Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-1_03-cv-05645/USCOURTS-caed-1_03-cv-05645-0/pdf.json

Nature of Suit Code: 890
Nature of Suit: Other Statutory Actions
Cause of Action: 29:201 Fair Labor Standards Act

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UNITED STATES DISTRICT COURT

EASTERN DISTRICT OF CALIFORNIA

BAKERSFIELD FIREMEN LABOR

ORGANIZATION, a non-profit

corporation also known as

BAKERSFIELD FIREFIGHTERS LABOR

ORGANIZATION,

Plaintiff,

v.

CITY OF BAKERSFIELD, a

governmental entity, ALLEN

TANDY, in his official capacity

as the City Manager of the CITY

OF BAKERSFIELD,

Defendants.

 

 

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1:03-cv-5645 OWW TAG

FINDINGS OF FACT AND

CONCLUSIONS OF LAW

This case was tried to the Court sitting without a jury from

January 25 through January 27, 2005. The parties presented oral

arguments as to the evidence and applicable law on January 27 and

28, 2005. The parties submitted proposed Findings of Fact and

Conclusions of Law which were electronically filed February 1 and

8, 2005, when the matter was submitted for decision. 

Plaintiffs were represented by Richard J. Pabst, Esq. 

Defendants were represented by Marderosian, Cercone, Lehman &

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Armo by Jacob J. Rivas, Esq. Testimony was taken and evidence

presented in open court, followed by the oral arguments of the

parties. After having fully considered the proofs of the parties

and the applicable law, the following Findings of Fact and

Conclusions of Law are entered:

I. FINDINGS OF FACT

To the extent that any Finding of Fact can be interpreted as

a Conclusion of Law, it is intended to be so construed. 

A. PARTIES

1. Plaintiff Bakersfield Fireman Labor Organization, a

non-profit corporation, is a public service employee union

incorporated for, among other things, the purpose of representing

Bakersfield City Fire Fighters in employee relations and

bargaining with the City of Bakersfield. UF 67.

2. The Plaintiff in this case represents the Bakersfield

Fire Department Battalion Chiefs (“Battalion Chiefs”), for whom

this action is prosecuted. The Battalion Chiefs maintain that

they are not executive employees and not exempt from the

provisions of the Fair Labor Standards Act (“FLSA”). 

3. Defendant, the City of Bakersfield (“City”), a

municipal corporation, is a charter city under the laws of the

State of California, and a public entity within the meaning of

California law. The City’s fire department is the employer of

the Battalion Chiefs for whom this action is prosecuted.

4. In March 1994 all Bakersfield Fire Department Battalion

Chiefs joined the membership of Plaintiff Bakersfield Fireman

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Labor Organization.

5. Since approximately March 1994, the parties have met

and conferred and bargained in good faith for compensation to

Battalion Chiefs at a “straight-time” rate for overtime shifts/

hours. UF 68. 

6. Defendant’s Exhibit H, Bakersfield Fire Department

Policies, is received in evidence. Stipulation No. 2. 

7. City Resolution No. 1-97, Defendant’s Exhibit A is

received in evidence pursuant to stipulation of the parties. 

Stipulation No. 3. 

8. The 2001 Memorandum of Understanding, Exhibit B, is

received in evidence pursuant to stipulation. Stipulation No. 3. 

9. The Parties stipulated during trial that Plaintiffs’

Exhibits Nos. 1-6 and Defendants’ Exhibits A-O are admissible and

those exhibits were received in evidence.

B. MEMORANDUM OF UNDERSTANDING PROVISIONS

10. The Memorandum of Understanding (“MOU”), Defendants’

Exhibit B, effective January 1, 1996 - December 31, 1998, between

the Bakersfield Fire Fighters Labor Organization Fire Supervisory

Unit (Unit No. 6) and the City of Bakersfield, is alleged by the

parties to be applicable to this case. The MOU, Defendant’s

Exhibit D, effective January 1, 2001, through December 31, 2004,

is also alleged to be applicable to this case. According to the

MOUs, the union members include persons occupying the job

classifications of Fire Captain, Battalion Chief, Fire

Marshal/Training Officer. 

11. On January 8, 1997, all Fire Department Battalion

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Chiefs were members of the Fire Supervisory Unit of the City. UF

52.

12. The MOUs set salaries and related benefits for all

covered members. 

13. All battalion chiefs are salaried by the City of

Bakersfield. Resolution No. 1-97 City of Bakersfield. UF 51.

14. The rate of compensation to be paid to Battalion Chiefs

was a subject of bargaining between the City and the Bakersfield

Firemen Labor Organization and resulted in Resolution No. 1-97. 

UF 53.

15. The MOUs state that “in consideration for working

additional fire suppression shifts, in addition to regularly

scheduled duty shifts, Fire Battalion Chiefs will be compensated

at straight time for each additional suppression shift worked or

portion thereof.” (Defendant’s Exhibit B § 1.36; Defendant’s

Exhibit D, § 1.37). This is a matter of contract and does not

make such overtime payments required by the FSLA. The MOUs

agreed Battalion Chiefs will be compensated at straight time for

each additional suppression shift worked or portion thereof. UF

54.

16. From 1994 to present, Battalion Chiefs have been

compensated for their employment services on a salary basis at a

rate in excess of the minimum set forth in paragraph (f) of 29

C.F.R. § 541.1. Their compensation is in excess of $455.00 per

week, exclusive of board, lodging, or other facilities in

compliance with the FLSA. UF 64; Stipulation No. 1.

17. The Department of Labor’s Field Operation Handbook

authorized extra compensation to be paid for overtime to an

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exempt employee on any basis, including straight time or a flat

sum without loss of the exempt status. UF 70. 

18. The fire captains received overtime compensation for

duties performed in excess of regularly scheduled shifts through

December 31, 2004. 

C. FIRE DEPARTMENT STRUCTURE

19. Under the authority of Section 185(3) of the Charter of

the City of Bakersfield, Civil Service Rules and Regulations have

been adopted for the fire department of the City of Bakersfield. 

20. Under Rule 3, Classified Service, a schedule of five

grades is established: 

SCHEDULE OF GRADES

GRADE 1 - Firefighter.

GRADE 2 - Fire Engineer.

GRADE 3 - Fire Captain.

GRADE 4 - Battalion Chief.

Fire Marshal.

Training Officer.

GRADE 5 - Deputy Chief.

Assistant Chief

Non-Safety Classifications shall be established by

the Board as required. 

21. The Bakersfield Fire Department is comprised of two

battalions. The Battalion Chiefs have direct command of the two

battalions. UF 1. 

22. The Fire Department is under the command of the Fire

Chief. 

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23. The Office of the Fire Chief is located at the

Administrative Office of the Department where the Fire Chief is

in attendance during office hours, except during Saturday,

Sunday, and holidays and when not in otherwise engaged on

business of the Department or on leave of absence. Department

office hours are 0800 to 1700 hours (8:00 a.m. to 5:00 p.m.). 

24. According to the Rules and Regulations of the

Bakersfield Fire Department, effective October 4, 2001,

(Defendant’s Exhibit O), the officers and personnel of the

Operations Division were to be divided into three (3) Platoons,

to be designated “A Platoon,” “B Platoon,” and “C Platoon”

respectively. 

25. The rules and regulations provide that “Each platoon

shall be further divided into battalions to be designated

‘Battalion 1' and ‘Battalion 2.’” These platoons shall be on

duty alternatively for twenty-four hour periods. 

26. There was no testimony that the Bakersfield Fire

Department has any such platoons. 

27. There was testimony that each battalion within the City

of Bakersfield is comprised of at least five engine companies and

truck companies.

28. A fire company can consist of an engine company, which

includes a fire captain, a fire engineer, and at least one fire

fighter, or a ladder company, comprised of a fire captain, a fire

engineer, and one or two fire fighters.

29. There are six Fire Suppression Battalion Chiefs that

command the two battalions which engage in fire suppression and

general operations. 

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1 The Administrative Battalion Chief and Training Battalion

Chief are referred to by their full titles. Fire Suppression

Battalion Chiefs referred to as “Battalion Chiefs.”

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30. There is one “Training Battalion Chief” and one

“Administrative Battalion Chief.”1

31. The Training Battalion Chief and the Administrative

Battalion Chief work from 8:00 a.m. to 5:00 p.m., 40 hours per

week, at the administrative headquarters of the fire department

located at Olive Avenue in the City of Bakersfield. 

32. The City of Bakersfield, served by its Fire Department,

comprises 120 square miles and 13 fire stations. Two battalion

chiefs stationed at stations 1 and 6 command the suppressionresponse activities.

33. Battalion Chief Wiggins reported that the Bakersfield

Fire Department has 18 engines, 3 ladder trucks, 4 squad cars, a

light and air van, a decontamination trailer, and an additional

20-25 vehicles. 

D. DUTIES AND RESPONSIBILITIES OF THE TRAINING BATTALION CHIEF

34. Battalion Chief Tyler Hartley, who has served the

Bakersfield Fire Department since 1988 (sixteen years) is a

Training Battalion Chief with respect to organization and

planning as described in Exhibit F. According to Defendant’s

Exhibit F, the official job description for the Battalion

Chief/Training Officer, duties and responsibilities include, but

are not limited to: “responsibility for work of considerable

difficulty involving supervision and administration of department

operations, including command of a fire suppression battalion,

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specialized work in administration, a continuous training

program, enforcing fire prevention standards, laws and

ordinances, arson investigations, and promoting public

cooperation, including other administrative assignments as

required.”

35. Other duties of the Training Battalion Chief include,

but are not limited to: formulating plans; instructing and

supervising all fire fighting training activities; evaluating

activities and preparing reports; conducting multi-company

drills, company in-service schools and drills, and special

training; preparing training schedules, information sheets, job

sheets, lesson plans, and tests; maintaining training records for

individual staff; advising and assisting in the installation and

approval of protocols on the use of equipment; conducting

classroom lectures, presentations and demonstrations on fire

protection and fire fighting methods; performing and

demonstrating fire fighting procedures; assuming responsibility

for major fires and multiple alarms on call-back assignment;

assisting in preparing budgets; assisting in preparing,

conducting, and evaluating examinations; making personal

appearances for public speaking and fire fighting demonstrations;

engaging in departmental planning as required; and implementing

fair employment commission requirements.

36. The Training Battalion Chief assures that the training

provided to fire department personnel complies with applicable

laws and regulations. 

37. Article 5 of the Bakersfield Fire Department Rules and

Regulations, Defendant’s Exhibit O, demonstrates that the

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Training Battalion Chief has complete control of all drills. 

38. Chief Hartley also provides hazardous materials

(“hazmat”) training and provides a budget for hazmat training

activities. There is no pre-determined amount of money for

hazmat activities.

39. The training budget is separate from the hazmat budget. 

The budget is in the hundreds of thousands of dollars; however,

the Training Battalion Chief makes recommendations and provides

input, but does not otherwise formulate the training budget. 

40. The budget recommendations are submitted to the Fire

Chief for final approval and generally followed.

41. Chief Hartley has drafted two to four policies and/or

procedures, including the rapid intervention and awards and

recognition policies.

E. DUTIES AND RESPONSIBILITIES OF THE

ADMINISTRATIVE BATTALION CHIEF

42. Battalion Douglas Chief Greener, who has served the

Bakersfield Fire Department since 1988 (about 16 years), became a

Battalion Chief in 2001, and has been the Administrative

Battalion Chief for about seven months.

43. The Administrative Battalion Chief supervises the

maintenance division, technical rescue program, weapons of mass

destruction preparedness and training, and large equipment. UF

48.

44. The Administrative Battalion Chief is the public

information officer and the emergency medical services (“EMS”)

coordinator for the Bakersfield Fire Department. The

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Administrative Battalion Chief also circulates a newsletter,

engages in grant writing, and implements a personnel

accountability program. The Administrative Battalion Chief’s

public information duties include spending time with the media,

providing information in the form of press releases, and

distributing media updates. 

45. The Administrative Battalion Chief spends most of his

time on information services and has discretion to speak for the

Bakersfield Fire Department to the public and the media. 

46. The Administrative Battalion Chief interacts directly

with the media, answers questions, and is selected for the

position based on ability, composure, and background in dealing

with the media as a public information representative

47. The Administrative Battalion Chief is the chair of the

emergency response committee. The responsibilities of the

committee include basic life support, maintenance of certificates

of med techs, and technological services. The Administrative

Battalion Chief also acts as liaison to the Kern County EMS

department. Duties also include responsibility for the EMS

training the of the Bakersfield Fire Department.

48. The Administrative Battalion Chief recommends EMS

equipment for acquisition. 

49. The Administrative Battalion Chief directly purchases

more than $20,000 in value of equipment or other materials for

the EMS program. Purchase requests are channeled through the

Fire Department Business Manager and then to the City Manager’s

Office. 

50. Grant writing consumes approximately 100 hours per year

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(about two weeks). The Administrative Battalion Chief researches

potential grants, drafts grant proposals, and submits the

proposals to the Fire Chief for approval. Chief Greener has

never had a draft rejected by the Fire Chief. 

51. The Administrative Battalion Chief’s responsibility for

the personnel accountability system, which is implemented by the

County of Kern, includes seeing that the electronic equipment is

functional and that the appropriate fire department record

keeping is performed. 

52. The Administrative Battalion Chief also is responsible

for awards and recognition. He heads the awards committee and

reviews the program on an annual basis, to recognize and award

meritorious conduct by Bakersfield Fire Department personnel and

members of the public.

53. The Administrative Battalion Chief does not have direct

subordinates; however, an administrative captain will soon be

assigned to his command. 

54. The Administrative Battalion Chief position has been in

existence for approximately three and one-half years. Battalion

Chief Greener has been in the position for seven months. No

formal job description for the Administrative Battalion Chief was

entered into evidence.

F. FIRE SUPPRESSION BATTALION CHIEFS

55. Deputy Chief of Administration Gary Hutton has been

with the Bakersfield Fire Department since October of 1979. He

has served for four years as a fire fighter, three years as a

fire engineer, three years as a fire captain, eight years as a

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Battalion Chief, and has been Deputy Chief for six years. 

56. Deputy Chief Hutton has performed the duties of and is

personally knowledgeable of the responsibilities of a Battalion

Chief from direct experience performing as a Battalion Chief and

as a deputy chief with authority over Battalion Chiefs. 

57. Deputy Chief Dean Clayson, who is in charge of

suppression services, described the emergency duties of Battalion

Chiefs he oversees. Deputy Chief Clayson has been with the

Bakersfield Fire Department since 1982, achieved the rank of

Battalion Chief in 1995 and preformed the duties of Battalion

Chief for approximately four years. He has personal knowledge of

those duties. The emergency activities include fire response,

vehicle recovery, hazardous materials and swift water rescues. 

58. Battalion Chiefs Gary Turner, Jerry Gamble, and Ken

Wiggins, who are fire suppression Battalion Chiefs, testified to

general emergency and administrative duties of Battalion Chiefs. 

Battalion Chief Turner has been with the Bakersfield Fire

Department since 1979 and has been a Battalion Chief since 1991. 

Battalion Chief Gamble has been with the Fire Department since

1983 and has been a Battalion Chief since 1999. Battalion Chief

Wiggins has been a Battalion Chief for approximately 5 years.

59. Battalion Chiefs have a number of duties and

responsibilities that can generally be divided into “emergency

duties” and “non-emergency duties.”

60. Approximately 14% of all emergency calls involve fires

and 86% of all calls involve non-fire activities. The fire calls

are essentially non-medical. Most non-fire involve medical

issues. Rescue calls, vehicle accidents, and rescue plus medical

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services are involved in non-fire duties. 

G. Emergency Duties of Fire Suppression Battalion Chiefs

61. A Battalion Chief is charged with the duty to arrive on

the scene of a fire or other fire department response and to

assume command of the incident. The Battalion Chief is the infield strategic commander within the hierarchy of the Bakersfield

Fire Department, of any emergency response by the Bakersfield

Fire Department. 

62. In the hierarchy of command, all fire captains

commanding engine or ladder companies report to the battalion

chief who is charged with command responsibility for all fire

department emergencies.

63. The majority of calls are single-engine responses. 

Battalion Chiefs do not usually respond to single company calls;

in those instances, the captain is the Incident Commander. 

Battalion Chiefs’ General Duties as Incident Commander

64. Upon arrival at a scene, a Battalion Chief determines

what actions have been taken by any fire captains who are in

command on scene and after review, determines what response and

tactics are needed, including whether to bring additional

resources and personnel to deal with any emergency and on-scene

conditions. 

65. The Battalion Chief next establishes an incident

command post.

66. As Incident Commander, a Battalion Chief is the

coordinator of all Bakersfield Fire Department resources and

efforts brought to bear on any incident, including supervising

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and directing all captains, fire engineers, and fire fighters onscene. 

67. Battalion Chiefs have authority to request additional

personnel and/or resources for fire suppression at any incident. 

UF 34. 

68. Battalion Chiefs have the authority to de-escalate the

number of personnel and resources at a particular fire scene. UF

35.

69. In the vast majority of emergency incidents, Battalion

Chiefs are the ultimate commander and are not relieved of

incident command by a superior officer. UF 43.

70. Chief Clayson was unaware of any incident where a

Battalion Chief was replaced by a Deputy Chief or higher

authority, no matter how large or serious the incident.

71. The Battalion Chief, as Incident Commander, formulates

the strategy to effectively deal with the incident, determines

whether offensive or defensive actions are to be taken;

determines the nature and extent of the resources to be applied

to the incident; develops tactics, and assigns captains and their

companies in the most effective way to resolve the incident.

72. The Battalion Chiefs retain sole discretion to pull

companies out of their first line duties where a multi-equipment

response is required. The total coverage in the metropolitan

area, anticipating successive calls, is within the sole

discretion of the Battalion Chiefs. 

73. Aircraft response is called in only by a Battalion

Chief or above. This is a well-defined policy, although not

written. 

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74. In de-escalating the response to any incident, it is

the Battalion Chief who determines to prioritize the order in

which equipment is withdrawn from the scene and to formulate and

implement a demobilization plan. 

75. After each incident the Battalion Chief conducts a

critique and monitors, after critical analysis, the lessons

learned from each incident.

76. Battalion Chiefs have the authority to request that an

investigator conduct an arson investigation into the cause of any

fire. This includes instances where a Battalion Chief does not

need permission from a superior to request an arson

investigation. UF 42. 

Incident Commander Duties as Liaison with Other Agencies

77. Battalion Chiefs are responsible for coordinating

actions of other public agencies that assist in certain

emergencies. UF 13.

78. It is the Battalion Chief who is responsible to act as

a liaison with other agencies, such as the Bakersfield Police

Department, the Water Department, Emergency Medical Services, the

County Fire Department, and the United States Forest Service.

79. Where multi-agency responses are entailed, if the fire

is in the City, the Battalion Chief retains overall command as

Incident Commander. 

80. Battalion Chiefs have the authority to request

resources from other agencies, including the Kern County Fire

Department, Kern County Sheriff’s Department, Bakersfield Police

Department, California Highway Patrol, and Hall Ambulance,

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depending on the nature of the emergency. In any multi-agency

response to an emergency within the City of Bakersfield,

Battalion Chiefs assume incident command, irrespective of other

responding personnel from other agencies. 

Battalion Chiefs do not Perform Manual Labor

81. Battalion Chiefs do not perform manual labor when

responding to a fire scene. UF 20.

82. Battalion Chiefs do not pick up an axe, direct a hose,

or climb a ladder at any emergency scene. As Incident

Commanders, they are required to oversee the overall tactical and

strategic plan is carried out to bring the incident to

conclusion. UF 21.

83. Captain Paul Caprioli acknowledged Battalion Chiefs do

not swing axes, pull nozzles off, although once eight years ago a

Battalion Chief used a nozzle. 

84. Battalion Chiefs do not pull ceilings down, use

chainsaws, or otherwise engage in direct fire suppression or fire

fighting activities. Battalion Chiefs who assume incident

command normally do not utilize a self-contained breathing

apparatus. UF 44.

85. The Battalion Chief’s command status is important

because the fire department does not want command level personnel

doing manual labor, to leave them free to maintain command

responsibility for the safety of all present at any incident. If

a Battalion Chief were to engage in manual labor, this would be a

safety concern and would expose the Battalion Chief to risks that

are not to be visited upon Incident Commanders. 

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86. The Battalion Chief must be free to exercise executive

command authority in carrying out the fire fighting and emergency

response mission, which would be compromised if the Battalion

Chief were involved in direct fire fighting, emergency response,

or other on-the-ground incident responsibilities. 

Battalion Chiefs’ Miscellaneous Emergency Duties

87. The Battalion Chief is vested with discretion to

marshal and commit resources and personnel for strike teams,

where the Bakersfield Fire Department will cooperate in concert

with fire departments from other agencies on man-power-intensive

emergencies. See Policy 130. 

88. Under Policy 224, Battalion Chiefs are responsible for

preparing news messages which are made available to the press and

public. Battalion Chiefs are responsible for the content of and

recording messages and coordinating with news representatives at

emergency scenes. 

89. In bomb threats, the Battalion Chief is notified and

acts as the chief officer on a bomb threat. The Battalion Chief

coordinates any response to a police department request to assist

in a bomb threat search. The Incident Commander in bomb threats

is usually the Bakersfield Police Department or Kern County

Sheriff’s Office. Exhibit H, Policy 207. 

90. Battalion Chief Gamble testified that in a hazardous

materials incident, a Deputy Chief assumes command. In all other

incidents, a Deputy Chief may, but usually does not, assume

command.

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H. Non-Emergency Duties of Fire Suppression Battalion Chiefs

91. For non-emergency operations, there are two Battalion

Chiefs, one in charge of each of the two battalions, for each of

the three daily shifts. 

Constant Staffing

92. Each shift Battalion Chief is responsible for constant

staffing and all personnel assigned to fire stations throughout

the City.

93. Battalion Chiefs have overall responsibility to

preserve adequate coverage within each fire district in the City. 

UF 40.

94. The six fire suppression Battalion Chiefs also are

responsible for coverage for first-ins. First-in coverage

involves allocating fire companies to districts for which they

are primarily responsible. 

95. The Battalion Chiefs are ultimately responsible for

maintaining coverage for the entire City of Bakersfield for the

response time of all responding fire personnel, and for the

safety of the public and personnel at emergency scenes. 

96. The Battalion Chiefs schedule monthly meetings with all

captains. The Battalion Chiefs determine and ensure coverage for

first-ins for the times during which captains meetings are held.

97. Shift Battalion Chiefs are on-duty 365 days per year. 

In achieving staffing, the shift Battalion Chief sees that union

requirements are met; has the ability to call back personnel;

continuously adjusts schedules to fill openings as required; and

makes the discretionary decision not to recall personnel to leave

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open one or more positions in a fire company. 

98. When someone is sick or requests leave, the captain

takes the request and the Battalion Chief makes the decision

whether to replace or not fill any positions. The Battalion

Chief, after making decisions about staffing, re-delegates to

captains the responsibility to implement staffing decisions. 

This includes implementation of the Memorandum of Understanding

call-back system.

99. The Battalion Chief is the primary officer responsible

for the “constant staffing” policy and its implementation at the

Bakersfield Fire Department. Exhibit H, Policy Nos. 113, 110,

relating to non-emergency call back and shift-trading. 

Evaluations

100. Battalion Chiefs are responsible for personnel

evaluation as to job performance of captain and subordinate

personnel. UF 23.

101. Battalion Chiefs write evaluations for fire captains. 

UF 24.

102. Chief Gamble testified that an important responsibility

of Battalion Chiefs is the evaluation of captains, which takes

considerable time.

103. The captains submit performance evaluations of

subordinates to Battalion Chiefs.

104. Battalion Chiefs review the evaluations written by fire

captains of fire captains’ direct subordinates. UF 25. 

105. Battalion Chiefs ensure all performance evaluations and

any remedial recommendations are thoroughly addressed. 

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106. Battalion Chiefs are directly involved in promotion of

subordinates.

107. From 1994 to present, Battalion Chiefs had authority to

make suggestions and recommendations as to the advancement/

promotion of subordinate sworn employees in the Bakersfield Fire

Department. UF 63.

108. Battalion Chiefs prepare subordinates for testing in

mock oral boards, which is part of the promotions process.

109. Battalion Chiefs sit on and evaluate applicants for

promotion on oral promotion boards.

110. Battalion Chiefs devise testing for promotional exams

for ranks from engineer to fire captain. UF 47.

111. Chief Greener and Chief Clark developed the Awards and

Recognition program. See Policy 138. The Awards Program is to

recognize outstanding performance by fire department personnel or

the public beyond the call of duty. Battalion Chiefs evaluate

and have discretion to decide who receives such awards. 

112. Battalion Chiefs represent the Bakersfield Fire

Department at awards ceremonies and as public information

officers. 

Discipline

113. From 1994 to present, Battalion Chiefs had authority to

make suggestions and recommendations to discipline subordinates

and sworn Fire Department employees, up to and including

termination of employment in the Bakersfield Fire Department. UF

62.

114. If discipline more than consultation is required, the

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Battalion Chief meets with human resources department and/or the

City Attorney of Bakersfield to discuss and decide the

appropriate punishment. 

115. Thirty percent of all disciplinary recommendations are

made by Battalion Chiefs.

116. The Deputy Chiefs maintain a history of discipline,

ultimately the Fire Chief imposes discipline such as suspension,

reduction in pay, or termination. The Battalion Chief suggests

punishment, but it is a recommendation.

117. The disciplinary recommendations by the Battalion

Chiefs are typically followed. 

118. Battalion Chiefs attend disciplinary meetings between

disciplined employees, union representatives, and/or an attorney,

and a deputy chief. UF 26.

119. Battalion Chiefs are responsible for all fire

department property and equipment to see that it is kept and

maintained in working condition. Battalion Chiefs can order

remedial training in the event of lapses in maintenance of

property or equipment.

120. Where any violation of training or safety standards

occurs, Battalion Chiefs oversee remediation. 

121. A Battalion Chief has the authority to order remedial

training when deficiencies in training or performance are found. 

122. Any disciplinary action taken by a fire captain against

a subordinate is reviewed by a Battalion Chief and forwarded by

the Battalion Chief to a Deputy Chief. UF 25.

///

///

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Training

123. The six Battalion Chiefs are responsible for

implementing training in such matters as individual company and 

multiple company drills, including urban, suburban, river,

equipment maintenance, pumper tending, and hose testing.

124. Each Battalion Chief is responsible to teach tactics

and strategies on an ongoing basis as a matter of training, and

to conduct post-incident reviews. This includes developing postincident training on safety issues, tactics and strategies. 

125. Battalion Chiefs are responsible for updates and

continuing education on fire fighting techniques, methods, and

the overall mission of delivering service and safety to the

public. 

126. Battalion Chiefs are responsible for scheduling

training for fire captains, fire fighters and fire engineers.

127. Battalion Chiefs are responsible for instructing fire

department personnel about fire fighting and fire control

measures. UF 27.

128. Battalion Chiefs conduct lectures and presentations,

and give demonstrations on fire protection and fire fighting

methods. UF 30.

129. Battalion Chiefs schedule training and demonstrations

with instructors. UF 31.

130. Battalion Chiefs participate in actual instruction in

various topics with their direct subordinates. UF 32.

131. The Battalion Chiefs maintain all testing records for

seven years. Each Battalion Chief is responsible for testing

reports. 

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132. Battalion Chiefs are responsible for directing fire

prevention programs. UF 15. 

Inspections

133. Battalion Chiefs have inspection responsibility over

quarters, equipment, and apparatus which encompasses anything

pertaining to a fire company. The fire companies also inspect

businesses within their districts, including scheduling

inspections and conducting compliance inspections with the

Bakersfield version of the Uniform Fire Code; and implementation

of safety rules. The Battalion Chiefs also conduct internal

inspections of the fire companies. 

134. The Battalion Chiefs are responsible for inspecting

equipment, apparatus, and quarters to ensure such items are

current and operational. 

135. The Battalion Chiefs have the discretion to determine

when to conduct internal inspections. 

136. The inspections carried out under the command of the

Battalion Chiefs are to ensure that equipment apparatus and

quarters are current and operational.

137. Internal inspections are conducted at least one time

per year.

138. Battalion Chiefs have the authority to order

replacement apparatus and/or equipment. 

139. Battalion Chiefs are also responsible for maintaining

records of operations and inspections.

140. Battalion Chiefs are responsible to ensure that fire

captains perform assigned inspections. UF 16.

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141. Battalion Chiefs inspect records and reports of

investigations kept by fire captains. UF 17. If Battalion

Chiefs determine fire captains are not current on their

inspections, Battalion Chiefs have the authority to take remedial

action to order further inspection. 

142. If a Battalion Chief determines a fire captain is not

current on inspections, the Battalion Chief may recommend

disciplinary action. 

Safety Meetings

143. Battalion Chiefs are members of a safety committee,

which is comprised of the Fire Chief, Deputy Chiefs, and

Battalion Chiefs. No subordinate officers or fire fighter

personnel are on the safety committee.

144. The purpose of the safety committee is to discuss

accidents and review performance on incidents.

145. The safety committee receives a report from the

Battalion Chief on safety issues after any incident and develops

recommendations that are made to the Fire Chief and Deputy Chiefs

regarding safety issues. 

146. The Battalion Chief is responsible not only to review

and evaluate each accident, but to determine blame, impose

discipline on those at fault, and to schedule safety meetings

throughout the year. 

147. At least four to five safety meetings are held each

year.

Budgeting

148. In the budget process, Battalion Chiefs make requests

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for equipment and apparatus necessary to the performance of the

fire department emergency, suppression, and operating mission.

149. In the budget process, Battalion Chiefs determine what

the Bakersfield Fire Department needs are relative to equipment

and personnel.

Fire Suppression Battalion Chiefs’ Individual

Administrative Duties

150. Each Fire Suppression Battalion Chief has

administrative duties for matters such as equipment repair, new

equipment, non-emergency equipment, and making recommendations on

budget matters. Each Suppression Chief is responsible for

different administrative matters. 

151. Battalion Chief Gary Turner, who became a Battalion

Chief after fourteen years, is the commander of Battalion 1. His

administrative duties include testing of fire hoses and

miscellaneous equipment, also referred to as loose equipment. 

152. Loose equipment consists of anything carried on a fire

truck. Loose equipment includes axes, prybars, toolbars,

sprinklers, and test nozzles.

153. Battalion Chief Turner is responsible for seeing that

all hoses meet federal fire inspection standards, but a fire

captain, MacIntire, conducts the actual testing. 

154. Battalion Chief Turner’s administrative duties also

include supervision of the warehouse, maintenance shop, and

basement of the fire station for Battalion 1.

155. Battalion Chief Turner spends approximately 10% of his

time on administrative duties and 90% of his time on his shift

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command responsibilities for Battalion 1. 

156. Battalion Chief Gamble became a Battalion Chief after

16 years with the department. 

157. Battalion Chief Gamble’s administrative responsibility

includes acting as the liaison with the City of Bakersfield

department responsible for mobile data terminals (“MDTs”), which

are like laptop computers, and are placed on fire trucks.

158. Battalion Chief Ken Wiggins, who achieved Battalion

Chief rank after 13 years, was an Administrative Battalion Chief

for two years and is now a Fire Suppression Battalion Chief. His

administrative duties now include, but are not limited to,

weapons of mass destruction, the technical rescue program, and

liaison with the large equipment fleet. He also serves as a

liaison to anti-terrorism programs conducted by other agencies.

159. Battalion Chief Wiggins oversees the technical reserve

program. He plans training with the guidance of the Fire Chief.

160. Battalion Chief Wiggins developed the training and

criteria for the technical reserve program with Chief Hartley. 

The captains perform the actual training duties. Other agencies

are invited to participate in the technical reserve program.

161. Battalion Chief Wiggins’ administrative duties take 10%

to 15% of his time. 

162. Battalion Chief Darrell Cooper’s administrative duties

included the chaplain program, the EMS program and stress

management (which included de-briefing after traumatic

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2 Chief Cooper retired approximately one week before the

trial began.

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episodes).2

163. Battalion Chief Matthew Moore’s duties include annual

pumper testing. Chief Moore’s subordinates physically conduct

the testing, and Chief Moore oversees the testing.

Miscellaneous Non-Emergency Duties

164. A Battalion Chief, under Policy 223, assigns personnel

to answer public inquiries by telephone and ensures

professionalism. This is independent of the dispatcher function. 

Policy 323.

165. The Battalion Chiefs implement policy 137 regarding

safety and health.

166. Battalion Chiefs are responsible for insuring the

safety of their subordinates. UF 29.

167. Under Policy 145 Battalion Chiefs are responsible for

eliminating or reducing diesel smoke in the fire station.

168. Battalion Chiefs implement Policy 305 that governs

electric power stations including maintenance of back-up

generators.

169. Battalion Chiefs implement Policy 319 regarding

equipment and incident reports discussed above. 

170. Battalion Chiefs are responsible for the ride-along

program under Policy 142. Battalion Chiefs must approve ridealongs and allocate resources utilized during ride-alongs. This

also falls under the command responsibility of Battalion Chiefs

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for safety and direction of emergency incidents. Battalion

Chiefs are responsible to see that ride-alongs are not exposed to

danger in hot zones during fire fights. 

171. Battalion Chiefs are responsible and required to be

knowledgeable of all Bakersfield Fire Department’s policies and

procedures. UF 22.

172. Battalion Chiefs schedule the workload for fire

captains including, but not limited to, training and assignments. 

UF 37.

173. Battalion Chiefs preside over fire captain round table

meetings to discuss improvement of fire fighting techniques. UF

39.

174. At all times alleged in the Complaint, Battalion Chiefs

supervised the job performance of more than two subordinate fire

department employees in compliance with the FLSA. UF 61. 29

C.F.R. § 541.119(a).

175. Unlike captains and subordinate officers, Battalion

Chiefs are not supervised as to their location. They have

discretion to be anywhere within the City of Bakersfield and

outside the area of their assigned battalion. 

176. Battalion Chiefs also review and evaluate contracts

with other agencies including the State of California Office of

Emergency Services, the United States Forest Service, the United

States Bureau of Land Management, and the County of Kern

Helicopter Unit. 

177. Chief Gamble has reviewed personnel transfer bids which

have always been upheld by Chief Clayson.

178. The Battalion Chief deals with the corporation yard,

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repair of apparatus, the daily roster, and monitoring of out-ofservice fire companies.

I. CAPTAINS’ DUTIES

179. Battalion Chief Gamble testified that the first-in

captain who arrives on-scene at an incident sizes up the

situation and assumes command. The first-in captain then

transfers command to a Battalion Chief when he arrives on-scene. 

180. Battalion Chief Gamble testified that in a hazardous

materials incident, a Deputy Chief assumes command. In all other

incidents, a Deputy Chief may assume command, although in

practice he almost never does.

181. Battalion Chief Gamble testified that a distinction

between Battalion Chiefs and captains is that captains evaluate

performance of fire engineers and fire fighters and the captains

in turn are monitored and evaluated by Battalion Chiefs. 

182. Battalion Chief Gamble reported that each captain

trained approximately two hours per day and the training was

monitored by the Battalion Chief.

183. Captain Caprioli described the job duties of captains

as including response to emergency incidents, to mitigate

perceived problems. 

184. Captain Caprioli described the captain’s physical work

at incidents. 

185. Captain Caprioli considered engineers and fire fighters

to be “soldiers.” He also considered captains to be “soldiers,”

and as a 13 year captain, described himself as “happy where I’m

at.” Captain Caprioli likes to physically do the job and does

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not seek the added responsibility and authority of a Battalion

Chief, nor the non-involvement in the physical aspects of fire

suppression and non-emergency response that are part of a

Battalion Chief’s responsibilities. 

186. Captain Jonathan Mylam, who made captain after eight

years, noted that captains are not involved in budgets. 

187. Captain Mylam can authorize ride-alongs without the

permission of Battalion Chief.

188. Although captains are authorized to give media

interviews, normally a Battalion Chief is on the scene and the

Battalion Chief acts as the public information officer.

189. Captain Mylam trains and reports on training of fire

fighters and engineers. In addition, evaluations of fire

fighters and fire engineers are performed by captains. 

190. A fire captain has no more disciplinary authority than

to issue a written or oral reprimand to a subordinate. A captain

has no involvement in higher levels of discipline. 

191. One of Captain Mylam’s duties is to enter into the

“GUI” system, on the computer, the attendance roster for any

particular day. The Battalion Chief, who has more experience and

ultimate responsibility in ensuring constant-staffing, reviews

the roster before the final version is submitted. 

192. Captain Mylam participates in captain meetings at

stations, which are held with the Battalion Chiefs. The

Battalion Chiefs pass along information related to equipment,

maintenance, training, and scheduling for inoculations and flu

shots.

193. Captain Mylam’s perception is that there is a clear

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demarcation between command level staff and battalion level

staff. Captains work under the day-to-day direction of Battalion

Chiefs. Battalion Chiefs interpret and implement policy passed

down from command staff.

194. Deputy Chief Hutton described that Battalion Chiefs’

disciplinary authority includes exercising independent judgment

to order personnel off the fire line. By contrast, a fire

captain may recommend discipline, but cannot take direct

personnel action (other than issuing an oral or written

reprimand) without approval of a Battalion Chief.

J. ACCOUNTING DEPARTMENT WITNESS

195. Sandra Jiminez, an accounting supervisor for the

Department of Finance for the City of Bakersfield, testified what 

the parties have stipulated to: Battalion Chiefs are salaried

employees and their salaries exceed $445.00 per week. 

II. CONCLUSIONS OF LAW

A. LEGAL STANDARD

196. The Fair Labor Standards Act (“FLSA”), 29 U.S.C. §§

201-219 (1994), requires an employer, including state and local

governments, to compensate an employee for overtime work longer

than 40 hours per week at a rate of at least one-and-one-half

times the employee’s regular rate of pay. See id. at §

207(a)(1); Auer v. Robbins, 519 U.S. 452, 457 (1997) (“In 1974

Congress extended FLSA coverage to virtually all public-sector

employees, Pub.L. 93-259, § 6, 88 Stat. 58-62, and in 1985 we

held that this exercise of power was consistent with the Tenth

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Amendment. [citation]”).

197. The FLSA has a special section for firefighters, which

allows a work period of seven to twenty-eight days, with prorated hourly thresholds, in order to account and allow for the

twenty-four hour shifts most firefighters work. 29 U.S.C. §

207(k). If firefighters work overtime according to the formula

set forth in that section, they are entitled to overtime pay.

198. However, “bona fide executive, administrative, or

professional” employees are exempt from the FLSA’s overtime

provisions. Id. at § 213(a).

199. Here, the parties dispute whether the Battalion Chiefs,

are exempt from the FLSA’s overtime provisions under the

executive exemption. 

200. Defendant City, as the employer, has the burden to

prove that the Battalion Chiefs were exempt “executive” employees

within the meaning of 29 U.S.C. § 312(a)(1). Corning Glass Works

v. Brennan, 417 U.S. 188, 196-7 (1974).

201. Two tests are employed to determine whether an employee

falls within the executive exemption, the “long test” and the

“short test.” 29 C.F.R. §§ 541.1, 541.119(a).

202. The “long test” applies when the employees earn less

than $455 per week. Id. at §§ 541.1(f), 541.119(a). Under the

“long test,” an employee “employed in a bona fide executive

capacity...shall mean any employee:”

(a) Whose primary duty consists of the management of the

enterprise in which he is employed or of a customarily

recognized department or subdivision thereof; and

(b) Who customarily and regularly directs the work of two

or more other employees therein; and

(c) Who has the authority to hire or fire other employees

or whose suggestions and recommendations as to the

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3 Additional compensation for otherwise “exempt employees”

beyond salary in the form of additional cash payments complies

with the requirements of 29 C.F.R. § 541.118. UF 65. The

Department of Labor’s Field Operation Handbook authorized extra

compensation to be paid for overtime to an exempt employee on any

basis, including straight time or a flat sum without loss of the

exempt status. UF 70. 

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hiring or firing and as to the advancement and

promotion or any other change of status of other

employees will be given particular weight; and

(d) Who customarily and regularly exercises discretionary

powers; and

(e) Who does not devote more than 20 percent...of his hours

of work in the workweek to activities which are not

directly and closely related to the performance of the

work described in paragraphs (a) through (d) of this

section...; and

(f) Who is compensated for his services on a salary basis

at a rate of not less than $155 per week.... 

* * *

Id. at § 541.1(a-f).

203. The “short test” applies when the employees earn more

than $455 per week and are paid on a salary basis.3 Id. at §

541.1(f), § 541.119(a). 

204. Under § 541.118(a), “salary basis” means “if under [the

employee’s] agreement, he regularly receives each pay period on a

weekly, or less frequent basis, a predetermined amount

constituting all or part of his compensation, which amount is not

subject to reduction because of variations in the quality or

quantity of the work performed.” 

205. The parties do not dispute that the Battalion Chiefs

earn more than $455 per week and are paid on a salary basis. The

“short test” applies. The only remaining issue under the “short

test” is whether the “duties test” is satisfied to qualify

Battalion Chiefs for exempt status as an executive employee,

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because the employee’s primary duty is managerial. Stipulation

No. 1.

206. Under the “short test,” an employee will be deemed

employed in an executive capacity if, in addition to the

fulfillment of the salary proviso, the employee’s “primary duty

is management of the enterprise in which the employee is employed

or of a customarily recognized department or subdivision

thereof.” 29 C.F.R. § 541.100(a).

207. An employee’s “primary duty” is “the principal, main,

major, or most important duty that the employee performs.” 29

C.F.R. § 541.700(a).

208. Determining whether an employee’s “primary duty” is

executive in nature and therefore exempt involves the

consideration of several factors. First, the amount of time

spent performing the duties should be considered. “[E]mployees

who spend more than 50 percent of their time performing exempt

work will generally satisf[y] the primary duty requirement.” Id.

at § 541.700(b). “Time alone, however, is not the sole test, and

nothing in this section requires that exempt employees spend more

than 50 percent of their time performing exempt work.” Id.

209. Other factors to consider in determining whether an

employee’s primary duty is managerial include, but are not

limited to: (1) the relative importance of the managerial duties

as compared with other types of duties; (2) the frequency with

which the employee exercises discretionary powers; (3) the

employee’s relative freedom from supervision; and (4) the

relationship between the employee’s salary and the wages paid

other employees for the kind of nonexempt work performed by the

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supervisor. 29 C.F.R. § 541.700(a); Shockley v. City of Newport

News, 997 F.2d 18, 26 (4th Cir. 1993); see also Baldwin v.

Trailer Inns, Inc., 266 F.3d 1104, 1113 (9th Cir. 2001).

210. “Management” is defined at 29 C.F.R. § 541.102, and

includes, but is not limited to: 

activities such as interviewing, selecting, and training of

employees; setting and adjusting their rates of pay and

hours of work; directing the work of employees; maintaining

production or sales records for use in supervision or

control; appraising employee’s productivity and efficiency

for the purpose of recommending promotions or other changes

in status; handling employee complaints and grievances;

disciplining employees; planning the work; determining the

techniques to be used; apportioning the work among the

employees; determining the type of materials, supplies,

machinery, equipment or tools to be used or merchandise to

be bought, stocked and sold; controlling the flow and

distribution of materials or merchandise and supplies;

providing for the safety and security of the employees or

the property; planning and controlling the budget; and

monitoring or implementing legal compliance measures.

211. “Concurrent performance of exempt and nonexempt work

does not disqualify an employee from the executive exemption if

the requirements of § 541.100 [the executive exemption] are

otherwise met.” 29 C.F.R. § 541.106(a). “Generally, exempt

executives make the decision regarding when to perform nonexempt

duties and remain responsible for the success for failure of

business operations under their management while performing the

nonexempt work.” Id. 

212. Each exemption case is fact specific, and is decided on

a case-by-case basis. The Ninth Circuit has not yet dealt

directly with the issue of whether the duties of higher-ranking

firemen or police officers fall within the executive exemption of

the FLSA.

213. The Ninth Circuit has found, however, that managers of

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a recreational vehicle (RV) park were executives under the FLSA

where they engaged in exempt activities, including interviewing,

training, and disciplining other workers; were substantially free

from supervision (despite having to adhere to company policies);

were in charge of making relatively important day-to-day

decisions without much participation from the park’s owner; were

on-call 24 hours a day; and lived in on-site apartment. Baldwin,

266 F.3d at 1113-6. The Court found the managers were executives

despite that they spent over fifty percent of their time doing

non-exempt work, such as maintenance and cleaning of the park. 

The Court weighed the relative importance of the RV park

managers’ managerial duties against their nonexempt duties and

determined that the managerial duties were of greater importance

to their jobs. Id. at 1114-5.

214. In Wainscoat v. Reynolds Elec. & Eng’g Co., Inc., 471

F.2d 1157, 1161-2 (9th Cir. 1973), the Ninth Circuit found that

operations, drilling, and rig superintendents’ primary

responsibility was managerial where they: were responsible for

planning, coordinating, and supervising the directional drilling

program and the work of the drillers on a twenty-four hour basis;

were responsible for liaising with various agencies; determined

what tools and equipment would be used and the manpower required

to perform a drilling job; were required to plan and coordinate

the directional drilling operation with their superior

superintendent; were responsible for on-the-job training of

directional drillers; and participated in frequent conferences

with other supervisory personnel in which job problems, manpower,

and availability of equipment were discussed and decisions made. 

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Id. at 1161. The Court found the superintendents’ duties were

primarily managerial despite that much of their time (although

not quite fifty percent) was spent performing manual labor. The

Court reasoned that the manual labor was, in major part, in

performance of their highly technical and discretionary duties

which their expertise qualified them to perform, and in any event

their managerial and supervisory duties were more important than

the manual tasks they performed. Id. at 1162.

215. Other Circuits have dealt with the executive exemption

issue in the law enforcement and/or fire suppression context. 

While decisions from other Circuits are not binding, they are

instructive as to the factors to consider. Cases with similar

fact patterns can also serve to illustrate the relative

persuasiveness of particular facts in determining whether an

employee’s “primary duty” is managerial, which ultimately leads

to the finding of an exemption.

216. In Keller v. City of Columbus, Ind., 778 F. Supp. 1480,

1490-1 (S.D. Ind. 1991), fire captains and lieutenants were

exempt under the executive exemption where they: were responsible

for ensuring equipment, property and personnel are ready for

action; generally supervised firefighters and directed

firefighters at fires; attended planning meetings; and evaluated

the performance of firefighters. The Keller Court found an

executive exemption even though the fire captains and lieutenants

spent part of their time engaged in “many of the same manual

tasks that they direct other firemen to do.” Id. at 1489. The

Court found the relative importance of the fire captains and

lieutenants’ managerial duties outweighed the significance of the

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manual tasks they performed, and also that the managerial duties

took a greater portion of the captains and lieutenants’ time. 

Id.

217. Similarly, in Quirk v. Baltimore County, Md., 895 F.

Supp. 773, 788 (D. Md. 1995), the Court found that emergency

medical services captains (“EMS captains”) were exempt under the

executive provision where they: spent almost all of their time

directing personnel in the field; performed administrative tasks;

handled sick leave; were authorized to remove subordinates from

duty; reported unsatisfactory performances of subordinates; wrote

disciplinary action forms; and made recommendations regarding

discipline of subordinates which were almost always followed by

the captains’ superiors. Id. at 787.

218. In Adams v. United States, 44 Fed. Cl. 772, 782, 785

(Fed. Cl. 1999), the Court found that U.S. Border Patrol Field

Operations Supervisors (“FOS”) fell within the executive

exemption where they: directed emergency responses in the field:

ordered subordinates to perform (or to cease performing) any

task; orally reprimanded subordinates for poor work; reassigned

subordinates from one area within the FOS station’s field of

operation to another; granted unscheduled leave; ordered

overtime; and evaluated subordinates’ performance. The Court

reasoned that the FOS’s primary duty was related to strategy: the

FOS’s “real function in the field is to be aware of who is doing

what, where, and being prepared to make decisions about

reallocation of resources within the entire station.” Id. at

782.

219. In Shockley, 997 F.2d at 26-7, the Fourth Circuit found

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that various categories of police sergeants were executives under

the FLSA where they: were responsible for making adjustments for

sick personnel and determining which district their officers

would patrol; monitored the radio and backed up subordinate

patrol officers in the field when required; had the authority to

overrule a dispatcher and change assignments; allocated and

managed police resources to insure police services were being

provided in the patrol neighborhoods; and were responsible for

officer discipline. Id. at 27-9.

220. In Masters v. City of Huntington, 800 F. Supp. 363, 367

(S.D.W.V. 1992), the Court found that the primary duty of the

fire department’s shift captains was managerial and that the

captains were exempt under the executive provision where they

were responsible for ensuring that all firefighting equipment was

in good order and in condition for immediate use; were

responsible for ensuring that all firefighters had reported to

duty, and reported those firefighters who were absent from their

shifts; maintained the station log book in which all of the

station’s activities were recorded; maintains an inventory of

property; were responsible for seeing that required training was

conducted; evaluated the performances of subordinates; imposed

penalties involving loss of privileges; and took command of fire

emergency situations at smaller fires. Id. at 365-6. The court

held the shift captains were executive employees, even though

they lacked the authority to hire and fire and despite that they

occasionally performed manual tasks (i.e., non-exempt work). Id.

at 365. The court stated: 

[T]he city has not employed these officers on the basis of

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their proficiency in waxing floors or cleaning gutters. In

the sense of their most important or significant duty,

having charge of and ultimate responsibility for the

efficient operation of a station house and the direction of

their crews at fire scenes, clearly management functions,

constitute the primary duties of station captains. The

significance of manual or non-exempt work engaged in by

these officers pales when compared with their responsibility

for the readiness of men and equipment and the direction of

firefighters at the scene of a fire. 

Id. at 366.

221. The Tenth Circuit found that fire captains were not

exempt under the executive provision where: it was not shown that

more than fifty percent of their time was spent in management

functions; the captains did not have authority to call additional

personnel to the fire scene; the captains did not set work

schedules for other employees; and the captains participated in

manual labor and routine station duties. Dept. of Labor v. City

of Sapulpa, 30 F.3d 1285, 1287-8 (10th Cir. 1994).

222. Plaintiff argues that the executive exemption does not

apply to the Battalion Chiefs because they must be delegated

express authority or direction from the Command Staff before

proceeding with the implementation of a decision. Plaintiff’s

argument is not very persuasive, however. Even if the Battalion

Chiefs need approval for certain decisions from the Deputy Chiefs

or the Fire Chief, in the vast majority of cases such approval is

only a formality. As to non-emergency duties and decisions,

Battalion Chiefs’ incident command, budget recommendations, and

recommendations regarding disciplinary actions (i.e., those more

serious than oral reprimands), are not second-guessed and are

generally followed by their superiors. As Incident Commanders,

Battalion Chiefs have complete and autonomous executive authority

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4 The Guidelines further provide in relevant part: 

Police officers, detectives, deputy sheriffs, state

troopers, highway patrol officers, investigators,

inspectors, correctional officers, parole or probation

officers, park rangers, fire fighters, paramedics,

emergency medical technicians, ambulance personnel,

rescue workers, hazardous materials workers and similar

employees (“first responders”) who perform work such as

preventing, controlling or extinguishing fires of any

type; rescuing fire, crime or accident victims;

preventing or detecting crimes; conducting

investigations or inspections for violations of law;

performing surveillance; pursuing, restraining and

apprehending suspects; detaining or supervising

suspected and convicted criminals, including those on

probation or parole; interviewing witness;

interrogating and fingerprinting suspects; preparing

investigative reports; and other similar work are not

exempt under Section 13(a)(1) or the regulations are

thus are protected by the minimum wage and overtime

provisions of the FLSA. 

First responders generally do not qualify as exempt

41

over emergency and fire suppression in management of incidents. 

During emergencies, the Battalion Chiefs’ decisions are not

second-guessed by subordinates, the Deputy Chiefs, or the Fire

Chief.

223. Plaintiff also argues that Battalion Chiefs fall within

the Department of Labor’s recently-released guidelines regarding

the overtime exemptions under the FLSA as they apply to “First

Responders.” The Guidelines state that First Responders

generally do not qualify as exempt employees. The Guidelines

include among its definition of First Responders “fire

fighters...who perform work such as preventing, controlling or

extinguishing fires of any type; rescuing fire...victims....”4

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executives because their primary duty is not

management. 

* * *

(U.S. Department of Labor, 

<http://www.dol.gov/esa/regs/compliance/whd/fairpay/fs17j_first_r

esponders.htm>, accessed March 22, 2005)). 

42

The Guidelines list the titles of first responders who physically

perform law enforcement, medical emergency, firefighting, and

other similar duties. Plaintiff’s argument is not persuasive. 

It was shown during trial that, while Battalion Chiefs may have

physically fought fires earlier in their careers, once they

achieve the level of Battalion Chief they no longer “pull hose”

or “swing an axe.” Battalion Chiefs are only “first responders”

to the extent they are required to be on-duty twenty-four hours

per day and are required to assume command of emergency calls

when on duty. Once on the scene of a fire or some other

emergency, Battalion Chiefs act as Incident Commanders and

develop the general strategy for dealing with the emergency. 

Battalion Chiefs hold positions of and exercise executive

authority based on their advanced experience, expertise, skills,

and judgement, in managing all aspects of emergency situations. 

Their duties do not fall within the Department of Labor’s “First

Responder” Guidelines because Battalion Chiefs do not perform the

physical task of fighting fires.

224. Plaintiff also argues that Battalion Chiefs performed

substantially the same duties as Captains. This is categorically

untrue. The most significant distinction between Captains’

duties and Battalion Chiefs’ duties is that Captains physically

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fight fires and Battalion Chiefs do not. The greatest similarity

between their respective duties is that Captains spend time

evaluating their subordinates (i.e., the firefighters and fire

engineers), just as Battalion Chiefs spend time filling out

evaluations of the captains. Captains also have a role in

training. They spend about 1-2 hours each day training their

subordinates. The distinction between Captains’ training duties

and Battalion Chiefs’ training duties, however, is that Battalion

Chiefs oversee the training and are generally responsible to see

that training is performed, while Captains are responsible for

actually conducting the training. The training and instruction

that Battalion Chiefs perform consists primarily of classroom

instruction. Beyond that, Battalion Chiefs are responsible for

scheduling training drills, devising testing programs, conducting

executive post-incident reviews, and maintaining records of

training drills conducted. Captains make reports regarding the

training they conduct, but the Battalion Chief is ultimately

responsible for maintaining the records of training and ensuring

that the required training is conducted.

225. Overall, the evaluations and other administrative tasks

of captains do not rise to the same level of importance or

responsibility and do not take the same amount of time as the

administrative duties of a Battalion Chief, which include

ultimate responsibility for ensuring constant staffing and firstin coverage; overseeing training and inspections, attending

safety meetings, and drafting budgets.

226. Defendant argues that Battalion Chiefs fall within the

executive exemption because their primary duties are managerial. 

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Defendant emphasized the Battalion Chiefs’ role in the

preparation and drafting of policy. There was testimony that

only three current Battalion Chiefs actually drafted policies. 

Chief Hartley, with Chief Greener, drafted the Awards &

Recognition policy. Chief Moore drafted a parking policy. That

a few Battalion Chiefs drafted several policies does not

establish that Battalion Chiefs are responsible for drafting of

the Bakersfield Fire Department Policies and Procedures

(Defendant’s Exhibit H).

227. Defendant also argues that the Battalion Chiefs

contribute to setting rates of pay (which is one of the factors

included in 29 C.F.R. § 541.102, the provision that describes

“managerial duties”) by calling a subordinate on-duty for

overtime. Defendant argues that affecting the number of hours

subordinates work reflects their rates of pay. While it is true

that a firefighter is paid a greater amount when working a

greater number of hours, Battalion Chiefs have the discretion to

call firefighters back to overtime duty. There was no evidence

that Battalion Chiefs actually set the dollar amount their

subordinates are paid. Battalion Chiefs do, however, have the

discretion to manage the schedules of their subordinates,

including ensuring constant staffing, approving overtime and

vacation, and ordering overtime. These tasks are exempt

managerial functions.

228. The issue of managing subordinates’ schedules relates

to Defendant’s arguments regarding why the Battalion Chiefs’

primary duties are managerial. Defendant emphasized Battalion

Chiefs’ responsibility for “constant staffing” and for “firstCase 1:03-cv-05645-OWW -TAG Document 59 Filed 04/21/05 Page 44 of 50
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ins” personnel. Constant staffing and first-in coverage refers

to the necessity that the Bakersfield Fire Department’s area of

responsibility is covered. The Battalion Chiefs are executives

responsible for ensuring coverage is complete and are responsible

for reviewing shift rosters that include the names of the

firefighters on-duty for those shifts.

229. Defendant argues that Battalion Chiefs have the

authority to hire and fire because they do so for the firefighter

reserve program. Battalion Chiefs do not, however, have

regularly exercised authority to hire and fire full time

firefighters.

230. Defendant argues that the following Battalion Chief

duties were managerial in nature: 1) evaluations of captains; 2)

reviewing captains’ evaluations of their own subordinates; 3)

disciplining of subordinates; 4) making disciplinary

recommendations; 5) ensuring the battalion complies with training

requirements; 6) submitting budget recommendations for equipment

and supplies (that are almost always followed); 7) overseeing

internal and external inspections; and 8) Incident Commander

duties in emergency and firefighting situations. These arguments

are persuasive.

231. Under the applicable law, the issue is whether the

Battalion Chiefs’ “primary duty” is “managerial.” Battalion

Chiefs spend minimal, if any, of their time performing non-exempt

work, such as physical labor during fighting fires. While

Battalion Chiefs are required to be on-duty 24 hours per day, and

respond to emergencies when called, this is not necessarily a

factor considered in applying the “primary duty” test. They do

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so in a command capacity. Two of the Battalion Chiefs seeking an

exemption, the Administrative Battalion Chief and the Training

Battalion Chief, do not work 24-hour shifts and instead work a

40-hour week, Monday through Friday, 8:00 a.m. to 5:00 p.m. 

232. The following duties of the Battalion Chiefs fall into

the C.F.R. definition of managerial: 1) overseeing training, 2)

conducting of inspections, 3) approving and ordering overtime in

their constant staffing functions, 4) evaluating the performance

of captains, and 5) making budget recommendations as to

acquisition of equipment and supplies. Most importantly,

Battalion Chiefs perform Incident Commander duties at the scenes

of emergencies, which include directing the work of the fire

captains, firefighters, and fire engineers; and implement

strategy to commit and control the resources brought to bear on

each emergency situation to ensure the safety of the fire

personnel and the public. 

233. The duties of the Administrative Battalion Chief are

primarily managerial. The Administrative Battalion Chief

supervises various programs with the fire department, including

the maintenance division, the technical rescue program, weapons

of mass destruction preparedness and training, and large

equipment. The Administrative Battalion Chief oversees the EMS

program, including training and acquisition of equipment. Most

importantly, the Administrative Battalion Chief is the public

information officer of the fire department, and regularly

exercises discretion in drafting press releases and making

statements to the media, speaking for the Bakersfield Fire

Department.

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234. The Training Battalion Chief serves in a wholly

managerial capacity. He is responsible for ensuring the

Bakersfield Fire Department’s training plans meet local and

federal laws and regulations. The Training Battalion Chief has

the discretion to change the Bakersfield Fire Department’s

training program so that it conforms to laws and regulations that

might have changed. The training budget apparently does not vary

much from year to year; however, the Training Battalion Chief

provides recommendations and input for the budget that are

generally followed. 

235. Not only do Battalion Chiefs’ duties fall within the

definition of “managerial,” as specified by 29 C.F.R. § 541.102,

their exempt duties are more important than any non-exempt

duties. First, Battalion Chiefs spend the vast majority (over

90%) of their time conducting managerial tasks, as outlined in 29

C.F.R. § 541.700(b). Second, other factors employed by courts to

resolve the “primary duty” question are also met here. The

Battalion Chiefs’ managerial duties are their most important

duties; they are free from supervision (other than occasionally

requiring formal approval from the Command Staff regarding

certain decisions); and they regularly exercise independent and

ultimate command discretion in directing Bakersfield Fire

Department fire suppression and emergency response activities and

making executive decisions.

236. Because all Battalion Chiefs’ duties and job functions

are overwhelmingly managerial in nature, they fall within the

executive exemption to the FLSA. Bakersfield Fire Department

Battalion Chiefs are not entitled to overtime pay. 

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237. Cases with very similar fact situations decided by

other District and Circuit Courts have found that higher-level

fire department and law enforcement officers fall within the

executive exemption under the FLSA. Keller, 778 F. Supp. at

1490-1; Quirk, 895 F. Supp. at 788; Adams, 44 Fed. Cl. at 785;

Shockley, 997 F.2d at 26-7; Masters, 800 F. Supp. at 367. In the

distinguishable Tenth Circuit case where an exemption was not

found, fire captains had very little discretionary authority, and

spent much of their time conducting manual labor. Sapulpa, 30

F.3d at 1287-8. 

238. Cases decided in the Ninth Circuit suggest that the

Battalion Chiefs’ duties and responsibilities are considered

managerial, including but not limited to: independent decisionmaking authority; responsibility for developing work plans;

directing the work of subordinates; responsibility for training;

and participation in meetings with other supervisors. Baldwin,

266 F.3d at 1113; Wainscoat, 471 F.2d at 1161-2.

239. The Battalion Chiefs have responsibility and extensive

discretion to bring all their skills and experience of not less

than ten years to incident command, administrative duties, and

the training function.

240. This lawsuit is unintentionally demeaning to the high

level of managerial experience, skill, judgment, background and

training Battalion Chiefs must possess to do their jobs. The

overtime compensation sought is too high a price to pay for

diminishing the command status, experience, education, and

seasoned judgment that a Battalion Chief must possess. These

officers are significantly more experienced than captains.

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241. As Captain Caprioli testified, captains and below are

“soldiers” who are on-line in the field taking direct action

under the command of the Battalion Chief. The Battalion Chief is

not a line officer who engages in direct activities, but rather

is a commander who exercises discretion and judgment, marshals

resources, formulates strategy, chooses and implements tactics,

and makes the ultimate supervisory and management decision that

can only be made by a command level officer. There is a

significant difference in terms of judgment, training, education,

and experience between Battalion Chiefs and their subordinates in

the rank of captain and below, for very good reason. It is

crucial that commanders of mature and extensive experience and

judgment serve in the important and ultimately responsible roles

as the “field generals” at incidents. By analogy to the

military, the Battalion Chief is a field grade commander who,

although at the scene of the action, is a decision-maker with

strategic and tactical authority and command authority for the

direction and carrying out of the fire department’s mission in

the field.

III. CONCLUSION

For all the reasons stated above, Plaintiffs shall take

nothing by their complaint and judgement shall be entered in

favor of Defendants and against Plaintiff. Counsel for

Defendants shall submit a form of judgement consistent with these

///

///

///

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findings within five days following the receipt of service of

these findings by the Clerk of Court.

DATED: April 19, 2005.

/s/ OLIVER W. WANGER

_____________________________

Oliver W. Wanger

UNITED STATES DISTRICT JUDGE 

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