full responsibility for those transactions until the delegation of authority is revoked or expires.
Management responsibility for the investment program is delegated to the Finance Director who shall establish a separate written investment procedures manual. The operation of the investment program shall be consistent with this policy and the investment procedures manual. Such procedures shall include explicit delegation of authority to persons responsible for investment transactions. No person may engage in an investment transaction except as provided under the terms of this policy and the procedures established by the Finance Director. The Assistant Finance Director is authorized to conduct investment-related activities, under the supervision of the Finance Director, on behalf of the City. The City may engage the services of one or more external investment advisers, who are registered under the Investment Advisers Act of 1940, to assist in the management of the City’s investment portfolio in a manner consistent with the City’s objectives. External investment advisers may be granted discretion to purchase and sell investment securities in accordance with this investment policy.
Apart from investment purchases and sales conducted by the City’s investment adviser, investment purchases and sales require signature approval from the Treasurer and Finance Director or their designee, by the close of business on the next business day following the purchase or sale.
The following documents are by reference incorporated in the investment procedures manual:
1. Listing of authorized personnel
2. Relevant investment statutes and ordinances
3. Repurchase agreements and tri-party agreements
4. Listing of authorized broker/dealers and financial institutions
5. Credit ratings and/or reports for securities purchased and financial institutions used
6. Safekeeping agreements
7. Sample investment reports
8. Investment accounting documents
9. Methodology for calculating rate of return
10. Banking services contracts
11. Cash flow forecasting
12. Collateral/depository agreements
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D. Internal Controls
The Finance Director is responsible for establishing and maintaining a system of written internal controls. These controls shall be reviewed annually with an independent external auditor who will notify the City Council if there is a material noncompliance with its policies and procedures. The internal controls shall be designed to prevent losses of public funds arising from fraud, employee error, and misrepresentation by third parties, unanticipated changes in financial markets, or imprudent action by City employees and officers. The internal structure shall be designed to provide reasonable assurance that these objectives are met. The concept of reasonable assurance recognizes that (1) the cost of a control should not exceed the benefits likely to be derived, and (2) the valuation of costs and benefits requires estimates and judgments by management.
The internal controls shall address the following points:
1. Control of collusion
2. Separation of transaction authority from accounting and record-keeping
3. Custodial safekeeping
4. Delivery versus payment (DVP)
5. Clear delegation of authority to subordinate staff members
6. Written confirmation of transactions for investments and wire transfers
7. Wire transfer agreements
IV. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS
The Finance Director shall establish selection criteria for pre-approval of financial institutions and security broker/dealers to do business with the City of Santa Barbara. The Finance Director shall maintain a list of City approved financial institutions and security broker/dealers who are authorized to provide investment services to the City. These may include primary dealers, or regional dealers that qualify under Securities & Exchange Commission Rule 15C3-1 (uniform net capital rule). In accordance with Section 53601.5, institutions eligible to transact investment business with the City include:
▪ Institutions licensed by the state as a broker-dealer as defined in Section 25004 of the Corporations Code, with proof of FINRA certification.
▪ Institutions that are members of a federally regulated securities exchange. ▪ Primary government dealers as designated by the Federal Reserve Bank and nonprimary government dealers. ▪ Nationally or state-chartered banks.
▪ Savings association or federal association (as defined in Section 5102 of the Financial Code).
▪ The Federal Reserve Bank.
▪ Direct issuers of securities eligible for purchase.
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To qualify for consideration, a financial institution or a security broker/dealer must also have an office in California and that office must perform the transactions with the City.
All financial institutions and broker/dealers who desire to become qualified for investment transactions must supply the following to the Finance Director as appropriate:
▪ Current audited financial statements
▪ Proof of Financial Industry Regulatory Authority (FINRA), formerly National Association of Security Dealers (NASD), certification
▪ Trading resolution
▪ Complete broker/dealer questionnaire
▪ Proof of State of California registration
▪ For banking institutions, a statement of compliance with the Federal Reserve Bank of New York’s capital guideline
▪ Statement of having read, understood and agreeing to comply with the City’s investment policy and depository contracts
The Finance Director shall annually review each of the approved financial institutions and security broker/dealers selected for current State of California registrations and financial condition.
Public deposits will be made only in qualified public depositories as established by State law.
Deposits will be insured by the Federal Deposit Insurance Corporation, or, to the extent the amount exceeds the insured maximum, will be collateralized in accordance with State law.
Selection of broker/dealers used by an external investment adviser retained by the City will be at the sole discretion of the adviser. Where possible, transactions with broker/dealers shall be selected on a competitive basis and their bid or offering prices shall be recorded. If there is no other readily available competitive offering, best efforts will be made to document quotations for comparable or alternative securities. When purchasing original issue instrumentality securities, no competitive offerings will be required as all dealers in the selling group offer those securities at the same original issue price.
V. SAFEKEEPING AND CUSTODY
All security transactions, including collateral for repurchase agreements, entered into by the City shall be conducted on a delivery-versus-payment (DVP) basis which will ensure that securities are deposited in an eligible financial institution prior to the release of funds. Securities shall be held by a third-party custodian designated by the Finance Director and evidenced by safekeeping receipts with a written custodial agreement. The only exception to the foregoing shall be depository accounts and securities purchases made with: LAIF, time certificates of deposit, and money market mutual funds, since the purchased securities are not deliverable.
Settlement instructions sent to the safekeeping agent shall require dual authorization unless the trade is executed by the City’s investment adviser. The Treasurer and the Finance Director, and if applicable, their designee, shall be bonded to protect the public against possible embezzlement and malfeasance. Safekeeping procedures shall be reviewed annually by an independent external auditor and any irregularities noted should be reported promptly to the Treasurer or designee and City Council.
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VI. SUITABLE AND AUTHORIZED INVESTMENTS
The City shall be governed by the California Government Code, Sections 53600 et seq. Within the investments permitted by the Code, the City seeks to further restrict eligible investments to the guidelines listed below. In the event a discrepancy is found between this policy and the Code, the more restrictive parameters will take precedence. The City shall be required to present any changes to Code in the annual review of the. Surplus funds are defined as funds not required for the immediate necessities of the City and include investments in individually managed portfolio(s), money market fund(s) and/or State LAIF, and all portfolio limitations and restrictions shall apply to this aggregate amount. For purposes of compliance with the California Government Code and the City’s Investment Policy, the credit rating requirement shall be based on the quality ratings at the time of purchase. Percentage limitations of surplus funds invested are noted for the various investment instruments. Where there is a specified percentage limitation for a particular category of investments, that percentage is applicable only at the date of purchase. A later increase or decrease in a percentage resulting from a change in values or assets shall not constitute a violation of that restriction.
The City is empowered by statute to invest in the following types of securities and those that the investment managers are trained and competent to handle.
A. Investment Types
1. Bonds, notes, or other forms of indebtedness issued by the City, including bonds payable solely out of the revenues from a revenue producing property owned, controlled, or operated by the City or by a department, board, agency, or authority of the local agency.
2. United States Treasury notes, bonds, bills, or certificates of indebtedness, or any other government obligation for which the full faith and credit of the United States are pledged for the payment of principal and interest. There are no limits on the dollar amount or percentage that the City may invest in U.S. Treasuries, provided that the maximum maturity is five (5) years.
3. Federal Agency or United States government-sponsored enterprise obligations (GSE), participations, or other instruments, including those issued by or fully guaranteed as to principal and interest by federal agencies or United States government-sponsored enterprises. There are no limits on the dollar amount or percentage that the City may invest in Federal Agency or Government-Sponsored Enterprises (GSEs), provided that:
▪ No more than 30% of surplus funds may be invested in any single Agency/GSE issuer.
▪ The maximum maturity does not exceed five (5) years.
▪ The maximum percent of Agency callable securities in the portfolio will be 20%.
4. State of California and Local Agency Obligations. Registered state warrants or treasury notes or bonds of this state, including bonds payable solely out of the revenues from revenue-producing property owned, controlled, or operated by the state or by a department, board, agency, or authority of the state; and bonds, notes, warrants, or other evidence of indebtedness of any local agency within this City of Santa Barbara
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state including bonds payable solely out of the revenues from revenue-producing property owned, controlled, or operated by the local agency, or by a department, board, agency, or authority of the local agency. Notes eligible for investment, other than those issued by the City or operated by a department, board, agency, or authority of the local agency, shall be rated in a rating category of "A" or its equivalent or better by at least one Nationally Recognized Statistical-Rating Organization (NRSRO). Moreover:
▪ No more than 5% of surplus funds may be invested in any single issuer. ▪ No more than 30% of surplus funds may be in municipal securities issued by the City, the state of California, its political subdivisions, or the registered treasury notes or bonds of the other 49 states in addition to California combined.
▪ The maximum maturity does not exceed five (5) years.
5. Registered treasury notes or bonds of any of the other 49 states in addition to California, including bonds payable solely out of the revenues from a revenueproducing property owned, controlled, or operated by a state or by a department, board, agency, or authority of any of the other 49 states, in addition to California. ▪ The securities must be rated in a rating category of “A” or its equivalent or better by at least one NRSRO.
▪ No more than 5% of surplus funds may be invested in any single issuer. ▪ No more than 30% of surplus funds may be in municipal securities issued by the City, the state of California, its political subdivisions, or the registered treasury notes or bonds of the other 49 states in addition to California combined.
▪ The maximum maturity does not exceed five (5) years.
6. Medium-Term Notes, defined as all corporate and depository institution debt securities with a maximum remaining maturity of 5 years or less, issued by corporations organized and operating within the United States or by depository institutions licensed by the United States or any state and operating within the United States. Purchases of medium-term notes may not exceed 30 percent of the City's surplus funds. Notes eligible for investment shall be rated in a rating category of "A" or its equivalent or better by at least one NRSRO. Investments in medium-term notes shall be limited to no more than 5 percent of surplus funds per issuer.
7. Bankers Acceptances, otherwise known as bills of exchange or time drafts, drawn on and accepted by a commercial bank, which are eligible for purchase by the Federal Reserve System. Purchased bankers acceptances may not exceed 180 days maturity or 40 percent of the City's surplus funds, and no more than 5 percent of the City's surplus funds may be invested in the bankers’ acceptances of any single commercial bank. Issuers must be institutions which have short-term debt obligations rated “A-1” or its equivalent or better by at least one NRSRO, or long-term debt obligations which are rated in a rating category of “A” or its equivalent, or better by at least one NRSRO.
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8. Commercial Paper of “prime” quality of the highest ranking or the highest letter and number rating as provided for by a Nationally Recognized Statistical-Rating Organization. The entity that issues the commercial paper shall meet all of the following conditions in either paragraph (a) or paragraph (b):
a. The entity is organized and operating in the United States as a general corporation and has total assets in excess of $500,000,000. In addition, its debt other than commercial paper, if any, must be rated in a rating category of “A” or higher by a Nationally Recognized Statistical-Rating Organization. b. The entity is organized within the United States as a special purpose corporation, trust, or limited liability company and has a program wide credit enhancement including, but not limited to, over collateralization, letters of credit, or surety bond. In addition, the entity has commercial paper that is rated “A-1” or higher, or the equivalent, by a Nationally Recognized Statistical-Rating Organization.
Eligible commercial paper shall have a maximum maturity of 397 days or less.
Under a provision sunsetting on January 1, 2031,the City may not invest more than 40 percent of its surplus funds in commercial paper, and the City may invest no more than 5% in any single issuer, and no more than 10% of its total investment assets in the commercial paper and the medium-term notes of any single issuer.
9. Negotiable Certificates of Deposit issued by a nationally or state-chartered bank or savings association or federal association or a state or federal credit union or by a federally-licensed or state-licensed branch of a foreign bank. Purchases of negotiable certificates of deposit shall not exceed 30 percent of the City's surplus money invested and shall be limited to no more than 5 percent of any single issuer. Deposit notes and banknotes purchased through a broker or dealer shall be included with negotiable certificates of deposit in calculating allowable maximum percentages. Purchases of negotiable certificates of deposit, deposit notes and bank notes of up to $250,000 are allowable in any institution that insures its deposits with the Federal Deposit Insurance Corporation, while purchases greater than $250,000 shall be rated in a category of "A" or its equivalent or better by at least one NRSRO. Maturities for negotiable certificates of deposit shall not exceed five years.
10. Time Deposits. The City may invest in non-negotiable Certificates of Deposit at commercial banks and savings and loan associations that are collateralized in accordance with the California Government Code. To be eligible to receive City funds, the depository institution shall have received an overall rating of not less than “satisfactory” in its most recent evaluation of its record of meeting the credit needs of California’s communities, including low and moderate-income neighborhoods. In selecting depositories, the credit worthiness of institutions shall be considered. Banks and Savings and Loan Associations seeking to establish an investment relationship with the City shall submit an audited financial report that shall be reviewed for compliance with the City's investment standards. Any institution not providing an audited annual financial report shall be removed from the approved list and all funds maturing will be withdrawn. A list of eligible institutions shall be maintained in the investment procedures manual.
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11. Collateralized Bank Deposits. Savings accounts when used in conjunction with the City's checking accounts at a qualified bank where funds are collateralized in accordance with the California Government Code 53651. There are no limits on the dollar amount or percentage that the City may invest in collateralized bank deposits.
12. U.S. Government money market funds registered with the Securities and Exchange Commission and which comply with rule 2a7 of the Investment Company Act of 1940. The fund must be comprised of only U.S. Treasury bills, notes and bonds, repurchase agreements, and obligations issued or guaranteed as to principal and interest by the U.S. Government or its agencies or instrumentalities. The percentage of repurchase agreements in the fund shall be reviewed and approved based on the fund's policy limits. The dollar weighted average maturity of the portfolio shall be less than 90 days and the portfolio is managed to maintain a $1.00 share price. Also, the fund shall meet either of the following criteria: (a) attained the highest ranking or the highest letter and numerical rating provided by not less than two Nationally Recognized StatisticalRating Organizations; (b) retained an investment adviser registered or exempt from registration with the Securities and Exchange Commission with not less than 5 years' experience managing money market mutual funds with assets under management in excess of $500,000,000. Purchase of securities authorized by this section shall not exceed 20 percent of the City’s surplus money invested and no more than 10 percent may be invested in any single money market fund.
13. Repurchase Agreements. Investments in repurchase agreements, so long as the proceeds of the repurchase agreement are invested solely to supplement the income normally received from these securities. The City shall adopt as a standard the Bond Market Association Master Repurchase Agreement and shall maintain a list of approved counterparts and limit counter parties to primary dealers rated "A" or better by two Nationally Recognized Statistical-Rating Organizations. Reverse repurchase agreements shall require City Council authorization separate from City Council approval of this policy. a. Investments in repurchase agreements may be made on any authorized investment, when the term of the agreement does not exceed 1 year.
14. Local Agency Investment Fund (LAIF). The City may invest in LAIF up to the amount permitted by LAIF; At least quarterly, the Finance Director shall report to the Finance Committee on the composition of the LAIF portfolio. The California Government Code states that moneys placed for deposit in LAIF are in trust in the custody of the State Treasurer and cannot be borrowed or be withheld from the City. Further, the right of the City to withdraw its deposited money from the LAIF upon demand may not be altered, impaired, or denied in any way by any state official or agency based upon the State’s failure to adopt a budget by July 1 of each new fiscal year.
15. United States dollar denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development, International Finance Corporation, or Inter- American Development Bank, with a maximum remaining maturity of five years or less, and eligible for purchase and sale within the United States. Investments under this subdivision shall be rated in a rating category of “AA” or its equivalent or better by City of Santa Barbara
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at least one NRSRO and shall not exceed 30 percent of the City’s moneys that may be invested pursuant to this section. No more than 10% of surplus funds may be invested in any single issuer.
16. Commercial paper, debt securities, or other obligations of a public bank, as defined in Section 57600. (This section shall remain in effect only until January 1, 2026, and as of that date is repealed).
17. Placement service deposits and placement service certificates of deposit at a commercial bank, savings bank, savings and loan association, or credit union that uses a private sector entity that assists in the placement of deposits, as defined in Section 53601.8. No more than 30 percent of the City's surplus funds may be invested in time deposits, including certificates of deposit, through a placement service as authorized under Section 53601.8.
18. Local Government Investment Pools. Shares of beneficial interest issued by a joint-powers authority organized pursuant to Section 6509.7
19. Asset-backed, mortgage-backed, mortgage passthrough securities, and collateralized mortgage obligations from issuers not defined in paragraphs 2 and 3 of this section, provided that:
▪ The securities are rated in a rating category of “AA” or its equivalent or better by a NRSRO.
▪ No more than 20% of the total surplus funds may be invested in these securities.
▪ No more than 5% of the total surplus funds may be invested in any single Asset-Backed or Commercial Mortgage security issuer.
▪ The maximum legal final maturity does not exceed five (5) years.
B. Investment Pools and Mutual Funds
The City shall conduct a thorough investigation of any pool or mutual fund prior to making an investment, and on a continual basis thereafter. The Treasurer or designee shall develop a questionnaire which will answer the following general questions:
▪ A description of eligible investment securities, and a written statement of investment policy and objectives.
▪ A description of interest calculations and how it is distributed, and how gains and losses are treated.
▪ A description of how the securities are safeguarded (including the settlement processes), and how often the securities are priced and the program audited. ▪ A description of who may invest in the program, how often, and what size deposit and withdrawal are allowed.
▪ A schedule for receiving statements and portfolio listings. ▪ Are reserves, retained earnings, etc. utilized by the pool/fund? ▪ A fee schedule, and when and how is it assessed?
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▪ Is the pool/fund eligible for bond proceeds and/or will it accept such proceeds?
C. Collateralization
Collateralization shall be required on two types of investments: certificates of deposit and repurchase (and reverse) agreements. A collateral agreement must be current and on file before any funds can be transferred for collateralized certificates of deposit.
Collateral shall be held by an independent third party with whom the City has a current written custodial agreement. A clearly marked evidence of ownership (safekeeping receipt) must be supplied to the City and retained. The right of collateral substitution is granted.
1. Certificates of Deposit
a. Government Securities used as collateral require 102 percent of market value to the face amount of the deposit
b. Promissory Notes secured by first trust deeds used as collateral require 150 percent of market value to the face amount of the deposit c. Irrevocable Letters of Credit issued by the Federal Home Loan Bank of San Francisco require 105 percent of market value to the face amount of the deposit
2. Repurchase Agreements
a. Only U.S. Treasury securities or Federal Agency securities are acceptable collateral. All securities underlying repurchase agreements must be delivered to the City’s custodian bank versus payment or be handled under a properly executed tri-party repurchase agreement. The total market value of all collateral for each repurchase agreement must equal or exceed 102 percent of the total dollar value of the money invested by the City for the term of the investment. For any repurchase agreement with a term of more than 1 day, the value of the underlying securities must be reviewed on an ongoing basis according to market conditions. Market value must be calculated each time there is a substitution of collateral.
b. The City or its trustee shall have a perfected first security interest under the Uniform Commercial Code in all securities subject to the repurchase agreement.
D. Social Responsibility
In addition to and subordinate to the objectives set forth in Section III herein, investment of funds should be guided by the following socially responsible investment goals when investing in corporate securities and depository institutions. Investments shall be made in compliance with the socially responsible goals to the extent that such investments achieve substantially equivalent safety, liquidity and yield compared to investments permitted by state law.
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Investments are encouraged in entities that support community well-being through safe, environmentally-sound, practices and fair labor practices. Investments are encouraged in entities that support equality of rights regardless of race, sex, religion, age, national or ethnic origin, sexual orientation, or disability. Investments are encouraged in entities that promote community economic development. Investments are discouraged in entities that manufacture, distribute or for tobacco products, weapons and military systems not used for our national defense, nuclear power and fossil fuels. Investments are discouraged in entities that exhibit corrupt corporate ethics and governance.
E. Investments Not Approved
Any security type or structure not specifically approved by this policy is hereby prohibited. Security types, which are thereby prohibited include, but are not limited to:
shares of beneficial interest issued by diversified management companies (except U.S. Government money market funds), reverse repurchase agreements used as a leveraging vehicle, "exotic" derivatives structures such as range notes, dual index notes, inverse floating-rate notes, leveraged or de-leveraged floating-rate notes, interest-only strips that are derived from a pool of mortgages and any security that could result in zero interest accrual if held to maturity, or any other complex variable or structured note with an unusually high degree of volatility or risk. Local governments that are not Qualified Institutional Buyers (QIB) as defined by the Securities and Exchange Commission are prohibited from purchasing Private Placement Securities.
The SEC defines a QIB as having at least $100,000,000 in securities owned and invested.
F. Exceptions to Prohibited and Restricted Investments
1. The City shall not be required to sell securities prohibited or restricted in this policy, or any future policies, or prohibited or restricted by new State regulations, if purchased prior to their prohibition and/or restriction. Insofar as these securities provide no notable credit risk to the City, holding of these securities until maturity is approved. At maturity or liquidation, such monies shall be reinvested only as provided by this policy.
2. The City may invest in securities issued by, or backed by, the United States government that could result in zero- or negative-interest accrual if held to maturity, in the event of, and for the duration of, a period of negative market interest rates. The City may hold these instruments until their maturity dates. (This section shall remain in effect starting January 1, 2021, and only until January 1, 2031).
VII. INVESTING PARAMETERS
A. Diversification
The City shall diversify its investments by security type, issuer, maturity, and financial institutions. No percentage limitations are established for United States government, United States government agencies and United States government sponsored enterprises; however, percentage limitations are established for other permitted City of Santa Barbara
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investments, as noted in Section VII of this policy. The investments shall be diversified by limiting investments to avoid overconcentration in securities from a specific issuer or business sector (excluding U.S. Treasury securities), limiting investment in securities that have higher credit risks, and investing in securities with varying maturities.
The City recognizes that investment risks can result from issuer defaults, market price changes or various technical complications leading to temporary illiquidity. Portfolio diversification is employed as a way to control risk. Investment managers are expected to display prudence in the selection of securities as a way to minimize default risk. No individual investment transaction shall be undertaken which jeopardizes the total capital position of the overall portfolio. To control market price risks, volatile investment instruments shall be avoided. To control risks of illiquidity, a minimum of 10 percent of the total portfolio shall be held in highly marketable U.S. Treasury Bills and Notes and/or the State of California Local Agency Investment Fund and/or Money Market Funds and/or securities maturing within 90 days.
B. Maximum Maturities
To the extent possible, the City will attempt to match its investments with anticipated cash flow requirements. Where there is no specified maturity limitation on an investment, no investment shall be made in any security which, at the time of the investment, has a term remaining to maturity in excess of 5 years (measured from the settlement date to final maturity, with a forward settlement date not to exceed 45 days from the time of investment), unless the City Council has granted express authority to make that investment no less than 3 months prior to the investment.
C. Risk Management
1. Mitigating Credit Risk in the Portfolio—Credit risk is the risk that a security or a portfolio will lose some or all its value due to a real or perceived change in the ability of the issuer to repay its debt. The City will mitigate credit risk by adopting the following strategies:
▪ The diversification requirements included in the “Authorized Investments” section of this policy are designed to mitigate credit risk in the portfolio. ▪ No more than 5% of the total portfolio may be deposited with or invested in securities issued by any single issuer unless otherwise specified in this policy. ▪ The City may elect to sell a security prior to its maturity and record a capital gain or loss in order to manage the quality, liquidity or yield of the portfolio in response to market conditions or City’s risk preferences. ▪ If a security owned by the City is downgraded to a level below the requirements of this policy, making the security ineligible for additional purchases, 1) it shall be reported to the City Council with a recommendation, and ongoing information shall be provided if the bond is not sold, and 2) any actions taken related to the downgrade by the investment adviser will be communicated to the Treasurer or designee in a timely manner.
2. Mitigating Market Risk in the Portfolio— Market risk is the risk that the portfolio value will fluctuate due to changes in the general level of interest rates. The City City of Santa Barbara
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recognizes that, over time, longer-term portfolios have the potential to achieve higher returns. On the other hand, longer-term portfolios have higher volatility of return. The City will mitigate market risk by providing adequate liquidity for shortterm cash needs, and by making longer-term investments only with funds that are not needed for current cash flow purposes. The City further recognizes that certain types of securities, including variable rate securities, securities with principal paydowns prior to maturity, and securities with embedded options, will affect the market risk profile of the portfolio differently in different interest rate environments.
The City, therefore, adopts the following strategies to control and mitigate its exposure to market risk:
▪ The City will maintain a minimum of six months of budgeted operating expenditures in short-term investments to provide sufficient liquidity for expected disbursements.
▪ The maximum stated final maturity of individual securities in the portfolio will be five (5) years, except as otherwise stated in this policy. ▪ The duration of the portfolio will generally be approximately equal to the duration (typically, plus or minus 20%) of a Market Benchmark, an index selected by the City, based on the City’s investment objectives, constraints, and risk tolerances.
VIII. REPORTING
The Treasurer or designee shall submit investment reports to the City Council that provide a clear picture of the status of the current investment portfolio and shall contain sufficient information to permit an independent organization to evaluate the performance of the investment program.
Based on the discretion of Finance Committee, an independent advisor may be contracted, from time to time to perform one or more of the following functions: confirm that the portfolio is in compliance with the Government Code of the State of California and with the Statement of Investment Policy of the City of Santa Barbara; present an evaluation of the portfolio and investment strategy recommendations; and, provide any other information that may be helpful to Finance Committee in their review of the portfolio.
A. Monthly Reporting to City Council
The Treasurer or designee shall submit to City Council, within 30 days following the end of the month, an investment report that summarizes all securities in the portfolio and a separate listing of investment transactions occurring during the month. The report shall include:
1. Investment type
2. Purchase date
3. Maturity date
4. Credit quality
5. Coupon and yield
6. Book value
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7. Market value
8. Book gain/loss
9. Market gain/loss
10. Source of valuation
11. Average days to maturity
12. Variable rate(s) or call features
B. Quarterly Reporting to City Council
In addition to the components required in the monthly investment report, within 45 days following the end of the quarter, a narrative shall accompany the portfolio report addressing noteworthy items, deviations from the investment policy, comments on the fixed income markets and economic conditions, possible changes in the portfolio going forward, and thoughts on investment strategies. The quarterly report shall also include a statement of compliance with the investment policy and a statement of the ability to meet expenditures for the next 6 months (or an explanation as to why sufficient money shall, or may, not be available).
C. Performance Standards
The investment portfolio shall be managed in accordance with the parameters specified within this policy and always with consistently safe and prudent treasury management. Securities shall not be sold prior to maturity with the following exceptions:
A security with declining credit sold early to minimize loss of principal A security swap that would improve the quality, yield, or target duration in the portfolio
Unforeseen liquidity needs of the portfolio require that the security be sold A security that, subsequent to purchase, fails to meet the City’s socially responsible goals
Market Yield (Benchmark): The Treasurer or designee shall monitor and evaluate the portfolio’s performance relative to the chosen market benchmark(s), which will be included in the Treasurer’s quarterly report. The Treasurer or designee shall select an appropriate, readily available index to use as a market benchmark..
Marking to Market: The market value of the portfolio shall be calculated at least monthly and a statement of the market value of the portfolio shall be issued at least quarterly. This will ensure that review of the investment portfolio, in terms of value and price volatility, has been performed. In defining market value, consideration shall been given to pronouncements from the Government Accounting Standards Board (GASB) that address the reporting of investment assets and investment income for all investment portfolios held by governmental entities. The fair value of all securities reported in the City’s portfolio is based on currently quoted market prices.
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IX. INVESTMENT POLICY COMPLIANCE AND ADOPTION
A. Policy Compliance and Changes
Any deviation from the policy shall be reported to Finance Committee at the next scheduled meeting and to City Council as part of the monthly review of the portfolio The Treasurer or designee shall promptly notify Finance Committee and City Council of any material change in the policy and any modifications to the policy must be approved by Finance Committee and City Council.
B. Annual Statement of Investment Policy
The Treasurer or designee shall render a written Statement of Investment Policy that shall be reviewed at least annually by Finance Committee and City Council to ensure its consistency with the overall objectives of preservation of principal, liquidity and return, and its relevance to current law and financial and economic trends. City Council shall consider the annual Statement of Investment Policy and any changes therein at a public meeting. The Statement of Investment Policy shall be adopted by resolution of City Council.
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X. GLOSSARY OF TERMS
AGENCY: A debt security issued by a federal or federally sponsored agency. Federal agencies are backed by the full faith and credit of the U.S. Government (i.e. Government National Mortgage Association). Federally sponsored agencies (FSA's) are backed by each particular agency with a market perception that there is an implicit government guarantee (i.e. Federal National Mortgage Association).
ASK: The price at which securities are offered for sale; also known as offering price.
BENCHMARK: A comparative base for measuring the performance or risk tolerance of the investment portfolio. A benchmark should represent a close correlation to the level of risk and the average duration of the portfolio’s investments.
BID: The price offered by a buyer of securities. (When you are selling securities, you ask for a bid.) BOND PROCEEDS: The money paid to the issuer by the purchaser or underwriter of a new issue of municipal securities. These moneys are used to finance the project or purpose for which the securities were issued and to pay certain costs of issuance as may be provided in the bond contract.
BOOK VALUE: The value at which a debt security is shown on the holder's balance sheet. Book value is often acquisition cost plus/minus amortization and accretion, which may differ significantly from the security’s current value in the market.
BROKER: Someone who brings buyers and sellers together and is compensated for his/her service.
CD PLACEMENT SERVICE: A service that allows local agencies to purchase more than $250,000 in CDs from a single financial institution while still maintaining FDIC insurance coverage. See “CDARS”.
CDARS (CERTIFICATE OF DEPOSIT ACCOUNT REGISTRY SYSTEM): A private CD placement service that allows local agencies to purchase more than $250,000 in CDs from a single financial institution (must be a participating institution of CDARS) while still maintaining FDIC insurance coverage.
CDARS is currently the only entity providing this service. CDARS facilitates the trading of deposits between the California institution and other participating institutions in amounts that are less than $250,000 each, so that FDIC coverage is maintained.
CERTIFICATE OF DEPOSIT (CD): A time deposit with a specific maturity evidenced by a certificate.
Large denomination CDs are typically negotiable.
COLLATERAL: Securities, evidence of deposit or other property which a borrower pledges to secure repayment of a loan. Also refers to securities pledged by a bank to secure deposits of public monies.
ANNUAL COMPREHENSIVE FINANCIAL REPORT (ACFR): The official annual financial report for a public agency. It includes combined statements for each individual fund and account group prepared in conformity with GAAP. It also includes supporting schedules necessary to demonstrate compliance with finance-related legal and contractual provisions, extensive introductory material, and detailed statistical section.
CREDIT QUALITY: The measurement of the financial strength of a bond issuer. This measurement helps an investor to understand an issuer's ability to make timely interest payments and repay the loan principal upon maturity. Generally, the higher the credit quality of a bond issuer, the lower the interest rate paid by the issuer because the risk of default is lower. Credit quality ratings are provided by a Nationally Recognized Statistical-Rating Organization.
CREDIT RISK: The risk to an investor that an issuer will default in the payment of interest and/or principal on a security.
CUSTODIAN: A bank or other financial institution that keeps custody of stock certificates and other assets.
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CURRENT YIELD (CURRENT RETURN): A yield calculation determined by dividing the annual interest received on a security by the current market price of that security.
DEALER: A dealer, as opposed to a broker, acts as a principal in all transactions, by buying and selling for his/her own account.
DELIVERY VERSUS PAYMENT: There are 2 methods of delivery of securities: delivery versus payment and delivery versus receipt. Delivery versus payment, also referred to as “cash on delivery”, is delivery of securities with an exchange of money for the securities. Delivery versus receipt is delivery of securities with an exchange of a signed receipt for the securities.
DERIVATIVES: (1) financial instruments whose return profile is linked to, or derived from, the movement of one or more underlying index or security, and may include a leveraging factor, or (2) financial contracts based upon notional amounts whose value is derived from an underlying index or security (interest rates, foreign exchange rates, equities, or commodities).
DIVERSIFICATION: Dividing investment funds among a variety of security types by sector, maturity and quality ratings offering independent returns.
DURATION: A measure of the timing of the cash flows, such as the interest payments and the principal repayment, to be received from a given fixed-income security. This calculation is based on three variables: term to maturity, coupon rate, and yield to maturity. The duration of a security is a useful indicator of its price volatility for given changes in interest rates.
FAIR VALUE: The amount at which an investment could be exchanged in a current transaction between willing parties, other than in a forced or liquidation sale.
FEDERAL CREDIT AGENCIES: Agencies of the Federal Government set up to supply credit to various classes of institutions and individuals, e.g., savings and loan associations, small-business firms, students, farmers, farm co-operatives, and exporters.
FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC): The federal agency that insures bank deposits up to $250,000 per deposit at participating banking institutions. In an effort to increase consumer confidence in the banking system, the previous $100,000 insurance limit was temporarily increased to $250,000 in 2008, extended to 2013, and then permanently increased on July 21, 2010, with the passage of the Wall Street Reform and Consumer Protection Act.
FEDERAL HOME LOAN BANKS (FHLB): Government sponsored wholesale banks (currently 12 regional banks) that lend funds and provide correspondent banks services to member commercial banks, thrift institutions, credit unions and insurance companies.
FEDERAL NATIONAL MORTGAGE ASSOCIATION (FNMA): FNMA is a federal corporation working under the auspices of the Department of Housing and Urban Development (HUD). It is the largest single provider of residential mortgage funds in the United States. Fannie Mae, as the corporation is called, is a private stockholder-owned corporation. The corporation’s purchases include a variety of adjustable mortgages and second loans, in addition to fixed-rate mortgages.
FEDERAL OPEN MARKET COMMITTEE (FOMC): Consists of 7 members of the Federal Reserve Board and 5 of the 12 Federal Reserve Bank Presidents. The President of the New York Federal Reserve Bank is a permanent member, while the other Presidents serve on a rotating basis. The Committee periodically meets to set Federal Reserve guidelines regarding purchases and sales of Government Securities in the open market as a means of influencing the volume of bank credit and money.
FEDERAL RESERVE SYSTEM: The central bank of the United States created by Congress and consisting of a 7-member Board of Governors in Washington, D.C., 12 Regional Banks and approximately 3,000 commercial banks that are members of the system.
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA): A private corporation that acts as a selfregulatory organization (SRO) of all stock market operations in the United States, including brokerage City of Santa Barbara
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firms and exchange markets. Its regulatory mandate includes authority over firms that distribute mutual fund shares as well as other securities.
GOVERNMENT ACCOUNTING STANDARDS BOARD (GASB): A standard-setting body, associated with the Financial Accounting Foundation, which prescribes standard accounting practices for governmental units.
GOVERNMENT NATIONAL MORTGAGE ASSOCIATION (GNMA or Ginnie Mae): Securities influencing the volume of bank credit guaranteed by GNMA and issued by mortgage bankers, commercial banks, savings and loan associations, and other institutions. Security holder is protected by full faith and credit of the U.S. Government. Ginnie Mae securities are backed by the FHA, VA, or FMHA mortgages. The term “pass-throughs” is often used to describe Ginnie Maes.
GOVERNMENT SECURITIES: An obligation of the U.S. government, backed by the full faith and credit of the government. These securities are regarded as the highest quality of investment securities available in the U.S. securities market. See "Treasury Bills, Notes, and Bonds." INTEREST RATE RISK: The risk associated with declines or rises in interest rates which cause an investment in a fixed-income security to increase or decrease in value.
INTERNAL CONTROLS: An internal control structure designed to ensure that the assets of the entity are protected from loss, theft, or misuse. The internal control structure is designed to provide reasonable assurance that these objectives are met. The concept of reasonable assurance recognizes that 1) the cost of a control should not exceed the benefits likely to be derived and 2) the valuation of costs and benefits requires estimates and judgments by management. Internal controls should address the following points:
▪ Control of collusion - Collusion is a situation where 2 or more employees are working in conjunction to defraud their employer.
▪ Separation of transaction authority from accounting and record keeping - By separating the person who authorizes or performs the transaction from the people who record or otherwise account for the transaction, a separation of duties is achieved. ▪ Custodial safekeeping - Securities purchased from any bank or dealer including appropriate collateral (as defined by state law) shall be placed with an independent third party for custodial safekeeping.
▪ Avoidance of physical delivery securities - Book-entry securities are much easier to transfer and account for since actual delivery of a document never takes place. Delivered securities must be properly safeguarded against loss or destruction. The potential for fraud and loss increases with physically delivered securities.
▪ Clear delegation of authority to subordinate staff members - Subordinate staff members must have a clear understanding of their authority and responsibilities to avoid improper actions.
Clear delegation of authority also preserves the internal control structure that is contingent on the various staff positions and their respective responsibilities. ▪ Written confirmation of transactions for investments and wire transfers - Due to the potential for error and improprieties arising from telephone and electronic transactions, all transactions should be supported by written communications and approved by the appropriate person. Written communications may be via fax if on letterhead and if the safekeeping institution has a list of authorized signatures.
▪ Development of a wire transfer agreement with the lead bank and third-party custodian - The designated official should ensure that an agreement will be entered into and will address the following points: controls, security provisions, and responsibilities of each party making and receiving wire transfers.
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LIQUIDITY: A liquid asset is one that can be converted easily and rapidly into cash without a substantial loss of value. In the money market, a security is said to be liquid if the spread between bid and asked prices is narrow and reasonable size can be done at those quotes.
LOCAL AGENCY INVESTMENT FUND (LAIF): Chapter 730, Statutes of 1976 of the State of California, established the Local Agency Investment Fund. This fund enables local governmental agencies to remit money not required for immediate needs to the State Treasurer for the purpose of investment. In order to derive the maximum rate of return possible, the State Treasurer has elected to invest these monies with State monies as a part of the Pooled Money Investment Account. Each local governmental unit has the exclusive determination of the length of time its money will be on deposit with the State Treasurer. At the end of each calendar quarter, all earnings derived from investments are distributed by the State Controller to the participating government agencies in proportion to each agency's respective amounts deposited in the Fund and the length of time such amounts remained therein. Prior to the distribution, the State's costs of administering the program are deducted from the earnings.
MARK-TO-MARKET: The process whereby the book value or collateral value of a security is adjusted to reflect its current market value.
MARKET RISK: The risk that the value of a security will increase or decrease as a result of changes in market conditions.
MARKET VALUE: The current price at which a security is trading and could presumably be purchased or sold at that particular point in time.
MASTER REPURCHASE AGREEMENT: A written contract covering all future transactions between the parties to repurchase-reverse repurchase agreements that establish each party’s rights in the transactions. A master agreement will often specify, among other things, the right of the buyer-lender to liquidate the underlying securities in the event of default by the seller-borrower.
MATURITY: The date upon which the principal or stated value of a financial obligation is due and payable.
MONEY MARKET MUTUAL FUND: Mutual funds that invest solely in money market instruments (shortterm debt instruments, such as Treasury bills, commercial paper, bankers' acceptances, repos, and federal funds).
MUTUAL FUND: An investment company that pools money and can invest in a variety of securities, including fixed-income securities and money market instruments. Mutual funds are regulated by the Investment Company Act of 1940 and must abide by Securities and Exchange Commission (SEC) disclosure guidelines.
NATIONALLY RECOGNIZED STATISTICAL-RATING ORGANIZATION (NRSRO): Standard and Poor’s, Moody’s, and Fitch Financial Services are examples of such organizations.
OFFER: An indicated price at which market participants are willing to sell a security or commodity. Also referred to as the "Ask” or “Ask Price”.
PLACEMENT SERVICE CERTIFICATES OF DEPOSIT: Certificates of deposit placed with a private sector entity that assists in the placement of certificates of deposit with eligible financial institutions located in the United States.
PLACEMENT SERVICE DEPOSIT: Deposits at depository institutions placed by a private sector placement service entity.
PAR VALUE: The amount of principal that must be paid at maturity. Also referred to as the face amount of a bond, normally quoted in $1,000 increments per bond.
PORTFOLIO: Combined holding of more than one stock, bond, commodity, real estate investment, cash equivalent, or other asset. The purpose of a portfolio is to reduce risk by diversification.
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PRINCIPAL: The face value or par value of a debt instrument, or the amount of capital invested in a given security.
PRIMARY DEALER: A group of government securities dealers who submit daily reports of market activity and monthly financial statements to the Federal Reserve Bank of New York and are subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC) registered securities broker/dealers, banks, and a few unregulated firms.
PRINCIPAL: (1) The face amount or par value of a debt instrument. (2) One who acts as a dealer buying and selling for his own account.
PUBLIC BANK: A corporation, organized as either a nonprofit mutual benefit corporation or a nonprofit public benefit corporation for the purpose of engaging in the commercial banking business or industrial banking business that is wholly owned by a local agency, as specified, local agencies, or a joint powers authority.
RATE OF RETURN: The yield obtainable on a security based on its purchase price or its current market price. This may be the amortized yield to maturity on a bond or the current income return.
REINVESTMENT RISK: The risk that a fixed-income investor will be unable to reinvest income proceeds from a security holding at the same rate of return currently generated by that holding.
REPURCHASE AGREEMENT (RP OR REPO): A holder of securities sells these securities to an investor with an agreement to repurchase them at a fixed price on a fixed date. The security "buyer" in effect lends the "seller" money for the period of the agreement, and the terms of the agreement are structured to compensate the buyer for this. Dealers use RP extensively to finance their positions. Exception: When the Fed is said to be doing RP, it is lending money that is increasing bank reserves.
REVERSE REPURCHASE AGREEMENT: An agreement of one party (for example, a financial institution) to purchase securities at a specified price from a second party (such as a public agency) and a simultaneous agreement by the first party to resell the securities at a specified price to the second party on demand or at a specific date.
RISK: Degree of uncertainty of return on an asset.
RULE 2A-7 OF THE INVESTMENT COMPANY ACT: Applies to all money market mutual funds and mandates such funds to maintain certain standards, including a 13-month maturity limit and a 90-day average maturity on investments, to help maintain a constant net asset value of $1.00.
SAFEKEEPING SERVICE: A service to customers rendered by banks for a fee whereby securities and valuables of all types and descriptions are held in the bank's vault for protection and security.
SECONDARY MARKET: A market is made for the purchase and sale of outstanding issues following the initial distribution.
SECURITIES LENDING: An agreement under which a local agency agrees to transfer securities to a borrower who, in turn, agrees to provide collateral to the local agency. During the term of the agreement, both the securities and the collateral are held by a third party. At the conclusion of the agreement, the securities are transferred back to the local agency in return for the collateral.
STRUCTURED NOTES: Notes issued by Government Sponsored Enterprises, (FHLB, FNMA, FHLMC, etc.), and Corporations that have imbedded options, (e.g., call features, step-up coupons, floating rate coupons, derivative-based returns), into their debt structure. Their market performance is impacted by the fluctuation of interest rates, the volatility of the imbedded options and shifts in the shape of the yield curve.
SUPRANATIONAL INSTITUTIONS: International institutions formed by two or more governments that transcend boundaries to pursue mutually beneficial economic or social goals. There are three supranational institutions that issue obligations that are eligible investments for California local agencies:
City of Santa Barbara
ANNUAL STATEMENT OF INVESTMENT POLICY
Fiscal Year 2026
- 23 -
the International Bank for Reconstruction and Development (IBRD), International Finance Corporation (IFC), and Inter-American Development Bank (IADB).
SWAP: Trading one asset for another.
TOTAL RETURN: The sum of all investment income plus changes in the capital value of the portfolio.
TREASURY BILLS: Short-term U.S. government non-interest-bearing discounted debt securities with maturities of no longer than 1 year and issued in minimum denominations of $10,000. Auctions of 3- and 6-month bills are weekly, while auctions of 1-year bills are monthly. The yields on these bills are monitored closely in the money markets for signs of interest rate trends.
TREASURY BOND: A long-term coupon-bearing U.S. Treasury security issued as a direct obligation of the U.S. Government and having an initial maturity of more than 10 years and issued in minimum denominations of $1,000.
TREASURY NOTE: A medium-term coupon-bearing U.S. Treasury security issued as a direct obligation of the U.S. Government and having an initial maturity of from 1 to 10 years and issued in denominations ranging from $1,000 to $1 million or more.
UNIFORM NET CAPITAL RULE: Securities and Exchange Commission (SEC) Rule 15C3-1 outlining requirements that member firms as well as nonmember broker-dealers in securities maintain a maximum ratio of indebtedness to liquid capital of 15 to 1; also called net capital rule and net capital ratio.
Indebtedness covers all money owed to a firm, including margin and commitments to purchase securities, one reason new public issues are spread among members of underwriting syndicates. Liquid capital includes cash and assets easily converted into cash.
VOLATILITY: A degree of fluctuation in the price and valuation of securities.
YIELD: The current rate of return on an investment security generally expressed as a percentage of the security’s current price. (a) INCOME YIELD is obtained by dividing the current dollar income by the current market price for the security. (b) NET YIELD or YIELD TO MATURITY is the current income yield minus any premium above par or plus any discount from par in purchase price, with the adjustment spread over the period from the date of purchase to the date of maturity of the bond.
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Parks and Recreation Department
SUBJECT: Professional Services Agreement with RRM Design Group for the Chumash Cultural Project at Ambassador Park [Agreement] RECOMMENDATION:
That Council authorize the Parks and Recreation Director to execute a Professional Services Agreement with RRM Design Group to provide landscape architecture and civil engineering design services for the Chumash Cultural Project at Ambassador Park, in an amount not to exceed $200,230.
DISCUSSION:
Background
Ambassador Park (Park) is located along Santa Barbara’s waterfront between West Cabrillo Boulevard and West Mason Street. Hotels and apartment buildings flank the Park to the west and east. Today, the Park consists of a simple palm-tree lined, half-acre open turf area, a vestige of its history as the pedestrian promenade to the Potter (then Ambassador) Hotel. The land was gifted to the City of Santa Barbara in 1924, and the Park was designated a City Landmark in 1990. Prior to European contact and subsequent development, the Park site and surrounding land featured a hillock, creek, springs, and mineral pools which supported the historic Syuxtun Village, one of the largest Chumash settlements on the west coast.
Project History
In Fall 2020, the State Coastal Conservancy (SCC) awarded the Parks and Recreation Department (Department) a $50,000 grant to complete conceptual plans to redevelop the park to honor the culture and heritage of the Chumash people. The Department staff, design team, and SCC worked closely with the Chumash representatives to develop a project concept and move toward the goal of obtaining necessary approvals and permits.
On April 17, 2025, the SCC Board approved an additional grant of $240,000 to complete preliminary project design.
Agenda Item No. 6
File Code No. 570.05
Council Agenda Report
Professional Services Agreement with RRM Design Group for the Chumash Cultural Project at Ambassador Park [Agreement]
December 9, 2025
Project Description
The Project’s purpose is to develop design plans and secure land use entitlements for Park redevelopment celebrating Chumash cultural heritage and improve access and usage of Ambassador Park. Santa Barbara is home to four tribal bands of the Chumash people. There is no dedicated public space that acknowledges and celebrates their culture, provides a gathering location for ceremonies, and educates the public about their history, way of life, and the area’s native habitats. The Project provides a tremendous opportunity to celebrate the culture and history of the native Chumash people in Santa Barbara.
Key Project tasks include Chumash community involvement, broader community engagement, development of professional design plans, required technical studies, public hearings, and obtaining project approvals.
Consultant Selection and Scope of Work
The Department received three proposals in response to a Request for Proposals (RFP) and conducted interviews with all three firms. The Department recommends that Council approve the selection of RRM Design Group given their extensive successful work experience with the City and relationship with the Chumash representatives, and ability to successfully execute the Project.
BUDGET/FINANCIAL INFORMATION:
The total cost of the Project is $240,000. Funds for this agreement are provided through a grant from the Coastal Conservancy and encumbered in the Fiscal Year 2026 Capital Program. In addition to the contractual agreement with RRM, grant funds will be used to secure archeological and geological technical support in the development of the design plans. Funded through the Fiscal Year 2026-2027 Operating Budget, the Department will provide project management and administration and consultant oversight, as well as guide community outreach and Chumash stakeholder engagement.
SUSTAINABILITY IMPACT:
The Project will implement plantings that are compliant with the City’s Water Efficient Landscape Standards. Many, if not all plantings, will be drought tolerant and low water use varieties.
A copy of the agreement may be requested from the Parks and Recreation Department for public review by contacting Courtney Carlson at [email protected].
PREPARED BY: Holly Lynn Garcin, Project Planner
SUBMITTED BY: Jill E. Zachary, Parks and Recreation Director APPROVED BY: Kelly McAdoo, City Administrator
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Community Development Department
SUBJECT: Amendments to Professional Services Agreements for Building Permit, Plan Check, and Inspection Services [Agreement]
RECOMMENDATION: That Council:
A. Authorize the Community Development Director to execute the second amendment to Santa Barbara City Agreement No. 22500114 to correct the business name to Jason Addison Smith Consulting Services Inc. dba JAS Pacific, and to increase the agreement amount by $250,000, for a total contract amount of $479,000, to provide permit, plan check, and inspection services; and
B. Authorize the Community Development Director to execute the first amendment to Santa Barbara City Agreement No. 22500243 with Interwest Consulting Group, Inc. to increase the agreement amount by $100,000, for a total contract amount of $200,000, to provide permit, plan check, and inspection services; and to delete and replace section 4(a) of the Interwest Consulting Group, Inc., agreement to add a contract termination date of May 20, 2030.
DISCUSSION:
The Community Development Department’s Building and Safety Division is responsible for meeting the state’s Title 24 Building Standards and other local requirements that foster and maintain a safe, accessible, and well-built community. To comply with these standards and regulations thoroughly and efficiently, the City contracts with independent firms that provide building permit plan review and inspections services.
These contracted services supplement the work of City staff and are vital to preventing and reducing building permit backlogs and accelerating plan check processes, especially in the downtown corridor. Contract services also provide additional program services that improve the customer’s experience by backfilling inspection and plan review positions.
These amendments will allow the City to continue to promptly process large projects and influxes of high-priority building permit applications even when submittals exceed staffing capacity.
Agenda Item No. 7
File Code No. 610.01
Council Agenda Report
Amendments to Professional Services Agreements for Building Permit, Plan Check, and Inspection Services [Agreement]
December 9, 2025
The Building and Safety Division has an established working relationship with JAS Pacific and Interwest, both of which demonstrate expertise in providing consistent plan check review in a timely manner and in accordance with the State’s Title 24 Building Standards and other local requirements. Authorizing the recommended contract amendments will allow the Division to continue to provide timely, professional service.
BUDGET/FINANCIAL IMPACT:
The recommended contract amendments are funded from existing appropriated expenditures in Building and Safety’s Fiscal Year 2026 General Fund Budget. Funding sources and amounts for the contract amendments are listed in the table below.
Vendor Funding Source Amount
JAS Pacific Existing General Fund appropriations $250,000 Interwest Existing General Fund appropriations $100,000 Total: $350,000
A copy of the contracts/agreements and amendments may be requested from the Community Development Department for public review. Please contact [email protected] to request a copy.
PREPARED BY: Raven Rutledge, Building and Safety Business Analyst SUBMITTED BY: Allison DeBusk, Community Development Director APPROVED BY: Kelly McAdoo, City Administrator
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Community Development Department
SUBJECT: Amendments to the Zoning Ordinance Related to the Definition of Historic Resources (PLN2025-00050) [Ordinance Introduction] RECOMMENDATION: That Council:
A. Determine that the Zoning Ordinance amendments related to historic resources are consistent with the General Plan;
B. Determine that the Zoning Ordinance amendments related to historic resources are exempt from the California Environmental Quality Act (CEQA) pursuant to CEQA Guidelines Section 15305 Minor Alterations in Land Use Limitations; and C. Introduce and subsequently adopt, by reading of title only, an Ordinance of the Council of the City of Santa Barbara Amending Sections 30.57.030, 30.157.025,
30.157.050, 37.157.110, 37.157.170, 30.220.020, and 30.300.080 of the Santa Barbara Municipal Code Pertaining to Protection of Historic Resources.
EXECUTIVE SUMMARY:
The state’s housing law, Assembly Bill (AB) 1301 provides that projects may qualify for a statutory exemption under the California Environmental Quality Act (CEQA) if they satisfy certain criteria. One such criterion is that “[t]he project does not require the demolition of a historic structure that was placed on a national, state, or local historic register before the date a preliminary application was submitted for the project pursuant to Section 65941.1 of the Government Code [SB 330 Preliminary Application].”2 To avoid potential confusion regarding what constitutes the City’s “local historic register,” staff proposes amending the Zoning Ordinance to rename the Historic Resources Inventory (Inventory), to “Local Historic Register of Historical Resources.” The City’s
1 Signed by Governor Newsom on June 30, 2025
2 Public Resources Code sec. 21080.66(a)
Agenda Item No. 8
File Code No. 640.09
Council Agenda Report
Amendments to the Zoning Ordinance Related to the Definition of Historic Resources (PLN2025-00050) [Ordinance Introduction]
December 9, 2025
Inventory constitutes a “local historical register” for the purposes of AB 130, and its renaming could protect historic resources. The Inventory includes more than 700 structures, sites, or features identified by the Historic Landmarks Commission or the City’s Architectural Historian as historically significant and eligible for formal designation as a Landmark, Structure of Merit, Historic District, or contributing historic resource to a Historic District. Officially renaming the Inventory a Local Historic Register of Historical Resources clarifies that those resources qualify as historic structures under the state’s definition and terminology.
DISCUSSION:
The City’s existing Zoning Ordinance authorizes the City to protect and preserve historic resources in accordance with the goals and policies of the General Plan’s Historic Resources Element, and its current regulatory processes provide an extensive framework for preservation of important historic resources. Yet, with the adoption of AB 130 and the state’s streamlined housing processes (both ministerial and discretionary), resources on the City’s Inventory are vulnerable to demolition without any public hearing or review by the Historic Landmarks Commission.
In order to protect the 700+ resources (Link to City of Santa Barbara’s Historic Treasures Map) on the Inventory, staff recommends making minor amendments to Chapters 30.57 Landmark District and Historic District Overlay Zones; 30.157 Historic Resources; 30.220 Design Review; and 30.300 Definitions, to change terminology that clarifies that the City’s existing Historic Resources Inventory is a local register of recognized historical resources subject to protections provided under the Zoning Ordinance.
EXISTING DEFINITION IN THE ZONING ORDINANCE SECTION 30.300.080 “H” DEFINITIONS Historic Resources Inventory. A list consisting of those structures, sites, or features identified by the Historic Landmarks Commission or City's Architectural Historian as historically significant and eligible for formal designation as a Landmark, Structure of Merit, Historic District, or contributing historic resource to a Historic District (formerly referred to as "Potential Historic Resources List").
PROPOSED DEFINITION TO ALIGN WITH CALIFORNIA PUBLIC RESOURCES CODE SECTION 5020.1
Local Register of Historical Resources: A list of properties officially designated or recognized as historically significant by the City of Santa Barbara as per the procedures outlined in Chapter 30.157 (formerly referred to as “Historic Resources Inventory”).
Public Resources Code Section 5020.1 defines a “local register of historical resources” as a list of properties officially designated or recognized as historically significant by a local government pursuant to a local ordinance or resolution. Although the City has many historic resources designated as City Landmarks or Structures of Merit, a number of Council Agenda Report
Amendments to the Zoning Ordinance Related to the Definition of Historic Resources (PLN2025-00050) [Ordinance Introduction]
December 9, 2025
resources are not designated as such but have evidence on record that they are recognized as historic resources. Moving forward, it is critical that the City continue to protect all resources on the Inventory and consider ways to add resources that have not yet been identified. The proposed ordinance amendments primarily revise terminology to clarify that the Inventory serves as the City’s local register. The Historic Resources Inventory was formerly called the “Potential Historic Resources List,” but that language was abandoned with adoption of the Historic Resources Ordinance in 2021 because it confused applicants about its meaning and because it was indeed the City’s local register of historic resources. The currently proposed amendments will further reduce confusion among owners, developers, and the public regarding what is considered a historic and protected City structure, site, cultural landscape, or feature.
Policy Consistency
In 2012, the City adopted the Historic Resources Element of the General Plan to promote historic preservation through identification, designation, and protection of historic resources with the identification of four goals: 1) Protection and Enhancement of Historic Resources; 2) Increased Awareness and Appreciation; 3) Government Cooperation; and 4) Neighborhood Historic Preservation. The Historic Resources Element is organized by 10 overarching policies and includes 47 possible implementation actions to be considered. Several implementation actions direct the City to amend the Historic Resources Ordinance (Ordinance) to ensure up-to-date provisions and procedures are in place and to secure permanent protection of historic resources. The proposed amendments to the Ordinance meet the following General Plan policies and implementation actions:
HR1. Protect Historic and Archaeological Resources: Protect the heritage of the City by preserving, protecting and enhancing historic resources and archaeological resources. Apply available governmental resources, devices and approaches, such as the measures enumerated in the Land Use Element of this Plan, to facilitate their preservation and protection.
HR1.1. Use all available tools: Consider specific preservation strategies and land use regulation mechanisms, including those listed in the Land Use Element, such as revised development standards, buffer protection, overlay zones, Design and Historic Districts, Landmark, and Structure of Merit designations. HR3. Discourage Demolition: Develop effective measures to discourage and curtail the demolition of historic resources.
HR5.1. Help preserve neighborhoods that have retained historical character:
Adopt mechanisms, such as ordinance amendments that secure protection of their initial development, as well as later periods of historical interest that reveal the historical evolution of the neighborhood or streetscape.
The proposed ordinance amendments focus on preserving the City’s historic treasures that have already been identified. Other General Plan policies focus on proactive surveys Council Agenda Report
Amendments to the Zoning Ordinance Related to the Definition of Historic Resources (PLN2025-00050) [Ordinance Introduction]
December 9, 2025
to identify qualifying significant resources in the City. Both efforts are needed to maintain a robust historic preservation program in the City.
Planning Commission Review
On November 13, 2025, the Planning Commission held a public hearing, took public comment, and voted 6/0/0 to recommend approval of the proposed amendments, finding that the amendments are consistent with the City Charter, General Plan, and state and federal laws.
Next Steps
If adopted, the following City documents and databases must be updated with the new language:
Master Environmental Assessment Guidelines for Historic Resources Historic Resource Design Guidelines
Historic Treasures Map
Historic Resources Reports
Accela
BUDGET/FINANCIAL IMPACT:
This action does not have a budget/financial impact on the City.
ENVIRONMENTAL REVIEW:
Staff has determined this action qualifies for an exemption from further environmental review under Section 15305 [Minor Alterations in Land Use Limitations] of the California Environmental Quality Act Guidelines because the proposed changes do not result in any changes in land use or density.
PREPARED BY: Ellen Kokinda, City Planner
SUBMITTED BY: Allison DeBusk, Community Development Director APPROVED BY: Kelly McAdoo, City Administrator
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1 ORDINANCE NO.____
AN ORDINANCE OF THE COUNCIL OF THE CITY OF SANTA
BARBARA AMENDING SECTIONS 30.57.030, 30.157.025,
30.157.050, 37.157.110, 37.157.170, 30.220.020, AND
30.300.080 OF THE SANTA BARBARA MUNICIPAL CODE
PERTAINING TO PROTECTION OF HISTORIC RESOURCES
THE CITY COUNCIL OF THE CITY OF SANTA BARBARA DOES ORDAIN AS FOLLOWS:
SECTION 1. Section 30.57.030 of Chapter 30.57 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.57.030 Design Review Standards for El Pueblo Viejo Landmark District Overlay Zone.
A. Purpose. The purpose of El Pueblo Viejo LD Overlay Zone (EPV) is to preserve and enhance the unique historic and architectural character of the central core area of the City of Santa Barbara, which developed around the Royal Presidio, founded in 1782, and which contains many of the City's important historic and architectural Landmarks, Structures of Merit, and historic resources listed in the Inventory Local Register of Historical Resources that contribute to the historic importance of EPV Landmark District as provided in this chapter. This purpose is to be achieved by regulating the compatibility of architectural styles used in the construction of new structures and the exterior alteration of existing structures within a designated area, which includes the scenic entrances to the central core area of the City, in order to continue and perpetuate the City of Santa Barbara's renowned tradition of California Adobe,
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2 Mission Revival, Spanish Colonial Revival, Monterey and Italian Mediterranean, and subsets of those styles of architecture.
B. Alterations within El Pueblo Viejo LD Overlay Zone.
1. Spanish Colonial Revival/Mediterranean Style Required. Any structure, site or feature hereafter constructed or altered as to its exterior appearance and located within El Pueblo Viejo Landmark District shall, as to its exterior architecture, be compatible with the Spanish Colonial Revival/Mediterranean tradition as it has developed in the City of Santa Barbara from the later 18th century to the present, with emphasis on early 19th century California Adobe styles, and Spanish Colonial Revival/Mediterranean styles of the period from 1915 to 1930. Examples of these styles are:
a. Hill-Carrillo Adobe, 11-15 East Carrillo Street (California Adobe) b. Casa De La Guerra Adobe, 9-15 East De La Guerra Street (California Adobe)
c. Covarrubias Adobe, 715 Santa Barbara Street (California Adobe) d. Mihran Studios, 17-21 East Carrillo Street (Monterey Subset of the Spanish Colonial Revival)
e. Arlington Theatre, 1317 State Street (Spanish Colonial Revival) f. Santa Barbara County Courthouse, 1120 Anacapa Street (Spanish Colonial Revival)
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3 g. El Paseo, 813 Anacapa and 25 East De La Guerra Streets (Spanish Colonial Revival)
h. Lobero Theatre, 33 East Canon Perdido Street (Spanish Colonial Revival)
2. Other Compatible Styles May Be Allowed. Notwithstanding subsection A above, alterations to existing structures within El Pueblo Viejo Landmark District may also be permitted by the Historic Landmarks Commission under the following circumstances:
a. The alterations or additions to the structure match the original architectural style of a historic resource and such alterations or additions do not significantly alter the structure; and
b. The alteration or addition would be more compatible with the existing structure by matching and maintaining the existing architectural style, which demonstrates outstanding attention to architectural design, detail, material, or craftsmanship.
C. Description. The following described area within the City of Santa Barbara constitutes El Pueblo Viejo LD Overlay Zone (depicted in Figures 1 and 2) incorporated herein, and made a part hereof including all notations, references, and other information shown therein. In the event of any variance between the maps and the written descriptions contained in this section, the written descriptions shall prevail:
1. El Pueblo Viejo Landmark District-Part I
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4 Beginning at the intersection of State Street with Mission Street; thence southeasterly along State Street to its intersection with Sola Street; thence northeasterly along Sola Street to its intersection with Laguna Street; thence southeasterly along Laguna Street to its intersection with Ortega Street; thence southwesterly along Ortega Street to its intersection with State Street; thence southeasterly along State Street to its intersection with East Cabrillo Boulevard; thence northeasterly along East Cabrillo Boulevard to its intersection with Santa Barbara Street; thence northwesterly along Santa Barbara Street to its intersection with the extension of Garden Street; thence northwesterly along the extension of Garden Street to U.S. Highway 101; thence returning southwesterly along Garden and Santa Barbara Streets to the intersection of Santa Barbara Street with East Cabrillo Boulevard; thence northeasterly along East Cabrillo Boulevard to its intersection with U.S. Highway 101; thence returning along Cabrillo Boulevard to its intersection with Castillo Street; thence northwesterly along Castillo Street to its intersection with U.S. Highway 101; thence returning southeasterly along Castillo Street to its intersection with Cabrillo Boulevard; thence returning northeasterly along West Cabrillo Boulevard to its intersection with Chapala Street; thence northwesterly along Chapala Street to its intersection with Carrillo Street; thence southwesterly along Carrillo Street to its intersection with U.S. Highway 101; thence northeasterly along Carrillo Street to its intersection with Chapala Street; thence northwesterly along Chapala Street to its intersection with Sola Street; thence northeasterly along Sola Street to its intersection with State Street; thence
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5 northwesterly along State Street to its intersection with Mission Street; said intersection being the point of beginning.
2. El Pueblo Viejo Landmark District-Part II
Beginning at the intersection of Los Olivos Street and Laguna Street; thence southwesterly along Los Olivos Street to its intersection with Garden Street; thence northwesterly along Garden Street to its intersection with the southerly prolongation of a line bearing N.03°16′40″W. as shown in Assessor's Map Book 51, page 15, County of Santa Barbara, dated 1960; thence northerly along said line to its intersection with a line bearing N.29°11′W.; thence northwesterly along said line to its intersection with the boundary line of the City of Santa Barbara; thence beginning northeasterly and continuing along said boundary line to its intersection with the northerly prolongation of Mission Ridge Road; thence southerly and westerly along Mission Ridge Road to a line bearing N.03°W., said line being the westerly line of Mission Ridge Road and the easterly boundary line of Parcel 19-071-10 shown in Assessor's Map Book 19, page 07, County of Santa Barbara, dated 9/73; thence along a straight line southwesterly to the intersection of Plaza Rubio and Emerson Avenue; thence southwesterly along Plaza Rubio to its intersection with Laguna Street; thence northeasterly along Laguna Street to its intersection with Los Olivos Street, said intersection being the point of beginning.
The El Pueblo Viejo Landmark District shall include all properties located within the area described in this section, and all properties fronting on either side of any
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6 street or line forming the boundary of such area; except that the following areas shall be excluded: Stearns Wharf;
a. Areas located within the Brinkerhoff Avenue Landmark District; and b. That area south of West Cabrillo Boulevard and to the west of a point 150 feet east of an imaginary extension of Bath Street at its same course.
SECTION 2. Section 30.157.025 of Chapter 30.157 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.157.025. Significance Criteria.
In considering a proposal to designate or recommend designation of any structure, site or feature as a Landmark, Structure of Merit or for inclusion on the Local Register of Historical Resources Inventory, any structure, site or feature must be at least 50 years of age, meet one or more of the criteria outlined below, and retain historic integrity. The designating authority must find that the structure, site or feature retains enough historic integrity of location, design, setting, materials, workmanship, feeling, and association that it conveys its historic significance in accordance with the most recent National Register of Historic Places Bulletin Haw to Apply the National Register Criteria for Evaluation. The designating authority must find that the structure, site or feature meets one or more of the following Significance Criteria:
1. A. It is associated with events that have made a significant contribution in our past;
2. B. It is associated with the lives of persons significant in our past;
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7 3. C. It embodies the distinctive characteristics of a type, period, architectural style or method of construction, or represents the work of a master, or possesses high artistic or historic value, or represents a significant and distinguishable collection whose individual components may lack distinction;
4. D. It yields, or may be likely to yield, information important in prehistory or history; or
5. E. Its unique location or singular physical characteristic represents an established and familiar visual feature of a neighborhood.
SECTION 3. Section 30.157.050 of Chapter 30.157 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.157.050 Procedure for Listing on the Local Register of Historical Resources Inventory.
The Historic Landmarks Commission, through the City's Architectural Historian, shall maintain for public review, and periodically update, a Local Register of Historical Resources Inventory, as defined by Section 30.300.080 "H" hereinafter "Inventory Register," identifying historic resources that are not designated as Landmarks, Structures of Merit or contributing to a Historic District Overlay Zone, yet qualify for historic designation as defined by this chapter those properties officially designated or recognized as historically significant by City of Santa Barbara as per the procedures outlined in this chapter. The Inventory Register is maintained for the purpose of clearly identifying historic resources not officially designated, yet whose preservation is important to the heritage of the community.
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8 A. Criteria for Inclusion. Historic resources in the Inventory Register shall be identified through either a professional historical resource survey or individual historic resource evaluation and be found historically significant and eligible for designation as a Landmark, Structure of Merit, or contributing resource to a historic district under the criteria outlined in this chapter.
B. Listing Historic Resources on the Inventory Register.
1. Identification of Historic Resources. Properties may be proposed for inclusion in the Inventory Register in one of the following ways:
a. Administrative Listing. Buildings that are 50 years old or older shall be referred to the City's Architectural Historian, or qualified designee for a determination of whether the structure, site, or feature may be eligible for inclusion on the Inventory Register list based upon the criteria in this chapter. This referral shall occur whenever an application for a discretionary action, ministerial action, or building permit application is submitted to demolish a structure or to complete exterior alterations visible from the public right-of-way. Exterior alterations exempt under this section include repairs that match existing and the installation of a utility. i. Historic Significance. If the City's Architectural Historian finds that the structure, site, or feature meets the criteria for historic significance, the City's Architectural Historian will prepare a Significance Report and add the structure, site or feature to the
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9 Inventory Register. The permit application will be processed as a historic resource as outlined in this chapter.
ii. No Historic Significance. If the City's Architectural Historian finds no historic significance, the structure, site or feature shall not be listed on the Inventory Register and the building permit/demolition permit application shall continue to be processed, provided the applicant has otherwise complied with all necessary City permit or approval submittal requirements.
b. Results of a Professional Historic Resources Survey or Historic Structures/Sites Report. Any individual historic resources or historic district overlay zones found historically significant in a Historic Resources Survey or Historic Structures/Sites Report conducted by a qualified professional and accepted by the Historic Landmarks Commission at a public hearing shall be added to the Inventory Register.
2. Notice. The City's shall notify the applicant and property owner(s) in writing whether the structure, site, or feature will be added onto the Inventory Register.
C. Procedure for Removing Historic Resources from the Inventory Register.
The property owner(s) may request to be removed from the Inventory Register pursuant to the process outlined below. Removal of a historic resource from the
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10 Inventory Register may be proposed by the property owner(s), the Historic Landmarks Commission, or any interested party or entity based on evidence that the structure, site or feature does not possess, or no longer possesses, any historical significance as determined by Section 30.157.025.
1. Notice of Public Hearing. All applications to remove a property from the Inventory Register shall require public notice to the owner of the property only and hearing pursuant to Chapter 30.205, Common Procedures. A proposal to remove a structure, site or feature from the Inventory Register shall be considered by the Historic Landmarks Commission at a noticed public hearing pursuant to this chapter.
2. Historic Landmarks Commission Public Hearing. The City's Architectural Historian shall prepare a Significance Report evaluating the historical integrity and ability of the structure, site or feature to meet the criteria outlined in this chapter. To remove the historic resource from the Inventory Register, the Historic Landmarks Commission shall determine that the historic resource no longer meets the designation criteria due to a factual finding that:
a. There is a preponderance of new evidence demonstrating that the building, site or feature is not historically or culturally significant; b. Destruction of the historic resource through a catastrophic event has rendered the resource a hazard to the public health, safety, or welfare;
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11 or
c. The historic resource has been altered, demolished, or relocated in conformance with all necessary permits.
3. Notice of Removal. Notice of the removal of a historic resource from the Inventory Register shall be mailed to the owner(s).
SECTION 4. Section 37.157.110 of Chapter 30.157 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.157.110 Required Findings for Alterations, Maintenance, Relocation and Demolition of Historic Resources.
In addition to any other application requirements, an application to demolish a historic resource shall include evidence in support of the applicable findings required below. This may include presenting preservation alternatives such as adaptive reuse, rehabilitation, reconstruction or relocation.
A. Major Alterations. A Major Alteration, as defined in Section 30.300.080 "H", Historic Resources Related Definitions, may only be approved if the Historic Landmarks Commission finds that:
1. The exterior alterations are being made to restore the historic resource to its original appearance or in order to substantially aid its preservation or enhancement as a historic resource; and
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12 2. The exterior alterations are consistent with the Secretary of the Interior's Standards.
B. Minor Alterations for Landmarks, and Structures within El Pueblo Viejo Landmark District. A Minor Alteration, as defined in Section 30.300.080 "H", Historic Resources Related Definitions, may only be approved for Landmarks, and structures within El Pueblo Viejo Landmark District, if the Historic Landmarks Commission finds that:
1. The exterior alterations are being made primarily for, and will substantially advance, restoration of the Historic Resource to its original appearance; and
2. The alterations are consistent with the Secretary of the Interior's Standards.
C. Minor Alterations for Structures of Merit, and Resources on the Local Register of Historical Resources Inventory or Within a Historic District Overlay Zone. A Minor Alteration, as defined in Section 30.300.080 "H", Historic Resources Related Definitions, may only be approved for Structures of Merit, and resources on the Local Register of Historical Resources Inventoryor within a Historic District Overlay Zone, if the Historic Landmarks Commission finds that:
1. The exterior alterations are being made primarily for, and will substantially advance, restoration of the Historic Resource to its original appearance; and
2. The alterations are consistent with the Secretary of the Interior's Standards.
D. Ordinary Maintenance. Ordinary maintenance as defined in Section 30.300.080 "H", Historic Resources Related Definitions under ordinary maintenance to a historic resource shall be approved by the City's Architectural Historian only if he or she finds
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13 that:
1. The ordinary maintenance is being made primarily for, and will substantially advance, restoration of the historic resource to its original appearance; and
2. The ordinary maintenance is consistent with the Secretary of the Interior's Standards.
E. Relocation. A proposal to relocate a historic resource, including a landscape feature, may only be approved if the Historic Landmarks Commission finds that:
1. The relocation does not constitute a "substantial redevelopment" or "demolition" as defined this chapter;
2. The relocation does not constitute alterations that would be incompatible with the goal of long-term preservation or enhancement of the historic resource;
3. The relocation will substantially aid in its long-term preservation or enhancement as a historic resource; and
4. The relocation is consistent with the Secretary of the Interior's Standards.
F. Substantial Redevelopment or Demolition of a Landmark A proposal to substantially redevelop or demolish a Landmark may only be approved if the Historic Landmarks Commission finds that the Landmark has been damaged by an earthquake, fire, or other similar natural casualty such that its repair or restoration is not reasonably practical or feasible as supported by substantial evidence provided by at least one qualified structural engineer or architect qualified in historic preservation. The Historic Landmarks
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14 Commission may require, as conditions of approval of a demolition, that the property owner(s) salvage historic materials from the property and/or provide archival quality photo documentation of the remaining historic materials of the structure, site or feature to the City.
G. Demolition of Historic Resources other than Landmarks. A proposal to demolish a historic resource other than a Landmark may only be approved if the Historic Landmarks Commission has made at least one of the following findings:
1. Specific measures have been incorporated into the project scope to mitigate the loss of the historic resource to a less than significant level;
2. The historic resource has been damaged by an earthquake, fire, or other similar casualty such that its repair or restoration is not reasonably practical or economically feasible as supported by substantial evidence provided by at least one qualified structural engineer or architect qualified in historic preservation. The Historic Landmarks Commission may require, as conditions of approval of a demolition, that the property owner(s) salvage historic materials from the property and/or provide archival quality photo documentation of the remaining historic materials of the structure, site or feature to the City;
3. Preservation of the historic resource is not economically feasible or practical, or no viable measures could be taken to adaptively use, rehabilitate, or restore the historic resource as supported by substantial evidence provided by at least one qualified historic preservation specialist, structural engineer (qualified in historic
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15 preservation), or architect (qualified in historic preservation) sufficient to warrant demolition; or
4. A compelling public interest justifies demolition.
SECTION 5. Section 37.157.170 of Chapter 30.157 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.157.170 Enforcement and Penalties.
A. Misdemeanor. Any person who violates a requirement of Chapters 30.220, 30.157,
30.57, and 30.237 fails to obey an order issued by the Historic Landmarks Commission, or City Council pursuant to these chapters, or fails to comply with a permit condition of approval issued under these chapters shall be guilty of a misdemeanor.
B. Nature of Violation/Moratorium. Any substantial alteration, demolition by neglect or demolition of a designated Landmark, Structure of Merit, contributing resource, historic resource listed on the City's Local Register of Historical Resources Inventory or historic resources being reviewed in a survey, or historic resources located within a Landmark or Historic District in violation of these chapters, is expressly declared to be a public nuisance and, to the fullest extent possible, shall be abated by restoring or reconstructing the historic resource to is original condition as it existed prior to the violation. In the case of alteration, demolition by neglect or demolition of any historic resource described herein, the Community Development Director is hereby
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16 authorized to issue a temporary moratorium for the development of the subject property upon which such historic resource, prior to its demolition, was located for a period not to exceed 60 months (five years).
C. Civil Penalties. Any person or entity who alters, demolishes by neglect or demolishes those items stated in subsection B, above, in violation of these chapters, shall be liable for a civil penalty. In the case of demolition or demolition by neglect, the civil penalty shall be equal to one-half the fair market value of the structure prior to the demolition. In the case of alteration, the civil penalty shall be equal to one-half the cost of restoration of the altered portion of the historic resource based on an estimate obtained by the City at the cost of the offender. Once the civil penalty has been paid, building and construction permits and/or a Certificate of Occupancy may be issued.
This penalty is in addition to, and not in lieu of, the moratorium set forth in subsection B, above.
D. Other Remedies. The City Attorney may maintain an action for injunctive relief to restrain a violation or cause, where possible, the complete or partial restoration, reconstruction, or replacement of the historic resource demolished, partially demolished, altered, or partially altered in violation of this chapter. The City Attorney may also pursue any other action or remedy authorized under the Santa Barbara Municipal Code, State law, and/or in equity for any violation of Chapters 30.220,
30.157, 30.57, and 30.237. This civil remedy shall be in addition to, and not in lieu of, any criminal prosecution and penalty or other remedy provided by law.
E. Continuing Violation. In accordance with Section 1.28.050, violations of Chapters
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17 30.220, 30.157, 30.57, and 30.237 are deemed continuing violations and, each and every day a violation continues, is deemed to be a new and separate offense subject to a maximum civil penalty for each and every offense.
SECTION 6. Section 30.220.020 of Chapter 30.220 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.220.020 Historic Landmarks Commission.
A. Purpose. The recognition and preservation of structures, sites, and natural features having historic, architectural, archaeological, or cultural significance is in the interest of the health, economic prosperity, and general welfare of the community. This chapter implements the City Charter and Historic Resources Element of the General Plan by protecting and preserving historic resources and implements the powers and duties of the Historic Landmarks Commission. The specific purposes of this chapter are the following:
1. To safeguard the City's heritage by protecting historic resources representing significant elements of its history;
2. To protect and enhance the City's visual character by encouraging and regulating architectural styles within Landmark and Historic Districts, that reflect the City's unique and established architectural, cultural and landscape traditions;
3. To foster public appreciation of, and civic pride in, the beauty of the City and the accomplishments of its cultural past;
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18 4. To strengthen the economy and vitality of the City by protecting and enhancing the City's attractions to residents and visitors;
5. To promote the private and public use of Landmarks, Structures of Merit, and Historic Districts for the education, prosperity, and general welfare of the people;
6. To stabilize and improve property values within the City;
7. To undertake the identification, inventory, and consideration of structures, sites, and features that may merit designation as a historic resource;
8. To promote high standards in architectural and landscape design and the construction of aesthetically pleasing structures;
9. To promote neighborhood compatibility; and
10. To ensure that the review process is fair and consistent both in policy and implementation, and to allow all who are involved to participate in the process.
B. Applicability.
1. Exterior Alterations, Relocation and Demolition. Approval by the Historic Landmarks Commission is required for any exterior alteration, relocation, or demolition, including demolition by neglect of a structure, site, or feature developed with, containing, or located within any of the following:
a. City-Owned or Leased Property. If the alteration, construction or relocation of any structure, natural feature, site or area owned or leased by the City has a historic resource on the lot, the entire property is under Historic Landmarks
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19 Commission jurisdiction, except for the Airport Property due to the size of the property and demand for air use and the Historic Landmarks Commission purview will be over historic resources on the site only. b. El Pueblo Viejo Landmark District. As defined in Section 30.57.030. c. Historic Resource. A historic resource as defined in Section 30.300.080 "H" Historic Resources Related Definitions.
d. Historic District (HD) Overlay Zones. All properties, contributing and noncontributing, within a HD Overlay Zone. e. Publicly Owned Buildings Generally. Except as provided in Subsections B.1.f. and g below, any structure, natural feature, site or area owned or leased by any public entity other than the City of Santa Barbara and designated as a Landmark or Structure of Merit, or located within any landmark district, shall not be subject to the provisions of this chapter. f. Public Interest Exception for City Facilities. The City Council shall first make a public interest determination on whether the alteration, construction or relocation of any structure, natural feature, site or area owned or leased by the City and designated as a Landmark or Structure of Merit, or located within any Landmark or Historic District, is exempt from review by the Historic Landmarks Commission.
g. Highway 101 Santa Barbara Coastal Parkway Special Design District. A natural feature, site or area owned or leased by a public entity within the
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20 Highway 101 Santa Barbara Coastal Parkway Special Design District as defined by Section 22.68.060.C, which requires a Coastal Development Permit and which is designated as a Landmark, Structure of Merit, or which is located within any Landmark or Historic District shall be reviewed by the Historic Landmarks Commission.
2. Minor Zoning Exceptions and Other Approvals. In addition to any review required pursuant to this chapter, the Historic Landmarks Commission shall review all applications for Minor Zoning Exceptions.
3. Exception for Certain Trees. Notwithstanding the above, the placement, alteration, or removal of trees shall be processed in accordance with Chapter
15.20 or 15.24, as applicable.
C. Review Authority. The Review Authority shall approve, conditionally approve, revise or deny all applications for design review based on consideration of the requirements of this chapter.
1. Historic Landmarks Commission. The Historic Landmarks Commission shall review all applications as required by this chapter, including minor alterations on Landmarks and in El Pueblo Viejo Landmark District, and alterations contributing to a historic resources in a historic district overlay zone and properties listed on the Local Register of Historical Resources Inventory.
2. City Architectural Historian (as defined under Qualified Professional Staff in Historic Preservation). Shall review ordinary maintenance contributing to
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21 historic resources in a historic district overlay zone and properties listed on the Local Register of Historical Resources Inventory (as defined in Section
30.300.080 "H"). Ordinary maintenance done to a Historic Resource may be approved through the issuance of a Certificate of Appropriateness as a ministerial action by the City's Architectural Historian without review by the Historic Landmarks Commission.
a. Referrals to Historic Landmarks Commission. The City's Architectural Historian may refer any proposed ordinary maintenance to the Historic Landmarks Commission if the City's Architectural Historian finds that the maintenance has the potential to have an adverse effect on the integrity of the historic resource because it does not meet the Secretary of the Interior Standards.
b. Administrative Review. The issuance of the Certificate of Appropriateness by the City's Architectural Historian is a ministerial action and does not require a noticed public hearing and is otherwise final and not appealable.
D. Referrals to Planning Commission.
1. Planning Commission Comments. When the Historic Landmarks Commission determines that a development is proposed for a site which is highly visible to the general public, the Historic Landmarks Commission may, prior to granting project design approval of the application, require presentation of the application to the Planning Commission solely for the purpose of obtaining comments from the
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22 Planning Commission regarding the application. Planning Commission comments would be considered by the Historic Landmarks Commission in its deliberations.
2. Public Notice and Hearing. Prior to making any comments regarding an application pursuant to this section, the Planning Commission shall hold a noticed public hearing. Notice of the hearing shall be provided in accordance with the requirements of Chapter 30.205, Common Procedures.
E. Public Notice and Hearing. Projects That Require Public Notice. Applications for the following projects shall require public notice and hearing pursuant to Chapter 30.205, Common Procedures.
1. New single residential units, two-unit residential units, multiple residential units, mixed-use buildings or nonresidential buildings located in El Pueblo Viejo Landmark District or a Historic District;
2. The addition of over 500 square feet of net floor area to a single-unit residential or two-unit residential unit;
3. An addition of a new second or higher story to an existing single-unit residential or two-unit residential housing type;
4. An addition of over 150 square feet of net floor area to an existing second or higher story of a single-unit residential or two-unit residential housing type;
5. The addition of over 500 square feet of net floor area or any change that will
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23 result in an additional residential unit to a multi-unit residential housing type;
6. Whenever approval of a Development Plan is required pursuant to Chapter
28.85 or 30.170 (Nonresidential Growth Management Program);
7. Projects involving more than 250 cubic yards of grading outside the footprint of any main building (soil located within five feet of an exterior wall of a main building that is excavated and re-compacted shall not be included in the calculation of the volume of grading outside the building footprint);
8. Projects involving exterior lighting with the apparent potential to create significant glare on neighboring parcels;
9. Projects involving the placement or removal of natural features with the apparent potential to significantly alter the exterior visual qualities of real property;
10. Projects involving an application for an exception to the parking requirements for a single residential unit as specified in Subsection 28.90.100.G.1.c. or Subsection 30.175.030.N.1.a.;
11. Projects involving an application for a Minor Zoning Exception as specified in Section 30.245.060; or
12. All proposals to designate a City Landmark or Structures of Merit.
F. Project Compatibility.
1. Project Compatibility Findings. In addition to any other considerations and requirements specified in this Code, the applicable findings identified below shall
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24 be considered by the Historic Landmarks Commission when it reviews and approves or disapproves the design of a proposed development project in a noticed public hearing pursuant to the requirements of Section 30.157.100. a. Consistency with Design Guidelines. The design of the project is consistent with design guidelines applicable to the location of the project within the City; b. Compatible with Architectural Character of City and Neighborhood. The design of the project is compatible with the desirable architectural qualities and characteristics which are distinctive of Santa Barbara and of the particular neighborhood surrounding the project;
c. Appropriate Size, Mass, Bulk, Height, and Scale. The size, mass, bulk, height, and scale of the project is appropriate for its location and its neighborhood;
d. Sensitivity to Adjacent Landmarks and Historic Resources. The design of the project is appropriately sensitive to adjacent Federal, State, or City Landmarks or other nearby designated historic resources, including City structures of merit, sites, or natural features;
e. Public Views of the Ocean and Mountains. The design of the project responds appropriately to established scenic public vistas; or f. Use of Open Space and Landscape. The project includes an appropriate amount of open space and landscape.
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25 2. Review Procedures.
a. Projects with Design Review Only. If a project only requires design review by the Historic Landmarks Commission pursuant to the provisions of this chapter and does not require discretionary land use approval, the Historic Landmarks Commission shall consider the applicable Project Compatibility Findings during the course of its review prior to granting an approval, denial or continuance of project design approval for the project. b. Projects with Design Review and Other Discretionary Approvals. If, in addition to design review by the Historic Landmarks Commission, a project requires a discretionary land use approval (either from the Staff Hearing Officer, the Planning Commission, or the City Council), the Historic Landmarks Commission shall review and discuss the applicable Project Compatibility Findings during its conceptual review of the project and shall provide its comments on those findings as part of the minutes of the Historic Landmarks Commission hearing which would then be forwarded to the Staff Hearing Officer, the Planning Commission, or the City Council (as applicable).
G. Appeals. Appeals of any decision of the Historic Landmarks Commission to the City Council may be made in accordance with the requirements of Section 30.205.150, Appeals.
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26 1. Limits on New Evidence. The City Council will decide the appeal in the exercise of its independent judgment based upon the record of the proceedings of the Historic Landmarks Commission. New evidence will not be considered unless the City Council determines that relevant evidence exists that, in the exercise of reasonable diligence, could not have been produced or was improperly excluded at the hearing before the Historic Landmarks Commission.
SECTION 7. Section 30.300.080 of Chapter 30.300 of Title 30 of the Santa Barbara Municipal Code is amended to read as follows:
30.300.080 “H”.
Habitable Space. See Floor Area, Livable.
Hardscape. Paving, decks, patios, and other hard, horizontal surfaces.
Hazardous Materials. Any material, including any substance, waste, or combination thereof, which because of its quantity, concentration, or physical, chemical, or infectious characteristics may cause, or significantly contribute to, a substantial present or potential hazard to human health, safety, property, or the environment when improperly treated, stored, transported, disposed of, or otherwise managed.
Hazardous Waste Management Plan. A plan prepared, adopted and amended from time to time, pursuant to Section 25135 of the California Health and Safety Code by Santa Barbara County to direct the management of hazardous wastes within the boundaries of the County. It is also known as the Hazardous Waste Element of the Santa Barbara County
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27 Comprehensive Plan.
Hazardous Waste. A waste, or combination of wastes, which because of the quantity, concentration or physical and chemical characteristics may either: (a) cause or significantly contribute to an increase in mortality or an increase in serious irreversible or incapacitating reversible illness, or (b) pose a substantial present or potential hazard to human health or the environment when improperly treated, stored, transported, disposed or otherwise managed. Hazardous waste also includes those materials described in Title 22, Division 4.5, Chapter 11, California Code of Regulations.
Hearing. Includes any public hearing, workshop, or similar meeting, including any appeal, conducted by the city with respect to a development project.
Heat. Thermal energy of a radioactive, conductive, or convective nature.
Hedge. A row of shrubs, bushes, or any other kind of plant material that forms a boundary or substantially continuous visual barrier. Also called Screen.
Height. The vertical distance from a point on the ground below a structure to a point directly above. See also, Section 30.15.090, Measuring Height and Stories.
High Fire Hazard Area. The High Fire Hazard Area includes the City's four High Fire Hazard Zones: Coastal, Coastal Interior, Extreme Foothill, and Foothill. The Extreme Foothill and Foothill zones are also designated as the "Very High Fire Hazard Severity Zone," by the California Department of Forestry and Fire Protection and as defined in the City's Community Wildfire Protection Plan adopted by City Council.
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28 Historic Resources Related Definitions. The following terms are related to the rules and regulations applicable only to historic resources.
1. Adobe. An unburnt, sun-dried, clay brick; or a building made of adobe bricks.
2. Adjacent. See Abutting, as defined in Section 30.300.010.
3. Archaeological site. The location of a prehistoric or historic occupation or activity, or a building or structure, whether standing, ruined, or vanished, where the location itself possesses archaeological value regardless of the value of any existing buildings or structures. (For the protection of significant archaeological and paleontological resources within the City, please refer to Chapter 22.12, Archaeological and Paleontological Resources.)
4. Buffer Area. An area of land, developed or undeveloped surrounding a historic resource, El Pueblo Viejo Landmark District or Historic District Overlay Zones, that serves to notice owners, planners and design review boards during the planning and design review process of the necessity to plan to mitigate any negative impacts a new project may have to the historic resource. The distance requirements of the buffer area are the following: 250 feet from the outline of the structure of an original adobe, El Presidio de Santa Barbara State Historic Park and areas inclusive of the original footprint of the Presidio, or a Landmark; 100 feet from the outline of the structure around a Structure of Merit; and at least a radius of one-half block from the boundary line surrounding El Pueblo Viejo Landmark District or a historic district and shall include properties on the opposite side of the street from the
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29 district.
5. Certificate of Appropriateness. The administrative approval document issued by the City's Architectural Historian to approve a minor alteration to a historic resource.
6. Character-Defining Feature or Element. A visible physical part or aspect of a structure or site that contributes to its identification, understanding or interpretation as an example of architecture or architectural style, as an artifact attributable to a particular period of historical significance, or as a unique entity.
7. Compatibility. Respect for distinctive character, identity and history of a streetscape and neighborhood through historic materials, features, size, scale and proportion, and massing to protect the integrity of the environment.
8. Contributing Resource. A structure, site, or feature within the boundaries of a Historic District, or El Pueblo Viejo Landmark District, which reflects the significance of the district as a whole, either because of historic associations, historic architectural qualities, archeological features, or historic integrity, and is considered a historic resource.
9. Cultural. The concepts, habits, skills, arts, instruments, institutions, etc. of a given people in a given period.
10. Cultural Landscape. A geographic area (including both cultural and natural resources and the wildlife or domestic animals therein), associated with a historic event, activity, or person or exhibiting other cultural or aesthetic values. Refer to
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30 the Secretary of Interior's Standards for Treatment of Cultural Landscapes for further definition of this term.
11. Cultural Resource. Districts, streetscapes, neighborhoods, sites, buildings, structures, view corridors, vistas and objects that have acquired significant associations with human activities and human events.
12. Demolition. Removal or destruction. Whenever the term demolition is used in this title it shall also be considered a substantial redevelopment. See also, Section 30.140.200, Substantial Redevelopment. With regard to a historic resource, the term "demolition" shall also include the removal of a significant component or a character defining element.
13. Demolition by Neglect. A situation in which a property owner(s) through neglect and lack of maintenance allows a historic resource or character defining feature of a historic resource to suffer severe deterioration, potentially beyond the point of repair.
14. Elevation. The flat scale orthographically projected architectural drawing of all exterior vertical elements of a building facade.
15. Features. Natural or man-made elements on a site, examples of which include trees, fountains, walls, and designed landscapes.
16. Historic District. A geographically definable area in the City possessing a significant concentration, linkage, or continuity of structures, sites or features united by past events or aesthetically by plan or physical development. Historic
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31 Districts consist of contributing and non-contributing properties, thematically linked by architectural style or designer, date of development, distinctive urban plan, or historic associations and may include buffer zones as authorized by the Historic Landmarks Commission. A historic district derives its importance from being a unified entity conveying a visual sense of the overall historic environment.
17. Historic Fabric or Material. Original and later-added historically significant construction materials, architectural finishes or elements in a particular pattern or configuration which form a qualified historical property, as determined by the Historic Landmarks Commission.
18. Historic Resource. A structure, site, cultural landscape or feature designated or eligible to be designated historically significant based on the criteria in Section
30.157.025. Historic resources may also include, but are not limited to:
a. City-designated Landmark or Structure of Merit;
b. California Historical Landmark;
c. National Historic Landmark;
d. Listed on the State Register of Historical Resources; e. Listed on the National Register of Historic Places;
f. Contributing historic resources in a City-designated Historic District (HD) or Landmark District (LD) Overlay Zone;
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32 g. State or National Register Historic District;
h. A resource listed in the City's Local Register of Historical Resources Inventory; or
i. A Cultural Landscape as defined herein.
19. Historic Resource, Exception. A property where only a small feature such as a sandstone wall, hitching post or tree is significant, as long as the feature is protected in the project. The determination of what constitutes a small feature shall be made by the staff Architectural Historian.
20. Historical Integrity. Authenticity of a building or property's historical identity evidenced by the survival of physical characteristics that existed during the property's historical or pre-historical period of significance.
21. Historic Resources Inventory. A list consisting of those structures, sites, or features identified by the Historic Landmarks Commission or City's Architectural Historian as historically significant and eligible for formal designation as a Landmark, Structure of Merit, Historic District, or contributing historic resource to a Historic District (formerly referred to as "Potential Historic Resources List").
22.21. Historical Significance. The degree of importance for which a property has been evaluated and found to be historical as determined by the Historic Landmarks Commission, City Council, the California Office of Historic Preservation, or Keeper of the National Register of Historic Places based on
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33 meeting specified local, state and national criteria.
23.22. Landmark. A structure, site, cultural landscape or feature having historic, architectural, archeological, cultural, or aesthetic significance and designated by City Council as a Landmark under the provisions in this chapter.
24.23. Landmark Tree. See Historic Tree in Section 15.24.010.
24. Local Register of Historical Resources. A list of properties officially designated or recognized as historically significant by the City of Santa Barbara as per the procedures outlined in Chapter 30.157 (formerly referred to as “Historic Resources Inventory”).
25. Major Alteration. Any physical modification or change to the exterior of a building, structure, site, object or designated interior that may have a significant effect on character- defining features of a historic resource. A major alteration shall also include construction of additions.
26. Minor Alteration. Any physical modification or change to insignificant exterior features of a historic resource, including additions, windows, doors, and exterior siding material that is non-original or otherwise lacking in historic integrity.
27. Neighborhood. For purposes of this chapter, a neighborhood is defined as an area possessing a sense of cohesiveness due to of physical features suggesting boundaries or concentrations of shared architectural, historic, or cultural characteristics.
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34 28. Nomination. The documentation by a qualified historian or architectural historian setting forth certain facts to support the designation of a historic resource as a Landmark, Structure of Merit, or HD Overlay Zone.
29. Non-Contributing Resource. A structure, site or feature within the boundaries of a HD Overlay Zone that does not qualify as a historic resource, but which has been included within the Historic District boundaries because of its geographic location with the HD Overlay Zone.
30. Ordinary Maintenance. The maintenance, painting, landscape or repair of any exterior feature in or upon any historic resource that does not involve a change in design, material, or the external appearance thereof, except that the removal of trees or the change of paint color shall not be considered ordinary maintenance.
31. Period of Significance. The period of time when a qualified historic structure, site or feature was associated with important events, activities or persons, or attained the characteristics for its listing or registration.
32. Preservation. The act or process of applying measures necessary to sustain the existing form, integrity, and materials of a qualified historic resource. Preservation work, including preliminary measures to protect and stabilize the structure, site or feature, generally focuses upon the ongoing maintenance and repair of historic materials and features rather than extensive replacement and new construction.
New exterior additions are specifically not within the scope of this treatment; however, the limited and sensitive upgrading of mechanical, electrical and
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35 plumbing systems and other code-related work to make properties functional is deemed to be appropriate preservation work.
33. Qualified Professional Staff in Historic Preservation. Staff meeting the Professional Standards in Historic Preservation outlined in the Secretary of the Interior's Guidelines and Qualifications in History, Architectural History, or Historic Architecture in education and experience required to perform the identification, evaluation, registration, and treatment of historic resources. Referred to in this chapter as Architectural Historian.
34. Reconstruction. The act or process of depicting, by means of new construction, the form, features and detailing of a non-surviving site, landscape, building, property or object for the purpose of replicating its appearance from a specific period of time.
35. Rehabilitation. The act or process of making possible a compatible use for a qualified historic resource through repair, alterations and additions while preserving those portions or features which convey its qualified historical, cultural or architectural values.
36. Relocation. The act or process of moving any qualified historic resource or a portion of a qualified historic resource to a new site, or a different location on the same site.
37. Restoration. The act or process of accurately depicting the form, features and character of a qualified historic resource as it appeared at a particular period of
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36 time by means of the removal of features from other periods in its history and reconstruction of missing features from the restoration period. The limited and sensitive upgrading of mechanical, electrical and plumbing systems and other code required work to make properties functional is appropriate within a restoration project.
38. Sandstone Construction. A sedimentary rock (usually consisting of quartz sand particles united by some bonding agent such as silica or calcium carbonate) hewed into building materials by a skilled mason or carver and for purposes of this chapter, incorporating traditional, stone masonry, including, but not limited to, curbs, walls, railings, bridges, gardens, buildings, steps or hitching posts using local sandstone material quarried in the Santa Barbara area.
39. Secretary of the Interior's Standards. The current version of the "Standards for Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring & Restructuring Historic Buildings" published by the U.S. Department of the Interior.
40. Streetscape. The design quality of the street and its visual effect and pedestrian experience.
41. Structure of Merit. A historic resource designated by the Historic Landmarks Commission that deserves official recognition as having historic, architectural, archeological, cultural, or aesthetic value but does not rise to the level of Landmark status.
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37 SECTION 8. Severability.
If any provision of this Ordinance or the application thereof to any persons or circumstances is held invalid, such invalidity shall not affect other provisions or applications of this Ordinance which can be given effect without the invalid provision or application and, to this end, the provisions of this Ordinance are hereby declared to be severable.
SECTION 9. California Environmental Quality Act.
This action is exempt from further environmental review pursuant to California Environmental Quality Act (CEQA) Guidelines Section 15305 [Minor Alterations in Land Use Limitations] of the California Environmental Quality Act Guidelines because the proposed changes do not result in any changes in land use or density.
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Sustainability & Resilience Department
SUBJECT: Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
RECOMMENDATION:
That Council receive an update on the City’s Adaptation & Resilience Program and public release of the Draft Wastewater and Water Systems Climate Adaptation Plan.
EXECUTIVE SUMMARY:
The City is currently working on the following projects to help our community prepare for existing hazards and climate change impacts:
New Hazard Models and Analysis. Updated coastal hazard models show significant erosion at East Beach and storm surge during high wave events significantly impacting the Waterfront and Cabrillo Boulevard in the next 20 years.
Additionally, analysis of local climate changes shows storms are increasingly producing heavier rainfall over shorter periods of time. As a result, the frequency of flooding is increasing. As an example, flooding like we saw in January 2023 (historically considered a 10-year rain event) is twice as likely to occur moving forward. These results are being incorporated into the City’s ongoing adaptation efforts and emphasize the need to implement flood control measures in the near term.
Regional Climate Adaptation Monitoring Plan. The City has been working with the Beach Erosion Authority for Clean Oceans and Nourishment (BEACON) to develop a regional monitoring program to provide consistent information on changing shoreline conditions to facilitate each member jurisdiction’s phased approach to sea level rise adaptation. A draft monitoring plan was recently released in August and pilot monitoring studies have been launched. Wastewater and Water Systems Adaptation Plan. This plan evaluates ways to increase the resilience of the City’s wastewater and water systems to hazards such as flooding that are being exacerbated by climate changes. A draft of this plan will be released for public review on December 9, 2025. A key priority in the plan is to Agenda Item No. 9
File Code No. 630.02
Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
significantly reduce inflows into the sewer collection system during floods, which will eventually require converting low-lying, flood prone portions of the City to pressurized infrastructure. Additionally, floodproofing work is needed at El Estero Water Resource Center to maintain access to the treatment plant. 30-Year Waterfront Adaptation Plan. Hazard modeling and preliminary vulnerability analysis have been completed to assess erosion and flood risks along the Waterfront. The project team has provided initial outreach and is developing potential adaptation and risk reducing options that will be the focus of an extensive stakeholder outreach and engagement campaign that will launch in February 2026. Airport Climate Adaptation Plan. The Airport has completed an assessment of infrastructure vulnerabilities to an increase in flooding from climate change. Draft adaptation measures will be released for public review in early 2026. Stormwater System Model. The City is preparing a request for proposals to develop the City’s first stormwater system model and produce a green infrastructure and drainage master plan to reduce flooding.
Information on these projects and the Adaptation and Resilience Program can be found at www.SantaBarbaraCA.gov/Adaptation.
DISCUSSION:
The City’s Adaptation & Resilience Program helps our community prepare for climate change impacts such as flooding, sea level rise, and wildfire. Serving as a central hub, the program coordinates adaptation efforts across City departments, partner agencies, and the community, while securing funding for key projects. Through a multifaceted approach, the program works to proactively adapt City infrastructure, monitor coastal changes, reduce flood and erosion hazards, increase building resilience standards, and provide resources to the community.
In 2021, Council adopted a city-wide Sea Level Rise Adaptation Plan that identified several high priority follow-on implementation projects that are critical to enhancing our community’s response to existing and future coastal hazard impacts. Since then, the Adaptation & Resilience Program has obtained over $5 million in grant funds from the California Coastal Commission and State Coastal Conservancy to implement several of these high priority adaptation projects that address not only the impacts of sea level rise, but also other climate related hazards, such as increased stormwater flooding from changing rainfall patterns and rising surficial groundwater levels. All of the adaptation projects implement a phased approach where changing conditions are monitored closely, and different actions are taken as certain thresholds or triggers are reached.
The program’s current major projects are discussed below.
Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
Changes in Rainfall Patterns and Flooding
Climate change is impacting local rainfall patterns, leading to storms that produce heavier rainfall over shorter periods of time. This occurs because warmer air in the atmosphere holds more moisture, which leads to more powerful downpours. Although the total annual average rainfall for Santa Barbara is not expected to change significantly through the next century, precipitation is projected to come in the form of fewer but more extreme storms, separated by longer dry periods or droughts. As modeled, these more extreme storms quickly overwhelm existing stormwater infrastructure, exacerbating flooding risk. As a result, what was once considered a 100-year storm is now up to seven times more likely to occur, and a 10-year storm is now about twice as likely. These projections are summarized in Table 1 below.
Table 1. Projected 24-hour Rainfall Event Return Interval (and Percent Annual Chance of Occurrence) with Climate Change
Scenario 24-hr Rainfall Event Return Interval
(% Annual Chance of Occurrence)
Past
Precipitation
5-year
storm
(20%)
10-year
storm
(10%)
50-year
storm
(2%)
100-year
storm
(1%)
500-year
storm
(0.2%)
Future
Precipitation with
Climate Change
(2030 to 2100)
2- to 3-
year storm
(33%-
50%)
5-year
storm
(20%)
10-year
storm
(10%)
10- to 20-
year storm
(5%-10%)
30- to 50-
year storm
(2%-3%)
Source: Environmental Science Associates 2025
New Coastal Hazards Maps
The City, with grant funding from the Coastal Conservancy, has developed new coastal hazard models and maps that better illustrate how high waves, tides, sediment movement, and sea level rise will affect the City’s shoreline. The new maps (Attachment) show the following if no actions are taken to mitigate risks:
Significant loss (over 50%) of sandy beaches that are backed by coastal bluffs in the Mesa and Hope Ranch areas by 0.8’ of sea level rise (~2050). High rates of erosion at East Beach (approximately 5’ a year). Increased storm surge impacts to the Waterfront in the near and mid-term. Cabrillo Boulevard is vulnerable today with 100-year storm waves. With 0.8’ of sea level rise (~2050), the annual coastal storm could result in storm surge crossing Cabrillo Boulevard at several locations.
Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
With 2.5’ of sea level rise (~2075) flooding from a typical annual coastal storm surge event could reach as far inland as the Union Pacific Railroad. With 4.9’ of sea level rise (~2100) flooding from regular high tides would extend into low-lying areas north of Highway 101.
Wastewater and Water Systems Climate Adaptation Plan
The Wastewater and Water Systems Climate Adaptation Plan, a high-priority action item from the 2021 Sea Level Rise Adaptation Plan, evaluates how climate change will affect the City’s wastewater and water infrastructure. The project is jointly funded by the California Coastal Commission and Coastal Conservancy.
Among all of the vulnerabilities identified in the plan, the highest risks are associated with the impacts of flooding to the wastewater system in the low-lying area running between the Waterfront to just north of Highway 101. During storms, floodwater enters the sewer collection system via public and private connections and can overwhelm pipes and treatment plant capacity, leading to sanitary sewer overflows. Rising sea levels and coastal storm surge also increase the chance of saltwater entering the system, which can cause significant disruptions to the sewage treatment process that depends on bacteria that are intolerant to seawater. El Estero Water Resource Center was purposely built to a higher elevation than the surrounding areas. Currently, the access roads surrounding El Estero Water Resource Center flood during high rainfall events. Over time, the combination of increased rainfall rates and sea level rise will worsen flooding of access roads into the plant and increase flood risk on the plant site itself during major storms due to its proximity to Laguna Creek.
The plan identifies several high-priority adaptation measures for implementation over the next 20 years, including:
Wastewater Collection System: Seal manholes in vulnerable areas, rehabilitate flood-prone sewer lines, and increase storage capacities in the collection system and at the treatment plant to handle increased flows during heavy rainstorms. The plan also calls for a phased transition from gravity-fed to low-pressure sewer systems in flood-prone areas over the next 20 to 50 years. Low-pressure systems have been implemented in many flood-prone areas throughout the nation to significantly reduce the inflow of floodwater and storm surge into sewer systems.
Customer connections will need to be modified before the public sewer mains are pressurized. The City should consider an ordinance in the next five years to require new connections in the low-lying areas to include grinder pumps needed for pressurization, as well as incentives for customers to facilitate the conversion of existing sewer connections over the next 20 years.
El Estero Water Resource Center: Develop operational plans for El Estero Water Resource Center during flooding events to prepare for limited access and Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
implement flood protection strategies, such as floodwalls and elevating key infrastructure.
Waterfront Water and Wastewater Infrastructure: Protect or relocate waterfront infrastructure threatened by erosion, including utilities under Cabrillo Boulevard and the desalination intake pipeline weir box.
Long-term planning should consider the costs and impacts of protecting the El Estero Water Resource Center in place and elevating access roads or relocating the plant (modeling predicts this could be necessary by the end of this century). Any potential relocation decision will be informed by future monitoring and extensive coordination with the community and neighboring sanitary agencies to explore opportunities inside and outside of the City for potential regional consolidation of wastewater treatment facilities.
Among properties currently owned by the City that are not anticipated to be impacted by sea level rise, the municipal golf course is one possible location that is large enough to accommodate a new water resources center in addition to other uses.
Phased implementation of the plan will rely on close monitoring of changes and regular assessments of potentially impacted infrastructure. The plan will be updated every 10 years to address changing conditions and new information.
A draft of the report will be available for public review on December 9, 2025, at www.SantaBarbaraCA.gov/Adaptation. The details of the plan will be presented to the Water Commission on December 18, 2025, followed by the Sustainability Council Committee and the Planning Commission in the following months. The public comment period will end on February 10, 2026. The report will then be revised, reviewed by the Water Commission, and sent to City Council for approval in May 2026.
Regional Climate Adaptation Monitoring Program
The purpose of the Regional Coastal Adaptation Monitoring Program is to provide consistent data and analysis to support local government agencies and resource managers conducting coastal resilience planning and implementation in the Beach Erosion Authority for Clean Oceans and Nourishment (BEACON) region, which encompasses Santa Barbara and Ventura Counties. The Program directly implements the 2021 Sea Level Rise Adaptation Plan’s highest priority action item to develop a regional shoreline monitoring program and is funded by a California Coastal Commission grant.
In August 2025, a Draft Monitoring Plan was released for public review. The plan evaluates monitoring strategies, identifies key environmental indicators to track changing coastal conditions, and outlines a roadmap for program implementation. The next phase will include two pilot studies:
Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
1. A Monitoring Results Report that will analyze baseline conditions and serve as a model for future reports.
2. A new shoreline monitoring tool, developed in coordination with the U.S.
Geological Survey (USGS), that will use satellite data to track shoreline changes.
Funding for the USGS monitoring tool is being sought from the State. The pilot studies are expected to begin this fall and conclude with a results report in winter 2026–2027. 30-Year Waterfront Adaptation Plan
The 30-Year Waterfront Adaptation Plan, another high priority action item from the 2021 Sea Level Rise Adaptation Plan, creates a practical plan that prepares the Santa Barbara Waterfront for increased storm surges, erosion, and flooding by providing solutions that preserve and enhance recreation, commerce, beach access, historic and cultural resources, habitat, and critical infrastructure for the near term and future generations. The Plan development is funded by California Coastal Commission and Coastal Conservancy.
An initial outreach campaign took place in February 2025 to spread project awareness and gauge our community’s sentiments about the Waterfront. This included information provided across a variety of media and a survey with approximately 800 responses. The project team also completed new coastal hazard modeling and analyzed the associated resource vulnerabilities.
Currently, the City is evaluating a spectrum of design options for the community to provide feedback on during the next outreach campaign in February 2026. This outreach will include public workshops, stakeholder meetings, and discussions with City commissions, committees, and Council.
Following the outreach phase, the project team will assess the technical performance, costs, and benefits of the recommended options to develop a comprehensive adaptation strategy and design concept, which are planned for public review in fall of 2026.
Airport Adaptation Plan
The Santa Barbara Airport is developing a Climate Adaptation Plan (CAP) to address flooding impacts from sea level rise and more intense rainfall. The plan builds on the City’s 2021 Sea Level Rise Adaptation Plan and the 2015 Goleta Slough Area Sea Level Rise and Management Plan. The plan development is funded by California Coastal Commission.
The first phase of work analyzed climate and sea level rise hazards and assessed the airport’s vulnerabilities. In early 2026, the Airport will release potential adaptation measures for public review, followed by the full CAP outlining strategies to reduce future flooding and sea level rise impacts. In the final phase, the City will update the Airport and Goleta Slough Coastal Land Use Plan to include new adaptation policies.
Council Agenda Report
Adaptation & Resilience Program Update, and Release of Draft Wastewater and Water Systems Climate Adaptation Plan
December 9, 2025
Stormwater Model and Improvements
The City is developing a request for proposals for a stormwater conveyance modeling project that will analyze a portion of the City’s stormwater system. The project will model the impacts of heavier rainfall and high wave events, identify system capacity needs, and recommend adaptation options. It is jointly funded by the California Coastal Conservancy and Measure B Creeks funds. The stormwater system model is expected to be completed next year, with a final Green Infrastructure and Drainage Master Plan featuring adaptation recommendations within two years.
BUDGET/FINANCIAL INFORMATION:
The development of the climate adaptation plans described above are currently funded and staffed. However, design and construction to implement elements of the plans are not funded.
In the next 20 years, implementation of the draft Wastewater and Water Systems Climate Adaptation Plan could require approximately $2-3M for studies and design and $50- $130M in infrastructure modifications depending on the options chosen, in addition to increased staff resources. A dedicated funding source has not yet been identified. Current water and wastewater rates only account for a combined $1 million annually for climate adaptation work ($.5M/Year Water Fund and $.5M/Year Wastewater Fund). Closing the gap in funding will require a combination of funding sources including a mix of state and federal grants, low-interest loans, and other local sources.
SUSTAINABILITY IMPACT:
The Adaptation & Resilience Program advances goals contained in the General Plan, Local Coastal Program, Climate Action Plan, and Sea Level Rise Adaptation Plan to monitor and address the impacts of climate change.
ATTACHMENT: Coastal Hazards Maps
PREPARED BY: Melissa Hetrick, Adaptation & Resilience Manager SUBMITTED BY: Alelia Parenteau, Sustainability & Resilience Director APPROVED BY: Kelly McAdoo, City Administrator
Vantor
Legend
El Estero WRC
Desalination Plant
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-3. Coastal Hazards,
Existing
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
ATTACHMENT
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-4. Coastal Hazards,
0.8 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-5. Coastal Hazards,
1.6 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-6. Coastal Hazards,
2.5 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Tidal Inundation
Water & Wastewater
Climate Adaptation Project
Figure 3-7. Coastal Hazards,
3.3 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-8. Coastal Hazards,
4.1 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex Yard
Pump Station & Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Hazards
Tidal Inundation
Shoreline Retreat
Coastal Storm Flooding (100-yr)
Coastal Storm Flooding (1-yr)
Water & Wastewater
Climate Adaptation Project
Figure 3-9. Coastal Hazards,
4.9 ft SLR
0 500 1,000
US Feet
0 0.15 0.3
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Vantor
Legend
El Estero WRC
Desal Plant & Annex
Yard
Pump Station &
Chemical Area
Sewer Manhole
Sewer Main
West Beach Sewer
Water Main
Desalination Intake
Recycled Water Main
Shoreline Retreat
0.8 ft SLR
1.6 ft SLR
2.5 ft SLR
3.3 ft SLR
4.1 ft SLR
4.9 ft SLR
Water & Wastewater
Climate Adaptation Project
Figure 3-24. Shoreline Erosion,
East Beach and West Beach
0 420 840
US Feet
0 0.1 0.2
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
Microsoft, Vantor
Legend
Sewer Manhole
Sewer Main
Water Main
Desalination Intake
Recycled Water Main
Shoreline Retreat
0.8 ft SLR
1.6 ft SLR
2.5 ft SLR
3.3 ft SLR
4.1 ft SLR
4.9 ft SLR
Water & Wastewater
Climate Adaptation Project
Figure 3-25. Shoreline Erosion,
Leadbetter Beach
0 137.5 275
US Feet
0 0.03 0.07
Miles
±
Notes
1. Erosion at West Beach is analyzed separately and
discussed further in the Wastewater and Water
Systems Climate Adaptation Plan.
CITY OF SANTA BARBARA
COUNCIL AGENDA REPORT
AGENDA DATE: December 9, 2025
TO: Mayor and Councilmembers
FROM: Fire Department
SUBJECT: Report on Community Risk Assessment and Standards of Cover Study, and Request Funding for Fire Station Location and Facility Master Plan [Resolution]
RECOMMENDATION: That Council:
A. Receive the attached report presenting the priority recommendations from the Community Risk Assessment and Standards of Cover Study that pertain to the adequate provision of fire services in the City of Santa Barbara; B. Authorize the Fire Chief to negotiate and enter into a consulting contract, approved as to form by the City Attorney, in an amount not to exceed $100,000 for a Station Location and Facility Master Plan;
C. Increase expenditure appropriations in the Fiscal Year 2026 Fire Department budget in the amount of $100,000 from Measure C Funds; and D. Adopt, by reading of title only, a Resolution of the Council of the City of Santa Barbara Amending Resolution No. 25-066, Adopting the Budget for Fiscal Year 2026, to Appropriate Funds for a Fire Station Location and Facility Master Plan.
DISCUSSION:
On January 11, 2022, City Council authorized the Fire Chief to execute a professional services agreement with AP Triton, LLC to conduct a Community Risk Assessment and Standards of Cover Study. Although the study was completed in March 2023, its presentation and implementation were delayed due to budget constraints and staffing changes. In August 2023, AP Triton was retained again to provide an updated analysis of response times and performance, which was published in April 2024.
Agenda Item No. 10
File Code No. 520.03
Council Agenda Report
Report on Community Risk Assessment, and Standards of Cover Study and Request Funding for Fire Station Location and Facility Master Plan [Resolution] December 9, 2025
On April 4, 2025, City Administrator Kelly McAdoo hired consultant Reva Feldman to develop a proposed implementation plan and schedule for the Standards of Cover recommendations. The presentation reflects her findings.
The Fire Department has two stations in need of replacement, one of which was built in 1929. Over the past 100 years, community needs and dispatching practices have evolved. To support informed decision-making, the Department requests funding to hire a consultant to assess fire facility locations, conditions, structural and spatial adequacy, and environmental and energy performance. The assessment will also evaluate compliance with current building and fire codes and relevant NFPA standards, including NFPA 1500 and 1710, with an emphasis on impacts to deployment, crew readiness, and overall service delivery.
BUDGET/FINANCIAL INFORMATION:
The Fire Department requests a $100,000 increase to FY 2026 expenditure appropriations, funded by Measure C. This will reduce future Measure C allocations for capital and facilties projects in the future.
ATTACHMENTS: 1. Community Risk Assessment and Standards of Cover Study
2. Performance Analysis Update 2024
PREPARED BY: Amy Van Atta, Fire Business Manager
SUBMITTED BY: Chris Mailes, Fire Chief
APPROVED BY: Kelly McAdoo, City Administrator
Santa Barbara City
FIRE DEPARTMENT
Santa Barbara, California
Community Risk Assessment
STANDARDS OF COVER
March 2023
ATTACHMENT 1
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department i
Contents
Acknowledgments.................................................................................................................... iv Executive Summary ................................................................................................................... v Short-Term Recommendations..............................................................................................ix Mid-Term Recommendations.................................................................................................x Long-Term Recommendations...............................................................................................x SECTION I: COMMUNITY RISK ASSESSMENT ...................................................................... 1 Community Characteristics....................................................................................................... 2 City of Santa Barbara............................................................................................................. 2 Santa Barbara County ........................................................................................................... 3 All Hazards Community Risk Assessment................................................................................. 4 Population & Demographics................................................................................................. 4 Additional Demographics ..................................................................................................... 9 Risk Classification..................................................................................................................... 15 Risk Assessment Methodology............................................................................................. 15 Land Use.................................................................................................................................... 24 Physical Assets Protected........................................................................................................ 26 Structural Risks....................................................................................................................... 26 Spatial Visualization of Data & Information............................................................................ 36 Environmental Hazards ........................................................................................................ 36 Critical Infrastructure................................................................................................................ 49 Comparison of Fire Risk in Other Communities...................................................................... 57 Fire & Life Safety & Wildland Urban Interface Review............................................................ 60 Implementing & Evaluating a Community Risk Strategy ...................................................... 66 SECTION II: STANDARDS OF COVER & DEPLOYMENT ANALYSIS .................................... 71 Santa Barbara City Fire Department....................................................................................... 72 History of the Santa Barbara City Fire Department ........................................................... 72 Fire Department Organizational Structure ......................................................................... 72 Services Provided by SBFD................................................................................................... 73 Mutual Aid & Other Regional Resources............................................................................ 75 Introduction to the Stakeholder Interviews ........................................................................ 77 Financial Analysis..................................................................................................................... 78 General Fund Historical Activity .......................................................................................... 78 Santa Barbara City Fire Department Historical Activity..................................................... 82 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department ii
Staffing & Personnel.................................................................................................................. 86 Administrative & Support Staffing........................................................................................ 86 Operations Staffing............................................................................................................... 88 Capital Facilities & Apparatus................................................................................................. 95 Santa Barbara Fire Stations.................................................................................................. 97 Apparatus & Vehicles Inventory........................................................................................ 112 Capital Medical & Rescue Equipment............................................................................. 117 Historical System Response Workload.................................................................................. 118 Service Demand................................................................................................................. 118 Resource Distribution.......................................................................................................... 126 Impact of Mutual Aid......................................................................................................... 127 Resource Reliability............................................................................................................. 130 Operational Performance Standards............................................................................... 132 Emergency Medical Services Performance..................................................................... 142 Performance Objectives & Measures................................................................................... 152 Population & Incident Workload Projections ................................................................... 152 SECTION III: PLAN FOR MAINTAINING & IMPROVING SERVICE DELIVERY................... 154 Plan Overview......................................................................................................................... 155 Plan: Research & Codify .................................................................................................... 155 Do: Implement the Plan..................................................................................................... 164 Check: Perform the Analytics............................................................................................ 165 Act: Improve Operations Based on the Analysis ............................................................. 166 Continuous Improvement.................................................................................................. 166 Implementing & Evaluating a Community Risk Strategy .................................................... 168 Community Risk Reduction Program ................................................................................ 168 Implementing a CRR Plan.................................................................................................. 172 SECTION IV: FINDINGS & RECOMMENDATIONS ........................................................... 174 Findings ................................................................................................................................... 175 Recommendations................................................................................................................. 179 Short-Term Recommendations.......................................................................................... 179 Mid-Term Recommendations............................................................................................ 186 Long-Term Recommendations.......................................................................................... 189 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department iii
SECTION V: APPENDICES................................................................................................ 190 Appendix A: Strategic Partners—Community Survey ......................................................... 191 Appendix B: Strategic Partners—Stakeholder Interviews.................................................... 223 Appendix C: Risk Classifications ........................................................................................... 238 Appendix D: Table of Figures ................................................................................................ 243 Appendix E: References ........................................................................................................ 248 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department iv
Acknowledgments
AP Triton Consulting wishes to extend its sincere appreciation to each individual whose contributions and assistance made this project possible.
City of Santa Barbara
Randy Rowse
Mayor
Kristen Sneddon
Councilmember, District 4
Alejandra Gutiérrez
Councilmember, District 1
Eric Friedman
Councilmember, District 5
Mike Jordan
Councilmember, District 2
Megan Harmon
Councilmember, District 6
Oscar Gutierrez
Councilmember, District 3
Our sincere appreciation is extended to each of you…
…and the City Manager, Fire Chief, Chief Officers,
Firefighters, officers, and support staff who daily serve the citizens and visitors of the City of Santa Barbara.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department v
Executive Summary
The Santa Barbara City Fire Department (SBFD) contracted with AP Triton, LLC to conduct a Center for Public Safety Excellence, 6th Edition-compliant Community Risk Assessment:
Standards of Cover report. This Community Risk Assessment: Standards of Cover report quantifies community risks and recommends standards of service.
Triton analyzed the data provided by SBFD and others to determine factors influencing risk, response performance, and identified opportunities for delivery system improvement inclusive of the extended EMS service area. This study identified response time objectives, standards for measuring the effectiveness of department resources, and the deployment of those resources. The document is divided into sections generally based on the format recommended by the Center for Public Safety Excellence, Community Risk Assessment:
Standards of Cover, 6th Edition.
The analysis completed during this study revealed a number of important findings:
• SBFD protects an assessed valuation of $23,599,163,000, numerous revenue and jobproducing businesses, and the economic vitality of the community. • Fire stations are strategically located and provide a response system consistent with risk and demand.
• Service demand and system analysis for 2020 and 2021 may be driven by the COVID-19 pandemic and associated societal measures taken to prevent its spread.
The research indicated a significant change in the utilization of emergency services.
It is supposed that many people were reluctant to call for medical aid, leave their homes, or travel during the pandemic. As a result, incident volumes for these years may not be what agencies might expect in less restrictive times. For this reason, further evaluation is warranted as non-pandemic data becomes available. • The incident volume indicated a significant dip during 2020, with a rebound in 2021 to levels more like pre-COVID-19 years. However, the number of responses may change significantly as the community recovers.
• The data provided for evaluating ALS service provided by the private provider was limited. Without complete records, the performance evaluation is incomplete. • The contract between the County and the ambulance company has been in effect since 2005 without substantial changes.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department vi
• Code 3, emergency response ambulance performance is unevenly distributed throughout the city. ALS response times appear to be difficult to achieve consistently.
• The ambulance company’s policy of reassigning units may not show in official contract evaluations because only the first unit on the scene is evaluated. This practice may be adding between 1:30 and 2:00 minutes on average to 8% of the emergency responses.
• Between 2019 and 2021, mutual aid partners responded to 460 medical incidents within the city of Santa Barbara. These mutual aid partners provided advanced life support paramedic level service on 267 of the 460 incidents. • Dispatch information exchange is not an automatic CAD-to-CAD system and requires additional dispatcher actions to initiate.
• The Santa Barbara County Fire Department is creating a regional fire and EMS communications facility. Santa Barbara City Fire Department is supporting this effort and will be contracting with the County for dispatch services. • Over 58% of all priority coded EMS dispatches require ALS resources. This equates to 30% of all incidents within the SBFD service area.
• Call processing and crew turnout times exceed NFPA recommendations. • Operational staffing levels are below the national and western-region levels. • Stations are not regularly inspected for fire and life safety issues. Most of the stations' fire alarm systems, smoke detectors, and carbon monoxide detectors were out of service or missing. Other safety systems are missing or out of service, such as eyewash stations and biological waste containers. Many locations with eyewash containers had an expired saline solution in the racks. • Some of the older stations are undersized for modern firefighting operations.
Notably, undersized stations included Stations 3, 4, 5, and 7. • There was no evidence of a capital improvement or station replacement plan. • Station maintenance appeared to be completed as reported and on a priority system with other City-owned properties.
• The SBFD Fire Prevention Division (FPD) has a robust Mission Statement that includes “eliminating the potential causes of fire” and “prevention of fires.” However, their activities focus on fire mitigation rather than prevention, as do most fire departments.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department vii
• Budget cuts during the pandemic lead to the elimination of one Inspector and administrative support to the FPD. Although some support is offered by other Divisions, the latter created a 10–15% increase in workload for staff. • The department lacks staff that is dedicated to the oversight of Emergency Medical Services programs.
• FPD staff deliver all services rather than specialize. This is optimum for efficiency as long as time and training are available to ensure they have the technical skills required to be a Plan Reviewer, Inspector, and Investigator. It is noted that the three wildland staff conduct plan review, inspection, and outreach only as related to the wildfire risk.
• SBFD does not have a current pre-incident planning process for commercial buildings.
• The city, fire, and building codes include amendments that address high risks in the city. However, there are no requirements for mandatory vegetation management or retroactive requirements for the home hardening of existing structures. • FPD activities, including engine company inspections and permit issuance, are well automated using ImageTrend Fire RMS and portable devices. The use of Accela for construction inspections and system installations is noteworthy as it interfaces directly with the Community Development Department process for maximum efficiency. The only part of the workload not automated is the weed abatement which still depends on mailed letters.
• SBFD completes approximately 6,000 inspections every two years. The Bureau handles state-mandated annual inspection of all occupancies except multi-family dwellings, which are assigned to engine companies on a two-year cycle. These buildings are high-risk occupancies in terms of fire loss, especially those without fire sprinkler protection. In addition, they are mandated by state law for annual inspections. There are approximately 3,600 multi-family parcels in the city, representing a significant portion of the inspection workload. • The Santa Barbara County Health Department is the CUPA for the County. SBFD is not a Participating Agency (PA) but does conduct inspections of hazardous materials storage, use, and handling, as well as permit issuance per the fire code.
This can lead to duplication of efforts and conflict in enforcement. • The fee schedule is not as comprehensive as allowed by best practices and does not appear to cover the entire cost of services billed.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department viii
• Public education programs are conducted by staff from another division in the department. The Public Outreach Coordinator and Emergency Services Manager also administer the CERT and LISTOS programs, which are excellent community resources. They also facilitate the bilingual delivery of messages and programs. Most of the programs provided appear to be basic/standard fire department programs rather than programs based on specific community risks. • The wildfire hazard in the city is extreme and the SBFD devotes resources commensurate with the risk to address it. However, defensible space inspections are neither routine nor is compliance mandatory. Research indicates that defensible space and home hardening are the most effective mitigation strategies for the protection of homes from wildfire.
• FPD staff are educated on the 2021 CWPP and award of projects and priorities. They are engaged in planning and securing funding for various projects but have not been successful in hiring the required workforce.
The analysis conducted during the evaluation phase of this process identified a number of opportunities to improve services. The following recommendations are offered for consideration. These recommendations are described in more detail at the end of this report.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department ix
Short-Term Recommendations
The short-term strategies listed in this report are a compilation of the recommendations aimed at improving the current conditions and levels of protection over the next one to two years.
• Place greater emphasis on the quality assurance of Fire Records Management data inputs.
• Modify response assignments so that all incident types can receive sufficient resources, based on risk.
• Improve Advanced Life Support (Paramedic) response coverage. • Consider creating a full-time position for EMS Program Administration. • Work with the City to establish a capital improvement and replacement program. • Continue to support the creation and place into operation the County-wide Regional Fire Communications Facility.
• Establish a station fire and life safety inspection program. • Place more emphasis on Pre-Incident Planning.
• Update the current Target Hazards list.
• Adopt a response time objective for each element.
• Negotiate a new agreement with the USFS for the continued operation of the modular unit at Station 7.
• Inspect all multi-family residential occupancies annually. • Review Incident Data Annually.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department x
Mid-Term Recommendations
The mid-term strategies are progressive enhancements of the current conditions. Many will likely require two to three years to accomplish.
• Consider Increasing staffing by one Firefighter per apparatus per shift resulting in four-person staffing on engines and the truck company.
• Repair, remodel, or replace the workout facility at Station 6. • Create a Community Risk Reduction Plan.
• Restore the Administrative and Inspector/Investigator positions eliminated during the pandemic.
• Continue educational programs that target identified community risks in both English and Spanish.
• Consider the use of technology to implement Community Wildfire Protection Plan strategies.
Long-Term Recommendations
The short- and mid-term strategies discussed will move the organization forward substantially. A longer-term, high-level view of future needs is also important to provide a “big picture” view of how the organization may continue with future initiatives. Primarily, long-term strategies are centered around community growth and related workload and how both impact the future deployment of personnel.
• Determine how to improve or find an alternate site for Fire Station 7.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 1 Section I:
COMMUNITY RISK ASSESSMENT
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 2 Community Characteristics
City of Santa Barbara
The City of Santa Barbara is on the southern coastline of Santa Barbara County and abuts the Santa Ynez Mountains, and is known at the American Riviera. The Santa Ynez Mountains is an east/west range, and the southern slope faces the city. The mountains can create unique Sundowner winds that increase wildfire threat. The city has unique characteristics that include the beaches, waterfront, history, and local attractions such as the Santa Barbara Botanic Gardens, Zoo, and Museum of Natural History Sea Center. The city has numerous festivals and events throughout the year for its citizens and visitors.
Portions of Santa Barbara are in the floodplain, and two significant earthquake faults zones cross the area: the Mission Ridge, and the Mesa-Rincon. Other earthquake faults in the area include the Lavigia Fault, the San Pedro Fault, and the San Jose Fault.
Native Americans originally inhabited the Santa Barbara area approximately 13,000 years ago. The Spanish established the first permanent settlement in 1782 and the population remained low until California became a part of the United States. The area began to grow in the 1850s, and the completion of Stearns Wharf increased commercial and tourist activity in the city. By 1901, the railroad between San Francisco and Los Angeles had opened. In 1925, a large earthquake destroyed many of the city’s buildings and when rebuilt, many were designed in the Spanish Colonial Revival style.
During World War II, the Santa Barbara Air Station Santa Barbara was commissioned and trained pilots for military service. After the war, most of the property became the Santa Barbara Municipal Airport. Growth slowed in the 1970s when the City restricted the population to a maximum of 85,000 people. The City focused on clean industry growth after a major leak from an oil pipeline in the Santa Barbara Channel. After the City connected to the state water supplies, growth increased, but the housing supply decreased. Employees drive to Santa Barbara from other communities to work, which burdens local highways. The estimated population from the 2020 Census is 90,911, and the median household income is $81,618.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 3 Santa Barbara County
Santa Barbara County is one of the 27 original counties in California and has 2,735 square miles of land area. The county has four islands: San Miguel, Santa Cruz, Santa Rosa, and Santa Barbara, which are located just offshore and are part of the Channel Islands National Park. Before European explorers found the area, the Chumash tribe of Native Americans inhabited Santa Barbara and other surrounding counties.
The climate varies from the coast, where the temperature typically remains below 100°F but can exceed that in the interior. In contrast, freezing temperatures can occur in the higher elevations of the Santa Ynez Mountains. The Los Padres National Forest encompasses most of the county's eastern side, while Vandenberg Space Force Base is along the western coastline northwest of Lompoc. Agriculture is the largest industry in the county, and in 2020, estimated at $1.8 billion. The Santa Maria Valley provides the highest concentration of high-quality soils and is the fastest-growing population area.1 The population in Santa Barbara County was 448,229, according to the 2020 Census. The median household income is $78,925, and the poverty rate is 12.9%.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 4 All Hazards Community Risk Assessment
Population & Demographics
The population and demographics can influence the type of services provided in a community. Social conditions such as poverty, the locations of high-risk areas, and housing types can impact the service delivery provided by SBFD.
Population
The City’s population can directly affect the service delivered by SBFD. Data from the California Department of Finance shows a population of 88,877 in 2011, increasing to 93,055 in 2021. The population increases during the day because of commuters and visitors to the city. The following figure shows the population estimates from 2011 to 2021.
Figure 1: Population Estimates, 2011–2021
At-Risk Populations
An area's population has different residents at higher risk of fires and other unintentional injuries. When an incident occurs, it affects service delivery for the department. The SBFD response area is considered urban but has other suburban areas, ranging from singlefamily homes and multi-family apartments. NFPA has identified groups with an increased risk of injury or death from a fire, as indicated in the following:2 • Children under five years of age
• Older adults over 65 years of age
• People with disabilities
• Language barrier
• People in low-income communities
88,877
89,474
90,640
91,629
92,358
92,877 92,663 92,759 92,927
93,225 93,055
88,000
90,000
92,000
94,000
2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 5 Data from the 2020 U.S. Census American Community Survey Data 5-year estimates identified several groups in these categories that are more likely to need emergency services, specifically EMS, than other populations.3
Age
A person's age in a high-risk population directly relates to an increase in unintentional injuries and death or injury from a fire. Older adults are 2.6 times more likely to die in a fire than the overall United States population. These age risks increase service demand, specifically for older adults needing additional medical care. 4 Children under the age of five are at more risk because of their inability to care for themselves and need additional assistance during an emergency. Recent trend data (2018) from the U.S. Fire Administration indicates that this age group's relative risk of dying in a fire has dropped 30% in the last 10 years and is credited to increased fire prevention and education. The percentage of children in Santa Barbara City under five is 4.7%, which is slightly lower than in California at 6.2%. The population of those over 65 is 19.6% in the city, which is higher than the state at 14.3%. The median age is 38.6 in the city compared to the state at 36.7. The following figure shows the percentage of children less than five years of age and those 65 years and older.
Figure 2: Population by Age Risk
4.7%
19.6%
6.2%
14.3%
0%
5%
10%
15%
20%
25%
< 5 years > 65 years
Santa Barbara California
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 6 Disabilities
The residential population with disabilities is 10.1% in Santa Barbara compared to the state at 10.7%. This population group may be unable to self-evacuate a building during an emergency or need additional medical services because of their disability. This may create additional demand for medical services, specifically as they age. The following figure depicts the percentage of households with a disability.
Figure 3: Percentage of Households with a Disability
10.1% 10.7%
0%
2%
4%
6%
8%
10%
12%
Santa Barbara California
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 7 Language Barriers
SBFD may encounter someone whose primary language is not English and will need additional help to communicate. The number of people over five speaking a language other than English is approximately 41.4%, slightly higher than the state at 39.7%. This population may not understand smoke alarm technology designed to provide early warning during a fire, increasing the risk of injuries or death in their home.
41.4% 39.7%
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
Santa Barbara California
Figure 4: Language Barriers
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 8 Income
Some populations may have lower incomes which can increase the risks of fires and medical illnesses. People living below the poverty level are considered at higher risk when combined with other factors such as education levels, disabilities, or unable to work. Lower incomes can lead to higher mental health impacts in the community. A report from the World Economic Forum states that depression and anxiety are nearly three times as likely in people with low incomes.5
The median household income is $81,618, higher than the state's $78,672. Only 12.3% of the population in Santa Barbara is considered to be in poverty, slightly less than the state at
12.6%. The following figure provides the percentage of people in poverty compared to the State of California.
12.3% 12.6%
0.0%
1.0%
2.0%
3.0%
4.0%
5.0%
6.0%
7.0%
8.0%
9.0%
10.0%
11.0%
12.0%
13.0%
Santa Barbara California
Figure 5: Percentage of the Population in Poverty
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 9 Additional Demographics
Persons without Health Insurance
Populations without adequate health care can challenge service delivery and increase the rate of medical incidents. Lack of health insurance may affect lower-income populations at a higher rate since they cannot pay for medical visits. An estimated 10.3% of the population is without health insurance in Santa Barbara compared to 7.2% in the state.
The following figure provides the percentage of people with no health insurance.
10.3%
7.2%
0%
2%
4%
6%
8%
10%
12%
Santa Barbara California
Figure 6: Population with No Health Insurance
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 10 Education Levels
Educational attainment is not considered one of the at-risk populations but is recognized as another risk group when developing fire and life safety education programs. In Santa Barbara, 4.9% of the population does not have a high school diploma compared to 7.2% of the state, while 12.0% have at least a high school diploma, compared to 20.4% in the state. Approximately 50.1% have a bachelor's degree or higher in Santa Barbara, compared to the state at 34.7%. This group of people with lower education levels may fall into other categories, such as lower incomes and no health insurance. The following figure provides information on the education levels in Santa Barbara as compared to the State of California.
Figure 7: Education Levels
4.9% 12.0%
50.1%
7.2%
20.4%
34.7%
0%
10%
20%
30%
40%
50%
60%
9th to 12th Grade, no diploma High School Graduate Bachelor's Degree or Higher Santa Barbara California
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 11 Race & Ethnicity
Race is considered a person's identification with a social group such as White, Black, African American, and Asian, while ethnicity identifies someone based on nationality, religion, language, or culture. The following figure shows how race and ethnicity are represented in Santa Barbara compared to the state.
Figure 8: Race & Ethnicity
Race & Ethnicity Santa Barbara California
White alone 76.1% 71.9%
Black or African American alone 1.6% 6.5%
American Indian & Alaskan alone 0.7% 1.6%
Asian alone 3.9% 15.5%
Native Hawaiian & Other Pacific Islander alone 0.1% 0.5% Two or more races 7.1% 4.0%
Hispanic or Latino (of any race) 36.7% 39.4%
White alone, not Hispanic or Latino* 55.8% 36.5%
*White alone, not Hispanic or Latino are individuals who responded "No, not Spanish/Hispanic/Latino" and who reported "White" as their only entry in the race question. Data was sourced from the U.S. Census.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 12 Housing Characteristics
Housing types can vary in a community and provide insight into ownership, the age of the home, and the number of units in the building. The city has approximately 38,208 housing units, while 2,825 are vacant. Vacant structures can pose a risk for the fire department and community if the building is not secured to prevent entry. If the building is not maintained, the structural integrity can degrade and present problems during a fire. Vandalism may create additional problems for the fire department and law enforcement.
Data from the NFPA states that from 2015 to 2019, 75% of fire deaths occurred in homes, and 57% were male.
Housing Ownership
Home ownership in Santa Barbara is 41.3% compared to the state at 55.3%. The next figure shows the percentage of owner- and renter-occupied housing.
Figure 9: Owner & Renter-Occupied Housing
41.3%
58.7% 55.3%
44.7%
0.0%
10.0%
20.0%
30.0%
40.0%
50.0%
60.0%
70.0%
Santa Barbara California
Owner Occupied Renter Occupied
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 13 Age of Housing
As buildings age, the cost of maintaining the structure increases over time. Homes built before smoke alarm installation requirements create a higher risk if none are present.
Homes built before 1980 make up 75% of the housing in Santa Barbara, which is before most building code requirements for smoke alarm installations. Working smoke alarms have reduced fire death and provided an early warning during the event of a fire. New codes now require smoke alarms for new residential properties in each bedroom, hall, and floor.
The preceding figure provides the age of housing by decade.
Figure 10: Age of Housing
1%
2%
4%
7%
11%
14%
17%
18%
7%
19%
2%
2%
11%
11%
15%
18%
13%
13%
6%
9%
0%
5%
10%
15%
20%
25%
2014 or
later
2010–
2013
2000–
2009
1990–
1999
1980–
1989
1970–
1979
1960–
1969
1950–
1959
1940–
1949
1939 or
earlier
Santa Barbara California
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 14 Housing Units
The number of people living in one- or two-family dwellings is 61% compared to the state at 67%. This high percentage is reflective of home ownership. The following figure lists the percentage of buildings by housing units.
Figure 11: Housing Units per Building
61%
8%
9%
8%
12%
1%
67%
5%
6%
5%
13%
4%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
1-2 3–4 5–9 10–19 > 20 Mobile
Santa Barbara California
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 15 Risk Classification
Risk Assessment Methodology
Developing a risk score to determine risks in a community is necessary to provide an organization with a method for creating response protocols for an incident. The Three-Axis Heron model establishes a score by reviewing probability, consequence, and impact factors and assigning a score between 2–10 in each category.6 A description of the incident types for each risk is located in Appendix C.
Use of the Three-Axis Heron Formula includes the following equation.
The risk is graphically illustrated through a three-axis model as follows:
▪ P = Probability (Y-Axis)
▪ C = Consequences (X-Axis)
▪ I = Impact (Z-Axis)
The following figure summarizes the three-axis risk classification process and how a score is developed.
Figure 12: Three-Axis Risk Classification Process
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 16 When developing the score, each of the three scoring components is based on SBFD incident data. An example of a low-risk fire response scoring is based on the probability of that type of incident occurring. Most low-risk incident types are frequent (occurring multiple times a day), but the consequence to the community and impact to the City is low. The probability of a low-risk incident in the city is 8 (high), while the consequence and impact are 2 (low). These numbers are placed into the above formula to create a score of
16.2. The score will increase dramatically for a maximum risk, although the probability is low (2), because the consequence to the community is an 8, and the impact on SBFD is the highest at 10, which gives a score of 59.4.
These scores are designed to provide information to SBFD to determine the level of service required for the community. The probability of an incident may affect response times if multiple events occur at the same time. Even if the risk is low, it will place an apparatus out of service for the response. The higher the score, the greater the risk in the community.
Although the highest risk score available is 122.5, the probability of this type of event occurring is low. The following information provides additional information on probability, consequence, and impact.
Probability
Probability is the likelihood of an incident occurring in the community over time. This axis reflects the probability of a particular type of incident occurring (which contributes to the level of risk). Many factors are considered, including the time of day, location, hazard present, season of the year, building construction and maintenance, demographic factors, and more. It can range from a rare event to one that occurs often. The following figure defines probability categories.
Figure 13: Probability or Likelihood of Occurrence
Score Category Probability or Likelihood
2 Minor Unlikely: < 0.02% of total call volume. Expected to occur very rarely. 4 Low Possible: 0.02%–0.07% of total call volume. Expected to occur rarely.
6 Moderate Probable: 0.07%–0.3% of total call volume. Expected to occur monthly.
8 High Likely: 0.3%–2% of total call volume. Expected to occur multiple times per week.
10 Extreme Frequent: > 2% of total call volume. Expected to occur one or more times per day.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 17 Consequence
The consequence of an incident can vary from minor casualties to severe impacts that may destroy historical or major facilities in the community and create a large loss of employment or life. The following figure defines consequence categories.
Figure 14: Consequence to the Community
Score Category Consequence to the Community
2 Minor 1–2 people affected (injuries/deaths). < $10,000 loss. 4 Low < 5 people affected (injuries/deaths). < $500,000 loss. 6 Moderate 5–50 people affected (injuries/deaths). $500,000–$1,000,000 loss. 8 High 51–100 people affected (injuries/deaths). $1,000,000–$5,000,000 loss. 10 Extreme >100 people affected (injuries/deaths). > $5,000,000 loss.
Impact
The third factor in determining the risk is the fire department’s impact and the critical tasking needed to control or mitigate an incident. This includes the number of emergency responders and apparatus available, whether available internally or from external agencies. It measures the department’s ability to respond to a given risk or incident while still providing service to the remaining parts of the city. The following figure defines impact categories.
Figure 15: Impact on Operational Forces
Score Category Impact on Operational Forces
2 Minor ≥ 90% Remaining Apparatus/Crews
4 Low ≥ 75% Remaining Apparatus/Crews
6 Moderate ≥ 50% Remaining Apparatus/Crews
8 High ≥ 25% Remaining Apparatus/Crews
10 Extreme < 25% Remaining Apparatus/Crews
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 18 Fire Response
SBFD is the primary provider of mitigation of fire-related incidents. These range from low-risk incidents, such as a vehicle fire to a maximum risk incident for a fire involving a school. Fire risks for a vehicle fire are considered low compared to a maximum risk for a school that houses students. This scoring is applied to four different categories of fire incidents in SBFD’s response area to provide staffing needs to meet critical tasks on the fire ground. The following figures provide the fire response risk assessment scoring and the three-axis risk classifications.
Figure 16: Fire Response Risk Assessment
Description Low Moderate High Maximum
Risk Score
P C I P C I P C I P C I
8 2 2 4 4 4 2 6 8 2 8 10
Score Assigned 16.2 19.6 36.8 59.4
Figure 17: Fire Three-Axis Risk Classifications
0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Maximum
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 19 Emergency Medical Services Response
SBFD provides basic life support emergency medical care in the city, and AMR provides advanced life support and transport services. Low-risk incidents range from a medical assist to a maximum-risk incident for a multi-victim event. The following figures provide the risk score and classifications assigned to each type of EMS risk. The following figures provide the EMS response risk assessment scoring and the three-axis risk classifications.
Figure 18: EMS Response Risk Assessment
Description Low Moderate High Maximum
Risk Score
P C I P C I P C I P C I
10 2 2 4 2 2 2 6 6 2 8 8
Score Assigned 20.2 8.5 28.1 48
Figure 19: EMS Three-Axis Risk Classifications
0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Maximum
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 20 Technical Rescue Response
Rescue services can vary from a low-risk incident, such as accessing a locked vehicle with a child inside, to a confined space incident (maximum risk) that potentially requires many personnel to mitigate the incident. The following figures provide the risk score and classifications assigned to each type of technical rescue risk in SBFD’s response area. The following figures provide the technical rescue response risk assessment scoring and the three-axis risk classifications.
Figure 20: Technical Rescue Response Risk Assessment
Description Low Moderate High Maximum
Risk Score
P C I P C I P C I P C I
2 2 2 2 4 4 2 6 6 2 8 10
Score Assigned 4.9 13.9 28.1 59.4
Figure 21: Technical Rescue Three-Axis Risk Classifications 0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Maximum
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 21 Hazardous Materials Response
Hazardous materials responses can vary from low-risk odor investigations to the maximum risk for a fuel tanker fire in higher populated areas. Most of these incidents can be managed by SBFD, but higher risks may need assistance from outside resources. The following figures provide the risk score and classifications assigned to each type of hazardous materials risk. The following figures provide the scoring of the hazardous materials response risk assessment and the three-axis risk classifications.
Figure 22: Hazardous Materials Response Risk Assessment Description Low Moderate High Maximum
Risk Score
P C I P C I P C I P C I
8 2 2 2 4 4 2 6 8 2 8 10
Score Assigned 16.2 13.9 36.8 59.4
Figure 23: Hazardous Materials Three-Axis Risk Classifications 0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Maximum
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 22 Wildland Fires Response
The types of wildland fire risk vary from small grass fires to large forest fires requiring many internal and external resources. The following figures provide the risk score and classifications assigned to each type of wildland fire risk in SBFD’s response area. The wildland fire risk only includes low, moderate, and high since a maximum risk would also be a state and federal response. The score assigned for a high risk (73.5) is significant because of the maximum scores of ten for the consequence to the community and impact on SBFD.
This incident type will strain the community and emergency services. The following figures provide the wildland fire response risk assessment and the three-axis risk classification scoring.
Figure 24: Wildland Fires Response Risk Assessment
Description Low Moderate High
Risk Score
P C I P C I P C I
2 2 2 2 6 8 2 10 10
Score Assigned 4.9 36.8 73.5
Figure 25: Wildland Fires 3-Axis Risk Classifications
0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 23 Aircraft Rescue & Firefighting
Aircraft emergencies can range from minor fuel leaks to crashes involving multiple casualties or victims. A large incident requires additional internal and external resources to manage the incident. The following figures provide the risk score and classifications assigned to each aircraft rescue and firefighting fire risk type in SBFD’s response area.
Figure 26: Aircraft Rescue and Firefighting Response Risk Assessment Description Low Moderate High Maximum
Risk Score
P C I P C I P C I P C I
2 2 2 2 4 8 2 6 8 2 8 10
Score Assigned 4.9 25.9 36.8 59.4
Figure 27: Aircraft Rescue and Firefighting Three-Axis Risk Classifications 0 2
4 6
8 10
Low
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Moderate
Risk
Impact Consequence
Probability
0 2
4 6
8 10
High
Risk
Impact Consequence
Probability
0 2
4 6
8 10
Maximum
Risk
Impact Consequence
Probability
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 24 Land Use
The concept of land use regulation is to provide attractive social and environmental outcomes to assist in the efficient management of development. Land use for a community is designed to assign a classification for properties within a geographical area generally under governmental control. Zoning areas may vary from one portion of the service area with a mixture of low-, moderate-, and high-risk properties. • Low Risk: Areas zoned for agricultural purposes, open spaces, low-density residential, and other low-intensity use.
• Moderate Risk: Areas zoned for medium-density single-family properties, small commercial and office uses, low-intensity retail sales, and similarly sized business activities.
• High Risk: High-intensity business districts, mixed-use areas, high-density residential, industrial, storage facilities, and large mercantile centers.
In December 2011, Santa Barbara updated their General Plan to guide the City's future growth. The plan identified five policies for consideration when approving projects in the city, including economic and fiscal health, historical and community character, growth management, public and community health, and energy and climate change.
In 1982, the City’s charter was amended to state that “land development shall not exceed its public services and physical and natural resources… All land use policies shall provide for a level and balance of residential and commercial development which will effectively utilize, but not exhaust, the City’s resources in the foreseeable future.” 7 The city is largely built out, and new growth occurs because of the redevelopment of primarily mixed-use buildings with first-floor commercial and upper residential floors because of the lack of available housing. Other redevelopments may include purchasing an existing house that is demolished and a new, larger home built in its place. The following figure from the 2020 and 2021 General Plan Annual Progress Reports shows the number of proposed units and what was approved by the City.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 25 Figure 28: City of Santa Barbara Proposed & Approved Housing Units Year Proposed Units Approved Units
2020 374 69
2021 248 99
Figure 29: Zoning Classifications
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 26 Physical Assets Protected
Commercial occupancies or properties are considered target hazards in every community because of the special or unique risks to emergency responders and the occupants during an incident or event. Each of these occupancies should have up-to-date pre-incident surveys completed annually. The surveys allow responders to become familiar with the building, property, and special hazards.
During an incident, these occupancies and facilities should have a current pre-incident plan for SBFD operations personnel. The pre-incident plan provides emergency responders with information about potential hazards and can help them develop strategies and tactics during an incident. The current pre-incident planning process is lacking, and SBFD should develop a system to ensure all target hazards and other commercial buildings have up-to-date pre-incident plans. Pre-incident plans should be available in digital format for operations personnel when responding or while on the scene of an incident.
Structural Risks
The risks created by residential or commercial occupancies, for those in a building and emergency responders, increase based on the type and use of a building. The following figure lists the occupancy types and how many are shown on the following maps.
Figure 30: Occupancy Types
Type Number of
Occupancies
Schools 34
Childcare 72
Assembly 37
Medical Facilities 2
Congregate Care 35
Multi-family 7,156
Buildings 3 or more stories 45
50,000 Sq. Ft. or Greater 25
Large Fire-Flow 137
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 27 Educational & Childcare Facilities
Public and private schools and childcare facilities increase risks in any community and require substantial assistance during a significant event such as a mass casualty or fire response. Numerous schools and childcare facilities require inspections and pre-incident plans to ensure the property is safe and that emergency responders are familiar with the location and site-specific hazards. The following figures provide the location of schools and childcare occupancies.
Figure 31: Schools
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 28 Figure 32: Childcare Occupancies
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 29 Assembly
Gathering large groups of people in a single location or building increases risks in locations such as a place of worship, entertainment venue, or eating establishment. Outdoor special events such as a street fair or other mass gatherings may require a public safety plan in accordance with California Fire Code. This plan should include emergency vehicle access and egress, fire protection, emergency medical services, public assembly areas, directing of vehicular traffic and attendees, vendor, and food concessions, need for law enforcement, fire or EMS personnel, and weather monitoring. The following figure provides the location of assembly occupancies in the SBFD response area.
Figure 33: Assembly Occupancies
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 30 Medical Facilities
These types of buildings are where occupants may be unable to leave without assistance from the staff. These locations may contain medical gases that can create additional risks for emergency responders during a fire and completing up-to-date pre-incident plans is necessary.
The primary medical facility for the area is the Santa Barbara Cottage Hospital which has 519 beds. It is the largest hospital between Los Angeles and the San Francisco Bay area.
The hospital is an emergency trauma center and offers many medical services. The following figure shows the locations of medical facilities.
Figure 34: Hospitals
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 31 Congregate Care Facilities
As people age, additional care may require them to seek a facility to meet their needs.
Depending on their mobility or cognitive conditions, they may need more assistance evacuating the building. Staff should have developed plans for removing the occupants or patients during an emergency. These locations require additional fire protection systems to protect the occupants like a hospital. Special locking arrangements for areas where patients with dementia or Alzheimer's are living are allowed to prevent them from leaving the facility per the California Fire Code. The following figure provides the location of congregate care facilities in the SBFD response area.
Figure 35: Congregate Care Facilities
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 32 Multi-family Occupancies
Although multi-family housing has fewer fires caused by electrical or heating malfunctions, the risk of cooking fires is twice the rate of other types of building fires.8 Updated building and fire codes now require these buildings to have a residential fire sprinkler system installed, and interconnected smoke alarms in all bedrooms, hallways, and floors for new construction and any redevelopment where city ordinances require these fire protection features. These fire protection systems are designed to provide enough time for the occupants to evacuate the building. The following figure shows the locations of multifamily dwellings.
Figure 36: Multi-family Occupancies
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 33 Buildings Three or More Stories in Height
Structures that are three or more stories in height require a response of an aerial apparatus with elevated master stream capabilities. The Insurance Services Office (ISO) reviews the coverage area for a ladder truck for all buildings within 2.5 miles. A ladder truck may be necessary to access these higher buildings' upper floors or roofs since most ground ladders cannot reach these heights. The following figure displays the location of buildings more than three stories in height.
Figure 37: Buildings Three or More Stories in Height
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 34 Large Square Footage Buildings
Large buildings, such as warehouses, strip malls, and large “box” stores, need greater volumes of water for firefighting and require more Firefighters to advance hose lines long distances into the building. Although the number of large square footage buildings is low, the fire flow may be greater for smaller buildings because of construction type, distance to exposures, and lack of built-in fire protection systems such as fire sprinklers. The following figure is based on data from ISO and shows the locations for buildings 50,000 square feet and larger.
Figure 38: Buildings 50,000 Square Feet and Greater
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 35 Large Fire Flow Occupancies
Other buildings may require a higher amount of water to extinguish a fire. These occupancies can present a problem if the needed water is less than what is available from the water supply from hydrants or other water sources. The following figure shows the occupancies with a needed fire flow greater than 3,000 gallons per minute.
Figure 39: Large Fire-Flow Occupancies
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 36 Spatial Visualization of Data & Information
Environmental Hazards
All communities are continually threatened by physical hazards daily. Hazards can range from wildfires, earthquakes, tsunamis, flooding from heavy rains, or droughts. Mitigation plans provide public and emergency responders with information to understand the risks and prepare for an event.
Weather Conditions
The climate can affect SBFD’s service area year-round and may impact emergency response. Whether it is a thunderstorm or other weather event, SBFD must respond when requested.
Temperature
The weather conditions in an area can impact the fire department and the entire community during the year.9 When temperatures are high, they affect Firefighters during extended incident operations and require rehabilitation to prevent heat exhaustion. The average high temperatures range from a low of 65°F during December and February to a high of 76°F from August to October. The following figure provides the average monthly high temperature.
Figure 40: Average Monthly Daily High Temperature (2010–2011) 66 65 67
69 70 71
74 76 76 76
70 65
55.0 60.0
65.0 70.0
75.0 80.0
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 37 The average daily low temperature occurs in December at 41°F, and the warmest is during July and August at 59°F. The following figure shows the average daily low temperatures.
Figure 41: Average Monthly Daily Low Temperature (2011–2021) Winds
Wind speed and direction influence how SBFD manages events such as a wildfire or hazardous materials incidents. The highest average winds occur between March and August of each year.10 Sundowner winds impact Santa Barbara during wildfire season.
Sundowners originate from the north in the Santa Ynez Mountains and produce offshore winds opposite the normal directions onshore. The following figure shows the average monthly wind speeds.
42 43
46 49 52
56 59 59 57
52 45
41 30.0
35.0 40.0
45.0 50.0
55.0 60.0
65.0 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 38 Figure 42: Average Wind Speeds at Santa Barbara Airport The prevalent winds are from the west southwest and southeast, as shown in the following figure from the wind rose from the NWS Santa Barbara Airport reporting station.
Figure 43: Wind Rose—Santa Barbara Airport (1972–2021)
5 6
6 7 7
6 6
6 5
5 5 5
3.0 3.5
4.0 4.5
5.0 5.5
6.0 6.5
7.0 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 39 The terrain in the mountains can create different wind conditions as the elevation increases. The following wind rose is from the Santa Barbara Botanic Garden, which is 260 meters (853 feet) above sea level. The prevalent winds from this location are more from the southwest and east-northeast. The highest winds from the north-northeast occur between February and April, with other spikes in December based on data from 2012 to 2021.
Figure 44: Wind Rose—Santa Barbara Botanic Gardens (2012–2021) Precipitation
The lack of precipitation for an extended period creates problems in a community.
Drought increases the hazards of wildland fires as the vegetative moisture content decreases and generates higher combustible fuels. Insufficient rainfall affects the ability to grow crops and maintain landscaping. The months with the highest precipitation occur between December and March, as shown in the following figure.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 40 Figure 45: Average Monthly Precipitation (2011–2021) The next figure shows the current severe drought condition in Santa Barbara.
Figure 46: Drought Conditions (September 2022)1
Physical Hazards
A physical hazard is generally described as a natural disaster or weather event that affects the community. The event may last a few hours or extend for a lengthy period, such as a heatwave or drought. The National Weather Service (NWS) issues advisories, watches, warnings for these hazards when conditions exist or are in the immediate forecast.
3.3 2.1
2.7 0.5 0.3 0.16 0.0 0.00 0.0 0.5
0.9 2.6
0.0 0.5
1.0 1.5
2.0 2.5
3.0 3.5
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 41 Earthquakes
The County of Santa Barbara and the City of Santa Barbara are in highly seismic activity zones. The movement of the continental plates causes this area’s high risk of an earthquake, much like most of California. There are several faults in Santa Barbara and the surrounding region, including the Mission Ridge Fault system, the Mesa-Rincon Creek fault zone, Lavigia fault zone, the San Pedro fault, and San Jose fault.
The most recent significant earthquake was in 1978, when small earthquakes occurred in the Santa Barbara Channel and caused oil and tar to wash ashore on local beaches. This is common when these products escape from seeps in the earth’s crust. These small earthquakes ultimately led to a 5.7 magnitude event on August 13, 1978. Sixty-five people were treated for injuries after the earthquake, but no deaths occurred.
Liquefaction during an earthquake creates additional concerns based on the soil type.
When an earthquake occurs, the shaking causes the soil to become loose, and if there is high water content, the building or structure’s foundation may fail and collapse. The areas of concern are primarily along the coast.
Figure 47: Earthquake Risk
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 42 Wildland Fires
The impact of a wildfire in Santa Barbara is significant. The wildland urban interface area bordered by the Santa Ynez Mountains, presents the highest risks in the city. Previous large fires impacting the area include the 1990 Paint Fire, 2008 Tea Fire, 2009 Jesusita Fire, and the 2017 Thomas Fire. The 2021 Community Wildfire Protection Plan (CWPP) identified the terrain, weather, fuels, development patterns, SBFDs response, and building density. These factors helped determine the High Fire Hazard Areas (HFHA) and where vegetative management and fuel treatment is recommended.
The utilization of technology to determine the optimal locations for fuel treatments is designed to reduce the impact of a fast-moving wildfire. The effects of ember cast on residential and commercial areas where proper mitigation efforts have not taken place are necessary to protect the community. Sundowner winds are created when the winds come from the Santa Ynez Mountains instead of the typical onshore wind flow from the ocean. These high winds during low humidity conditions pose an extreme risk to inhabited areas as the Santa Ynez Mountains descend to the coast.
The 2021 CWPP reviewed the HFHA zones identified in the 2005 CWPP. These four areas were classified as extreme foothill, foothill, coastal, and coastal interior and are defined in the following section.
The Extreme Foothill zone is broken into three areas along the City's northern section: West Mountain Drive, upper Gibraltar Road, Parma Park, Coyote Road, upper San Roque Road, and upper Santa Teresita Drive in the Cielito and Foothill residential neighborhoods. This area is 724 acres and contains 173 structures; the area has steep and winding roads, and in many cases, the driveways are long and may present access issues. The elevation of these areas ranges from 450 to 1,250 feet above mean sea level (AMSL) and has dense chaparral and oak forests. These areas are subjected to Sundowner Winds that create a funnel effect as they travel down the mountain slopes. SBFD has identified this area as a last line of defense for suppression efforts before impacting higher populated areas.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 43 The Foothill Zone is divided into two sections and adjoins the Extreme Foothill Zones. This zone includes the neighborhoods of Cielito, Riviera, Lower Riviera, Eucalyptus Hill, Foothill, Upper East, and the San Roque area around Stevens Park. Slopes of 20% to 40% are located in this zone and angled to the southeast, south, and southwest. Elevations range from 100 feet to nearly 1,050 feet AMSL and contain chaparral, oak forest riparian vegetation, eucalyptus groves, and other landscaped fuels in the residential areas.
Considerable accumulations of dense eucalyptus groves grow in this area, and dead fuels increase the hazard. Although there is some high-density development, most are considered low to moderate density development in the zone, containing 4,347 buildings and 2,827 acres. Various types of roads travel in and through this zone ranging from wider streets, while others are similar to the Extreme Foothill Zone with narrow and steep winding roads. Critical infrastructure includes Montecito Country Club, Riviera Business Park, Cater Water Treatment Center, Sheffield Treatment Plant, and Fire Station No. 7.
The Coastal Zone is in the city's southwestern section and includes the residential neighborhoods of Campanil Hill and Hidden Valley. The elevations range from 150 to 600 AMSL, and slope from 10% to 35%. The density of residential properties is low, with only 363 buildings on 524 acres. Most fuels are coastal sage scrub, grassland, and ornamental plants and intermixed with residential areas, while areas of moderate fuels such as chaparral are interspersed throughout the zone. The winds are primarily from the ocean, but canyons in the area create Sundowner conditions during late summer and early fall. Streets in the zone vary in size, but numerous long driveways exist to access the property.
The Coastal Interior Zone is located in the southeastern portion of the City and includes part of the Alta Mesa, the hillside areas of the Westside neighborhood, portions of the East and West Mesa, and Bel Air residential neighborhoods, and part of Elings Park. Slopes of 10% to 35% are in this zone, and the elevation ranges from 250 to 450 feet AMSL. There are 755 buildings in this zone, covering 702 acres. Vegetation is diverse and includes dense chaparral, oak forests, coastal sage shrub, landscaped vegetation, agricultural lands, and eucalyptus groves. Although canyons are in the zone, they do not align with the hot, dry winds associated with higher-risk areas. Ocean breezes affect the weather conditions, which allow low temperatures, higher humidity, and fuel moisture. When Sundowner winds occur, the risk substantially increases.
The Santa Barbara Municipal Code requires all HFHA properties to meet the defensible space standards throughout the year. These properties must create an effective fuel break around their property to remove brush or vegetative materials based on the HFHA.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 44 • Coastal Interior Zone: 30 to 50 feet of defensible space required from structure • Coastal Zone: 50 to 70 feet defensible space required from structure • Foothill Zone: 100 feet defensible space required from structure • Extreme Foothill Zone: 150 feet defensible space required from structure Evacuation plans have been created to assist the public if they need to leave their homes.
The Santa Barbara Police Department and Santa Barbara County Sheriff’s Department coordinate any evacuations in the HFHAs utilizing reverse 911 to notify residents. The County Operational area is planning to implement Zonehaven to support the community during an evacuation. This software can provide information based on the homeowner's address and provide them with up-to-date information on the event.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 45 The following figure shows the wildfire risk zones for Santa Barbara.
Figure 48: Wildfire Risk Zones
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 46 Santa Barbara is considered a local responsibility area, and the following figure provides the fire hazard severity zones from CAL FIRE.
Figure 49: Local Responsibility Area Fire Hazard Severity Zones Flooding
Climate change and its potential impact will affect flooding in the future based on how quickly the sea rises. Flooding can occur because of varying factors that can impact the response by emergency services. The terrain, impervious surfaces, rainfall amounts, a breached dam or levee, or insufficient infrastructure to contain runoff can increase the chance of a flood event. Streams that empty into the Pacific Ocean may carry higher amounts of vegetative materials growing during dry years and increased sedimentation when excessive rainfall occurs. Heavy rainfall after an extensive wildfire event can cause debris flows or a landslide when the fire destroys all the vegetative shrubs or plants. An example occurred after the Thomas Fire in Montecito in January 2018, killing 23 people.
Portions of Santa Barbara fall within the FEMA classified flood zones. According to FEMA's website, "AE," regulatory floodways areas are along the creeks and streams that terminate at the Pacific Ocean. This includes Arroyo Burro Creek, Atascadero Creek, Mission Creek, and numerous other creeks and their tributaries. Zone “VE” is located along the beaches.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 47 • “AE” designation is considered "Areas subject to inundation by the 1-percentannual-chance flood event determined by detailed methods." and is further defined as a 26% chance of a flood occurring in 30 years. Base flood elevations (BFE) are created from a detailed hydraulic analysis.
• “A” designation is a flood zone within the 100-year floodplain, but a detailed hydraulic analysis has not been performed.
• “VE” designation is in the 100-year floodplain and includes storm waves and are measured from BFEs.
The following figure shows the location of FEMA flood zones.
Figure 50: Flood Zones
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 48 Tsunami
A tsunami occurring along the coast of Santa Barbara is considered a medium impact according to the HMP and has a low probability. Although the likelihood of an event is low, the impact of a tsunami could be felt as far as 3,000 feet inland. These areas would be inundated with water and debris picked up as the water and waves travel inland. Critical facilities that may become affected by a tsunami include the airport terminal, airport terminal museum, marinas, El Estero Wastewater Treatment Plant, and the local waterfront.
The following figure shows the locations where tsunami inundation could occur.
Figure 51: Tsunami Risk
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 49 Critical Infrastructure
Critical infrastructure and key resources (CIKR) explain what is crucial for a community to function in a modern economy. Critical infrastructure is defined as a sector “whose assets, systems, and networks, whether physical or virtual, are considered so vital to the United States that their incapacitation or destruction would have a debilitating effect on security, national economic security, national public health or safety, or any combination thereof.” There are sixteen defined Critical Infrastructure Sectors (CIS):11 • Chemical Sector
• Commercial Facilities Sector
• Communications Sector
• Critical Manufacturing Sector
• Dams Sector
• Defense Industrial Base Sector
• Emergency Services Sector
• Financial Services Sector
• Food and Agriculture Sector
• Government Facilities Sector
• Healthcare and Public Health Sector
• Information Technology Sector
• Nuclear Reactors, Materials, & Waste Sector
• Transportation Systems Sector
• Water and Wastewater Systems Sector
• Energy Sector
All these sectors may not be in Santa Barbara; each community must determine critical infrastructure locations and develop pre-incident plans for responding personnel.
Other buildings to consider as target hazards could include occupancies with a potential for a significant loss of life, such as places of public assembly, schools and childcare centers, medical and residential care facilities, and multi-family dwellings. Other considerations include buildings with substantial value to the community—economic loss, replacement cost, or historical significance—that, if damaged or destroyed, would have a significant negative impact.
Highways & Roads
Emergency personnel need a transportation network to respond efficiently to an incident.
A delayed response can occur without a system of interconnected roads and streets.
Interconnectivity provides multiple access points to a location if another approach is unavailable. Many of the streets in Santa Barbara are on a grid system, while others are winding and interspersed with cul-de-sacs with only one access point.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 50 The topography changes as the city extends into the hills overlooking the coast. These streets and roads have many turns, reducing emergency responders' speed. These homes are in the higher hazard wildfire risk zones, and during an evacuation, these roads may become congested as people leave the area.
The primary roads and highways in Santa Barbara include CA 192, CA 144, CA 154, CA 225, US Hwy 101, and many collector streets, including State St, Alameda Padre Serra, Las Positas Rd, W Carrillo St, N Milpas St, and Alston Rd. US Hwy 101 is the primary thoroughfare through SBC, and a significant closure will impact the city. Issues include major traffic delays and the impact on city streets or delayed response from outside resources during a significant event. The below figure provides the annual average daily traffic counts for highways and local streets in SBC.
Figure 52: Average Annual Daily Traffic Counts
Location Avg. Annual Daily
Traffic—Vehicles
Avg. Annual Daily
Traffic—Trucks
US 101 at Route 154 85,000 4,386
US 101 at Route 225 Southeast 122,000 4,765
Las Positas between Portesulleo & Las Positas Pl. 18,210 N/A Foothill Road at North Ontare Road 9,500 570
Energy
The ability to provide energy is a necessary component of a thriving community. The community depends on energy sources, whether it is electricity generation and transmission systems, fuel distribution and storage tanks, or natural gas pipelines and regulator stations. The need for power includes communications, traffic signals, or normal daily activities, which require energy use.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 51 Electricity
Southern California Edison (SCE) provides electrical service for Santa Barbara. Sixty-sixkilovolt electrical transmission lines travel through the city for distribution and to other parts of the region. An electrical sub-station steps down the voltage in the distribution system for residential and commercial users.
Emergency responders must exercise extreme caution if an incident occurs at one of these locations. Entry by SBFD personnel to a sub-station should not happen until representatives of SCE arrive on the scene and give clearance.
SCE may implement Public Safety Power Shutoffs (PSPS) after utilizing a system to determine if conditions are forecasted to deteriorate. SCE looks at a five-day weather forecast if high winds, dry vegetative materials, or low humidity is expected to occur. They continue to monitor weather forecasts and will notify customers at critical care facilities and those with medical conditions of potential shutoffs. SCE uses more than 1,000 weather stations to assist in its decision-making process.
Figure 53: Energy Systems
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 52 Natural Gas
SoCalGas (SCG) provides natural gas in the city through transmission and high-pressure distribution lines that supply service lines for commercial and residential use. SCG's natural gas transmission pipeline travels north-south along the city's eastern edge. Incidents involving natural gas are often caused by contractors who cut or damage lines when excavating during construction. The following figure from SCG shows the natural gas transmission and high-pressure pipeline location.12
Figure 54: Natural Gas Transmission & Distribution Pipelines Water
Controlling a fire becomes challenging without an adequate water supply and distribution system consisting of water storage, mains, and a fire hydrant system. A system of welldistributed hydrants and appropriately sized water mains are necessary to provide the required water for fireground use.
Water for the City of Santa Barbara originates from multiple sources, including Lakes Gibraltar and Cachuma and a desalination plant. Gibraltar Lake provides approximately 4,600 acre-feet of water annually, while Lake Cachuma and the city are allocated 8,277 acre-feet during normal years. The Charles E. Meyer Desalination Plant produces three million gallons of water daily, approximately 30% of the water used by the city.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 53 The water for Santa Barbara is sent to the William B. Cater Water Treatment Plant to meet California drinking water standards. The plant can treat up to 37 million gallons of water daily. The treatment plant also provides water for Montecito Water, Carpinteria Valley Water, Goleta Water, and La Cumbre Water. The distribution system serves approximately 100,000 residents through more than 320 miles of water mains. The following figure provides the location of fire hydrants.
Figure 55: Hydrant Locations
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 54 Communication
When an incident occurs, essential facilities to receive and transmit alarm information require a communication center to communicate with emergency responders properly.
Other communications are critical to the community, such as cellular phones, Voice over Internet Protocol (VoIP) telephone systems, or transmission lines from the local telephone company. These systems allow the public to notify emergency services of an incident.
Internet services are essential for the public, commercial establishments, and emergency services to conduct daily business. Whether the internet services are through cellular access or an internet service provider, the failure of these communication systems can significantly impact emergency services and the public.
Receiving calls for service requires a well-established public safety communications center.
SBFD is dispatched to incidents by the Santa Barbara Police Combined Communications Center. The center is a primary safety answering point for the city. If there is a system failure, the phone lines can be transferred to Santa Barbara or Ventura Counties since there is no backup facility. There is a command vehicle, but it is not generally used during an outage.
The center has 18 full-time and three part-time positions that operate as call-takers and telecommunicators. Much like many 911 centers throughout the United States, they have vacant positions, thus requiring supervisors to fill in to meet the minimum staffing requirements of four telecommunicators between 6:00 a.m.–2:00 a.m. each day. During the 2:00 a.m.–6:00 a.m. time, two telecommunicators staff the communications center. The center uses Locution Systems to reduce response times by using a computerized voice to notify emergency responders, which decreases the time a telecommunicator needs to dispatch an incident after the call type is determined.
All calls coming into the center are recorded and available for playback. Calls for service are entered into computer-aided dispatch (CAD) software to determine the type of incident and then dispatch the proper units. SBFD has established response plans based on the nature code from CAD to send the correct units according to the address and incident type. In 2024, a regional dispatch center will open, which is designed to enhance resources available for an incident and notify the closest fire and EMS unit(s) regardless of the jurisdiction.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 55 Figure 56: Communication Systems
Airport
The City of Santa Barbara operates the airport as an enterprise fund, and four major airlines provide service daily. The airport has three runways. The primary runway is 7/25, which is 6,052’ long and serves commercial aircraft. There are parallel runways 15L/33R and 15R/33L that are 4,184’ in length. The airport has started a conceptional design on a 16,200 terminal expansion and a new parking structure for up to 1,400 vehicles.
The airport is an Index B airport, which allows planes at least 90 feet but no more than 126 feet in length. Based on the current number of flights and size of the planes, it is anticipated that the airport could go to an Index C, which includes planes from 126 feet to 159 feet in length, within two to three years.13
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 56 The number of passengers has increased significantly as the effects of Covid-19 have decreased over the last year. Southwest Airlines recently started service to the airport and, through June 2022, carried more than 150,000 passengers. Other airlines that service the airport include American, Alaska, and United. The total number of passengers for all airlines year-to-date (June 2022) is 536,000.14 SBFD staffs two aircraft rescue firefighting (ARFF) apparatus at the airport with minimum staffing of three personnel. Three personnel are assigned to two ARFF units. Depending on the type of aircraft alert, additional units are dispatched from SBFD and Santa Barbara County Fire Department to supplement ARFF apparatus and staffing assigned to the airport.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 57 Comparison of Fire Risk in Other Communities
Fire Loss
In 2020, fire departments responded to more than 1.4 million incidents in the United States that caused 3,500 civilian fire fatalities and over 15,200 civilian fire injuries. The property damage was estimated at more than $21.9 billion. The NFPA reported that 64% of the fire deaths occurred in one-or two-family dwellings. The report stated that $4.2 billion of property fire losses from wildland urban interface incidents occurred in California. 15 Fire loss can vary yearly based on the number of fires occurring or the amount of property exposed during an incident. In 2018 the per capita fire loss was $7.01 while decreasing in 2019 to $3.35. In 2020, the fire loss increased to $28.07. Data for 2021 was not available for this report. Based on the most current NFPA statistics, the below figure compares the number of fires per 1,000 population and the property loss per capita for 2018–2020.
Figure 57: Property Loss per Capita, 2018–2020
Year SBFD Property Loss
per Capita
U.S. Property Loss
per Capita16
2018 $7.01 $78.25
2019 $3.35 $66.52
2020 $28.07 $66.07
The number of fires per 1,000 population in the SBFD response area is lower than the national average, as shown in the following figure.
Figure 58: Fire per 1,000 Population
Year SBFD Fires per 1,000
Population
U.S. Fires per 1,000
Population17
2018 2.0 2.9
2019 2.2 3.0
2020 2.3 2.9
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 58 Intentionally Set Fires
Intentionally set fires, or in many cases considered as arson, is defined as “any willful or malicious burning or attempt to burn, with or without intent to defraud, a dwelling house, public building, motor vehicle or aircraft, personal property of another.” 18 Figure 59: Intentionally Set Fires, 2018–2021
Year Intentionally Set Fires
2018 16
2019 18
2020 27
2021 57
Insurance Service Office
The Insurance Services Office, Inc. (ISO©) is an independent organization that collects and analyzes data from fire departments in communities throughout the United States to determine rates for fire insurance. According to its report, the ISO’s Public Protection Classification program, or PPC, “is a proven and reliable predictor of future fire losses.” Commercial property insurance rates are expected to be lower in areas with better (lower) ISO PPC Class ratings.
The ISO Fire Suppression Rating Schedule (FSRS) measures four primary elements of a community’s fire protection system: Emergency Communications (max 10 credits); Fire Department (max 50 credits); Water Supply (max 40 credits), and Community Risk Reduction (max 5.5 credits) for a maximum possible total of 105.5 points. ISO then assigns a grade using a scale of 1 to 10. Class 1 represents the highest degree of fire protection, and Class 10 designates a fire suppression program that does not meet ISO's minimum criteria.
A review of the most recent evaluation by ISO in 2017 assigned 82.64 credits and provided the City a classification of 2 Opportunities for improvement include the following, such as the Dispatch Circuits received zero credits out of three available. No credit for Dispatch Circuits may include various reasons such as a generator or communications equipment not monitored if there is a failure. The lack of credits may change when SBFD joins the new regional communication center. Credit for Company Personnel earned 8.53 out of 15 available and 6.64 out of 9 for Training.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 59 A sub-category in the Training category for Pre-Fire Planning Inspections only received 0.08 credits out of 12. Inspection and Flow Testing of fire hydrants earned 4.14 credits out of the 7 available. Divergence is a component of the final score that recognizes any disparity in the relative level of effectiveness of your fire department and water supply and mathematically reduces your preliminary scores if the fire department and water supply scores are incompatible with each other.
19 The following figure shows the ISO credits
earned and available for the City of Santa Barbara.
Figure 60: ISO Earned & Available Credits for the City of Santa Barbara ISO Feature Earned
Credit
Available
Credit
Emergency Communications 6.6 10
Fire Department 38.27 50
Water Supply 35.59 40
Divergence -2.49 0
Community Risk Reduction 4.67 5.5
Totals: 82.64 105.5
The following figure shows all the fire departments in California and the number of ratings for each classification. In California, 168 departments have a Class 2 rating.
Figure 61: California ISO Classifications
44 168
215
170
142
46 10
1 43 29 9
0 50
100
150
200
250
Class
1 Class
2 Class
3 Class
4 Class
5 Class
6 Class
7 Class
8 Class
8B
Class
9 Class
10 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 60 Fire & Life Safety & Wildland Urban Interface Review The Fire Prevention Division of the Santa Barbara City Fire Department protects residents' lives and property by eliminating the potential causes of fire and improving the public's awareness of fire prevention and safety. This is accomplished through Fire Code development and enforcement, new development plan checks, the creation of hazard mitigation plans, and providing support for Engine Company inspections. Responsibilities include:
• Prevention of fires
• Investigation of the cause, origin, and circumstances of fires • Elimination of fire and life safety hazards in buildings • Maintenance of fire protection equipment and systems
• Regulation of storage, use, and handling of hazardous materials and hazardous substances
• Enforcement of basic building regulations of the State Fire Marshal as they apply to the City of Santa Barbara in matters regarding fire, panic, and explosion safety There are seven staff in the Bureau: one Fire Marshal, three Inspectors/Investigators, one Wildland Fire Specialist, and two Fire Services Specialists. One of the two Fire Services Specialists is funded through a special tax on residents of the designated wildfire assessment district. The position can only work in this area and only on wildfire-related issues. There is no enforcement authority assigned to the position.
The Public Outreach Coordinator reports to the Emergency Services Manager in a separate chain of command directly to the Fire Chief. The CERT and public education volunteers augment the limited staffing for this function.
Budget cuts during the pandemic eliminated one Inspector position and administrative support to the Bureau. However, they receive clerical support from other areas within the SBFD for billing, filing, and phone calls. Overall, the loss of administrative support has created a 10–15% increase in workload for Bureau staff.
The job descriptions are appropriate for the positions, and the pay scale is commensurate with the safety job scale. This contributes to the Bureau's low turnover rate despite the recent workload increase.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 61 SBFD provides the full range of fire and life safety services, including plan review, construction inspections, annual business inspections, hazardous materials and permit inspections, wildland inspections, fire investigation, and public education services.
The City has adopted the 2022 California Fire Code (CFC) and the 2021 International Fire Code (IFC), as required by state law. Amendments are included in Title 8 of the City Charter, which adopts the CFC and IFC by reference. Notable amendments include:
• Fire sprinkler protection in all new buildings
• Residential and commercial remodel provisions related to fire sprinkler protection • Definition of WUI expanded to include areas identified in CWPP and as designated by the City
• Defensible space requirements specific to various risks based on geography • Prohibition on fireworks
• “Home Hardening” construction standards in high fire hazard areas Six of the seven Bureau staff work with the City Community Development Department staff to review plans for construction for both new structures and tenant improvement work for existing occupancies. Two staff members are focused on reviewing vegetation in the designated wildfire risk areas of the city. The Fire Marshal reports there are several committees created to review development and construction activity in the city, and Bureau staff member participates in each one.
The city is built-out in terms of available land, but several rebuilds exist, particularly for single-family homes. Bureau staff participate in planning functions through the Land Development Team. Wildland-Urban Interface (WUI) maps are incorporated into the review process to help ensure buildings and occupants are adequately protected in these high fire hazard areas. The 2004 maps were replaced by more accurate maps created with the 2021 Community Wildfire Protection Plan (CWPP) update.
The conditions for development/use include street widths, fire department access, fire flow, hydrant placement, building setbacks, and fuel modification in WUI zones, as well as requirements for future construction. Site plans are reviewed for each development, and approval is required prior to the issuance of any permits.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 62 Bureau staff are involved in the plan review process and have sign-off authority for the issuance of building permits. This includes proposed changes to building use and occupancy and tenant improvement work. The Bureau also reviews plans and issues permits for work associated with fire protection systems, including fire sprinklers, fire alarms, clean agents, and commercial hood suppression. The turnaround times are less than city planning and building staff, and they are seldom, if ever, the source of a hold on permit issuance.
Construction inspections are conducted by Bureau staff using iPads linked to the Community Development automated system (Accela). This allows for immediate clearance of any fire department hold on a certificate of occupancy following an SBFD final inspection.
SBFD completes all state-mandated inspections annually except for multi-family residential, which are completed by engine companies every two years. Bureau staff are responsible for the remaining occupancy types, which include high-rise, educational facilities, daycare facilities, residential care facilities, and nursing homes. The Bureau also completes inspections of hospitals and large assembly occupancies every year. All other occupancies are inspected every two years, with engine companies handling smaller assemblies and all business inspections. The Bureau handles the more technical inspections on an annual basis. Both Operations and the Bureau issue/reissue operational permits during inspections of approximately 6,000 occupancies every two years.
The inspection process is well automated, and engine companies receive a list of assigned inspections every two years using a system in ImageTrend. The system is loaded with business and inspection data, permit conditions, checklists, and forms. If violations are found, the inspection notice is issued from the field. After two re-inspections, the engine company forwards inspection responsibility to the Bureau, which typically happens for only 15–20% of inspections. The City Attorney’s office assists the Fire Prevention Bureau with enforcement for non-compliance. Field Battalion Chiefs hold engine companies accountable for the completion of the inspection, and the Bureau conducts periodic refresher training.
Bureau staff also review, permit, and inspect special events in the city. There are numerous such events that occur on a regular basis, including festivals, parades, concerts, and fireworks displays.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 63 The Santa Barbara County Public Health Department is the Certified Unified Program Agency (CUPA) for the county and handles all related hazardous materials programs.
SBFD charges fees for some services, including plan reviews and construction/installation inspections, specialty permits, state fire clearance, some building inspections, fire department standby services, false alarms after two in a 12-month period, and fire extinguisher training. The fees appear low, and more services are eligible for fee assessment, which should be considered. It is noted that a fee study will be conducted soon.
The public education program is administered by a bilingual Outreach Coordinator and Information Officer reporting to the Emergency Services Division of the department. This small staff is augmented by CERT and LISTOS members. Education efforts include:
A fire safety house run by CERT and LISTOS in English and Spanish for Third Graders at all 15 elementary schools (public and private).
• Training includes:
▪ Calling 9-1-1
▪ Exit drills in the home (EDITH)
▪ Smoke alarms and CO alarms
▪ General fire safety
▪ Injury prevention
• Fire extinguisher training for businesses and homeowners’ associations • Elderly injury prevention in conjunction with nonprofits, homeowners’ associations, and the housing authority, as well as a partnership with the Family Service Agency at the annual Senior Expo
• Defensible space and home hardening for wildfire mitigation All fires are investigated to determine the origin and cause, as well as contributing factors.
Engine company Captains receive fire investigation training and are responsible for attempting to determine the cause of the fire.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 64 The three current Bureau Inspectors, as well as the Fire Marshal, are also trained as Fire Investigators with arrest authority. They rotate on-call duty for after-hours availability to assist engine companies with complex investigations and assume responsibility for criminal fires. They are members of the County Arson Task Force and work with local police department officers and detectives, and the District Attorney’s office, as necessary.
In 2020, there was a 50% increase in the number of arson fires in the city (from 18 to 27) and another 110% increase in 2021 (from 27 to 57). The Fire Marshal attributes this dramatic jump in the last two years to the growth in the homeless population due to the pandemic. Many of the fires along the Union Pacific Rail Corridor and HWY 101 were determined to be intentionally set, mostly due to disputes among individuals living along these corridors. One individual, who was later arrested, started five fires in a single evening, including the nineacre Loma Fire that resulted in evacuations, and damaged two homes.
The Community Risk Assessment (CRA) portion of this report addresses the significant wildfire history and current risk to the city. Approximately 80% of the wildfires impacting the city have taken place during Sundowners, a North to South wind event in which hot desert air blows down the canyon and over the city. Most of the fires are human-caused, and many originate in the Los Padres Forest or adjacent “front country.” There are 6,400 parcels located in the four designed high-fire hazard zones (coastal, coastal interior, foothill, and extreme foothill). This represents almost 30% of the city’s housing, making wildfire a significant risk to the city, its resources, people, and the economy.
The Bureau has three staff members, 42% of the total Fire Prevention staff, dedicated to the WUI threat with one solely assigned to the extreme foothill area/Wildfire Assessment District.
These staff members address the wildfire risk in a holistic manner, using plan review, inspection, outreach, and special programs. A 2021 update to the 2004 Community Wildfire Protection Plan (CWPP) provides excellent guidance for wildfire mitigation. There is also a Santa Barbara (countywide) Fire Safe Council in which SBFD is a partner.
It is also noteworthy that Bureau staff coordinate with Santa Barbara County on fuel issues impacting both jurisdictions. The Community Fuels Network was established to work together and realize economies of scale while mitigating the wildfire threat.
Defensible space inspections are conducted upon request or by complaint only and compliance is not mandatory and there is no fee.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 65 The most comprehensive WUI program is in the Assessment District, where homeowners are most proactive. Efforts include:
• Defensible space inspections on request
• Road clearance
• Annual chipping services
• Grazing utilizing goats
• Annual vacant lot inspections with mandatory clean-up The Fire Marshal reports that, although the CWPP provides the guide for prioritized mitigation efforts, there are insufficient resources to conduct the required work. The Bureau has staff to manage projects and some grant funds to pay for the efforts but cannot work through the projects until resources are identified. Workforce shortages are currently an issue statewide.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 66 Implementing & Evaluating a Community Risk Strategy
Community Risk Reduction Program
Each of the following is part of an overall Community Risk Reduction program (CRR) that can be defined as, “The identification and prioritization of risks followed by the integrated application of resources to improve public safety and reduce increasing call volumes.”20 The goal is to incorporate emergency operations with prevention efforts at the fire station level. The station-level approach is preferred because risks vary from one station to another and even within a station’s response area. Simply put, CRR examines problems and develops prevention or mitigation strategies to reduce hazards.
Data collected for this master plan and continued analysis in the future creates an opportunity to determine if specific hazards are increasing or decreasing based on incident response. Additionally, risks may shift as new development or demographic change occurs in Santa Barbara and the overall service area, impacting SBFD.
Preparing a CRR plan should align with the department’s mission and strategic plan.
Creating a plan at the station level allows personnel to engage the community they serve.
It empowers staff to interact, learn more about their community, and take ownership of the program. Station personnel will begin to understand the importance of collecting accurate data to support their plan, developing strategies using partnerships, gaining their input, soliciting feedback from the community, and deciding what risk to prioritize.
The next figure is one basic methodology offered by Vision 20/20 to identify and analyze risks within a community. In addition, Vision 20/20 includes a coalition of national organizations and experts that exemplify how collaboration, communication, and commitment to data-based solutions can save lives and properties.
Figure 62: The Community Risk Assessment Process
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 67 Identify Risks
The initial component of a CRR plan is to identify the risks in the community. Intuitively, Firefighters know where the most significant risks are in their first-in response area. Reviewing fire incident data at the station level allows SBFD to deliver prevention and mitigation strategies to the community. Other data sources are available from local government, a chamber of commerce, school systems, public health, and geographical information systems (GIS). Each of these sources can potentially provide additional data to identify risks.
Community partners can play an essential role in risk reduction. As the identification of risks begins, it is crucial that SBFD determine potential community partners. These other groups in the community may have programs similar to what SBFD may offer, and understanding their mission may prevent duplication of efforts.
Data from this report provides demographic information for at-risk populations. What must be understood is that a CRR plan looks at all risks, not just fires. The fire department responds to many emergencies, including EMS, fire alarm activations, automobile crashes, technical rescue, or hazardous materials. Each of these incident types presents a risk to the community.
Prioritize Risks
After identifying the risks, SBFD must prioritize what risks should receive prevention, mitigation, or operational efforts. This can be a difficult task when SBFD has identified a list of many risks. Using data from the risk analysis process can assist SBFD in deciding the top risks. It should be remembered that when developing a program to reduce risks, several factors, including the probability of it occurring, the consequence to the community, and the impact on the organization, should be reviewed. The staff's enthusiasm is essential since it would be considered their program, not something that is assigned to them by organizational leadership. This creates ownership by the individual companies.
Another essential component of risk prioritization is soliciting input from personnel in the department (Firefighters, company officers, inspectors) and other community partners.
These groups understand the problems well and can provide valuable information to decide what risks to prevent or mitigate first. Remember, risks vary in SBFD’s response area and can change from one station to another.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 68 Develop Strategies and Tactics to Mitigate Risks
Although SBFD provides risk reduction, it should begin focusing on a coordinated effort throughout the entire organization. Therefore, when developing strategies, SBFD should use the Five “E”s.
• Education—Will education help the public: who, where, when? • Engineering—What engineering or technology is available to help? • Enforcement—Is additional or more substantial enforcement needed? • Economic Incentives—Could incentives increase compliance? • Emergency Response—Would changes in response make a difference? More than one of the Five “E”s could be used to develop prevention, mitigation strategies, or operational changes for many of the risks. Examples of potential programs may include drowning prevention, pedestrian injuries, or deaths, addressing campaigns, or bike helmet safety.
When developing a CRR plan, SBFD must determine what strategies have already been implemented in the community to prevent duplication. Outside resources may be available through partnerships with many community organizations such as law enforcement, nonprofits, health departments, EMS, religious, and local businesses. These groups may provide staff with a different perspective and offer additional funding and resources to mitigate limitations within the fire department.
As SBFD begins finalizing its risk reduction programs, the department or individual fire stations should consider the pros and cons of each strategy. They should consider some of the following:
• Financial ability
• Political influences
• Logistical concerns
• Organization vision and priorities
• Culture of the organization
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 69 Preparing the CRR Plan
A CRR plan can be in-depth or a simple document that provides a road map to prevent or mitigate the risk. A complex plan may be short or long-term (3 to 5 years), use GIS mapping, while another may use basic data from incident reports. The plan allows personnel to follow a systematic process to begin developing a program for the community that aligns with the organization’s vision and goals. It empowers staff and engages them at the station level, ultimately allowing them to focus their efforts.
The plan identifies specific action items that reduce risks and integrates prevention and mitigation strategies. It provides who participates in the plan and their roles and responsibilities for accountability. A CRR plan should include the following, but the depth of the information may vary based on the program.
• Outline the vision, mission, values, and priorities
• Describe the community and service area
• Identify and prioritize the risks
• Identify prevention and mitigation strategies
• Provide a basic implementation plan for the strategies • Identify measures for monitoring and evaluation
Implementing a CRR Plan
Implementation of a CRR plan may require assistance from internal and external partners.
Plan implementation typically consists of the following steps. • Identify and allocate the resources needed for the plan • Prepare a timeline for implementation
• Assign responsibilities
• Communicate the goals and expectations of each person involved with the plan • Monitor the progress of the plan and program
• Make modifications when necessary
Every organization’s CRR plan looks different but is designed to meet its goals and objectives. It is important to realize that a plan may use partnerships with outside agencies or develop it with internal resources or a combination.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 70 Monitoring & Evaluation
The objective of monitoring and evaluating a CRR plan allows SBFD to make adjustments if it is not working. The adjustments could be simple or may require significant changes. As with any program offered by SBFD, the monitoring can determine if the plan accomplishes its intended desires. In other circumstances, it provides information on unexpected benefits and may uncover problems that need adjusting.
A significant component of this final part of a CRR plan is to develop process or outcome performance measures to determine whether the program is working correctly. Typically, formative measures are not used as part of a station-based CRR plan since it involves research and more detailed analysis. Vision 20/20 has created a guide to help develop outcome performance measures and explain why they are essential.
Many fire departments use process and impact evaluations for monthly or annual reports.
Process evaluations, also called output measures, quantify what an organization does daily. These evaluations measure the number of activities we complete (i.e., incidents, inspections, station tours). Impact evaluations help the organization measure programs to determine if they are changing behavior or knowledge (fall hazards for seniors). Reasons for developing outcome measures include the following:
21 • Identify practices that are effective.
• Measure program effectiveness
• Identify any practices that need to be improved.
• Build transparency and understanding for the program.
Developing a CRR plan requires SBFD to look at all risks, not just fires. Much like other fire departments in the United States, most incidents are not fire-related and involve other types of emergencies. Creating a CRR plan that reviews all the risks provides an enhanced level of community service and engagement. It is recommended that SBFD create stationbased CRR plans for each station response area that allows for ownership at the company level for the program(s) they develop.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 71 Section II:
STANDARDS OF COVER &
DEPLOYMENT ANALYSIS
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 72 Santa Barbara City Fire Department
The following section entails a general overview of the various components and services provided by the Santa Barbara City Fire Department (SBFD).
History of the Santa Barbara City Fire Department
In early 1874, local residents of the town organized Pioneer Company #1, which was an allvolunteer fire department. Later that year, the City Council purchased a hand-pumper and hose cart. Due to a lack of interest, Pioneer Company #1 eventually disbanded in 1888 when the City acquired a team of horses to pull a steam pumper for the Washington Company #2 fire company. In 1906, this organization became the Santa Barbara City Fire Department, and acquired its first motorized fire apparatus in 1910.
Governance & Lines of Authority
The City of Santa Barbara functions under an elected six-member City Council and Mayor.
The City Administrator manages the operations in 15 City departments and is responsible for overseeing the Fire Chief.
Fire Department Organizational Structure
The Santa Barbara City Fire Department is managed by the Fire Chief who supervises the leadership of the four divisions: Administration, Operations, Fire Prevention, and the Office of Emergency Services. The next figure illustrates SBFD’s current organizational structure.
Figure 63: SBFD Organization Chart (2023)
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 73 As shown in the preceding figure, the Division Chief of Operations manages a Battalion Chief assigned to supervise each shift of Captains, Engineers, and Firefighters, including a Battalion Chief and Captain in Training.
The Fire Marshal manages a division of Fire Inspectors, a Wildland Specialist, and two Fire Services Specialists. The Emergency Services Manager is responsible for issues related to Emergency Management and Public Outreach Programs. Finally, the Fire Business Manager is responsible for multiple administrative processes.
Services Provided by SBFD
The Santa Barbara City Fire Department is an all-hazards public safety organization providing traditional structural fire suppression, wildland firefighting, medical first-response (MFR) at the Basic Life Support (BLS) level, Urban Search & Rescue (USAR), and hazardous materials response.
In addition, SBFD provides fire inspections, code enforcement, plan reviews, fire-cause investigations, public education and prevention programs, and Emergency Management for all of the City of Santa Barbara.
Operations & Deployment
The Santa Barbara City Fire Department deploys its personnel and apparatus from eight fire stations staffed full-time with Captains Engineers, and Firefighters. The fire stations house a variety of frontline apparatus ranging from Type 1 structural engines to Aircraft Rescue & Firefighting (ARFF) units.
In 2017, the Santa Barbara City Fire Department was assigned a Public Protection Classification (PPC®) grade of Class of 2 by the Insurance Services Office (ISO).
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 74 Service Area
The Santa Barbara City Fire Department responds to a primary service area of about 23 square miles with nearly 92,000 permanent residents. The following figure shows the SBFD service area and the location of each of its fire stations.
Figure 64: SBFD Service Area
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 75 Mutual & Automatic Aid Resources
The Santa Barbara City Fire Department has access to several fire departments in the region that can provide mutual or automatic aid assistance when necessary. The following figure lists those agencies, their stations, apparatus, and number of minimum staff at each of their respective fire stations.
Figure 65: Mutual & Automatic Aid Resources Available to SBFD Agency Name Station
Number
No. of
Engines
No. of
Aerials
No. of
Staff
Aid
Type1
Santa Barbara County Fire
#11 1 1 6 MA/AA
#12 1 0 3 MA/AA
#13 1 0 3 MA/AA
#14 1 0 3 MA/AA
#15 1 0 3 MA/AA
#17 1 0 3 MA/AA
Montecito FPD
#91 1 0 6 MA/AA
#92 1 0 4 MA/AA
Carpinteria-Summerland #61 1 0 5 MA/AA
Carpinteria-Summerland #62 1 0 3 MA/AA
Totals: 10 10 1 39
1MA = Mutual Aid. AA = Automatic Aid.
All of the apparatus for the agencies listed in the preceding figure are all equipped to provide advanced life support.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 76 The following figure shows the geographic locations of mutual aid fire stations.
Emergency Medical Transport
Through a contractual arrangement with Santa Barbara County, American Medical Response (AMR) is the sole 911 Advanced Life Support (ALS) ambulance service for both the city and county. AMR staffs its ambulances with a minimum of one paramedic and one Emergency Medical Technician (EMT).
Although seldom utilized by the Santa Barbara City Fire Department, if needed, air medical service is available from Santa Barbara County Fire, CALSTAR, and Ventura County.
Most prehospital patients are transported to Santa Barbara Cottage Hospital, which is a designated Level 1 Trauma Center and equipped for the management of cardiac and vascular conditions.
Figure 66: Mutual & Automatic Aid Fire Stations near Santa Barbara City Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 77 Introduction to the Stakeholder Interviews
Triton interviewed a wide variety of the Santa Barbara City Fire Department’s internal and external stakeholders. The purpose of these interviews was to gain a better understanding of issues, concerns, and options regarding the emergency services delivery system, opportunities for shared services, and expectations from community members.
It is important to note that the information solicited and provided during this process was in the form of "people inputs" (stakeholders individually responding to our questions), some of which are perceptions reported by stakeholders. All information was accepted at face value without an in-depth investigation of its origination or reliability. The project team reviewed the information for consistency and frequency of comments to identify specific patterns and trends. Based on the information reviewed, the team identified a series of observations and recommendations and felt they were significant enough to be included in Appendix B of this report.
Stakeholders were identified within the following groups: Elected Officials, Department Heads, Business Community Leaders, Citizens, Chief Officers, Labor Leaders, Volunteer/Reserve Firefighters, Rank & File, and Administrative Staff. Details of the interviews can be found in Appendix B.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 78 Financial Analysis
General Fund Historical Activity
The City of Santa Barbara prepares a bi-annual operating budget and related other various capital improvement plans based on a July through June fiscal year. As with most municipalities, the City of Santa Barbara operates through numerous funds, with the General Fund recording revenues and expenses for most governmental activities. Santa Barbara also maintains a Capital Projects Fund to account for Measure C receipts and disbursements, numerous Special Revenue Funds, various Enterprise Funds that account for “business” operations such as the airport, utility operations, and parking facilities, Internal Services funds for facilities management and fleet replacements, and Fiduciary Funds.22 The majority of this study will focus on General Fund activities, those funds with activities specific to the fire department, the Wildland Fire Suppression Assessment District within the Special Revenue Funds category, and Internal Service Fund and Capital Fund activities related to the fire department.
The City of Santa Barbara has a total assessed valuation of $23,599,163,000 as of June 30, 2021. This represents an increase in taxable value of approximately 17.7% from FY 2018.
General Fund revenues have increased from $117,167,000 in FY 2018 to a budgeted $143,497,000 in FY 2022, an approximate 22.5% increase. General Fund revenues for FY 2022 primarily consist of property taxes (29.5%), sales taxes (16.2%), transient occupancy taxes (13.6%), and interfund charges (13.8%).
Property tax revenues have increased substantially over the past two years. A Measure C 1% transaction tax was implemented in 2018. The City anticipates, through its budget adoption, that General Fund revenues will continue a slow and steady recovery from the effects of the COVID pandemic in FY 2022 and FY 2023. The City’s FY 2022 operating expenditures provide for the majority of City services provided, including general government (13.2%), police department (31.8%), fire department (21.9%), community development (9.4%), parks and recreation (12.5%), public works (6.9%), and other expenditures (4.3%).
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 79 Figure 67: City of Santa Barbara General Fund Activity Revenue/Expenses FY 2018
Actual
FY 2019
Actual
FY 2020
Actual
FY 2021
Actual
FY 2022
Budget
Sales Taxes 20,911,922 24,162,930 21,521,908 21,088,586 23,239,045 Property Taxes 34,928,110 35,333,700 38,148,151 40,330,845 42,347,386 Transient Occupancy Taxes 18,874,822 19,412,561 15,140,000 14,527,401 19,500,000 Other Taxes 10,504,184 10,709,781 11,611,915 12,449,952 12,642,896 Total Tax Revenues 85,219,038 89,618,972 86,421,974 88,396,784 97,729,327 Licenses & Permits 144,435 138,760 151,884 121,959 151,666 Fines & Forfeitures 3,047,119 2,540,778 2,064,107 1,604,414 2,651,800 Use Of Money & Property 636,340 1,098,754 1,806,165 1,061,131 744,395 Intergovernmental 4,777,733 3,113,711 2,811,384 4,388,120 2,565,498 Other Receipts 35,572,843 35,672,588 40,871,882 33,589,692 39,654,202 TOTAL REVENUES: 129,397,508 132,183,563 134,127,396 129,162,100 143,496,888 City Administrator 2,243,433 2,398,022 3,576,899 3,614,211 4,250,866 City Attorney 4,089,865 3,725,243 4,492,500 4,245,402 4,003,086 Community Development 11,467,138 12,334,281 11,950,476 12,169,891 13,462,600 Finance 5,212,271 5,602,571 5,680,764 5,782,655 6,333,459 General Government 3,348,065 9,150,996 1,045,313 1,364,399 (1,033,306) Human Resources 2,714,708 2,697,063 1,562,479 1,617,993 1,840,056 Library 5,213,789 5,362,315 5,463,540 5,288,220 6,291,328 Mayor & Council 3,431,821 3,516,681 3,500,564 3,419,273 3,590,732 Parks & Recreation 16,161,430 16,307,881 15,985,661 15,894,073 17,935,030 Fire 29,173,126 28,401,621 29,959,340 31,595,382 31,463,842 Police 40,916,889 42,360,994 44,210,289 42,796,180 45,651,751 Sustainability & Resilience — — — 33,719 158,833
Public Works 7,679,207 8,841,250 8,564,020 8,816,255 9,857,065 TOTAL EXPENSES: 131,651,742 140,698,918 135,991,845 136,637,653 143,805,342 Surplus (Deficit): (2,254,234) (8,515,355) (1,864,449) (7,475,553) (308,454) Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 80 General Fund Revenue & Expenditure Projections
Unlike a for-profit business, municipalities such as the City of Santa Barbara do not have the ability to immediately respond to changing economic conditions without creating an impact on services and require reasonable reserves to continue to provide service levels.
The pandemic created an operating deficit in the General Fund, requiring the use of previously accumulated reserves, projected at $3,300,000 for FY 2022 and FY 2023.
The City Administrator’s Budget Message indicates an anticipated slow and steady growth in the General Fund’s major revenue categories. The departments have continued to identify operating expense reductions. A known increase in operating expenses and pension costs will result in the continued reliance on reserves to balance the budgets in FY 2024 and FY 2025.
Revenues are projected to increase 2% annually in FY 2024 and FY 2025 in all categories and 2.5% annually in tax receipts thereafter. Expenditures are projected to increase by 2% annually from FY 2023 through FY 2027, again, in all categories.
Included in expenditures are costs anticipated as a result of the City’s election to self-insure against liability, property, and other claims. The City has internally committed to a longterm goal of increasing the balance of the Self-Insured Fund (SIF). The projections in the following figure indicate an expected General Fund deficit for each of the next three years from FY 2023 through FY 2025 as projected revenues struggle to meet the service level demands of the City.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 81 Figure 68: General Fund Revenue & Expense Projections Revenue/Expenses FY 2023 FY 2024 FY 2025 FY 2026 FY 2027 Sales Taxes 24,571,899 25,063,337 25,564,604 26,203,719 26,858,812 Property Taxes 44,888,229 45,785,994 46,701,713 47,869,256 49,065,988 Transient Occupancy Taxes 21,450,000 21,879,000 22,316,580 22,874,495 23,446,357 Other Taxes 12,916,697 13,175,031 13,438,532 13,774,495 14,118,857 Total Tax Revenues: 103,826,825 105,903,362 108,021,429 110,721,965 113,490,014 Licenses & Permits 165,358 168,665 172,038 175,479 178,989 Fines & Forfeitures 2,720,300 2,774,706 2,830,200 2,886,804 2,944,540 Use Of Money & Property 1,219,221 1,243,605 1,268,478 1,293,847 1,319,724 Intergovernmental 2,399,092 2,447,074 2,496,015 2,545,936 2,596,854 Other Receipts 40,040,011 40,840,811 41,657,627 42,490,780 43,340,596 TOTAL REVENUES: 150,370,807 153,378,223 156,445,788 160,114,811 163,870,717 City Administrator 3,945,007 4,023,907 4,104,385 4,186,473 4,270,202 City Attorney 4,281,722 4,367,356 4,454,704 4,543,798 4,634,674 Community Development 14,336,874 14,623,611 14,916,084 15,214,405 15,518,693 Finance 6,547,799 6,678,755 6,812,330 6,948,577 7,087,548 General Government (3,091,693) (3,153,527) (3,216,597) (3,280,929) (3,346,548) Human Resources 1,968,584 2,007,956 2,048,115 2,089,077 2,130,859 Library 6,744,140 6,879,023 7,016,603 7,156,935 7,300,074 Mayor & Council 3,710,174 3,784,377 3,860,065 3,937,266 4,016,012 Parks & Recreation 19,370,301 19,757,707 20,152,861 20,555,918 20,967,037 Fire 32,888,005 33,545,765 34,216,680 34,901,014 35,599,034 Police 49,496,127 50,486,050 51,495,771 52,525,686 53,576,200 Sustainability & Resilience 170,120 173,522 176,993 180,533 184,143 Public Works 10,484,656 10,694,349 10,908,236 11,126,401 11,348,929 TOTAL EXPENSES: 150,851,816 153,868,852 156,946,229 160,085,154 163,286,857 Surplus (Deficit): (481,009) (490,629) (500,442) 29,657 583,859 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 82 Santa Barbara City Fire Department Historical Activity The Santa Barbara City Fire Department is a career-based service delivery system operating through seven divisions, Administration, Public Education, Fire Prevention, Wildland Mitigation, Fire Operations, Training and Recruitment, and Aircraft Rescue & Firefighting (ARFF). Each of these divisions is assigned staff positions and resources to accomplish the department and the divisions’ goals and objectives. Growth in expenditures has been limited due to revenue growth issues presented by the impact of the pandemic over the past couple of years.
Figure 69: Santa Barbara City Fire Department Historical Costs by Division, FY 2018–FY 2022 Revenue/Expenses FY 2018
Actual
FY 2019
Actual
FY 2020
Actual
FY 2021
Actual
FY 2022
Budget
Administration 912,618 943,461 1,247,853 936,799 1,167,135 EM Services & Pub. Ed. 327,144 377,222 425,596 448,771 493,941 Fire Prevention 1,517,802 1,370,531 1,397,925 1,434,189 1,364,542 Wildland Mitigation 251,255 198,066 203,720 236,616 549,627 Operations 23,002,251 22,560,841 23,151,220 24,748,292 25,055,825 Training & Recruitment 806,123 745,553 986,696 754,347 821,690 ARFF 2,355,932 2,484,219 2,546,329 2,656,491 2,847,019
DEPARTMENT TOTALS: 29,173,125 28,679,893 29,959,339 32,215,505 32,299,779 The following figure consolidates the various expenditures of the fire department divisions by category. As indicated in the category breakdown, growth in expenditures in most categories was minimal as the effects of the pandemic on City revenues were felt across all City departments. An exception to the minimal growth pattern is the steady increase in the benefits section, driven primarily by the increase in the annual payments on the CalPERS UAL.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 83 During Triton’s review of the detailed historical expenditures of the fire department, it appears that the staffing model utilized results in significant use of overtime by the Operations Division. As identified in the staffing section of the study, the staffing of 0.97 per 1,000 population is below the national average of 1.29 per 1,000 population and below the
1.05 per 1,000 population found in the Western Region. As a percentage of base wages, overtime costs are approximately 30%. This equates to an approximate 20% increase in hours worked or an extra 25 shifts of 24 hours each per year if it were spread evenly throughout the organization, however, scheduling needs do not typically allow for overtime to be evenly distributed between employees. With the apparatus being regularly staffed with a Captain, Engineer, and a Firefighter, each time one of the three personnel takes a vacation or is otherwise off duty, it requires the position be backfilled, typically requiring a callback of off-duty personnel on an overtime shift. Adding that amount of workload has been shown to be the cause of early career burnout and increased workers' compensation claims for injuries due to fatigue.
The following figure summarizes fire department costs by category from FY 2018 through the budgeted FY 2022.
Figure 70: Santa Barbara City Fire Department Costs by Category Revenue/Expenses FY 2018
Actual
FY 2019
Actual
FY 2020
Actual
FY 2021
Actual
FY 2022
Budget
Salaries 17,517,712 16,078,868 16,282,722 17,167,757 16,568,719 Benefits 8,387,844 9,018,756 9,985,524 10,442,899 11,312,372 Total Salaries & Benefits: 25,905,556 25,097,624 26,268,246 27,610,656 27,881,091 Services 2,388,195 2,459,515 2,547,512 2,650,445 2,843,813 Supplies 718,632 890,716 805,866 819,199 1,334,140
Total Recurring: 29,012,383 28,447,855 29,621,624 31,080,300 32,059,044 Capital Outlay 143,572 197,073 122,635 108,071 215,735
Other 4,170 9,750 189,980 263 25,000
Transfers Out 13,000 25,215 25,100 26,871 —
Total Non-Recurring: 160,742 232,038 337,715 135,205 240,735 DEPARTMENT TOTALS: 29,173,125 28,679,893 29,959,339 31,215,505 32,299,779 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 84 Projected Expenditures
The Santa Barbara City Fire Department is subject to similar expenditure restrictions as other Santa Barbara departments. As with most agencies using the CalPERS pension system, payments to fund the Unfunded Actuarial Liability (UAL) continue to grow on an annual basis. The City is committed to the reduction of the UAL in a manner consistent with the required amortization schedule and within the constraints of its revenue streams.
Using a similar cost escalator of 2%, the following reflects future cost of the operation of the Santa Barbara City Fire Department from FY 2023–FY 2027.
Figure 71: Santa Barbara City Fire Department Projected Expenditures Revenue/Expenses FY 2023 FY 2024 FY 2025 FY 2026 FY 2027 Salaries 16,900,093 17,238,095 17,582,857 17,934,514 18,293,205 Benefits 11,538,619 11,769,392 12,004,780 12,244,875 12,489,773 Total Salaries & Benefits: 28,438,713 29,007,487 29,587,637 30,179,390 30,782,977 Services 2,900,689 2,958,703 3,017,877 3,078,235 3,139,799 Supplies 1,360,823 1,388,039 1,415,800 1,444,116 1,472,998 Total Recurring: 32,700,225 33,354,229 34,021,314 34,701,740 35,395,775 Capital Outlay 220,050 224,451 228,940 233,519 238,189
Other 25,500 26,010 26,530 27,061 27,602
Transfers Out — — — — —
Total Non-Recurring: 245,550 250,461 255,470 260,579 265,791 DEPARTMENT TOTALS: 32,945,775 33,604,690 34,276,784 34,962,320 35,661,566 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 85 A comprehensive capital improvement and replacement program is essential to the longterm financial and operational stability of any municipal fire and/or emergency medical service organization. These programs provide systematic development and renewal of the physical assets and rolling stock of the agency. A capital program must link with the planning process to anticipate and time capital expenditures in a manner that does not adversely influence the operation of the agency or otherwise place the agency in an unfavorable financial position. Items usually included in capital improvement and replacement programs are facilities, apparatus, land acquisition, and other major capital projects. A program is in place that includes the scheduled replacement of the SBFD apparatus and funds are provided through the City’s Fleet Services Division in Public Works.
A separate fund should be created to ensure other long-lived and expensive pieces of equipment can be replaced on a regularly scheduled basis. In November 2017, a 1% Measure C local sales tax was approved with an effective date of April 1, 2018. The Measure C revenues are directed to priority capital projects which include refurbishment and construction of fire stations. In addition to Measure C funding, the General Fund allocates a portion of revenues to capital projects each year; however, due to the reduced revenues, this funding has been lowered to only $400,000 annually.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 86 Staffing & Personnel
Public safety is, at its heart, a service industry. An organization’s ability to meet its obligations and mission requires active recruiting, managing, and maintaining sufficient staffing. Appropriate operational, administrative, managerial, and supervisory staffing levels, and effective allocation of resources are imperative to an agency’s success.
Fire service staff functions fall into two distinct groups—administrative and operational. Both groups must have appropriate resources to complete their tasks for an agency to operate effectively. Allocating organizational resources to balance the two can be difficult, but adequate staffing is crucial.
An organization also needs to have proper rules for effective personnel management.
Well-defined, consistent, and documented policies and practices help employees understand their responsibilities and benefits. It also helps them chart their road to success and professional advancement.
The number of positions and personnel deployment depends on the organization’s needs, mission, and resources. Similarly, the organization’s structure, size, and legal requirements drive the administrative and managerial policies and practices. This section overviews SBFD’s staffing structure and human resources practices.
Administrative & Support Staffing
The administrative and support functions are diverse, and the list of tasks can be extensive.
Organizational planning and coordination, asset management, program evaluation, and overall direction are typical administrative and support staff functions. Some agencies are departments within a larger organization and share some support functions with a municipality or other larger government agencies. Since SBFD is part of a city, it has some administrative support available outside its listed employees.
Fifteen (15) full-time equivalent (FTE) employees provide support and administrative services. The Fire Chief is the most senior executive administrator of SBFD and reports directly to the City Administrator. The Operations Division Chief, Fire Business Manager, Emergency Services Manager, and Fire Marshal report to the Fire Chief. The Fire Chief’s span of control of four subordinates is within established best practices. Most administrative staff operate during regular business hours, 8:00 a.m. until 5:00 p.m., Monday through Friday. The following figure lists each full-time equivalent (FTE) position and the staffing count for the administrative functions.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 87 Figure 72: Administrative Staff Full-Time Equivalent Count Position FTE
Fire Chief 1
Administrative Assistant 1
IT Technology Specialist 1
Fire Marshal 1
Fire Inspectors 3
Wildland Specialist 1
Fire Services Specialists 2
Emergency Services Manager 1
Public Education Coordinator 1
Fire Business Manager 1
Administrative Specialist 1
Office Specialist 1
Administrative Volunteers 01
TOTAL FTEs: 15
1Volunteer hours vary and cannot correlate to an FTE.
Administrative Support
SBFD operates with civilian administrative support positions and support from the City. These civilians assist in developing and managing the budget and other district assets, general office and clerical support, human resources, records management, and finance. The city human resources staff completes payroll, benefits, recruitment, and employee recordkeeping with assistance from the fire department staff. The City also completes other financial and legal functions with fire department staff input.
Fire Prevention Division
SBFD’s Fire Prevention Division is responsible for preventing loss and injury through code enforcement, investigation, and education. A fire marshal and three inspectors complete most state-mandated inspections for assembly, educational, hazardous facilities, institutions, high-rise buildings, and residential structures. In addition, engine companies inspect the business, mercantile, multi-family residential, and some assembly occupancies.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 88 SBFD also has a wildland interface loss prevention program overseen by the wildland specialist with the participation of two additional dedicated fire service specialists. The Fire Marshal and three inspectors complete building plan reviews, and two of the wildland specialists evaluate landscapes.
Operations Staffing
Operations personnel are assigned various duties consistent with fulfilling emergency response objectives. They are also responsible for additional collateral duties to support the response mission. The Division Chief of Operations supervises three shift Battalion Chiefs and the training Battalion Chief. The following figure lists full-time equivalent position counts for the operations division.
Figure 73: Operations Staff Full-Time Equivalent Count
Position FTE
Division Chief of Operations 1
Shift Battalion Chiefs 3
Captains 27
Engineers 30
Firefighter/EMTs 27
Training Battalion Chief 1
Training Captain 1
TOTAL FTEs: 90
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 89 Staff Allocation
SBFD has an operational staffing level of 0.97 Firefighters per 1,000 population served.
Comparing SBFD staffing levels against regions and the nation shows the staff levels are less than the western region and national levels.23 The following figure is a comparison of Firefighters per 1,000 in population protected.
Firefighter Staff Distribution
The operations staff is allocated evenly throughout the three shifts except for the operations Division Chief, Training Battalion Chief, and Training Captain, who work an administration schedule. On duty fire suppression personnel staff ten primary apparatus at the eight fire stations. Five additional units can be cross-staffed depending on incident type and need. Engine company minimum staffing levels are a Captain, an Engineer, and a Firefighter. In contrast, the truck is minimally staffed with a Captain, an Engineer, and two Firefighters. The airport apparatus station is minimally staffed with two Engineers and a Captain operating on two apparatus.
At least one Battalion Chief is on duty, operating a command vehicle from Station 1. In addition, the Division Chief of Operations and training staff are also fully qualified to respond for additional incident support. The following figure lists the primary and crossstaffed apparatus by the station.
0.97 1.29
1.05 0
0.2 0.4
0.6 0.8
1 1.2
1.4 SBFD National Western Region
Figure 74: Comparison of Firefighters per 1,000 Population Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 90 Figure 75: Operational Staffing & Allocation
Unit Type Minimum Staffing
Station 1 (121 W Carrillo St. & 927 Chapala St.)
E-71 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter T-71 Tiller Truck 1 Captain, 1 Engineer, 2 Firefighters US&R-71 Rescue Cross-Staffed
Battalion-Chief Chief SUV 1 Battalion Chief
Station 2 (819 Cacique St.)
E-72 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter HazMat-72 HazMat Cross-Staffed
Station 3 (415 E. Sola St.)
E-73 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter E-673 Type 6 Engine Cross-Staffed
Station 4 (19 N. Ontare Rd.)
E-74 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter E-374 Type 3 Engine Cross-Staffed
Station 5 (2505 Modoc Rd.)
E-75 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter Station 6 (1802 Cliff Dr.)
E-76 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter Station 7 (2411 Stanwood Dr.)
E-77 Type 1 Engine 1 Captain, 1 Engineer, 1 Firefighter E-377 Type 3 Engine Cross-Staffed
Station 8 (Airport, 40 Hartley Pl.)
ARFF-78 ARFF 1 Captain, 1 Engineer
ARFF-79 ARFF 1 Engineer
Determining apparatus staffing levels is a challenging task. Leaders must decide what risks their crews are likely to face and what level of risk the community is willing to accept.
Several noteworthy publications help agencies determine adequate staffing, including NFPA 1710: Standard for the Organization and Deployment of Fire Suppression Operations, Emergency Medical Operations, and Special Operations to the Public by Career Fire Departments. This NFPA standard recommends staffing and deployment of career organizations.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 91 The National Institute of Standards and Technology field studies on fire-ground and EMS incidents may also provide direction. Occupational health standards typically consider crew entry into a hazardous environment unsafe without an equal number of equipped and capable personnel outside the hazard zone. Therefore, no one person goes in alone.
However, this rule may be suspended if an emergency rescue is required.
Staff Scheduling Methodology
SBFD staffs eight stations, 24 hours per day, every day of the year, with a minimum of one Battalion Chief, nine Captains, 10 Engineers, and nine Firefighters. Each apparatus is equipped and staffed to provide fundamental medical care. In addition, SBFD has access to several surrounding agencies for additional incident staffing. SBFD utilizes a three-shift system, A-Shift, B-Shift, and C-Shift, and the shifts work a 48/96-hour schedule on a 24-day FLSA cycle. The work shifts begin at 8:00 a.m. and end at 8:00 a.m. the following day.
Personnel Management Systems
The fire service relies heavily on its people to accomplish its mission. Therefore, effectively managing, supporting, and organizing human assets must be adequate for successful service delivery. It also depends heavily on an organization’s commitment to the human resources function and documented policies and programs.
Policies, Rules, Regulations & Guidelines
Complex organizations, like fire agencies, work under several rules. These rules can be the result of both internal and external forces. Federal, state, and local laws are external factors. Internal forces include operations and resource management. If broken, documented internal requirements, such as written policies, contracts, orders, memos, and guidelines, might have minor or severe legally defensible consequences. Likewise, undocumented rules, practices, and behavior patterns that evolve in an agency or workforce have various outcomes if broken. Agencies must approach official enforcement of these unwritten rules with caution, as labor laws favor employees rather than the organization. Analyzing these unwritten rules is outside the scope of this section.
Emergency services organizations must comply with government-mandated regulations.
City, state, county, and federal laws apply to the organization and its employees with specific Firefighters and medical personnel functions. Rules that apply directly to SBFD are primarily dictated by state and federal law, although local ordinances and code adoption play a role. An analysis of these laws is outside the scope of this report, and SBFD and the City should rely on periodic legal reviews to ensure compliance.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 92 Some agencies are subject to civil service rules. Civil service rules are local, state, or federal laws that govern the employer and employee relationship. SBFD is subject to Santa Barbara City civil service rules as defined in Chapter 3.16 of the Santa Barbara, California Municipal Code. In addition, SBFD utilizes the Lexipol documentation system that offers generic policies with civil service-like content.
Labor Contracts
SBFD does not work under a labor contract. Instead, the City has signed a memorandum of understanding (MOU) between the local Firefighter’s union and the City. In addition, another MOU is in place between the Santa Barbara Fire Management Association (SBFMA) and the City. The MOU is like a contract and is authorized under a California State Law known as the Meyers-Milias-Brown Act. The International Association of Fire Fighters (IAFF) Local 525 represents the hourly members of SBFD. In contrast, the SBFMA represents the Fire Marshal, Battalion Chief, and Shift Battalion Chiefs. The MOUs are primarily concerned with compensation, working schedules, and benefits for the members.
Policies
Another formal type of rule is a policy. Policies are written for specific situations and include words like “shall” and “will” to indicate the required actions of the members. SBFD’s policy manual is currently being updated into a Lexipol system. Their policies are specific to the agency and are the Lexipol vetted generic legally required documents. These policies are reviewed every two years.
Guidelines & Operational Plans
SBFD maintains standard operating guidelines primarily applicable to specific operational processes. The guidelines are being updated in the Lexipol document management software.
Human Resources
The administrative and support function designed to balance the needs and requirements of the employer and the employee is considered human resources. This function requires agencies to maintain specific compliance documentation and meet their compensation, tax, and benefits obligations. In addition, successful agencies actively manage the employment lifecycle and provide and oversee employee health and safety programs.
The City of Santa Barbara and SBFD maintain staff, systems, and procedures specifically designed to accomplish and enhance the human resources function.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 93 Personnel Reports & Recordkeeping
The City and SBFD maintain hard copy documents of the employee’s files and information in its records management systems. Electronic records can be found in various computer systems such as ImageTrend®, OnBase, and Munis finance systems. Hard copy files are kept physically secured and have limited unsupervised access. In addition, the various electronic records management systems keep other data such as attendance, payroll, training, and miscellaneous daily information. These systems are secured utilizing standard information technology processes.
Compensation Systems
SBFD’s compensation system is based primarily on position and seniority. Compensation includes hourly and annual salaries, various paid and unpaid leave programs, health and life insurance, retirement benefits, longevity pay, and recognized holidays. The MOUs define this compensation for members of the IAFF Local 525 and SBFMA. The Fire Chief’s and Manger’s salary and benefits are specified under the City of Santa Barbara’s Management Performance and Compensation Plan.
Testing, Measuring, & Promotional Processes
SBFD utilizes an annual skills evaluation process and performance evaluation for operational personnel. SBFD does not use a promotional assessment center or system for its promotional methods. Promotional eligibility is determined by the City of Santa Barbara municipal codes and are defined in Chapter 3.16 Civil Service System. Candidate tests and the eligibility lists for promotions are managed by the City’s Personnel Director and are to be listed from highest to lowest passing test scores. Continuous testing for positions may be held annually but no longer than every two years.24 The probationary period for all original appointments and promotions is defined in the municipal code and the MOU with IAFF Local 525 as 12 months.
Disciplinary Process
SBFD has documented disciplinary processes developed by the City. The MOU between IAFF Local 525 and the City defines this process and references the disciplinary procedural steps under Chapter 3.16 of the Santa Barbara Municipal Code.
Counseling Services
SBFD provides mental health counseling to its employees through the City of Santa Barbara. In addition, substance abuse, drug, and alcohol testing policies are in place.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 94 Application & Recruitment Processes
SBFD’s hiring process includes a qualification review, reference review, background check, and an interview. Additional physical and written testing is required for Firefighters. In addition, the current Firefighters evaluate potential recruits, and SBFD hosts a fire academy every two years.
Health & Wellness Programs
SBFD has a health and wellness program for its operational personnel and an established safety committee. Operations personnel complete a medical examination based on the National Fire Protection Association (NFPA) 1582: Standard on Comprehensive Occupational Medical Program for Fire Departments every two years. New hires complete an exam after the conditional job offer but before starting work. In addition, applicants must complete a physical agility test, and Firefighters complete an annual pack test.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 95 Capital Facilities & Apparatus
Apparatus and other vehicles, trained personnel, firefighting and emergency medical equipment, and fire stations are the essential capital resources for a fire department to carry out its mission. No matter how competent or numerous the Firefighters are, if appropriate capital equipment is not available for operations personnel, it would be impossible for the Santa Barbara City Fire Department to perform its responsibilities effectively. The essential capital assets for emergency operations are facilities, apparatus, and other emergency response vehicles. This report section assesses SBFD fire stations and frontline apparatus.
Fire Station Features
Fire stations play an integral role in delivering emergency services for several reasons. A station's location will dictate response times to emergencies to a large degree. A poorly located station can mean the difference between confining a fire to a single room and losing the structure, or survival from sudden cardiac arrest. Fire stations also need to be designed to adequately house equipment and apparatus and meet the needs of the organization and its personnel.
Fire station activities should be closely examined to ensure that the structure is adequate in size and function. Examples of these functions can include the following:
• Kitchen facilities, appliances, and storage
• Residential living space and sleeping quarters for on-duty personnel (all genders) • Bathrooms and showers (all genders)
• Training, classroom, and library areas
• Firefighter fitness area
• The housing and cleaning of apparatus and equipment, including decontamination and disposal of biohazards
• Administrative and management offices, computer stations, and office facilities • Public meeting space
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 96 In gathering information from SBFD, Triton asked the fire department to rate the condition of its fire stations using the criteria from the following figure. The results will be seen in the subsequent figures.
Figure 76: Criteria Utilized to Determine Fire Station Condition Excellent
Like new condition. No visible structural defects. The facility is clean and well maintained. The Interior layout is conducive to function with no unnecessary impediments to the apparatus bays or offices. No significant defect history. Building design and construction match the building's purposes. Age is typically less than 10 years.
Good
The exterior has a good appearance with minor or no defects. Clean lines, good workflow design, and only minor wear on the building interior.
The roof and apparatus apron are in good working order, absent any significant full-thickness cracks or crumbling of apron surface or visible roof patches or leaks. Building design and construction match the building's purposes. Age is typically less than 20 years.
Fair
The building appears structurally sound with a weathered appearance and minor to moderate non-structural defects. The interior condition shows normal wear and tear but flows effectively to the apparatus bay or offices. Mechanical systems are in working order. Building design and construction may not match the building's purposes well. Showing increasing age-related maintenance but with no critical defects. Age is typically 30 years or more.
Poor
The building appears to be cosmetically weathered and worn with potential structural defects, although not imminently dangerous or unsafe. Large, multiple full-thickness cracks and concrete crumbling on the apron may exist. The roof has evidence of leaking and multiple repairs. The interior is poorly maintained or showing signs of advanced deterioration with moderate to significant non-structural defects.
Problematic age-related maintenance and major defects are evident. It may not be well-suited to its intended purpose. Age is typically greater than 40 years.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 97 Santa Barbara Fire Stations
The following figures outline the basic features of each of the Santa Barbara City fire stations.
Figure 77: Santa Barbara City Fire Station 1
Address/Physical Location: 121 W Carrillo Street & 927 Chapala Street General Description:
Station 1 is on the same lot and shares parking with
the headquarters building. The two-story station has
been fully remodeled, and the space and design
are sufficient for modern firefighting operations. In
addition, the headquarters building was recently
renovated and now has adequate space and
design for administrative duties.
Structure
Date of Original Construction 1960 (full remodel in 2010) Seismic Protection Yes, 2010 retrofit
Auxiliary Power 150 KW Cat Diesel standby with ATS
General Condition Excellent
Number of Apparatus Bays Drive-through Bays 3 Back-in Bays 6 ADA Compliant Yes
Total Square Footage 19,460 + approximately 8,050 (AOB) Facilities Available
Sleeping Quarters 9 Bedrooms 18 Beds 0 Dorm Beds
Maximum Staffing Capability 18
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms 1 Training/EOC and 2 meeting rooms Washer/Dryer/Extractor Residential and extractor
Safety & Security
Station Sprinklered Yes
Smoke Detection Yes
Decon & Biological Disposal No
Security System No
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 98 Figure 78: Santa Barbara City Fire Station 2
Address/Physical Location: 819 Cacique Street
General Description:
Station 2 is the newest purpose-built fire station in
the city inventory. The station's location requires
more diligence in maintaining security than the
other facilities and includes a gated area for
Firefighter parking. The two-story station has
enough bay and workspace to accommodate
modern firefighting operations.
Structure
Date of Original Construction 1993
Seismic Protection Yes
Auxiliary Power Yes
General Condition Good
Number of Apparatus Bays Drive-through Bays 2 Back-in Bays 0 ADA Compliant No
Total Square Footage 5,773
Facilities Available
Sleeping Quarters 3 Bedrooms 6 Beds 0 Dorm Beds
Maximum Staffing Capability 6
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential units only
Safety & Security
Station Sprinklered Yes
Smoke Detection Yes
Decon & Biological Disposal No
Security System Side gate to rear parking only
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 99 Figure 79: Santa Barbara City Fire Station 3
Address/Physical Location: 415 E Sola Street
General Description:
Station 3 is a historic two-story building that does
not have sufficient space for modern vehicles and
firefighting equipment. There are only a few inches
of clearance between the bay door and the
apparatus, with evidence of multiple vehicle strikes
on the doors. The bay doors are manual release,
and there are no decontamination areas. It is not
equipped to accommodate different genders.
Structure
Date of Original Construction 1928
Seismic Protection No
Auxiliary Power Yes
General Condition Fair
Number of Apparatus Bays Drive-through Bays 0 Back-in Bays 2 ADA Compliant No
Total Square Footage 4,512
Facilities Available
Sleeping Quarters 4 Bedrooms 9 Beds 0 Dorm Beds
Maximum Staffing Capability 9
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor No (Residential units to be installed) Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System No
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 100
Figure 80: Santa Barbara City Fire Station 4
Address/Physical Location: 19 N Ontare Road
General Description:
Station 4 is an older two-story building that lacks
space for equipment decontamination. However, it
does include an extractor for turnout gear.
Structure
Date of Original Construction 1985
Seismic Protection Unknown
Auxiliary Power Yes
General Condition Good
Number of Apparatus Bays Drive-through Bays 3 Back-in Bays 0 ADA Compliant Unknown, not likely
Total Square Footage 5,000
Facilities Available
Sleeping Quarters 3 Bedrooms 6 Beds 0 Dorm Beds
Maximum Staffing Capability 6
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential and Extractor
Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System No
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 101
Figure 81: Santa Barbara City Fire Station 5
Address/Physical Location: 2505 Modoc Road
General Description:
Station 5 is an older one-story station with a limited
bay and living space. A shed out back is used for
storage and workspace. The building does not
have enough room or proper design to meet
modern firefighting requirements.
Structure
Date of Original Construction 1966
Seismic Protection Unknown
Auxiliary Power Yes
General Condition Fair
Number of Apparatus Bays Drive-through Bays 0 Back-in Bays 2 ADA Compliant Unknown, not likely
Total Square Footage 2,800
Facilities Available
Sleeping Quarters 3 Bedrooms 6 Beds 0 Dorm Beds
Maximum Staffing Capability 6
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential
Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System Side gate to rear parking
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 102
Figure 82: Santa Barbara City Fire Station 6
Address/Physical Location: 1802 Cliff Drive
General Description:
Station 6 is an older one-story station with a limited
bay and living space. The gymnasium is in an
outbuilding behind the station and is not effective
in this capacity. The outbuilding is also in need of
repair and redesign if it is to be used as a living or
working space or a space other than storage.
Structure
Date of Original Construction 1962
Seismic Protection No
Auxiliary Power Yes
General Condition Good
Number of Apparatus Bays Drive-through Bays 0 Back-in Bays 2 ADA Compliant No
Total Square Footage 3,019 + 1,280 (ancillary structure) Facilities Available
Sleeping Quarters 3 Bedrooms 9 Beds 0 Dorm Beds
Maximum Staffing Capability 9
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential
Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System Side gate to rear parking
Apparatus Exhaust System Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 103
Figure 83: Santa Barbara City Fire Station 7
Address/Physical Location: 2411 Stanwood Drive
General Description:
Station 7 serves the north side of the city in the hills.
It does not provide enough room to meet all the
functions of a modern fire station. Due to seismic
and other issues, the City cannot rebuild the station
and has been performing remodels to extend the
usefulness and function of the station. The USFS also
has a mobile office on the property.
Structure
Date of Original Construction 1950
Seismic Protection No
Auxiliary Power Yes
General Condition Fair
Number of Apparatus Bays Drive-through Bays 0 Back-in Bays 2 ADA Compliant No
Total Square Footage 2,200 + 920 (garage/gym)
Facilities Available
Sleeping Quarters 3 Bedrooms 3 Beds 0 Dorm Beds
Maximum Staffing Capability 3
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential
Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System No
Apparatus Exhaust System Yes, Plymovent
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 104
Figure 84: Santa Barbara City Fire Station 8
Address/Physical Location: 40 Hartley Place
General Description:
Owned and maintained by the airport, this station
meets most functions of a modern fire station. The
station is in good condition with ADA access and all
gender capable. In addition, it is large enough to
support airport operations for years to come.
Structure
Date of Original Construction 1997
Seismic Protection Unknown (likely based on FAA requirements) Auxiliary Power Yes
General Condition Good
Number of Apparatus Bays Drive-through Bays 2 Back-in Bays 0 ADA Compliant Partially
Total Square Footage Approximately 9,900
Facilities Available
Sleeping Quarters 4 Bedrooms 9 Beds 0 Dorm Beds
Maximum Staffing Capability 9
Exercise/Workout Facilities Yes
Kitchen Facilities Yes
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms No
Washer/Dryer/Extractor Residential
Safety & Security
Station Sprinklered Yes
Smoke Detection Yes
Decon & Biological Disposal No
Security System Yes
Apparatus Exhaust System Yes
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 105
Figure 85: Santa Barbara City Fire Training Center
Address/Physical Location: 30 South Olive Street
General Description:
This property is approximately 1 acre and has a
four-story concrete training tower, water drafting
pit, single-story smoke room, storage units, and
multiple rescue simulators, including a trench, low
angle hillside, and vehicle extrication. In addition,
the center provides a 25-seat training classroom
with restrooms.
Structure
Date of Original Construction Not documented
Seismic Protection N/A
Auxiliary Power Yes
General Condition Fair to Poor
ADA Compliant Partially
Total Square Footage Approximately 1 acre of property
Facilities Available
Exercise/Workout Facilities Yes
Kitchen Facilities No
Individual Lockers Assigned Yes
Bathroom/Shower Facilities Yes
Training/Meeting Rooms Yes
Washer/Dryer/Extractor Residential
Safety & Security
Station Sprinklered No
Smoke Detection Yes
Decon & Biological Disposal No
Security System Electric gate and fenced property
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 106
Fire Stations Discussion
Only one of SBFD’s fire stations was considered in "Excellent" condition. The remaining seven fire stations were rated as either "Good" or "Fair." Fire station ages range from 12 to 96 years, with an average of just over 48 years. The following figure summarizes SBFD's fire stations and their features.
Figure 86: Summary of SBFD’s Fire Stations
Station Square
Footage
Apparatus
Bays
Staffing
Capacity
General
Condition
Station
Age
Station 1 19,460 6 18 Excellent 12A years
Station 2 5,773 2 6 Good 29 years
Station 3 4,512 2 9 Fair 96 years
Station 4 5,000 3 6 Good 37 years
Station 5 2,800 2 6 Fair 56 years
Station 6 4,299 2 9 Good 60 years
Station 7 3,120 2 3 Fair 72 years
Station 8 9,900 2 9 Good 25 years
Totals: 54,864 21 66
AAge based on remodel.
The fire stations were evaluated utilizing a checklist based on the National Fire Protection Association's Standard on Fire Department Occupational Safety, Health, and Wellness Program. A walkthrough inspection of each facility was completed during Tritons onsite visits in late April 2022.
Generally, SBFD’s stations are older and do not meet the requirements of today’s fire service. As the firefighting environment has changed, the technology, equipment, and safety systems have changed to meet new demands. Older buildings do not typically have the space or engineered systems to meet that new environment. Modern living also requires much more access to electrical outlets than was expected in older buildings. The older SBFD stations are no exception.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 107
For example, older buildings do not meet the requirements due to the need to decontaminate personnel and equipment after many of the responses in the current firefighting context. Every crew member should have access to facilities to decontaminate immediately after a fire event, and showers should allow for gender separation. In addition, there needs to be enough partitioned space to allow for gear and equipment to be thoroughly washed and designed to control contamination in the living and working space of the station. Most of the facilities in the city do not meet this need.
While all structures require routine maintenance, fire stations require even more maintenance due to the continuous occupancy by a minimum of three adults. Multiple departures and returns of heavy apparatus also affect these structures. While there is an active maintenance program, and updates were in progress during the visit, there was evidence of ongoing maintenance deferral. The differed maintenance is beginning to accumulate and will become more urgent.
There is also evidence the life safety equipment is not inspected regularly or maintained.
Eyewash stations were in obvious disrepair, and stations with fire alarms had inoperative fire alarm panels. Most of the stations did not have functional smoke or carbon monoxide detector systems. Additionally, each of the apparatus had shorelines attached to wall outlets. While this is common practice, there was evidence that the extension cords suffered damage. This could happen if the ejector system does not clear the connector entirely.
The stations were generally clean and uncluttered. The few crews AP Triton encountered during the station tours demonstrated ownership of their facilities. While some did share concerns about the ages of the facilities and the ongoing maintenance needs, they were possessive and proud of their homes. Each station was provided with auxiliary power that was reported to be periodically inspected by City maintenance. In addition, all stations were supplied with an exhaust removal system that appeared to be in use and operable.
Station 1
Station 1 was remodeled in 2010 and now meets most modern fire service needs. Separate spaces for turnout gear, individual showers, individual rooms, and separate office and living spaces are provided.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 108
This station does appear to have a water service problem, with reports of flooding in the workout room and scaling and water damage in the lower areas adjacent to the bay.
There are two extractors, but they cannot be run simultaneously since the drain is too small to accommodate the volume of water ejected during wash cycles.
The station was clean and organized. There was some clutter and abandoned supplies in the breezeway between the station and headquarters. There is an eyewash station location, which did not appear to have been cleaned or tested for operation. All required posters and notices were present and up to date.
Station 2
Station 2 was built in 1993 and meets most modern fire service health and safety needs. The station does not have an extractor, but the department has a process to bag gear and transfer it to a station with an extractor for cleaning.
The workout area may not meet the crew's needs as some of the workout equipment had been moved into the front entry breezeway to allow for sufficient room to exercise. In addition, there were several electrical concerns, including missing outlet covers and the use of extension cords as permanent wiring.
The fire alarm system was out of service. The smoke and carbon monoxide detectors did not appear to be functioning. While this station did not have a plumbed-in eyewash station, it did provide an eyewash area with bottled saline, but this was expired. It was also unclear if the sprinkler system was maintained or inspected since there was no record or placarding indicating it had been.
The station was clean and well-kept. However, there was some trash and clutter outside near the sprinkler valve system. In addition, the required workplace poster was the 2021 poster and had not been updated.
Station 3
Station 3 is a historic building and was built in 1928. The station has individual rooms and two shower rooms. However, the station is older and small, without specific space for decontamination of equipment or Firefighters.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 109
One bay door was modified to allow for a modern-sized fire engine to use the bay.
However, the clearances are very narrow, and there were indications of several strikes on these doors. The other door is too small for fire engine use, and both doors are manually operated. Manual doors hinder rapid response as someone has to wait until the engine clears the doors to close them.
Most of the issues with this station are what is expected of a building this old. For example, electrical outlets are sparse, and extension cords are used throughout the building. In addition, there is an unused gas or water pipe in the Captain's bedroom, which juts into the exit corridor and may be a tripping hazard. The overuse of extension cords is a violation of current life safety codes. However, access to electrical outlets is a requirement in the modern firefighting environment.
The life safety systems included smoke detectors, but most were inoperative or missing.
There was no area for decontamination of equipment and no extractor. Still, the department has a process to bag gear and transfer it to a station with an extractor for cleaning. The station was clean and free of clutter.
Station 4
Station 4 was built in 1985 and incorporates some modern fire service considerations. The station does have an extractor but does not have areas to decontaminate equipment except outdoors. Turnout gear was stored in the bay, and there was some exercise equipment in the bay as well, but it was not immediately clear if the equipment was being used or stored.
The fire alarm system was out of service, and it was not clear if smoke and carbon monoxide alarms worked. The station maintained a public emergency phone outside the front entrance, but it was inoperative. Nevertheless, the station appeared clean and well cared for.
Station 5
Constructed in 1966, Station 5 is significantly undersized to meet all the functions of modern stations. The station does not have an extractor, but the department has a process to bag gear and transfer them to a station with an extractor for cleaning. There is no decontamination area, and the turnout gear is stored in the bays.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 110
The station appeared clean and free of clutter. However, there was a report of an ongoing leak in one of the bathrooms. The outbuilding was being appropriately used for storage and maintenance.
Station 6
Station 6 was built in 1962 and is undersized to meet all the functions of the modern fire service. However, the station does have adequate facilities for mixed-gender crews. The station does not have an extractor, but the department has a process to bag gear and transfer them to a station with an extractor for cleaning. There is no decontamination area, and the turnout gear is stored in the bays.
The signage attached to the front of the building—the no parking and emergency fuel shut-off signs, were illegible and may not currently be applicable. There were no exit signs past the bunk rooms. However, the smoke detector and alarm systems appeared to be in working order. One exit door was blocked by furniture. The building appeared to be clean and organized.
The workout facility is in an outbuilding attached to the carport behind the station. This building needs revision and repair. The roof beams are rotting, and there is evidence of water damage from leaks inside the building. In addition, the wiring is insufficient for the equipment placed in the room, and extension cords are being extensively used.
Station 7
Constructed in 1950, Station 7 was under renovation during our inspection, with an interior project just finishing that included a completely new kitchen and interior painting. An additional project in the apparatus bay and old garage was still underway. The station has remained open through the projects.
The station is significantly undersized to meet all the functions of modern stations. Still, SBFD is making good use of the available space and has processes for functions they cannot perform. There is no decontamination area or extractor washing machine, but contaminated gear is bagged and taken to the station with an extractor. There is a residential washing machine in the apparatus bay.
Half of an old secondary garage is sealed and converted into a tool room and hose storage and will have turnout lockers. The other half has already been converted into a fitness room. The station has no SCBA compressor or trans-fill setup for compressed air or oxygen.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 111
Due to painting at the time of the inspection, the smoke detectors, fire extinguishers, exit signs, and OSHA posters had not been remounted but were present. The station has three bedrooms and two restrooms to support all genders but lacks a training area or classroom, separate offices, or public meeting space. Overall, the station was clean and organized, with no other concerns identified.
Also, on the property of Station 7, the United States Forrest Service (USFS) has a single-wide mobile home and a carport cover for an engine. The City and the USFS entered into an agreement in 2003 for the “temporary use of modular mobile home structure at City Fire Station No. 7.” The agreement also stated the temporary use was “for a period not to exceed five years.” The intent at the time was that the City and the USFS would build a new combined fire station on the site of Station 7. However, as noted, seismic issues prevent any new construction at the site. With the temporary agreement and the mobile home approaching 20 years old, combined with the fact that a new facility cannot be built there, the City and the USFS need to reevaluate the goals and plan of the agreement and look for long-term solutions for continuing the partnership.
Station 8
Built in 1997, Station 8 serves the airport and is owned and operated by the Fire Department via a contract with the airport. The station appears modern and well maintained. Overall, the station was clean and well organized, with no significant issues noted.
The only function the station lacks is a training room. There is only a residential type of washer and dryer, so any contaminated items are bagged and sent to the station with an extractor and decontamination capability. A lack of exit signs throughout the station was identified. Three small argon-compressed gas cylinders were lying on the floor unsecured.
Turnouts are stored in open lockers in the apparatus bay.
Training Center
The training center has multiple props and buildings that appear sufficient for most training evolutions. A classroom with audio-visual equipment is available, as are other specialized training props. Due to structural issues, the training tower is no longer used for live-fire training. However, it is still sound for other training evolutions. A different prop is available for live burn training exercises.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 112
Facility Replacement
There did not appear to be a long-range facility replacement or repair plan from the City.
However, the City has accomplished several remodels and significant repairs, such as the remodel in progress at Station 7 and the major overhaul of Station 1.
It was not apparent if a maintenance schedule or capital improvement plan was in place in the City. Ensuring the stations are in good repair requires regular maintenance and scheduled replacement of specialized equipment. Plans for updating and repairing systems such as heating and air conditioning (HVAC), generators, roofs, driveways, parking areas, security gates, painting, carpet replacement, and small appliances can keep costs down and buildings in service longer. In addition, establishing a facility replacement and maintenance plan will enable the city to plan for ongoing service from each station more efficiently.
Apparatus & Vehicles Inventory
Fire apparatus and other emergency response vehicles must be sufficiently reliable to transport Firefighters and equipment rapidly and safely to an incident scene. In addition, such vehicles must be properly equipped and function appropriately to ensure that the delivery of emergency services is not compromised.
As a part of this study, Triton requested that the Santa Barbara City Fire Department provide a complete inventory of its fleet (suppression apparatus, ambulances, command and support vehicles, specialty units, etc.). For each vehicle listed, SBFD was asked to rate its condition utilizing criteria described in the next figure, which will be shown in the subsequent apparatus inventory figures.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 113
Figure 87: Criteria Used to Determine Apparatus & Vehicle Condition Components Points Assignment Criteria
Age: One point for every year of chronological age, based on the date the unit was originally placed into service.
Miles/Hours: One point for every 10,000 miles or 1,000 hours Service:
1, 3, or 5 points are assigned based on service type
received (e.g., a pumper would be given a 5 since it is classified as severe duty).
Condition:
This category considers body condition, rust, interior
condition, accident history, anticipated repairs, etc. The better the condition, the lower the assignment of points.
Reliability:
Points are assigned as 1, 3, or 5, depending on the
frequency a vehicle is in for repair (e.g., a 5 would be assigned to a vehicle in the shop 2 or more times per
month on average; while a 1 would be assigned if in the shop on average once every 3 months or less.
Point Ranges Condition Rating Condition Description
Under 18 points Condition I Excellent
18–22 points Condition II Good
23–27 points Condition III Fair (consider replacement)
28 points or higher Condition IV Poor (immediate replacement) At the time this study was conducted, the Santa Barbara City Fire Department maintained seven frontline Type 1 structural engines, of which two are in “Excellent” condition, one in “Good” condition, and the others in “Poor” condition. SBFD’s engines range in age from three to 19 years old, with an average age of 13 years. The fire department’s one frontline aerial apparatus is in “Fair” condition and 13 years old. SBFD has recently secured the purchase of three Type 1 engines and new tillered ladder truck.
The department maintains a number of apparatus in reserve, which include three Type 1 structural engines, a 100-foot ladder truck (slated for delivery in 2025), an ARFF unit, rescue, and a couple of special operations vehicles.
The next figure lists the inventory of the Santa Barbara City Fire Department’s frontline apparatus.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 114
Figure 88: SBFD Frontline Apparatus Inventory (2022)
Unit Type Manufacturer Year Condition Features
Engines
Engine 71 Type 1 Spartan 2007 Poor 1500 gpm/750 gal.
Engine 72 Type 1 Spartan 2005 Poor 1500 gpm/750 gal.
Engine 73 Type 1 Spartan 2012 Good 1500 gpm/750 gal.
Engine 74 Type 1 Spartan 2019 Excellent 1500 gpm/750 gal.
Engine 75 Type 1 Spartan 2003 Poor 1500 gpm/750 gal.
Engine 76 Type 1 Spartan 2016 Excellent 1500 gpm/750 gal.
Engine 77 Type 1 Spartan 2004 Poor 1500 gpm/750 gal.
Other Apparatus
Truck 71 Aerial Spartan 2009 Fair 100-ft. Tiller
Engine 374 Type 3 International 2019 Excellent 500 gpm/500 gal.
Engine 377 Type 3 International 2013 Good 500 gpm/500 gal.
Engine 673 Type 6 Pierce 2016 Excellent 180 gpm/270 gal.
Rescue 71 Rescue Ford F-450 2016 Excellent
ARFF 78 ARFF Rosenbauer 2020 Excellent Foam Truck
ARFF 79 ARFF Oshkosh 2008 Excellent 1950 gpm/1500 gal.
Command Vehicles
Battalion 71 Command Chevrolet 2017 Excellent Assigned to shift BC Battalion 72 Command Chevrolet 2017 Excellent Assigned to shift BC Battalion 73 Command Chevrolet 2017 Excellent Assigned to shift BC Battalion 74 Command Chevrolet 2017 Excellent Training Battalion Division 71 Command Ford 2015 Good Operations DC
Training 71 Staff Unit Ford 2014 Good Training Captain
Prevention 71 Prevention Ford 2017 Excellent Fire Marshal In addition to the inventory in the preceding figure, Santa Barbara City Fire Department also maintains support and staff vehicles for the Inspector/Investigators, Training Battalion Chief and Captain, Wildland Specialists, and the Emergency Services Manager. For special operations, the department has a 2018 Honda UTV for urban search and rescue and other rescue operations.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 115
Apparatus Maintenance & Replacement Planning
No piece of mechanical equipment or vehicle can be expected to last indefinitely. As apparatus and vehicles age, repairs tend to become more frequent and more complex.
Parts may become more difficult to obtain and downtime for repair and maintenance increases. Given that fire protection, EMS, and other emergencies prove critical to a community, downtime is one of the most frequently identified reasons for apparatus replacement.
Because of the expense of fire apparatus and medic units (ambulances), most communities develop replacement plans. To enable such planning, fire departments often turn to the accepted practice of establishing a life cycle for apparatus that results in an anticipated replacement date for each vehicle.
The reality is that it may be best to establish a life cycle for planning purposes, such as the development of replacement funding for various types of apparatus yet apply a different method (such as a maintenance and performance review) for determining the actual replacement date, thereby achieving greater cost-effectiveness when possible.
Economic Theory of Apparatus Replacement
A conceptual model utilized by some fire districts is the Economic Theory of Vehicle Replacement. As a vehicle ages, the theory states that the cost of capital diminishes, and its operating costs increase. The combination of these two costs produces a total cost curve. The model suggests that the optimal time to replace any apparatus is when the operating costs begin to exceed the capital costs. This optimal time may not be a fixed point but rather a range of time.
Shortening the replacement cycle to this window allows an apparatus to be replaced at optimal savings to the fire district. If an organization does not routinely replace equipment promptly, the overall reduction in replacement spending can quickly increase maintenance and repair expenditures. Fire officials, who assume that deferring replacement purchases is a good tactic for balancing the budget, need to understand two possible outcomes that may occur because of that decision:
• Costs are transferred from the capital budget to the operating budget. • Such deferral may increase overall fleet costs.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 116
The next figure is a representation of the Economic Theory of Vehicle Replacement.
Regardless of its net effect on current apparatus and vehicle costs, the deferral of replacement purchases unquestionably increases future replacement spending needs. The deferral may also impact operational capabilities, including the safe and efficient use of apparatus.
Future Apparatus Serviceability
An important consideration for fire departments is the cost associated with the future replacement of major equipment. Apparatus service life can readily be predicted based on factors including vehicle type, call volume, age, and maintenance considerations.
NFPA 1901: Standard for Automotive Fire Apparatus recommends that fire apparatus 15 years of age or older be placed into reserve status, and that apparatus 25 years or older be replaced. This is a general guideline, and the standard recommends using the following objective criteria in evaluating fire apparatus lifespan:
• Vehicle road mileage.
• Engine operating hours.
• Quality of preventative maintenance program and availability of replacement parts. • Quality of the driver-training program.
• Whether the fire apparatus was used within its design parameters. • Whether the fire apparatus was manufactured on a custom or commercial chassis. • Quality of workmanship by the original manufacturer.
• Quality of the components used in the manufacturing process.
Figure 89: Economic Theory of Vehicle Replacement
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 117
It is important to note that age is not the only factor for evaluating serviceability and replacement. Vehicle mileage and pump hours on engines must also be considered. A two-year-old engine with 250,000 miles may need replacement sooner than a 10-year-old one with 2,500 miles.
Capital Medical & Rescue Equipment
The Santa Barbara City Fire Department maintains an inventory of 31 Stryker Medical Lifepak® 1000 Automated External Defibrillators (AED). Of these, 26 were manufactured in 2018, and five made in 2011. The department utilizes a variety of Hurst® hydraulic rescue tools for vehicle extrication and other rescue operations.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 118
Historical System Response Workload
In analyzing the service delivery and performance of SBFD, incident and unit response data were requested by the study team for the full calendar years of 2018–2021. It should be noted the 2020 COVID-19 pandemic may have influenced the data provided. However, the full impact of the pandemic on responses may take many more study periods to fully understand. The department provided data from its records management system (RMS) and dispatch center.
Service Demand
The following figure shows the response workload by general type for the last four years.
The total response workload had been decreasing since 2019 but rebounded in 2021 to increase by 9% over the four full-year periods. Fire call types increased 31% (from a very small base) over the period, EMS calls are the vast majority of the total volume; it increased by 8.7%. All other types of calls had increased by about 9%.
SBFD responded to nearly 45,000 incidents over the four-year period. The following figure shows incidents by type. Emergency medical responses and motor vehicle collisions were the most common incident types, comprising 62% of the total responses.
Figure 90: SBFD Response Workload History
240 218 232 349
8,944 8,615 8,421
9,798
1,892 2,112 2,047 2,018
0 2,000
4,000
6,000
8,000
10,000
12,000
2018 2019 2020 2021
Fire Medical/Rescue Other
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 119
Figure 91: Responses by Incident Type
Incident Type Description Percent of Total*
Medical 63%
Good Intent 19%
Hazmat 5%
Fire 5%
False Alarm 5%
Service Call 2%
Special < 1%
Hazard < 1%
Weather < 1%
*Percentages rounded to the nearest integer.
Temporal Analysis
This analysis shows how responses change in volume over various measures of time. For example, the following figure shows the change in volume over the months during the study period, indicating seasonality in the response pattern. The busiest months for SBFD have been August and October.
Figure 92: Monthly Response Workload (2018–2021)
3,818
3,337
3,654
3,533
3,694
3,587
3,825
3,982
3,902
4,129
3,740
3,923
0 500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
4,500
JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 120
Next, response workload is shown by the day of the week. Thursdays and Fridays tend to have slightly more responses.
Figure 93: Daily Response Workload, 2018–2021
Response workload by the hour typically shows fire department activity higher during daytime hours, as in the case of SBFD. Response workload correlates with the time of day in which people are most active. In the City of Santa Barbara, the department’s activity begins to increase from 4:00 to 5:00 a.m. until it reaches its first peak at 11 a.m. This level is generally maintained until gradually decreasing at 6:00 p.m., when it begins to decline more rapidly.
Figure 94: Hourly Workload, 2018–2021
0 1,000
2,000
3,000
4,000
5,000
6,000
7,000
SUN MON TUE WED THU FRI SAT
0 500
1,000
1,500
2,000
2,500
3,000
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 121
Response Unit Workload
The response workload for each SBFD apparatus is shown in the following figure. Many incidents, like structure fires and severe motor vehicle collisions, require more than one unit to respond. Engine 71 is the busiest unit, followed by Engine 74.
Figure 95: Unit Workload
The amount of time spent on the scene can affect Firefighters’ workload and the availability of resources for the next, or concurrent, incident. The following figure details the average time each unit was committed to an incident scene. Understandably, the amount of time committed to the scene by a unit on fires is longer than the other types. 61 23
39 10,198
6,689
4,826
7,446
6,791
4,453
1,203
2,458
0 2,000 4,000 6,000 8,000 10,000 12,000
ARF77
ARF78
ARF79
E71
E72
E73
E74
E75
E76
E77
TK71
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 122
Figure 96: Average Unit Time on Scene
The ARFF units spend the most amount of time on the scene. The remaining frontline units spend a shorter amount of time on the scene.
38:05
26:49
24:12
14:42
13:56
15:58
14:57
13:26
18:31
20:58
17:17
00:00 05:00 10:00 15:00 20:00 25:00 30:00 35:00 40:00
ARF77
ARF78
ARF79
E71
E72
E73
E74
E75
E76
E77
TK71
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 123
Spatial Analysis
AP Triton also examined response workload geographically. The distribution of heavier service demand can be evaluated against the location of the fire station. The following figure shows the density of response workload during the study period.
Figure 97: All Incident Demand Density
The airport has primarily medical calls followed closely by aircraft alerts. The total calls are small compared to the overall incident volume. Because of the predominance of EMS-type incidents in the workload data, this map mimics the map of overall demand density.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 124
The following figure shows the level of structural fire events within the city.
Figure 98: Structure Fires
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 125
The following figure reveals that most of the structure fires occur during the morning and early evening hours.
Figure 99: Structure Fires by Hour of Day
The next figure details the addresses to which the SBFD responded to calls most often during the study period.
Figure 100: Frequent Response Addresses
Location Facility Qty.
227 E ANAPAMU ST Assisted Living 621
1116 DE LA VINA ST Senior Housing 586
215 PESETAS LANE Urgent Care 545
3880 VIA LUCERO Assisted Living 538
816 CACIQUE ST Shelter 506
3775 MODOC RD Assisted Living 503
900 CALLE DE LOS AMIGOS Senior Housing 435
535 E YANONALI ST Shelter 407
2550 TREASURE DR Senior Housing 354
0 2
4 6
8 10
12 14
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 126
Resource Distribution
SBFD operates out of eight fire stations, with one dedicated to the airport operational area.
The following figure illustrates the street sections that can be reached from each station within four and eight minutes or less of travel time. The data are based on posted road speeds modified to account for turning, stops, and acceleration. They do not consider congestion, construction, weather, darkness, and other non-controllable factors.
Figure 101: Travel Time Extent
The overall coverage of fire incident demand is 91%, presuming engines are available and responding from their assigned stations. The coverage of EMS incidents was 94%.
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Effective Response Force Capability Analysis
Effective Response Force (ERF) is the number of personnel and apparatus required to be present on the scene of an emergency incident to perform critical tasks in such a manner to effectively mitigate the incident without unnecessary loss of life or property. The ERF is specific to each type of incident and is based on the critical tasks to be performed.
The response time goal for delivering the full ERF to a building fire is within 9 minutes, 20 seconds, 90% of the time. SBFD has defined the minimum full effective response force for moderate risk building fires as three fire engines, one Ladder Truck, and one Battalion Chief for a total of 14 Firefighters, including resources from neighboring fire agencies. While several units are dispatched when a fire is reported, once the first unit arrives and the scene is assessed, responding units may be canceled while en route.
Impact of Automatic and Mutual Aid
SBFD relies upon aid from adjacent agencies during a structure fire and other incidents when needed. These are very important relationships that enable the department to ensure it has sufficient staff and apparatus to fight the fire. The following list catalogs the adjacent agencies.
• Montecito
• Carpinteria-Summerland
• Santa Barbara County
• Los Padres National Forest
SBFD reciprocates by providing aid to its adjacent agencies when requested. According to SBFD data, 1.2% of the incidents were recorded as providing aid. The most aid was given to a County unincorporated postal address, with Montecito the second most.
When a structure fire is reported, the reality may be something else, perhaps less threatening. As a result, an engine often arrives and handles the fire threat, canceling the other units dispatched. According to the RMS data, no structure fire response achieved the effective firefighting force of apparatus and staffing compared to the department’s alarm assignment protocol.
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The concentration analysis reviews the physical capability of SBFD’s resources to achieve its target ERF travel time to its service area. The following figures depict the physical capability of SBFD to assemble apparatus and Firefighters by area within an 8-minute travel time. The modeled analysis below assumes that all response units are available. The first figure represents the collective apparatus that can reach an area within an 8-minute travel time based on station-assigned apparatus.
Figure 102: Effective Firefighting Force—Apparatus
The hatched areas to the east of the city show an area where a second Battalion Chief can be added within the 8-minute travel time. The hatched area between the county response and the city indicates the area where two ladders can also reach within 8 minutes.
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The next figure shows where the number of Firefighters from SBFD and automatic aid agencies can reach within an 8-minute travel time.
Figure 103: Effective Response Force—Firefighters
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Resource Reliability
This section analyzes the workload at the unit level rather than at the department level, as previously shown. However, unit-level workload analysis can reveal further insights into the stress level Firefighters and apparatus are experiencing. For instance, units are only effective if available within their station. Therefore, if they are already handling an incident when another incident is reported, a unit from further away must respond, increasing the response times.
Unit Hour Utilization (UHU) calculates the percentage of time a unit is not available for a response because it is committed to an incident during a calendar year. This is important because the higher the percentage, the more time the unit is not available to respond to another incident. This is especially important for agencies like SBFD that measure their performance at the 90th percentile. For example, a unit with greater than 10% utilization cannot provide on-time performance to a 90% target within its response area. This analysis only measures response incidents and does not include other unmeasured activities in the dataset, such as training time and station duties. The following figure shows UHU for 2018– 2021.
Figure 104: Unit Hour Utilization
Unit 2018 2019 2020 2021
Engine 71 6% 8% 9% 8%
Engine 72 4% 4% 5% 6%
Engine 73 4% 2% 5% 5%
Engine 74 6% 5% 6% 7%
Engine 75 5% 5% 6% 5%
Engine 76 4% 4% 4% 5%
Engine 77 1% 1% 1% 1%
Truck 71 3% 3% 2% 2%
ARF77 — — < 1% < 1%
ARF78 — — < 1% < 1%
ARF79 — — < 1% < 1%
The previous figure indicates SBFD units are not over utilized and are more likely to be available to respond to incidents within the area’s best served by that apparatus.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 131
Concurrency
One way to look at resource workload is to examine the number of times multiple incidents occur within the same time frame. Therefore, incidents during the study period were examined to determine the frequency of concurrent incidents. This is important because concurrent incidents can stretch available resources and delay response to other emergencies. Therefore, this factor significantly impacts the jurisdiction's response times to emergencies.
The following figure shows the number of times that one or more incidents occurred concurrently during the study period.
Figure 105: Concurrent Incident Percentage
Calls Concurrent Percent
Single Incident 65%
2 Incidents 24%
3 Incidents 7%
4 Incidents 2%
5 or More Incidents 1%
It is also useful to review the number of times that one or more response units are committed to incidents simultaneously. The following figure shows the number of times one or more SBFD response units were committed to incidents.
Figure 106: Unit Concurrency
Units/Incident Percent
Single Unit 87%
2 Units 9%
3 Units 2%
4 Units 1%
5 or More Units < 1%
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How reliably a station crew responds within its assigned area is important not only to its ability to handle the incident but also to its response time performance. When busier units are on assignment, other stations must handle incidents outside their response zones. This is especially true during fire events that require multiple units from several stations. A reliability analysis could not be completed with the data provided.
Operational Performance Standards
Incident data for the period between January 1, 2018, and December 31, 2021, were evaluated in detail to determine SBFD’s current performance.
Only priority incidents occurring within the SBFD service area are included in the analysis.
Non-emergency public assistance requests were excluded. Performance is reported based on the type of incident as reported. Three categories are used to report performance:
• Fire—Responses to a report of a fire
• Emergency medical—All emergency medical incidents
• Other—Any other incident to which the department responded Each phase of the incident response sequence was evaluated to determine current performance. This allows an analysis of each phase to determine where opportunities might exist for improvement.
The total incident response time continuum consists of several steps, beginning with the initiation of the incident and concluding with its appropriate mitigation. Therefore, the time required for each of the components varies. In addition, the policies and practices of the department directly influence some of the steps.
SBFD’s response performance was compared to the national consensus standard for response performance found in the National Fire Protection Association’s Standard 1710:
Standard for the Organization and Deployment of Fire Suppression Operations, Emergency Medical Operations, and Special Operations to the Public by Career Fire Departments, 2020 Edition. In addition, the dispatch center’s performance was compared to standards found in the National Fire Protection Association’s Standard 1221: Standard for the Installation, Maintenance, and Use of Emergency Services Communications Systems, 2019 Edition.
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The following figure summarizes the performance standards used in this section to evaluate performance compared to NFPA 1710’s standards and where bolded, locally adopted goals.
Figure 107: Summary of Performance Goals
Incident Interval Performance Goal
911 call answer time (time from the first ring to
answer).
Within 15 seconds, 90% of the time
Call process time (time from acceptance at the
dispatch center until notification of response
units).
Within 60 seconds, 90% of the time
Turnout time (time from notification of response
personnel until the initiation of movement
towards the incident).
Within 60 seconds, 90% of the time
First unit travel time (time from initiation of
response until the arrival of the first unit at the
incident).
Within 4 minutes, 90% of the time
First unit response time (time from dispatch until
the arrival of the first unit at the incident).
Within 6 minutes, 15 seconds,
percentile not specified
Full effective response force travel time (time
from dispatch until all units initially dispatched
arrive at the incident. Response resources
needed for a moderate risk building fire are used
for the evaluation).
Within 8 minutes, 90% of the time
In keeping with NFPA Standards 1710 and 1221 and SBFD’s performance goals, all response time elements are reported at a given percentile. Percentile represents a methodology by which response times are sorted from least to greatest, and a “line” is drawn at a certain percentage of the calls to determine the percentile. The point at which the “line” crosses the 90th percentile, for example, is the percentile time performance. Thus, 90% of the time was at or less than the result. Only 10% were longer.
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 134
Percentile differs greatly from average. Averaging calculates response times by adding all response times together and dividing the total number of minutes by the total number of responses (mean average). Measuring and reporting average response times is not recommended because it does not identify the number and extent of events with times beyond the stated performance goal.
A detailed description and review of each phase of the response time continuum follows.
Finally, all phases will be compared to SBFD’s performance goals.
Detection
Detecting a fire (or medical incident) may occur immediately if someone happens to be present or if an automatic system is functioning. Otherwise, detection may be delayed, sometimes for a considerable period. This phase begins with the inception of the emergency and ends when the emergency is detected. This is largely outside the fire department's control and not a part of the event sequence that is reliably measurable.
Call Processing
The call processing phase has two parts. First, most emergency incidents are reported by telephone to the 911 center. Call takers must quickly elicit accurate information about the incident’s nature and location from persons apt to be excited. Lay people well-trained in emergencies can reduce the time required for this phase. The dispatcher must identify the correct units based on incident type and location, dispatch them to the emergency, and continue to update information about the emergency while the units respond. Step one of this phase, labeled “call processing time,” begins when the 911 call is answered at the PSAP and ends when response personnel are notified of the emergency.
NFPA Standard 1221 recommends that 911 calls be answered within 15 seconds, 90% of the time (within 20 seconds, 95% of the time). As reported by the dispatch center’s phone system, compliance for ring time on the incoming 911 lines is 10 seconds, 98% of the time and 15 seconds, 99% of the time. This performance is well within recommended NFPA standards.
The second part of the call processing phase, called “dispatch time,” begins when the call is received at the dispatch center and ends when response units are notified of the incident. NFPA 1221 standards recommend that this phase occurs within 60 seconds, 90% of the time.
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The following figure illustrates the dispatch center’s performance from the time it receives the call until it notifies response units. Overall performance during the study period did not meet the NFPA guideline.
Figure 108: Call Processing by Type of Incident
The workload at the dispatch center can influence call processing performance. The following figure illustrates performance at different times of the day compared to SBFD’s response workload.
Figure 109: Call Processing by Hour of Day
As shown in the preceding figure, processing time is generally stable except for some longer times in the daytime hours.
02:40
02:05
02:26
00:00
01:00
02:00
03:00
Fire Medical/Rescue Other
0 500
1,000
1,500
2,000
2,500
3,000
0:00:00
0:01:00
0:02:00
0:03:00
0 1 2 3 4 5 6 7 8 9 1011121314151617181920212223
Call Processing Incidents
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Turnout Time
The turnout time response phase is controllable by SBFD. This phase begins with the dispatch center's notification of an emergency in progress and ends when personnel and apparatus begin to move toward the incident location. Personnel must don appropriate equipment, assemble on the response vehicle, and begin traveling to the incident. Good training and proper fire station design can minimize the time required for this phase.
The performance goal for turnout time is within 60 seconds, 90% of the time for priority emergency incidents. The following figure lists turnout time by incident types. Turnout times for all incident types exceed NFPA standards. During the study period, turnout time for priority incidents was within 2 minutes, 17 seconds, 90% of the time.
Figure 110: Turnout Time Performance by Call Type
A concern is that the turnout time is longer for EMS calls than for fires. EMS calls do not require full turnout gear to be donned as fire calls do. 0:02:07
0:02:17 0:02:10
00:00
01:00
02:00
03:00
Fire Medical/Rescue Other
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Turnout time can vary by the hour of the day. In this case, turnout time varied by 107 seconds between the early morning hours and daytime hours, as shown in the following figure.
Figure 111: Turnout Time Performance by Hour of Day
The following figure shows turnout time by unit at the 90th percentile performance measure.
It should be noted that the turnout time for the ARFF station is likely not accurate since they are "dispatched" by the Control Tower and are typically on-scene by the time that they are dispatched by the PSAP.
Figure 112: Turnout Time by Unit at the 90th Percentile 0 500
1,000
1,500
2,000
2,500
3,000
0:00:00
0:01:00
0:02:00
0:03:00
0:04:00
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Turnout Incidents
03:02
04:32
03:32
02:15
02:07
02:36
02:03
02:11
02:22
02:11
02:22
0:00:00 0:01:00 0:02:00 0:03:00 0:04:00 0:05:00
ARF77
ARF78
ARF79
E71
E72
E73
E74
E75
E76
E77
TK71
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Distribution & Initial Arriving Unit Travel Time
Travel time is potentially the longest of the response phases. The distance between the fire station and the location of the emergency influences response time the most. The quality and connectivity of streets, traffic, driver training, geography, and environmental conditions also are factors. This phase begins with the initial apparatus movement toward the incident location and ends when response personnel and apparatus arrive at the emergency’s location. According to NFPA 1710, the performance goal should be four minutes for the first response unit to arrive at an incident.
The following figure lists travel times for all priority incidents and incident types. SBFD’s travel times exceeded its goal in all incident types. Travel time for all incident types was within 5 minutes, 52 seconds, 90% of the time.
Figure 113: Travel Time Performance by Call Type
Travel time can vary considerably by the time of day. Heavy traffic during morning and evening rush hours can slow the department’s response. Concurrent incidents also can increase travel time since units from more distant stations would need to respond. Darkness has a higher effect on travel time than commute hours. The following figure shows the travel time performance and the hourly workload.
08:12
05:41
08:39
00:00
01:00
02:00
03:00
04:00
05:00
06:00
07:00
08:00
09:00
10:00
Fire Medical/Rescue Other
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Figure 114: Travel Time Performance by Hour of Day
To provide an on-time response, a response unit must be available within four travel minutes of the incident.
One aspect that should be understood when evaluating performance by percentile is the sensitivity of small data sets to outlier positions. In this data set, the 300 NFIRS category, Rescue and EMS, represents the largest number of incidents. This evaluation is likely to represent overall performance better. Conversely, fires represent a very small fraction of the data. Therefore, when evaluating at the 90th percentile parsed into categories, and then further reduced to only emergency responses, it is normal for fire responses to appear elevated. Elevation occurs because slow responses and distant responses play a much larger role in the performance evaluation calculation.
First Arriving Unit Response Times
Response time is defined as the period between the notifications of response personnel by the dispatch center that an emergency is in progress until the arrival of the first Fire Department response unit at the emergency.
The following figure illustrates the response time for priority incident types. Overall, first arriving unit time for all priority incidents was within 7 minutes, 17 seconds, 90% of the time.
This is primarily driven by EMS as this is the largest percentage of incidents within the system.
The number differs slightly from the EMS performance due to a slightly increased overall performance of the fire and other categories. The following figure shows the first arriving unit response performance for each of the three major categories, fire, EMS, and other. 0 500
1,000
1,500
2,000
2,500
3,000
0:00:00
0:01:00
0:02:00
0:03:00
0:04:00
0:05:00
0:06:00
0:07:00
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Travel Time Incidents
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Figure 115: First Unit Arrival Performance
The next figure shows first unit arrival times and the number of incidents by the hour of the day for all incidents. Response time is slowest during the nighttime hours and slightly faster during the day.
Figure 116: First Unit Arrival Performance by Hour of Day 0:09:17
0:07:06
0:10:05
00:00
01:00
02:00
03:00
04:00
05:00
06:00
07:00
08:00
09:00
10:00
11:00
Fire Medical/Rescue Other
0 500
1,000
1,500
2,000
2,500
3,000
0:00:00
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0:06:00
0:07:00
0:08:00
0:09:00
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Dispatch to Arrival Incidents
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 141
First Arriving Unit Received to Arrival Time
From the customer’s standpoint, response time begins when an emergency occurs. Their first contact with emergency services is when they call for help, usually by dialing 911. The received-to-arrival time phase combines the answer/transfer, call processing, turnout, and travel time phases. The following figure shows received-to-arrival performance for priority incidents within the SBFD service area. Overall, the received-to-arrival time was within 8minutes, 45 seconds, 90% of the time.
Figure 117: Call Received to Arrival by Call Type
The next figure shows received-to-arrival performance by time of the day compared to incident activity by time of day. From the customer’s standpoint, received-to-arrival is consistent during the day.
Figure 118: Call Received to Arrival by Hour of Day
0:11:07
0:08:31
0:11:40
00:00
02:00
04:00
06:00
08:00
10:00
12:00
14:00
Fire Medical/Rescue Other
0 500
1,000
1,500
2,000
2,500
3,000
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0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 Call Received to Arrival Incidents
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Emergency Medical Services Performance
SBFD provides basic life support (BLS) services and relies solely on a private medical company to provide advanced life support (ALS) and transport services. Because two agencies are involved in producing this evaluation, it requires analyzing two data sets.
Santa Barbara County Emergency Medical Services Agency (SBCEMSA) provided a limited data set for 2019 through 2021. SBFD provided a much more robust data set. Still, it did not include the ambulance company information, and there was no common data field.
Therefore, SBFD computer-aided dispatch (CAD) data was utilized to evaluate more specific data. However, the two data sets are analyzed independently.
As described previously, EMS is one of the most prevalent incident types for SBFD. Over 60% of all SBFD responses are classified as EMS calls. However, the ambulance service does respond to incidents not captured in the SBFD data. The following figure shows the call demand density for EMS calls within the SBFD data throughout its service area.
Figure 119: EMS Incident Demand
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EMS Partner Performance
According to the State of California Emergency Medical Services Authority, the City of Santa Barbara's emergency operating area is identified as Santa Barbara County, Zone 1.
This is an exclusive, non-competitive contract with one service provider.25 The contract is between the Santa Barbara County Public Health Department Emergency Medical Services Agency (SBCEMSA) and a for-profit ambulance company. This contract is currently up for renewal and out to bid. Specific responder requirements, service levels, and performance objectives are defined in the agreement. This contract applies to the ALS service provider for the City of Santa Barbara. As a BLS service provider, SBFD is not held to this contractual language. The following figure summarizes the time objectives at the 90th percentile by population density listed in the contract for the ALS service provider.
Figure 120: Private Provider Performance Objectives26
Response Code Population Density ALS First Responder ALS Ambulance Code 3 Urban 7:59 min or less 9:59 min or less
Code 3 Semi-Rural 14:59 min or less 16:59 min or less
Code 3 Rural 29:59 min or less 32:59 min or less
Code 2 Urban 14:59 min or less 16:59 min or less
Code 2 Semi-Rural 24:59 min or less 26:59 min or less
Code 2 Rural 39:59 min or less 42:59 min or less
For the previous figure, an ALS first responder is anyone who is trained, authorized, and equipped to provide paramedic care. In the SBFD system, since SBFD does not operate as an ALS provider, this could be a neighboring ALS engine, or an equipped paramedic supervisor. However, the data indicates that the private company ALS ambulance is typically the only ALS responder, and therefore must meet the ALS first responder rule to comply with the contract. The contract defines urban as more than 1,000 people per square mile. Semi-rural is defined as populations between 100 to 999, and rural as 10 to 99 people per square mile. The contract identifies specific areas in appendix B, which was not available for this report, so the following analysis is evaluated using the urban time standards.
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The notification of the severity of the incident and the response code required comes from the City of Santa Barbara dispatch center to the ambulance dispatcher. There are provisions that the ambulance company's response can be changed by SBFD based on their findings at the scene—either upgraded or downgraded. However, it appears that during the dispatch-to-dispatch notification process, the ambulance provider dispatch center changes the response code to fit in with their Emergency Medical Dispatch program. This change may adversely affect the original response priority request from the dispatcher who directly interfaced with the caller. In addition, there is a change in response compliance requirements when the response code or priority is changed to match the response times, as indicated in the previous figure.
Performance is only evaluated for priority Codes 2 and 3, and the contract assumes priority Code 1 to be scheduled transports. For performance, it is stipulated the clock starts when the unit is fully notified of the nature and address of the incident. The time may also begin when the response agency tells the dispatch center that an ambulance is unavailable.27 However, the ambulance company has many exceptions it can legally apply to ensure compliance. Responses that may meet these criteria were not identified.28 The data provided did not have enough information to evaluate performance against the contract fully. For example, the notification timestamp was not supplied, just the en route timestamp. In addition, the location information was reduced to an area within an approximately 0.63-mile radius of the incident and did not include any address or location information. The location information was not supplied because the SBCEMSA interpreted this as a violation of the Health Insurance Portability and Accountability Act. Therefore, this analysis cannot be an official audit of the private service provider's performance and should be viewed as a general overall analysis. However, performance will be evaluated using the contract performance objectives for context.
Evaluating the location of the incidents with the limited geographic data provided required developing service area regions. The following figure examines the emergency response times, classified as Code 3 in the ambulance data and grouped by these regions.
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In Figure 121, the numbers indicate the total Code 3 responses to those general areas as provided in the data. The areas shaded in green meet the ALS first responder and ALS ambulance on-scene time for urban densities. Areas shaded in yellow would not meet the ALS first responder on-scene time but would meet the ALS ambulance on-scene time for urban demographics. Those in red do not meet either.
Figure 121: Ambulance First En Route to First Arrive Times Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 146
It should be noted again that the performance requirement is contractually from notification to arrival, not en route to on-scene. Therefore, evaluating performance compliance cannot be accomplished as it requires a total response and undoubtedly be more extended. However, the difference between the requirement and the data points provided is impossible. As for contract compliance, a review of the county contract compliance committee from March 2022, February 2020, and August 2019 indicates the committee finds the provider generally in compliance. However, the previous figure shows the areas where the service company may struggle to comply with urban response standards and may indicate improvement opportunities.
One of the issues facing the service provider is the need to reassess and dispatch closer units if available. For example, when attempting to provide service to a large area, the priority of the incident in the queue and the incidents previously dispatched may require reassigning assets. While this does make good operational sense for the service provider, it influences the response time of the units. It may extend ALS or transport response times. The following figure shows the number of Codes 2 and 3 emergent responses between 2019 and 2021. These incidents did not change priority but did change the first ambulance assigned, which added to the overall response time.
Figure 122: Switched Unit Effects
Response
Code
2019–2021
Responses
2019–2021
Unit Switches
Average
Added
Maximum
Added
Code 3 1,158 93 (8.0%) 1:25 9:52
Code 2 22,328 1,843 (8.3%) 2:08 33:57
For Codes 2 and 3 emergency responses, units were switched approximately 8% of the time with an average delay of over 2 minutes. This added time can seriously impact patient outcomes and is especially concerning for Code 3 critical patients. However, the ambulance company can request mutual aid when the system is overloaded and cannot send a unit immediately. They can request ALS mutual aid from surrounding fire departments in this case. This is theoretically used to ensure at least the ALS response times are being met.
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Surrounding fire agencies respond as mutual and automatic aid partners. These agencies provided EMS data for review, which included actions taken on the scene. The data was sorted and filtered to evaluate only those incidents where medical aid was given to SBFD.
These units are typically ALS engines from the county, Montecito, or CarpinteriaSummerland. This allowed an evaluation of which agencies responded to the City of Santa Barbara and provided medical aid. The following figure shows the number of aid responses for incidents by year, separated by response agency. The private provider information is provided as a reference. It is limited to P3 and P2 Emergent response incidents as defined above, and the determinant codes as described in Figure 123.
Figure 123: Mutual Aid Medical Providers
ALS Responder Category 2019 2020 2021 Totals
Santa Barbara County Fire
ALS1 49 17 59 125
Other1 56 51 62 169
Montecito FPD
ALS 52 47 42 141
Other1 17 6 5 28
Carpinteria-Summerland Fire District ALS1 0 0 1 1
Total Medical Mutual Aid
ALS1 101 64 102 267
Other1 73 57 67 197
Private Provider (Comparison)
ALS2 1,203 1,057 1,496 3,756
Other2 6,373 6,108 7,249 19,730
1By actions taken. 2By determinant.
As stated previously in this section, SBFD unit travel time for EMS incidents is under 6 minutes.
This means SBFD units are expected to arrive on the scene before the ambulance. With this performance, it is likely that, at a minimum, during these high-acuity incidents, the first arriving apparatus is on the scene for a minimum of two minutes. However, system design and other factors may provide additional unidentified response time gaps.
For example, an ambulance crew must take extra time to acknowledge the dispatch and begin its response. In addition, the time it takes for the ambulance company dispatch to process the call, and transfer times, can extend the response. However, without further information and incident data that spans both the city and the ambulance service, it will be difficult to quantify this information. The proposed regional communications center should alleviate this data shortcoming.
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One of the unknown quantities in service delays is the time it takes to transfer the call to the Sheriff's Dispatch Center. This time delay could be extensive depending on the dispatcher's efficiency. Santa Barbara City Police Department (SBPD) manages the primary public service answering point (PSAP). However, medical services are dispatched through the Santa Barbara County Sheriff's office.29 Because there is no direct CAD-to-CAD communication between the City PSAP and the Sheriff's dispatch center, it is incumbent on the dispatchers to physically connect to and inform the county. Only after this additional dispatch processing is the unit on the street notified. For victims or those crews already on the scene, this extra time can appear as a unit delay when it is a systems design delay.
Level of Service
SBFD provides services at the Basic Life Support Level for EMS incidents. Because SBFD relies on outside agencies for Advanced Life Support response, it is essential to understand the potential risk posed by limiting its level of service. The only way to fully understand the historical need for ALS versus BLS services requires a detailed examination of the symptoms and treatments provided to each patient. However, patient records were not made available for this report. Therefore, incident severity must be inferred from the dispatch system.
The Santa Barbara Police Combined Communications Center utilizes a Medical Priority Dispatch System (MPDS) to determine the level and severity of the victim's needs. These systems are widely used and can be very valuable. However, it is limited by the ability of the dispatcher to get quality information from the reporting party. Under MPDS, the incident dispatcher can determine the general EMS category and the potential severity based on a series of scripted questions. Once the response determinant is found, the capability of response units and the priority can be determined. The following figure describes the general dispatch information gained from the response determinant.
Figure 124: Response Determinants30
Determinant Responder Capability Response Speed
Alpha BLS Non-priority (not emergent)
Bravo BLS Priority (emergent)
Charlie ALS Non-priority (not emergent)
Delta ALS Priority (emergent)
Echo ALS & Closest All units respond quickly
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Utilizing the priority dispatch codes and the SBFD response data, the percentages of EMS potentials can be evaluated. The following figure shows each response determinant listed for SBFD by year. Unclassified responses are not included.
Figure 125: SBFD Responses by Medical Determinant
As the figure indicates, combined, many incidents are classified as either Delta or Echo responses. These responses account for 34% of the overall response volume. An additional 24% of the incidents are considered non-priority ALS Charlie responses. Therefore, 58% of all requests for service that are classified utilizing the MPDS are dispatched as those needing ALS level of service. This equates to nearly 30% of all incidents in the SBFD response system being classified as potentially needing ALS care on dispatch. 1,532 864 1,297 1,756 27 1,567
771
1,248
1,755
6 1,559
630
1,285
1,940
8 1,653
681
1,406
2,075
5 -
500
1,000
1,500
2,000
2,500
ALPHA BRAVO CHARLIE DELTA ECHO
2018 2019 2020 2021
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Medical Dispositions & Transports
The Sheriff's Dispatch Center also uses an MDPS when transmitting severity to the ambulance crews. In addition, the data provided indicated the final disposition. The ambulance provider responded to 30,223 incidents from 2019 through 2021. Of those,
12.6% were refusals or referrals, 16.9% were not classified as medical incidents, and 3.1% were victims that did not survive the event and were not transported. The remaining 67.4% of all incidents ended in transportation to a receiving facility. The following figure shows the number of medical transports by the first arriving unit's response priority and EMS determinant code, the number of transports, and the total response time from the first en route to the first arrival.
Figure 126: Transports by Response Type and Time as Recorded by AMR Response Code EMS
Determinant
Care-Level
Expected
No.
Transports
Response Time
mm:ss
(90th percentile)
Code 3, Emergent
Bravo BLS 382 8:19
Charlie ALS 544 8:30
Echo ALS 46 10:13
Code 2, Emergent
Alpha BLS 1 6:46
Bravo BLS 13,641 8:29
Charlie ALS 10 28:23
Delta ALS 18 19:17
Echo ALS 2,236 12:34
Other than Code 2 or 3
Alpha BLS 6 7:40
Bravo BLS 1 4:58
Charlie ALS 26 13:26
Delta ALS 122 10:16
Echo ALS 2,578 13:43
Omega Public Assist 750 27:20
The most significant percentage of transported incidents are within the Code 3 category, with 84% of these responses ending in a transport. However, the single largest class of the incidents requiring transport are the urgent BLS level calls, the Code 2 Bravo determinant.
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Annual transport volumes for all incidents remained relatively consistent between 2019 and 2020. However, 2021 showed a marked increase in transport over 2020. The following figure shows the total number of transports over the three years by arriving unit priority code.
Figure 127: Transport Volume by Year & Code
-
1,000
2,000
3,000
4,000
5,000
6,000
7,000
2019 2020 2021
Code 3 Emergent Code 2 Emergent Other
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Performance Objectives & Measures
Population & Incident Workload Projections
Over the last three years, the utilization rate of the fire department per 1,000 population generally has been stable, as shown in the following figure. The rate was higher at 137 incidents per 1,000 population in 2021. It is projected that utilization will stabilize at 125 per 1,000 population through 2040.
Figure 128: Utilization Rate
Based on the census population, a forecast for future population can be calculated using the lasted growth rate data. Census-based forecast calculated a population of 85,271 in 2040.
0 20
40 60
80 100
120
140
160
2018 2019 2020 2021
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Figure 129: Population Projections
The following figure shows that using the census-based forecasted population decline will potentially decrease SBFD’s workload. However, response workload is expected to remain stable, as requests for emergency medical services are expected to decrease.
Figure 130: Workload Projections
0 1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
2025 2030 2035 2040
Fire Calls EMS Calls Other Calls
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Section III:
PLAN FOR MAINTAINING &
IMPROVING SERVICE DELIVERY
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Plan Overview
This Community Risk Assessment: Standards of Cover presents a detailed picture of SBFD’s current performance. However, this is just a starting point for the agency to pursue improved performance. SBFD will benefit from an ongoing data analysis system to make the most of the information presented. The approach should be able to demonstrate performance in a meaningful and actionable way to leadership. In addition, it should create performance transparency for elected officials and citizens.
Designing an analysis system is time-intensive, requiring capital and talent. Leaders need to understand and engage in data analytics. It will also require SBFD to identify and assign someone with a penchant for data analytics, statistics, databases, and mathematics, regardless of the technology used. The plan, do, check, and act framework presents an analytic systems design and implementation concept. This is called the Deming Cycle of continuous improvement and is pictured in the following figure.
Figure 131: Deming Cycle31
Plan: Research & Codify
Creating a durable analytic system requires a definition and understanding of what the data should present, the impacts of the information, and what constitutes the data stream.
Once the descriptions are understood, they must be adopted as policies and acceptable practices. The following areas are presented for SBFD to consider as they plan for performance improvement.
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SBFD indicated an interest in potentially pursuing accreditation with the Commission on Fire Accreditation International (CFAI) sometime in the future. In that case, they may want to adopt specific terminology early in this planning process. Two terminology choices the CFAI adopted were baseline and benchmark. The baseline can be equated to a standard and is generally interpreted as the minimum acceptable performance defined by the agency.
Conversely, the benchmark is the performance level the agency wishes to be able to perform and a goal for its continuous improvement initiatives. This section will use the baseline and benchmark terminology.
Adopt Overall Performance Objectives
The first step for SBFD is to decide what key performance metrics they will monitor and manage. SBFD’s current performance reports focus primarily on call volume and very little on evaluating time metrics for performance enhancement or management. However, the performance evaluation information in this document is a good starting point for understanding and defining which objectives the agency wishes to evaluate.
SBFD and city leadership must agree on what performance metrics they will manage.
Again, this document should provide some direction and the foundation for discussions. In addition, the time components being managed should correlate to an overall service objective or area. Fortunately, a few official service objectives are already in place and may be used to begin the evaluation process. The FAA and the emergency medical provider contract can provide some initial goals.
The current AMR contract requires SBFD to maintain a total response time of 7 minutes in urban areas, 14 minutes in semi-rural areas, and 29 minutes in rural areas, 90% of the time.
In addition, the FAA requires the first unit to reach the airport’s midpoint within 3 minutes of the alarm and the second within 4 minutes. Both requirements are valid total response time objectives.
These pre-determined requirements are a great place to start setting up a performance evaluation system. For example, setting a benchmark of the first due unit in an urban area for medical calls at 7 minutes meets the ambulance contract requirement. Knowing the total time requirements provides the base for establishing the call segment benchmarks.
For example, this report’s 90th percentile total response time on all medical calls is 7 minutes, 27 seconds. Putting the requirement and historic performance together will mean that the benchmark performance for medical calls in the city is 7 minutes, and the baseline is 7 minutes, 27 seconds.
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Establish Management Segments
As discussed earlier in the performance section, an emergency incident has several identifiable segments. By adopting time objectives based on these segments, an agency can begin to understand how its actions affect an incident’s total response time. While much of the analytics available for the fire service is based on time, this is not the only performance that can be measured. Each segment can help identify areas where the performance objective may be other than time, such as quality or prevention. However, the most widely available and used metrics center around time. Once the time analysis is mastered, the agency should expand into the less traditional performance evaluation methods. The following figure identifies the emergency incident segment, potential metrics, applicable NFPA standards, and other comments.
Figure 132: Incident Segments
Segment Key Performance Metric Standard Comments
Normal State Community demographics
N/A
This base state needs to
be defined. Prevention
mainly affects this.
Incident Initiation
Incident Counts
Incident Detection
Notification Action
PSAP Answer NFPA 1221 Prevention and
PSAP Notification Education.
PSAP Interrogation PSAP Transfer & Agency
Answer NFPA 1221 CAD to CAD
Agency Notification agreements.
Agency Interrogation
Call Processing
Total
Response
Time
NFPA 1221
& 1710 These segments should
be evaluated at a
minimum. Each
segment should have
an adopted
performance standard.
FD Notified
FD Unit Dispatched
> Turnout Time
> Travel Time FD Unit Responding NFPA 1710
FD 1st Unit Arrives
FD ERF Dispatched
ERF Travel & Total Time NFPA 1710
FD ERF Arrives
EMS To Destination
> Destination Travel
> Wall Time N/A Applicable to EMS transport agencies. EMS At Destination EMS Clear Destination
FD Units Clear Incident
From dispatch to clear, total
time, this translates into unit
utilization.
N/A
Used to evaluate unit
workload and
availability.
Normal State
The outcome of the incident response is the gold standard for service delivery analytics. However, this advanced study is outside the scope of this report and requires unconventional research and analytic methods.
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Continuing to expand on the medical incident example, the time segments for the first arriving unit in a medical call will be the call processing, turn out, travel, and total response times. However, due to dispatch performance, the PSAP relationship, and the upcoming combined dispatch center, SBFD would benefit from adding the call answer and PSAP transfer time segments as management components in its formal performance evaluations. That will, of course, need to be decided by city and fire department leadership.
For medical incidents, the contract specifies a 7-minute total response time. By evaluating the travel time extent map earlier in this report, it can be estimated that a travel time of 4 minutes is possible. Therefore, the benchmark for travel time on medical incidents can reasonably be set to 4 minutes. This leaves 3 minutes divided between turnout time and call processing time. Additionally, the agency may adopt the NFPA turnout time standard of 1 minute for medical calls as a benchmark. With that defined, it will leave 2 minutes for call processing. The AMR contract also stipulates dispatch will provide emergency medical dispatching (EMD). Per NFPA 1221, this would mean the communications center should be able to process a medical call within 1.5 minutes, 90% of the time. However, this may be too aggressive an initial goal, so for this example and based on current dispatch performance, the 2 minutes will go to call processing.
The baseline performances for turnout, travel, and call processing times for medical incidents can be found earlier in this document. For the working example, the current medical incident travel time is 5 minutes, 41 seconds, 90% of the time. Turnout time was 2 minutes, 17 seconds, 90% of the time, while call processing was 2 minutes, 5 seconds, 90% of the time. Finally, the overall total response time performance was 7 minutes, 6 seconds.
Performance Specifics
The next step is defining what meets the performance requirements for the analysis. For example, do Chief Officers get to stop the response clock, or is it an apparatus designed and equipped to address the incident specifics? Can an ambulance stop the clock on a structure fire, or is it an apparatus that can begin to address the fire hazard, like fire attack and water supply? There is no one answer to these questions, and leadership must define them to meet expectations of performance.
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The apparatus variable may be defined by type or a description of capabilities. If an engine company’s capabilities are well known, then stating a first due apparatus as the engine company will suffice. However, the definition might be more descriptive if the engine companies differ. For example, a complete description might state, “the first arriving company, capable of providing a minimum of three Firefighters, Officers, or Engineers, and equipped with an AED and EMT-B Firefighters.” It will be up to the agency to clarify this component. However, CFAI expectations are to clearly define the capabilities of the first arriving and effective response forces. For SBFD medical incidents, the leadership could adopt the first front line, engine, truck, or ARFF apparatus, as the clock-stopping vehicle. This is what will be used in the example.
Another variable that should be defined is geographic limitations. For example, an agency may state the travel time for a building within one road mile from the station would be 4 minutes, while those more than two road miles are 10 minutes. A more common methodology is to evaluate population density. In the EMS example being built, the AMR contract states different total responses of 7 minutes urban, 14 minutes semi-rural, and 29 minutes in rural areas. Assuming turnout and call processing are not changed, that would make the travel time for the agency 4, 11, and 27 minutes, respectively.
SBFD may add or limit the number of qualifying statements for any incident type. However, the result is the same—a performance chart based on incident type, perhaps the severity, that would include goals, standards, differences, and references. The following figure is an example of a performance chart only, not a representation of SBFD’s performance. The figure shows a potential performance statement based on the EMS example developed above.
Figure 133: Performance Chart Example
Key Metric Baseline Benchmark Strategic
Improvement Reference
First-due engine or truck performance for medical incidents in urban areas Call Processing 2:05 2:00 Regional Dispatch
Center
Dispatch
Agreement
Turnout Time 2:17 1:00 Management
Initiatives Meets NFPA 1710
Travel Time 5:41 4:00 Routing and Training Meets NFPA 1710 Total Time: 7:06 7:00 Turnout Time Focus Meets Ambulance Agreement
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The preceding figure is an example and does not necessarily meet or even follow the overall performance review acceptable by SBFD and the City of Santa Barbara. However, it does illustrate the process. This process would be repeated for all the service areas SBFD wishes to manage with data. For example, as in this risk assessment document, SBFD could continue to group fire, medical, and other incidents. Since SBFD may pursue accreditation, it should use the programs and risk classification levels in this risk section of this document.
One concept to remember is that total response times are not an aggregate of call processing, turnout, and travel times. Because the evaluation, in this case, is utilizing the 90th percentile, the baseline incident time segments do not stack vertically, and the total time is its own statistical analysis. In other words, adding call processing plus turnout time plus travel time for all incidents does not necessarily equate to the 90th percentile total response time.
Develop Evaluation Methodology
Now that the performance figures are defined for each incident segment and type, a methodology should be developed for analyzing the performance. During this step, the agency should evaluate who can perform the analysis and what tools they need to complete their tasks. The reporting periods, and management expectations from the reports, should also be defined.
It is common for leaders to see a technical report, such as a statistical evaluation of performance, and receive it with little action. The primary purpose for making these statistical evaluations is to help leaders decide what to change, add, or leave alone to provide the best service to the community. Unfortunately, technical reports that are not understood or report irrelevant information are ineffectual. Reports are received, dutifully read, and filed into a corner or forgotten without connecting operations to the statistics.
Statistics are not a magical solution. Statistics were developed to give complex issues a reference and make them easier to comprehend. However, inaccurate or misleading evaluations can cause damage and other problems. For additional information and an excellent example of mathematical systems being inappropriately applied and corrupted by leaders, see the book The Fires by Joe Flood. Statistical measures need to be valid, representative, and consistently applied.
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At its heart, statistics in emergency services should be designed to add an understanding of historical performance, reported in a way that is consistent and comparable to other similar agencies. However, to make this work for SBFD, the leaders must discuss the statistical measures they will use. For example, the department may use the mean or median measures for good reasons. However, the NFPA and CFAI have moved to a percentile for fire department performance analysis, typically the 90th percentile measure.
Therefore, it is up to SBFD what statistics it uses. However, since SBFD will likely evaluate itself against industry standards or other agencies, it should consider continuing with the 90th percentile measures presented in this document.
When building an evaluation methodology, a final concept is what data will be allowed into the analysis. There is significant debate within the fire service regarding what constitutes flawed data or an outlier. Again, the decision on what to include and potentially exclude is up to the SBFD leadership. For credibility, these decisions should be well documented.
People typically create the errors encountered in the records system. For example, information in a record may be added incorrectly or left blank. These errors apply to time fields, code application, narration, and incident specifics an analyst uses to slice the data.
Since these errors are usually created when the incident record is built, incorporating a robust quality assurance and training program will ensure accuracy.
A quality assurance program looks at each incident for errors and unacceptable performance. Once the incident report is complete, it is placed in a quality check queue.
Someone who has knowledge of the call, but not necessarily at the incident, will then pull up the report and evaluate it for accuracy. The following list is an example of a minimum quality assurance review.
• Well-written narratives that are legally defendable
• All dispatched units added correct information
• Incident type matches the incident findings in the narrative, or what the quality evaluator knows to be true about the incident
• Incorrect date and time stamped information is corrected through a verification process
• Unexpected date and time-stamped information is captured and explained Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 162
Once the records are accurate, there may still be some data that will skew the results because they were abnormalities. In this case, an agency may want to disregard these anomalies in its performance analytics. Suppose the agency defines what records it will disallow—in that case, those records identified as unexpected can be removed from the analysis. This outlier policy should be well documented and not designed to undermine the agency’s credibility. A custom or trigger field can identify the disqualified incident record as an exception and not be included in the analytic.
Caution should be taken in removing any record that is accurately showing performance.
For example, it seems unlikely that any unit would be able to turn out in zero seconds, so often that zero data is removed. However, if a crew is contacted directly and initiates the response, the turnout time would be zero. Therefore, in this case, a zero response indicates the deployment of units for this incident was very effective. Another example is a long drive along a road under bad road conditions. While the time may be extensive, it is actual performance. Therefore, it should be evaluated for what it is, a problematic response.
Considering all the potential anomalies and defining them before any analytics are completed helps make the analysis more transparent and adds a level of trust.
A secondary method to remove incorrect data is to look for statistical outliers. The methodology for these changes is based on the data shape and variability. For example, taking 1.5 multiples of the standard deviation may identify those statistical outliers for data points evenly distributed along a typical distribution curve. On the other hand, data points with a strong left or right tendency have a different shape. For left or right tendency data, it may be more appropriate to evaluate those data points that are 1.5 multiples of the inner quartile range as a statistical outlier. Either statistical methodology can incorrectly remove accurate anomalous information. However, these methods have a good chance of finding and eliminating incorrect data. Which approach is used becomes a compromise between absolute accuracy and time investment. SBFD may wish to consult with UC Santa Barbara to consult an academic professional in the math and statistics fields to help determine these approaches and methodologies.
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Research & Adopt a Technology for Analysis
One or a few employees typically accomplish the initial analysis and development of goals, identification of capabilities and standards, and general service understanding.
These people evaluate the data in large sets, determining rules and answering other questions. This can be an enjoyable experience for the right temperament and can lead to hours of discovery. However, ongoing analytical reports can become repetitive and lead to analyst burnout. Therefore, it will be to SBFD’s advantage to find and adopt technological solutions for ongoing analysis early in the planning stage.
In the age of Microsoft Excel®, it is easy to believe the spreadsheet program is the ultimate tool for analysis. It is a powerful tool, but the agency should research and potentially adopt other, more efficient methods. Typically, this is a homegrown analytic with standard business analytic software or the records management analytical systems. Other options are to look for a third-party fire-service-specific service, use the built in records management tools, or to hire external consultants to complete the analysis. Consulting reports can be reliable and are often conducted by professionals. However, these reports are lengthy and do not always help agencies manage their ongoing operations in a timely way.
SBFD should investigate the other technological solutions available to them. Whatever system SBFD chooses, it should have three primary attributes—First, the system should be easy to master; second, any analytic system should provide consistent results from data sets directly attached to the source; and third, the system should be highly customizable for the current service SBFD and what it might provide in the future.
One possibility is to utilize a third-party analytic vendor. This report will not name vendors for third-party service analytics, as the field is highly competitive and changes frequently.
Many of the vendors offer similar services but have a specialization, producing reports and analyses based on their expertise. Some of their products are truly exceptional and create complex calculations. The data they use is typically directly tied to the CAD data and may miss some of the subtleties of the NFIRS system. However, if SBFD knows how to adopt performance objectives from CAD data, the agency may be able to write and manage its performance objectives appropriately. One warning is that if these vendors go out of business or close their operations, the codes and mathematical assumptions are also gone.
In addition, what they produce is not customarily owned by the fire agency. Another typical concern is the high initial and ongoing costs of these systems.
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Another possibility is to utilize off-the-shelf analytic systems to create a reporting environment that is automated, researchable, verifiable, and valuable to management.
Many vendors provide analytical software solutions, each with pros and cons. The current Gartner Magic Quadrant for business analytic software indicates that Microsoft’s Power BI and Salesforce’s Tableau are the continuing front runners in this field.32 However, many options exist depending on the agency operating system environment, budget requirements, and other available systems. In addition, ArcGIS software, an industry leader in geospatial analysis, is generally open to fire departments within a city. If the City owns a license, they usually provide a seat license to all departments. This might be true through the county as well. One concern for the homegrown approach is the need for technologically skilled personnel to create, maintain, and present these reports.
One final option would be to utilize the analytics intrinsic or available within the agency records management system (RMS). SBFD uses the Image Trend® RMS system for incident reporting. This company recently added an analytic package within the Elite level of service that appears promising. The system allows specific rule adoption at a detail not readily available in other RMS systems. The concern would be cost, agency understanding of the mathematics and models, and Image Trend’s ability to deliver on its intended promises.
Adopt Policies, Procedures, and Systems for Analytics (Standardize) Once all the above processes, definitions, and systems are evaluated and recommended, they must be officially adopted. This means capturing policies and procedures in writing. All analyses created will be considered under the written rules to ensure consistency during the analysis period. These documents can be changed as the improvement process continues. However, the change process needs to be defined as well. In addition, changes should only be made if they can be reconciled with the previous analytics.
Do: Implement the Plan
Initial implementation of new plans can create dramatic organizational changes with minimal effort. This is typical because the changes are more of policy and procedure, not in actual operations. However, as the continuous improvement cycle continues, implementing and evaluating change requires more effort and has a less pronounced impact. However, the most profound changes are usually encountered during these more difficult cycles.
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Implementing the planned analysis systems requires communicating and training throughout the organization. Most fire service organizations have a training system in place that can be tasked to meet this requirement. However, without adoption by those who create the reports and those who supervise and quality check the information, the system will not produce accurate results. Engaging these people early and communicating the expectations and outcomes will create the best results.
It is critical to communicate expectations to those affected. Not only what is required of them but what the efforts are likely to produce. Explain the methodologies to be used and create an open environment to help. People who do not understand the overall strategy of statistical analysis for improvement may not feel comfortable admitting this. In addition, those whose actions are being evaluated may feel insecure and attack the process. This emotional reaction should be anticipated, and steps should be taken to alleviate it, including an open feedback forum.
Personnel may also need ongoing education and training to complete accurate and representative reports. In addition, training on new business processes, systems, and technical infrastructure may be required. Efforts should be made to coach people through the changes and identify those who currently need to be trained and those positions or individuals that may move into this process.
Check: Perform the Analytics
Now that the agency has defined the metrics and the collection system and adopted the analytic methodology, it should start to work on reporting. There are several levels and types of reports that should be accomplished. In addition, there are different audiences for every kind of report. Some may go to the fire department leadership, some to all fire department personnel, and others to city leadership and council. The following list is just an example of the reports to be produced. It will be up to SBFD and the city leadership to approve the content, distribution, and timing.
• Quality assurance information and exceptions
• Overall time segments analysis by incident type and severity • Unit time segment reports by shift, station, and apparatus • First due and ERF travel time by geographic area
• Trend analysis by geographic location, unit, and overall performance Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 166
The content and timing of the reports will be dictated by the intent of the information. For example, a daily report would be designed to identify data that may be incorrect and should be evaluated and potentially corrected. A monthly statement to crews and leadership may indicate unit performance with trends to improve crew activity. A quarterly report may be designed and used to identify progress towards improvement goals and initiatives. Finally, annual reports would inform the public and the City leadership about the department’s overall performance, improvements, gaps in service delivery, and potential needs.
Act: Improve Operations Based on the Analysis
The agency should undergo this evaluation to understand service delivery and evaluate ways to enhance performance. The first step is identifying areas that could be improved, whether a geographic location or a specific unit at a particular station. Next, leaders and staff should evaluate what initiatives can be attempted and the expected outcome.
Finally, after the proposal is implemented and a reasonable amount of time has passed, the analysis is reviewed against expectations. This comparative analysis allows management to see if the initiative has made the expected improvements.
These improvements may require a simple policy change. Conversely, the enhancements may be as financially prohibitive as new staffing or new stations and take years to implement. Regardless of the improvement initiative, having solid analytic proof and definitive performance enhancement goals will improve the overall positioning and service of SBFD.
Continuous Improvement
This process must be frequently repeated, keeping the process and analytics relevant. The intervals will be determined based on findings, initiatives, and systems. Initially, the method may need to be evaluated monthly or quarterly to ensure the information is pertinent and valid. However, after the initial build, the entire process will need to undergo formal evaluation at a less frequent but more defined interval. Utilizing some of the performance indicators defined in the Commission on Fire Accreditation International’s (CFAI) 10th edition of their self-assessment manual may help create a formal review process. The following list shows a review process based on the CFAI documents. • Annually policies and procedures must be reviewed. Therefore, this is an excellent time to ensure the analytic policies and practices are up to date with the small changes made within the year.
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• Strategic plans should be produced every three years. The strategic plan should incorporate performance improvement initiatives. At this time, the types and levels of analysis may need to be redefined and adjusted.
• This Community Risk Assessment: Standards of Cover must be reviewed and updated every five years. The build-up to publishing this document is an excellent opportunity to determine if the analytics still meet the agency’s needs.
Because this process is heavy on policy and documentation, there is a built-in standardization step each time the cycle starts again. There is a reason the Deming Cycle is usually pictured going up a ramp. Without constant effort, the process will fall backward, and the organization will be back at the beginning. Standardization, including the implementation and training of organization members, acts as a wheel chock. It may not be able to stop backward motion. Still, attention to the organization and standardization will help keep the agency moving forward.
It does not matter what approach the organization chooses to take to continually evaluate its operations and data. However, the critical concept is that they adopt a formal method that allows a deep understanding of improvement and guidance. The following figure is a review of the plan overview presented above. •Analyze
•Report
•Review
•Compare
•Review
•Initiatives
•Train
•Implement
•Supervise
•Research
•Adopt Objectives
•Standardize
Plan Do
Act Check
Figure 134: Methodology Overview
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Implementing & Evaluating a Community Risk Strategy
Community Risk Reduction Program
Each of the following is part of an overall Community Risk Reduction (CRR) program that can be defined as “The identification and prioritization of risks followed by the integrated application of resources to improve public safety and reduce increasing call volumes.”33 The goal is to incorporate emergency operations with prevention efforts at the fire station level. The station-level approach is preferred because risks vary from one station to another and even within a station’s response area. Simply put, CRR examines problems and develops prevention or mitigation strategies to reduce hazards.
Data collected for this master plan and continued analysis in the future creates an opportunity to determine if specific hazards are increasing or decreasing based on incident response. Additionally, risks may shift as new development or demographic change occurs in Santa Barbara and the general service area, impacting SBFD.
Preparing a CRR plan should align with the department’s mission and strategic plan.
Creating a plan at the station level allows personnel to engage the community they serve.
It empowers staff to interact, learn more about their community, and take ownership of the program. Station personnel will begin to understand the importance of collecting accurate data to support their plan, developing strategies using partnerships, gaining their input, soliciting feedback from the community, and deciding what risks to prioritize.
The next figure is one basic methodology offered by Vision 20/20 to identify and analyze risks within a community. In addition, Vision 20/20 includes a coalition of national organizations and experts that exemplify how collaboration, communication, and commitment to data-based solutions can save lives and properties.
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Figure 135: The Community Risk Assessment Process
Identify Risks
The initial component of a CRR plan is to identify the risks in the community. Intuitively, Firefighters know where the most significant risks are in their first-in response area. Reviewing fire incident data at the station level allows SBFD to deliver prevention and mitigation strategies to the community. Other data sources are available from local government, chamber of commerce, school systems, public health, and Geographical Information Systems (GIS). Each of these sources can potentially provide additional data to identify risks.
Community partners can play an essential role in risk reduction. As the identification of risks begins, it is crucial that SBFD determine potential community partners. These other groups in the community may have programs similar to what SBFD may offer, and understanding their mission may prevent duplication of efforts.
Data from this report provides demographic information for at-risk populations. What must be understood is that a CRR plan looks at all risks, not just fires. The fire department responds to many emergencies, including EMS, fire alarm activations, automobile crashes, technical rescue, or hazardous materials. Each of these incident types presents a risk to the community.
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Prioritize Risks
After identifying the risks, SBFD must prioritize what risks should receive prevention, mitigation, or operational efforts. This can be a difficult task when SBFD has identified a list of many risks. Using data from the risk analysis process can assist SBFD in deciding the top risks. It should be remembered that when developing a program to reduce risks, several factors, including the probability of it occurring, the consequence to the community, and the impact on the organization, should be reviewed. The staff’s enthusiasm is essential since it would be considered their program, not something that is assigned to them by organizational leadership. This creates ownership by the individual companies.
Another essential component of risk prioritization is soliciting input from personnel in the department (Firefighters, company officers, inspectors) and other community partners.
These groups understand the problems well and can provide valuable information to decide what risks to prevent or mitigate first. Remember, risks vary in SBFD’s response area and can change from one station to another.
Develop Strategies & Tactics to Mitigate Risks
Although SBFD provides risk reduction, it should begin focusing on a coordinated effort throughout the entire organization. Therefore, when developing strategies, SBFD should use the “Five E’s.”
• Education—Will education help the public: who, where, when? • Engineering—What engineering or technology is available to help? • Enforcement—Is additional or more substantial enforcement needed? • Economic Incentives—Could incentives increase compliance? • Emergency Response—Would changes in response make a difference? More than one of the Five E’s could be used to develop prevention, mitigation strategies, or operational changes for many risks. Examples of potential programs may include drowning prevention, pedestrian injuries, or deaths, addressing campaigns, or bike helmet safety.
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When developing a CRR plan, SBFD must determine what strategies have already been implemented in the community to prevent duplication. In addition, outside resources may be available through partnerships with many community organizations such as law enforcement, nonprofits, health departments, EMS, religious, and local businesses. These groups may provide staff with a different perspective and offer additional funding and resources to mitigate limitations within the fire department.
As SBFD begins finalizing its risk reduction programs, the department or individual fire stations should consider the pros and cons of each strategy. They should consider some of the following:
• Financial ability
• Political influences
• Logistical concerns
• Organization vision and priorities
• Culture of the organization
Preparing the CRR Plan
A CRR plan can be in-depth or a simple document that provides a road map to prevent or mitigate the risk. A complex plan may be short or long-term (3-to-5 years) and use GIS mapping, while another may use basic data from incident reports. The plan allows personnel to follow a systematic process to begin developing a program for the community that aligns with the organization’s vision and goals. It empowers staff and engages them at the station level, ultimately allowing them to focus their efforts.
The plan identifies specific action items that reduce risks and integrates prevention and mitigation strategies. In addition, it provides who participates in the plan and their roles and responsibilities for accountability. A CRR plan should include the following, but the depth of the information may vary based on the program.
• Outline the vision, mission, values, and priorities
• Describe the community and service area
• Identify and prioritize the risks
• Identify prevention and mitigation strategies
• Provide a basic implementation plan for the strategies • Identify measures for monitoring and evaluation
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Implementing a CRR Plan
Implementing a CRR plan may require assistance from internal and external partners. Much like operations on the fireground with automatic mutual aid, the plan implementation uses the following phases:
• Identify and allocate the resources needed for the plan • Prepare a timeline for implementation
• Assign responsibilities
• Communicate the goals and expectations of each person involved with the plan • Monitor the progress of the plan and program
• Make modifications when necessary
Every organization’s CRR plan looks different but is designed to meet its goals and objectives. It’s important to realize that a plan may use partnerships with outside agencies or develop it with internal resources or a combination.
Monitoring & Evaluation
The objective of monitoring and evaluating a CRR plan allows SBFD to make adjustments if it is not working. The adjustments could be simple or may require significant changes. As with any program offered by SBFD, the monitoring can determine if the plan accomplishes its intended desires. In other circumstances, it provides information on unexpected benefits and may uncover problems that need adjusting.
A significant component of this final part of a CRR plan is to develop process or outcome performance measures to determine whether the program is working correctly. Typically, formative measures are not used as part of a station-based CRR plan since it involves research and more detailed analysis. Vision 20/20 has created a guide to help develop outcome performance measures and explain why they are essential.
Many fire departments use process and impact evaluations for monthly or annual reports.
Process evaluations, called output measures, quantify what an organization does daily.
These evaluations measure the number of activities completed (i.e., incidents, inspections, station tours). Impact evaluations help the organization measure its programs to determine if they change behavior or knowledge (fall hazards for seniors). Reasons for developing outcome measures include the following:
34 Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 173
• Identify effective practices
• Measure program effectiveness
• Identify any practices that need to be improved
• Provide documentation to elected officials that their funding is working • Builds transparency and understanding of the program
Developing a CRR plan requires SBFD to look at all risks, not just fires. Like other fire departments in the United States, most incidents are not fire-related and involve other types of emergencies. Creating a CRR plan that reviews all the risks provides an enhanced level of community service and engagement. Triton recommends SBFD create stationbased CRR plans for each station’s response area that allow for ownership at the company level for the program(s) they develop.
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Section IV:
FINDINGS & RECOMMENDATIONS
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Findings
• SBFD protects an assessed valuation of $23,599,163,000, numerous revenue and jobproducing businesses, and the economic vitality of the community. • Fire stations are strategically located and provide a response system consistent with risk and demand.
• Service demand and system analysis for 2020 and 2021 may be driven by the COVID-19 pandemic and associated societal measures taken to prevent its spread.
The research indicated a significant change in the utilization of emergency services.
It is supposed that many people were reluctant to call for medical aid, leave their homes, or travel during the pandemic. As a result, incident volumes for these years may not be what agencies might expect in less restrictive times. For this reason, further evaluation is warranted as non-pandemic data becomes available. • The incident volume indicated a significant dip during 2020, with a rebound in 2021 to levels more like pre-COVID-19 years. However, the number of responses may change significantly as the community recovers.
• The data provided for evaluating ALS service provided by the private provider was limited. Without complete records, the performance evaluation is incomplete. • The contract between the County and the ambulance company has been in effect since 2005 without substantial changes.
• Code 3, emergency response ambulance performance is unevenly distributed throughout the city. ALS response times appear to be difficult to achieve consistently.
• The ambulance company’s policy of reassigning units may not show in official contract evaluations because only the first unit on the scene is evaluated. This practice may be adding between 1:30 and 2:00 minutes on average to 8% of the emergency responses.
• Between 2019 and 2021, mutual aid partners responded to 460 medical incidents within the city of Santa Barbara. These mutual aid partners provided advanced life support paramedic level service on 267 of the 460 incidents. • Dispatch information exchange is not an automatic CAD-to-CAD system and requires additional dispatcher actions to initiate.
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• The Santa Barbara County Fire Department is creating a regional fire and EMS communications facility. Santa Barbara City Fire Department is supporting this effort and will be contracting with the County for dispatch services. • Over 58% of all priority coded EMS dispatches require ALS resources. This equates to 30% of all incidents within the SBFD service area.
• Call processing and crew turnout times exceed NFPA recommendations. • Operational staffing levels are below the national and western-region levels. • Stations are not regularly inspected for fire and life safety issues. Most of the stations' fire alarm systems, smoke detectors, and carbon monoxide detectors were out of service or missing. Other safety systems are missing or out of service, such as eyewash stations and biological waste containers. Many locations with eyewash containers had an expired saline solution in the racks. • Some of the older stations are undersized for modern firefighting operations.
Notably, undersized stations included Stations 3, 4, 5, and 7. • There was no evidence of a capital improvement or station replacement plan. • Station maintenance appeared to be completed as reported and on a priority system with other City-owned properties.
• The SBFD Fire Prevention Division (FPD) has a robust Mission Statement that includes “eliminating the potential causes of fire” and “prevention of fires.” However, their activities focus on fire mitigation rather than prevention, as do most fire departments.
• Budget cuts during the pandemic lead to the elimination of one Inspector and administrative support to the FPD. Although some support is offered by other Divisions, the latter created a 10–15% increase in workload for staff. • The department lacks staff that is dedicated to the oversight of Emergency Medical Services programs.
• FPD staff deliver all services rather than specialize. This is optimum for efficiency as long as time and training are available to ensure they have the technical skills required to be a Plan Reviewer, Inspector, and Investigator. It is noted that the three wildland staff conduct plan review, inspection, and outreach only as related to the wildfire risk.
• SBFD does not have a current pre-incident planning process for commercial buildings.
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• The city, fire, and building codes include amendments that address high risks in the city. However, there are no requirements for mandatory vegetation management or retroactive requirements for home hardening of existing structures. • FPD activities, including engine company inspections and permit issuance, are well automated using ImageTrend Fire RMS and portable devices. The use of Accela for construction inspections and system installations is noteworthy as it interfaces directly with the Community Development Department process for maximum efficiency. The only part of the workload not automated is the weed abatement which still depends on mailed letters.
• SBFD completes approximately 6,000 inspections every two years. The Bureau handles state-mandated annual inspection of all occupancies except multi-family dwellings, which are assigned to engine companies on a two-year cycle. These buildings are high-risk occupancies in terms of fire loss, especially those without fire sprinkler protection. In addition, they are mandated by state law for annual inspections. There are approximately 3,600 multi-family parcels in the city, representing a significant portion of the inspection workload. • The Santa Barbara County Health Department is the CUPA for the County. SBFD is not a Participating Agency (PA) but does conduct inspections of hazardous materials storage, use, and handling, as well as permit issuance per the fire code.
This can lead to duplication of efforts and conflict in enforcement. • The fee schedule is not as comprehensive as allowed by best practices and does not appear to cover the entire cost of services billed. • Public education programs are conducted by staff from another division in the department. The Public Outreach Coordinator and Emergency Services Manager also administer the CERT and LISTOS programs, which are excellent community resources. They also facilitate bilingual delivery of messages and programs. Most of the programs provided appear to be basic/standard fire department programs rather than programs based on specific community risks. • The wildfire hazard in the city is extreme and the SBFD devotes resources commensurate with the risk to address it. However, defensible space inspections are neither routine nor is compliance mandatory. Research indicates that defensible space and home hardening are the most effective mitigation strategies for the protection of homes from wildfire.
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• FPD staff are educated on the 2021 CWPP and award of projects and priorities. They are engaged in planning and securing funding for various projects but have not been successful in hiring the required workforce.
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Recommendations
Based on the analyses and considering community expectations, recommendations are offered to assist the department with strategic planning and improving fire and emergency services to the community. Triton does not expect SBFD to implement all recommendations in the short term. Some may wait until economic conditions allow their implementation. All of the recommendations offered chart a course to improve capability and service.
Short-Term Recommendations
The short-term strategies listed in this report are a compilation of the recommendations aimed at improving the current conditions and levels of protection over the next one to two years.
Recommendation A-1: Place greater emphasis on the quality assurance of Fire Records Management data inputs.
Description: Correct documentation of events for the fire department is critical, especially for those requesting them—such as attorneys, insurance companies, and property owners.
In addition, a reliable and accurate analysis of performance cannot take place without quality control. Triton recommends that the Shift Battalion Chiefs review and verify that the information is complete and correct. If not, return it to the author to correct. Tracking unit performance is critical to a defensible report of actions in the case of litigation.
Additionally, the response time objectives need to be designated as industry-standard percentiles.
Outcomes: The risk of litigation for poorly written records will be reduced. An accurate and defensible analysis of performance can be completed on a regular basis.
Estimated Cost: Staff time to review individual documentation for errors and omissions. Staff time to meet with the dispatch center to resolve data errors and improve call processing time.
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Recommendation A-2: Modify response assignments so that all incident types can receive sufficient resources, based on risk.
SBFD has developed its critical task analysis defining the minimum number of personnel and apparatus needed by incident type. This modification should take into account risk or nationally recognized standards such as NFPA 1710. Consideration should be given to sending sufficient resources on the first alarm to meet the staffing needs that are aligned with an updated critical task analysis.
Outcomes: Standardized response assignments utilized by the dispatch center to better align the actual number of resources sent that matches risk for all incident types. The transition to the reginal dispatch center will be a positive move to standardization of response assignments.
Estimated Cost: Staff time to modify response assignments.
Recommendation A-3: Improve Advanced Life Support (Paramedic) response coverage.
Description: The uneven distribution of ALS responses within the city for high acuity incidents may pose an unacceptable community risk. In addition, it should be noted that the agencies participating in automatic aid boundary drop responses are providing ALS responses into the city. As SBFD is currently a BLS provider, its level of response to EMS incidents is inconsistent with the level of care throughout the south coast and that being received from the auto aid agencies and that which SBFD is providing to others. SBFD should develop a plan of implementation that will result in the conversion of the department’s BLS engine companies to ALS and possible utilization of ALS peak-hour response units such as quick attack quick response units.
Outcomes: Enhanced first-on-scene EMS intervention.
Estimated Cost: Costs will vary depending on the plan adopted. Costs may include training, hiring additional staff, staff compensation, and equipment.
Recommendation A-4: Consider creating a full-time position for EMS Program Administration.
Description: The department lacks staff that is dedicated to the oversight of Emergency Medical Services programs.
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Enhanced management of the EMS programs will allow for improvement to the process of EMS Continuous Quality Improvement (CQI) and the identified necessary continuing education. CQI programs take time and dedicated staff to review patient care, network with hospitals for patient follow-up information, collect system data and provide an educational program to make system improvements.
Outcomes: A dedicated non-safety EMS Administrator to manage EMS training and projects would provide consistent oversight and organization of these programs and ensures compliance with state and county policies. This position will be valuable as the department transitions to advanced life support and will facilitate continuing education inhouse, including Advanced Cardiac Life Support (ACLS) and Pediatric Advanced Life Support (PALS). It would allow for better planning and integration of EMS education with current fire department training. The position will allow for improvements in the current quality improvement program, including oversight of peer reviews, chart audits, and department-desired quality improvement projects. This position would allow for future growth in EMS systems, including community paramedicine and mobile-integrated healthcare.
Estimated Cost: Total salary and benefits is approximately $220,000 annually.
Recommendation A-5: Work with the City to establish a capital improvement and replacement program.
Description: SBFD should work to develop, adopt, and fund a facility capital improvement and replacement program. Each capital system should be identified and put on a repair and replacement schedule. Each building should continue to be evaluated for its ability to meet the agency's needs, and a replacement schedule should be negotiated years in advance.
Outcomes: Systematically evaluate, repair, and potentially improve the facilities required for ongoing operations.
Estimated Cost: Initial costs will include staff time to audit facilities, negotiate with the City, finalize, and adopt a plan. Ongoing costs will consist of maintenance requirements such as system repair and replacement of consumable goods.
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Recommendation A-6: Continue to support the creation and place into operation the County-wide Regional Fire Communications Facility.
Description: Having multiple response partners, especially within EMS, can be difficult to maintain risk and situational awareness. Creating a common CAD system will improve resource allocation and data collection. A joint facility may also reduce dispatch delays by automating dispatch processes. In addition, a single or universal data set will enable staff to create analytics that is specific and appropriate for the SBFD. Of note, during the last ISO rating, no credits were allowed for Dispatch Circuits.
Outcomes: Implementation of the approved county-wide regional fire communications facility plan will improve communications, and coordination between agencies and could result in receiving full credit for Dispatch Circuits adding three credits to SBFD’s ISO.
Estimated Cost: Costs are estimated to be $800,000 per annum by the County as presented by SBFD staff to the City of Santa Barbara City Council.
Recommendation A-7: Establish a station fire and life safety inspection program.
Description: SBFD should develop an annual life safety inspection program for its facilities.
Systems designed to improve the safety and health of employees are essential for the reduction of the number and severity of injuries and health concerns. These systems, such as smoke and carbon monoxide detectors, need ongoing maintenance and evaluation.
Outcomes: Systematically evaluate, repair, and potentially improve the emergency and life safety systems at all SBFD facilities.
Estimated Cost: Initial costs will include staff time developing, adopting, and completing a custom or currently available inspection system. Once developed, the address should be added to the mandated annual inspection list. Ongoing costs will include maintenance requirements such as system repair and replacement of consumable goods.
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Recommendation A-8: Place more emphasis on Pre-Incident Planning.
Description: Pre-incident plans provide information to emergency responders such as building construction type, built-in fire protection systems, access, storage of hazardous materials, and other building components that may increase the hazard during a response.
The existing process has produced approximately 125 pre-incident plans and is available online. During the last ISO rating, SBFD received minimal credits for pre-incident planning during the most recent inspection.
Outcomes: The SBFD has re-established its pre-incident planning committee and should focus on developing a defined set of guidelines. Information collected during the preincident plan site visit will allow responding personnel to see the potential hazards they may face during an event and help develop strategies and tactics to control an incident.
Completing pre-incident surveys in accordance with NFPA 1620: Standard for Pre-Incident Planning can increase the credits for ISO; in addition, completing an inspection annually can add one credit toward the final ISO scoring.
Estimated Cost: The costs are staff time to develop a pre-incident planning program, schedule, and complete the pre-incident plans. Staff time may be reduced if Community Development will download archived plans into the tablet system for revision/updating.
Recommendation A-9: Update the current Target Hazards list.
Description: Community target hazards include any location that could incur a high loss of life, or would have a negative impact on lives and the community if a fire or other incident occurred.
Outcomes: Updating the current target hazard list allows SBFD to develop proper planning (strategy and tactics) for different types of events, such as a fire or active shooter. Preincident planning of these locations will provide information for responders during an incident.
Estimated Cost: The costs are Operations and Fire Prevention staff time to identify the target hazards and develop pre-incident plans for each location.
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Recommendation A-10: Adopt a response time objective for each element.
Description: SBFD did not communicate that they have an adopted response performance policy for each element of response time.
Outcomes: Developing a policy after comparing NFPA 1710 and baseline results should be adopted by a committee within the fire department and communicated for approval to the AHJ.
Estimated Cost: Staff time to develop response time objectives for each time segment in the continuum of response.
Recommendation A-11: Negotiate a new agreement with the USFS for the continued operation of the modular unit at Station 7.
Description: The City and the USFS entered into an agreement in 2003 for the “temporary use of modular unit at City Fire Station No. 7.” The agreement also stated the temporary use was “for a period not to exceed five years.” The intent was that the City and the USFS would build a new combined fire station on the site. However, seismic issues prevent any new construction. With the temporary agreement and the modular unit is approaching 20 years old, the City and the USFS need to reevaluate the goals and negotiate a new agreement and look for long-term solutions for continuing the partnership.
Outcomes: Have an agreement in place with the USFS for the use of space at Station 7 while looking for long-term solutions to serve the area in partnership with the USFS.
Estimated Cost: Staff time to develop new agreement short term. Staff time to look for a long-term solution.
Recommendation A-12: Inspect all multi-family residential occupancies annually.
Description: State law requires multi-family residential occupancies to be inspected annually. SBFD assigns inspection responsibility to engine companies and requires they complete 1,800 of the 3,600 in the city every year. This does not meet the state mandate, and the City has a liability risk.
Outcomes: Meet state mandate, eliminate liability risk, and improve safety in these high-risk occupancies.
Estimated Cost: Inspection time for this occupancy will double for engine companies.
Alternatively, the Fire Prevention Division can complete these inspections if the Inspector/Investigator position is filled.
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Recommendation A-13: Review Incident Data Annually.
Description: Due to potentially distorted data during the COVID-19 pandemic years, trends and predicted demand may be flawed. It is essential to understand the full effect of the pandemic on service delivery, and that will only be possible with continued analysis.
Evaluating demand, service types, and other information annually until the pandemicspecific effects are fully accounted for and understood is critical. Until that effect is fully understood, the analytics created using the pandemic-era data have the potential to be misleading.
Outcomes: Creating an understanding of the pandemic era effect on, and creating appropriate adjustments to, service delivery and performance analytics.
Estimated Cost: Costs will vary depending on the approach adopted. At a minimum, staff time will be required. Additional costs may include training, increased staff levels, compensation, equipment, or fees paid to outside vendors.
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Mid-Term Recommendations
The mid-term strategies are progressive enhancements of the current conditions. Many will likely require two to three years to accomplish.
Recommendation B-1: Consider Increasing staffing by one Firefighter per apparatus per shift resulting in four-person staffing on engines and the truck company.
Description: The City of Santa Barbra has a significant number of values at risk, numerous multi-family structures, high density, historic structures, and a high wildland fire risk. Of note, during the last ISO rating, SBFD was awarded only 8.53 credits out of 15 for staffing.
Outcomes: The addition of Firefighters will result in enhanced initial attack capabilities, increasing Firefighter safety, limiting civilian injuries, loss of life, fire spread, and economic impact, and could add additional credits toward to final ISO score.
Estimated Cost: To be determined during the implementation phase.
Recommendation B-2: Repair, remodel, or replace the workout facility at Station 6.
Description: The area being used as a workout facility for station six is in immediate need of repair, remodel, or replacement. The outbuilding shows evidence of structural and electrical issues.
Outcomes: Create a safe and practical area for physical fitness for the Firefighters assigned to Station 6.
Estimated Cost: The cost of replacing this outbuilding is estimated at $150,000.
Recommendation B-3: Create a Community Risk Reduction Plan.
Description: The CRRP and process for drafting and implementation is included in the CRA portion of this document. It should be developed from SBFD incident data that has been reviewed for accuracy and completeness. It may be necessary to implement an incident report review process within the department if the quality of data is not high. It will also be necessary to ensure there are clear first-due areas for engine companies who will be involved in efforts based on these geographical areas.
Outcomes: The department should begin to see a measurable reduction in fire and injury losses as specific risks are targeted by population group, and geographic region, and efforts are more focused on preventing the incident than mitigating impacts.
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Estimated Cost: This is a shift in focus and effort by the entire department, making costs minimal. Training should be the only cost other than time and change management strategies.
Recommendation B-4: Restore the Administrative and Inspector/Investigator positions eliminated during the pandemic.
Description: Monitor the FPD workload to determine when the Inspector/Investigator and administrative positions cut during the pandemic should be filled. The seven technical staff currently spend 10-15% of their time on administrative tasks. Efficiency would increase if administrative staff assumed most of these duties. A department-wide administrative workload study should be conducted to determine if the reallocation of existing staff or hiring the eliminated position is the best solution. The Inspector/Investigator should be filled as soon as possible as the workload exceeds current staff capacity.
Outcomes: Adequate staffing is critical to meeting the goals and mission of SBFD. Hiring the Inspector/Investigator position and providing administrative support will help ensure that community risk reduction activities are completed.
Estimated Cost: Cost can be off-set by adequate fees. Additionally, as new job classification for a non-safety Inspector position can be considered.
Recommendation B-5: Continue educational programs that target identified community risks in both English and Spanish.
Description: Current educational programs are based on traditional and generalized fire safety topics and are implemented by staff from the Emergency Management Division.
While effective in conveying basic safety knowledge, these programs are not as effective as programs targeting risks identified by incident data in specific populations and geographic regions. Educational outreach should be based on the CRRP and coordinated for department-wide delivery where applicable.
Outcomes: More effective and efficient delivery of educational outreach.
Estimated Cost: Time required for the Emergency Management Division to develop programs based on the CRRP. Training should be conducted and delivered by a crosssectional team of Operation, Prevention, and Emergency Management staff.
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Recommendation B-6: Consider the use of technology to implement Community Wildfire Protection Plan strategies.
Description: The 2021 CWPP includes prioritized strategies to mitigate the City’s wildfire risk.
FPD staff is ready to manage these projects and, in many cases, has secured grants or other funding to carry them out. However, the required staffing and/or expertise is not available within the department and has not been identified for outside contract services.
There are technological services available that may be helpful. For example, there are companies that provide Light Detection and Ranging (LIDAR)-based assessments of parcel-based fuels and offer an automated system that allows homeowners to upload before and after photos depicting work completed. The following figure shows an example of a LIDAR depiction of fuels for defensible space inspections.
Another potential solution is to join forces with other nearby fire departments and fire safe councils facing the same issue. Sharing resources by expanding project scopes to include work on adjacent land or creating a shared workforce and technology may be worth exploring.
Outcomes: More efficient delivery of services using technology to create parcel maps, dashboards, and user portals for entry of compliance data.
Estimated Cost: Cost of system, outreach, and training which can be offset by user fees.
Figure 136: Example of a LIDAR Depiction of Fuels
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Long-Term Recommendations
The short- and mid-term strategies discussed will move the organization forward substantially. A longer-term, high-level view of future needs is also important to provide a “big picture” view of how the organization may continue with future initiatives. Primarily, long-term strategies are centered around community growth and related workload and how both impact the future deployment of personnel.
Recommendation C-1: Determine how to improve or find an alternate site for Fire Station 7.
Description: Fire Station 7 is located within and provides initial attack to incidents in one of the city’s high-hazard wildland-urban interface areas. Maintaining this capability is essential to the department’s overall risk management strategy. Station 7 lies along the Mission Ridge Fault System. Engineering will need to be conducted to determine if the station can be rebuilt. The results may indicate the station is at risk of damage or loss during fault activity, rendering aid from this station untenable. Therefore, this building, if possible, should be hardened against damage or relocated to keep responders safe to respond during an earthquake.
Outcomes: Systematically evaluate, repair, and potentially improve the facilities required for ongoing operations.
Estimated Cost: To be determined depending on the option chosen.
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Section V:
APPENDICES
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Appendix A: Strategic Partners—Community Survey
As a part of this study, Santa Barbara City Fire Department sought community input and opinions from its community. On May 4, 2022, AP Triton facilitated a virtual Community Town Hall for SBFD. During the Town Hall, the purposes of this study were described, and the community was introduced to the survey, which was designed to identify the following:
• Service priorities. Of the services provided by the fire department, which are more or less important to you?
• Planning priorities. Of the planning elements used by the fire department, which are more or less important to you?
• Expectations. What do you expect of your fire department? This would include such things as level of service, type of service, first responder qualities, etc. • Positives. What do you think the department does particularly well? • Concerns. What concerns do you have about the department (the services it delivers, or the way in which it delivers them)?
• Other thoughts. What other ideas do you have to share with the department as they begin this project?
The survey was administered in English and Spanish and was completely anonymous and confidential. There were 352 responses. The following summarizes the results of the survey.
Please note that the open-ended responses are minimally edited for grammar and/or clarity. Most responses appear in the form they were submitted.
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Residency of the Respondents
Figure 137: Residency
The vast majority of respondents were residents of the SBFD service area. Other responses included:
• Both resident and business owner
• City of Goleta resident
• Community Partner/Goleta resident
• Employee in the SBFD service area
• I am in the County. The cooperation between County and City fire departments is marvelous. Keep this up!
• Interested hillside resident near City Station 7 but in MTO service area. • Property owner in the service area
• Public service
• Resident & Business
• Santa Barbara Resident
1%
3%
5%
91%
Public Safety Services Partner
Other
Business Owner/Employee within SBFD
Service Area
Resident of SBFD Service Area
0% 20% 40% 60% 80% 100%
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Service Prioritization
Respondents were asked to rate the following services provided by the SBFD using a scale of critical priority, important priority, or a low priority. If they would like to see a service added, they were asked to list it in the comment field.
Figure 138: Service Prioritization
Fire Suppression was overwhelming the most critical of priorities, followed by Wildland Firefighting, and Emergency Medical Services. The lowest-ranked service priorities were Community Events and Public Outreach. These results are typical of most communities located throughout the United States. No additional services were listed. 6%
10%
12%
19%
20%
23%
37%
39%
51%
56%
67%
82%
88%
38%
50%
52%
59%
60%
60%
43%
49%
37%
37%
28%
15%
11%
36%
22%
21%
21%
12%
12%
7%
5%
3%
1%
Community Events
Public Outreach
New Construction Plans Review, Permitting, and
Site Inspections
Public Education
Maintenance Fire Inspections
Community Risk Reduction Services
Water Rescue
Technical Rescue
Hazardous Materials Response
Emergency Management
Emergency Medical Services
Wildland Firefighting
Fire Suppression
0% 10% 20% 30% 40% 50% 60% 70% 80% 90%100%
Critical Priority Important Priority Low Priority
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First Responder Qualities
When asked to rank first responder qualities in the order of importance, respondents responded as follows:
Figure 139: First Responder Qualities
The Santa Barbara community wants to see highly trained first responders first and foremost. This was followed by prompt arrivals, being friendly, courteous, and professional, and lastly involvement in the local community. Additional qualities were listed as follows:
• Advertising via social media or radio, etc., to educate people on things they can do to be safe or prevent fires or how to prepare themselves in the event of an emergency or evacuation. The more educated and empowered the community is, the more prepared and compliant they are likely to be, which would free up the Firefighters to do their job when an emergency is happening. • Approachability. We had the fire department come when our daughter, who has a medical condition, needed ambulance transportation. They were cold as ice. • Becoming a nationally accredited fire agency. And lowering their ISO rating. • Bilingual
• Diversification in hiring process of more woman and other ethnicities. • Diversity
Involved in the Local Community
Friendly, Courteous, and Professional
Prompt in Arrival
Highly Trained
0 1 2 3 4
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• Empathic
• Fire safety in the Elementary Schools. This is not really a quality but I feel it is important.
• Firefighters need more Financial Support for this forever-changing world in which Firefighters will adapt and overcome to accomplish the mission and save lives. • I am very pleased with my City Fire Dept. Excellent in every way! • I believe that every first responder/health provider should be taught about the ACE quiz (Adverse Childhood Experiences) and its implications regarding their patients and their health. While the majority are wonderfully kind, the few who lack empathy and/or are downright nasty ruin it for the rest of you. Thanks so much for your time. • I don't know what a "Technical Rescue" would be. But for now, I put it as a high priority along with the others.
• I would love to see mock simulations with the public (you might already do this) but have the public be patients in a simulation (search and rescue, MCA, or just lots of little independent things all at the same time) or ask the local scuba dive club (Paradise Dive Club) if there would be any willing scuba divers to participate in a mock drowning/distress or a scuba accident or a bends case where they need to get into the hyperbaric chamber at SBCC or something. It would get the community to see how incredible and efficient the FD is but also give the FD practice. Win for community involvement and win for FD preparedness!! Also advertise the mock simulations so people could stop by and watch if they wanted to and ask questions and be informed!! Maybe start with a 1-day event and see how that goes? • I’d like to see them better paid. It is a disgrace how badly AMR personnel are compensated. End the monopoly in EMS.
• Integrity
• Jr Firefighter classes
• Just get the best folks, don’t meet diversity quotas, gender quotas. Simply the best people for such a critical and important job.
• Know the community very well.
• Less union; more consolidated administration—join with other local agencies for a single administrative unit.
• Let homeless camps burn a little longer.
• Local
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 196
• Maintaining high levels of fitness and skills.
• Make sure Firefighters are well paid. You cannot pay them enough for what they do for you.
• Medical training
• More fire hydrants in high fire areas
• More funding for more personnel and fire equipment and possibly adding one additional fire station in SB.
• More hydrant services added in high fire areas. Its inexpensive and new standards recommend more than currently installed.
• More people of color since your department is 99% white and male. • No comment, all good service, etc.
• No profanity used in the course of job execution.
• Organized and efficient
• Other Ambulance service for Seniors during a fire evacuation. • Our family appreciates all they do to keep us safe!
• Paramedic engines
• Paramedic services
• Paramedic services provided by the Fire Dept.
• Physically fit and able to perform their duties without concern from the public regarding their health.
• Properly equipped.
• Regularly assessment of skills/training.
• Representative of the community (diversity).
• Responsible, high ethics.
• Routine public presentation of operational and financial information. I believe the quality should be in accountability.
• Secured income/benefits for our Firefighters.
• Service-oriented.
• Stress areas of Cooperation and Education of the general public as to what Firefighters responsibilities are, how they can help, and what they can do to prevent fires.
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• The more that we may provide opportunities for Firefighters to live in the community they serve, the better relationships with the local community and the fire dept will be.
• Total dedication to the job. I don’t think this is missing—but do think it is important. • Trained specifically in how to communicate with disabled and non-speaking residents as well as autistic residents.
Planning Considerations
Respondents were then asked to compare each of the following elements to the others and rank the planning considerations in the order of importance. The results are displayed in the following figure:
Figure 140: Planning Considerations
The technical competence of personnel received, by far, a rating of the highest importance. Maintaining response times, reliable and well-maintained equipment and apparatus, and improving response times ran middle-of-the-pack; and expanding the services provided by the Department were considered the least important.
1.5 2.89
3.2 3.27
4.28 Expand the types of services provided by
the fire department.
Improve fire department response time to
emergencies.
Equipment and facilities are reliable &
well maintained.
Maintain existing response time to
emergencies.
Ensure the technical competence of all
personnel.
0 1 2 3 4 5
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 198
Satisfaction of Services
When asked, approximately half of all respondents (52%) had received services from SBFD.
Of those that had received services, overwhelmingly, respondents expressed great appreciation for the services their Department provides. Nearly 88% of all respondents were either satisfied or very satisfied with the SBFD’s services. Only 4% of respondents replied as somewhat dissatisfied or dissatisfied.
Figure 141: Satisfaction of Services
1%
2%
3%
8%
21%
67%
Dissatisfied
Somewhat Satisfied
Somewhat Dissatisfied
Neither Dissatisfied nor Satisfied
Satisfied
Very Satisfied
0% 20% 40% 60% 80%
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Response Time Opinions
Total response time is the amount of time a resident or business waits for resources to arrive at the scene of an emergency, beginning when they first call 911. When asked how long it should take for emergency resources to arrive after calling 911, taking into consideration call processing times, travel times, time of day, concurrent incidents, etc., over 55% of the respondents believed resources should arrive in 6 minutes or less. Twenty-eight percent expect services in 6–8 minutes, and the remaining respondents believed resources should arrive in 8 minutes or longer, or offered an “other” response.
Figure 142: Response Time Opinions
“Other” responses:
• 0–5 this question doesn’t specify SBFD, ideally the nearest available resource would respond while the main jurisdiction resource is en route. • 10 min
• 10 minutes
• 2–3 min
• 5–20 minutes. Depends on traffic and other calls.
• Anything under 10 min ok
• As fast as possible in all cases (7)
7%
11%
13%
15%
22%
33%
Greater than 8 minutes
Other
6–7 minutes
7–8 minutes
5–6 minutes
4–5 minutes
0% 10% 20% 30% 40%
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• ASAP, as the terrain, the route allows, with the cooperation of the public. • Average of 10 minutes would seem reasonable
• Based upon NFPA: Primary PSAP < 60 seconds, Secondary PSAP < 60 seconds, turnout time EMS < 60 seconds or fire < 120 seconds, and travel time < 240 seconds.
TOTAL. Unless population and street network are taken into account per CFAI definitions.
• Depends on the emergency. (5)
• Don’t know (4)
• I am uncertain—we had a silent alarm during a power outage and the SBFD responded.
• I don’t feel knowledgeable to give a specific answer—time is not real with a 911 call—I have always felt they arrived in time.
• Impossible to answer—it all depends on the volume at any one time for services... • It depends, fire with a stiff wind, stroke ASAP. Roads in this area are steep and/or winding. Trucks seem to have good power going up Gibraltar but it is a long slog. • Less than 10 minutes. (2)
• Too many variables for any precise answer in minutes. (2) • Under 3 or under 4 if possible. I guess actually the soonest it can be. • With all the issues of overbuilding and traffic in our area at the current time, I don't see how these responders can arrive that quickly.
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When asked whether the response time expectations change depending on location, respondents replied as follows:
Figure 143: Response Time Expectations
“Other” Responses:
• Actually no, but in reality... with the streets in SB and up in the hills (Riviera in particular) or out near Mission Canyon area... it is hard to expect a 3 or 4-minute response. Folks need to be real, especially if they chose to live in a difficult to get to area. How the heck the rigs are driven up on the Riviera is a mystery to me. • As stated above, there are physical realities/limitations to consider. • Distance to nearest responder has to be a consideration. • Location is static, so to some degree, can be planned for ahead of time, but in the end, it all depends on total demand at any one time.
• Look at accreditation from CPSE aka CFAI SOC definitions regarding population density and/or street network (GIS data).
• Not really. It seems like we have fire stations throughout the city for adequate response?
YES
77%
NO
21%
Other (please specify)
2%
Community Risk Assessment: Standards of Cover Santa Barbara City Fire Department 202
Expectations
When asked to list the expectations the respondents have of their fire department, The majority of respondents expect prompt care by trained professionals. They gave the following responses:
• 1. Fight fires, both preemptively and responsively. 2. Back up other emergency responders.
• 1. Professionally trained. 2. Paid with benefits. 3. Fire safety participation, schools ~ community.
• 5-min response time and well-trained with rated equipment. • 911 calls answered quickly and without transferring. Calls made by cell phones are handled as well as landlines.
• A well-trained, professional team that excels as a first responder organization, but also helps residents to reduce fire risk in their homes and yards and prepare for wildland fire emergencies, through educational and other outreach programs. • Ability to respond in a timely manner to fires, preparedness for both wildland and structure fires, general rescue in disasters, fire risk assessment and abatement (ability to enforce safety regulations)
• Ability to respond quickly and with an appropriate response to emergencies. • Able to get the job done quickly, efficiently, and professionally. I could care less about the makeup of the department. The best person for the job. That’s who I want coming to help.
• All expectations are met.
• Arrive as quickly as safely possible with qualified competent personnel who are appropriately equipped with well-maintained supplies and equipment that meet current guidelines for the intended use. Calm and professional demeanor is expected; kindness and compassion are greatly appreciated. (10+) • Assess the situation properly, if it is a fire, put it out, rescue the people, stop it from spreading OR set up a proper command center and get the right team on the job which may not be the fire department.
• Being fiscally responsible.
• Being in a remote location such as on a trail or other hard to access location.
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• Competent responders to emergencies, calm and efficient during emergencies, leaders in educating the public on fire risks and mitigations. (10+) • Continue your Great work. Thank you.
• Contribute to the community not only in times of distress and emergency. Find opportunities for the Fire Chief and other personnel to build deeper relationships and visibility with the community they serve. It’s all about relationships. • EMTs use non-latex gloves always. Courtesy to all patients even if they think the people are “faking it.”
• Expect dispatch to access call & send out enough help. Expect Captain who can quickly access & manage a call.
• Fast response, structure defense, mitigate fire hazards, i.e., weed abatement, tree chopping especially on hillsides in high fire areas not being maintained. • Fire department should be on the frontlines and eliminate vagrants camps, everywhere. Period. They are 100% fire hazards and put the rest of us in extreme peril. We always control fire hazards in public campgrounds. Always. No excuse to maintain their reckless and hazardous presence.
• Fire departments do preventative work to prevent fires from breaking out and combat fires from spreading. That should be their only purpose. • Fire prevention. We live in new construction near a large field that is full of dry grass.