Lead Opinion
Judgе CALABRESI concurs in the opinion of the Court, and also files a separate opinion.
Plaintiff Arthur Hollander appeals from the grant of summary judgment in the United States District Court for the District of Connecticut, Warren W. Eginton, J., in favor of defendant American Cyan-amid Company. As of this writing, Hollander’s case has been in the federal courts for more than 13 years. This is also the second time that this court has heard the matter, having remanded the case more than eight years ago in order to allow Hollander to conduct additional limited discovery. Hollander v. American Cyanamid Co.,
I. Background
Hollander began his career with Cyan-amid in 1956 as an employee at the company’s Wallingford, Connecticut facility. He was 30 years old. He left the company in 1960, and returned in 1973 to assume the position of Manager of Management Engineering at Cyanamid’s Lederle facility in Pearl River, New York. At the time of his rehire, he was 47.
As Manager of Management Engineering, Hollander received a yearly progress review from his supervisors that rated his ability in several specific areas. The reviews also included comments that elaborated upon or supplemented the ratings. Hollander’s reviews show that Cyanamid was consistently impressed with his creativity and commitment to his job. He also received regular salary increases, bonuses and stock options. However, the progress reviews, which were conducted by four different supervisors over the course of Hollander’s re-employment at Cyanamid, also consistently documented the perception that Hollander has an abrasive man
In 1981, Cyanamid transferred Hollander to its Davis & Geek facility in Danbury, Connecticut, and appointed him Manager of Medical Devices. The change of setting, however, did not alter the pattern established in Hollander’s earlier reviews. His 1981 review rated him as “needs improvement” in “human relations.”' In 1982, he received a “needs improvеment” rating in “human relations,” “safety,” and “maturity & judgment.” The review noted that “several projects are not getting proper attention because of interpersonal relationship problems.”
Hollander received his worst review in 1983, in which supervisor Robert Duckett rated him as “needs improvement” in the areas of “communication,” “human relations,” “personnel development,” “leadership” and “organizing/staffing.” Duckett elaborated:
[Hollander’s] major problem is a total lack of comprehension of the vital necessity of properly considering all of the appropriate functional groups which must be involved for successful completion and execution of complex projects. He leaves a “trail of wreckage” of interpersonal and inter departmental relationships which eventually inhibit the success of the projects. He seems to ignore the vital “people function” almost completely, and doesn’t comprehend this effect. He operates like a “one man gang” which is not acceptable in a complex, multi-functional team oriented business.
In addition, Hollander’s overall job performance for that year was rated as “needs improvement,” the second-worst possible overall rating.
Cyanamid terminated Hollander in January 1984. At the time, he was 58 years old.
In October 1984, Hollander sought employment with Ethicon, Inc., a medical device manufacturer and competitor of Cyan-amid. Hollander offered to show Ethicon a Cyanamid film demonstrating the appli
In August 1985, Hollander filed suit in the United States District Court for the District of Connecticut, claiming that Cyanamid discharged him in violation of the ADEA. He also claimed that- Cyanam-id’s opposition to his employment at Ethi-con was retaliation for the initial complaints he had brought before the CCHRO and the EEOC and, as such, was a second violation of the ADEA. Hollander further contended that Cyanamid’s alleged retaliation amounted to tortious interference with a business expectancy under Connecticut law. Finally, he alleged that Cyanamid’s practices violated federal and state antitrust laws and state law prohibitions on unfair trade practices. Hollander later dropped the antitrust and unfair trade practices claims.
In March 1989, the district court granted Cyanamid’s motion for summary judgment on Hollander’s ADEA claims. The court held that Hollander had failed to show a nexus between his age and his discharge, and had failed to link Cyanam-id’s conduct regarding Ethicon to Hollander’s filing of discrimination charges with the CCHRO and the EEOC. Because Hollander’s federal claims had been disposed of by summary judgment, the district court also dismissed Hollander’s remaining state law tortious interference claim for lack of jurisdiction.
On appeal to this court, the judgment of the district court was vacated in part, affirmed in part and remanded.
After remand, Hollander expanded his discovery efforts to include several additional interrogatories and requests for production other than the single interrogatory at issue on the prior appeal. When Cyan-amid did not respond to the additional requests, Hollander filed a Motion to Compel and for Sanctions. Recommending denial of the motion in November 1994, Magistrate Judge Thomas P. Smith noted that Hollander had “received discovery of an extent unprecedented in this magistrate’s experience of over 15 years,” and “well beyond the contemplation of the Second Circuit’s decision, which the magistrate has interpreted with great fairness toward [him].” The district court adopted the recommendation.
In April 1997, Cyanamid moved for summary judgment on Hollander’s claims and moved to strike, as inconsistent with Fed. R.Civ.P. 56(e), certain portions of the affidavit Hollander had submitted in support of his memorandum in opposition to summary judgment. Cyanamid’s motion to
II. Discussion
A. Motion to Strike Portions of Hollander’s Affidavit
Rule 56(e) states that:
[supporting and opposing affidavits shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein.
A court may therefore strike portions of an affidavit that are not based upon the affiant’s personal knowledge, contain inadmissible hearsay or make generalized and conclusory statements. See, e.g., Unitеd States v. Private Sanitation Industry Ass’n of Nassau/Suffolk, Inc.,
We will not disturb a district court’s grant of a motion to strike unless manifestly erroneous. Cf. Luciano v. Olsten Corp.,
B. Hollander’s ADEA Claim
The ADEA forbids employers from discriminating in hiring, discharge, or the setting of “compensation, terms, conditions, or privileges of employment” based upon the age of an employee. 29 U.S.C. § 623(a)(1); see also Hazen Paper Co. v. Biggins,
1. Hollander’s Prima Facie Case
To establish a prima facie case of discrimination, Hollander had to show that (1) he was within the protected age group, (2) he was qualified for the job, (3) he was discharged, and (4) the discharge occurred under circumstances giving rise to an inference of age discrimination. See Hollander,
2. Cyanamid’s Articulation of a Legitimate, Non-Discriminatory Reason
Since Hollander established a prima fa-cie case, the burden shifted to Cyanamid to articulate a legitimate, non-discriminatory reason for his discharge. Cyanamid points to the interpersonal problems that were consistently dоcumented in Hollander’s personnel reviews. Cyanamid also claims that Hollander had to be removed from a project because of his poor interpersonal skills, and that his strained relations with certain employees he supervised caused them to seek union representation.
Hollander’s brief attempts to show that Cyanamid failed to put forth a legitimaté, non-discriminatory reason for his discharge. Hollander argues that the district court erred in failing to strike as hearsay and violative of the best evidence rule the deposition testimony of various Cyanamid employees, including Davis & Geek Director of Operations Gill Seal, Personnel Director John O’Shaughnessy and Personnel Deрartment employee Robert D’Andrea, which supported Cyanamid’s stated reason. This contention, however,
3. Hollander’s Attempt to Show that he is a Victim of Age Discrimination
Cyanamid’s articulation of a legitimate, non-diseriminatory reason brings us to what the district court called “the heart of this case” — whether Hollander presented sufficient evidence for a reasonable jury to conclude that Cyanamid discriminated against him because of his age.
a. Hollander’s non-statistical evidence
Various items made up the first category of evidence on which Hollander relies. Hollander offered affidavits from former co-workers stating that he was not difficult to work with and may not have been responsible for the alleged unionization incident cited by Cyanamid. Hollander also stressed the fact that, at his depositions in 1986 and 1987, Duckett could not remember a single event that led to the scathing 1983 review of Hollander in which Duckett wrote that Hollander left a “trail of wreckage” in regard to interpersonal relationships. In addition, Hollander offered letters from employees at Cyanamid — including Duckett — complimenting his efforts as Manager of Medical Devices.
We need not decide whether Hollander offered enough evidence to establish that Cyanamid used his allegedly poor interpersonal skills as a pretext for its true reason for terminating him. Assuming arguendo that he did, this is far from the end of the matter, for to survive summary judgment Hollander had to show not only pretext, but also either use of a pretext that itself implies a discriminatory stereotype, or use of a pretext to hide age discrimination. This, he did not do.
This court was presented with a similar situation in Fisher v. Vassar College,
discrimination does not lurk behind every inaccurate statement. Individual decision-makers may intentionally dissemble in order to hidе a reason that is non-discriminatory but unbecoming or small-minded, such as back-scratching, log-rolling, horse-trading, institutional politics, envy, nepotism, spite, or personal hostility ... In short, the fact that the proffered reason was false does not necessarily mean that the true motive was the illegal one argued by the plaintiff.
The district court in this case reached the same conclusion, and we agree with Cyanamid that the court did not commit reversible error in doing so. First, assuming arguendo that Hollander’s alleged interpersonal problems were used by Cyan-amid as a pretext for the company’s true reason for his termination, the pretext in and of itself does not suggest age discrimination. Had Cyanamid clаimed that it terminated Hollander because of a characteristic stereotypically associated with age — for example, because he was “unable to keep up with the times” — and had Hollander shown that reason to be pretextual, our conclusion might be different.
Second, nothing else in the record points to age discrimination as the real reason for Hollander’s termination. As we noted in Fisher III, an employer may give a false explanation for terminating an employee in order to mask the true reason which, though petty, spiteful or otherwise ignoble, is not unlawful. Hollander overlooks this statement of the law by contending that if Cyanamid’s preferred reason is not to be believed, then the true reason for his termination must have been his age. However, Hollander put forth no proof of any age-related remarks or actions toward him by Cyanamid personnel, and admitted that his age was never explicitly raised as a factor in his termination. If reliance on Hollander’s alleged interpersonal problems was indeed a pretext — and we repeat that
b. Hollander’s statistical evidence
We are thus left with the question whether Hollander’s statistical evidence was sufficient to prevent the grant of summary judgment. As this court has held in several cases, disparate treatment plaintiffs may introduce statistics as circumstantial evidence of discrimination. See, e.g., Stratton v. Dep’t for the Aging,
Hollander argues that the district court usurped the role of the jury by weighing the strength of, and ultimately rejecting, both bodies of evidence. Our reading of the district court’s opinion, however, is that the court determined that the evidence was not at all probative of age discrimination against Hollander. A district court’s discretion in choosing whether or not to admit evidence is broad. See United States v. Local 1804-1, Int’l Longshoremen’s Assoc.,
(i). The Gaudard Report
We begin with the Gaudard Report. First, Gaudard plotted, in 10-year groupings, the age distribution of Cyanam-id managers compensated at salary level “9” and higher (level 9 4-) during the period 1984-1989
The second part of the Report is also flawed although somewhat more sophisticated. Gaudard analyzed the terminations of Cyanamid managers age 40 and over and compensated at salary level “9” and higher (level 9+/age 40+ managers) during the periods 1981-1991, 1981-1984 and 1984-1989. Using numerical termination codes that corresponded to the reason for еach termination, Gaudard excluded from her analysis employees who were voluntarily terminated for reasons such as “resignation,” “other employment” and “relocation.” She also excluded involuntary terminations for reasons such as “unsatisfactory performance” and “insubordination.” Finally, she excluded retirements, deaths and group terminations. From the original group of approximately 1300 level 9+/age 40+ managers, Gaudard was left with 245 who had been involuntarily terminated because Cyanamid had eliminated their jobs (the “job eliminated” group). Gaudard made this “job eliminated” group the company-wide statistical sample for her analysis. She claimed that the statistical likelihood of obsеrving as many “job eliminated” terminations of managers ages 55-69 as was observed over the three relevant time periods referred to above “is virtually zero,” and “conclude[d] with a high degree of statistical certainty that ‘job eliminated’ was not an age-neutral termination reason.”
However, the conclusion of the Report that underlies Hollander’s argument here depends on a misleading age grouping that impermissibly skews the data in Hollander’s favor. See Fisher II,
ii. The Title-Switching Evidence
The second body of statistical evidence offered by Hollander was his own
We agree with the district court that unreliability problems are also present in the title-switching evidence. The district court correctly pointed out that Hollander offered no evidence showing that the so-called younger replacements actually perform the same duties as the terminated managers whom Cyanamid allegedly mis-characterized as “job eliminated.”
Accordingly, we hold that the district court acted within its discretion in holding the statistical evidence inadmissible because no reasonable jury could infer from it that Cyanamid discriminated against Hollander because of his age.
Conclusion
We have considered all of Hollander’s arguments, and find that they do not justify reversal. We conclude that (1) the district court did not err in striking portions of Hollander’s affidavit because they were not based on plaintiffs personаl knowledge, contained inadmissible hearsay and made conclusory statements; and (2) Hollander’s evidence was insufficient to create an inference that defendant discriminated against him because of his age. The judgment of the district court is, therefore, affirmed.
Notes
. The only worse possible overall rating was “consider for termination.”
. Hollander claims that he was 58 in January 1984. The district court said Hollander was 57 when he was terminated.
. Hollander filed his complaints with the CCHRO and the EEOC in July 1984, at which time his former job was being performed by the 57-year old Augsbach. Hollander argues that Augsbach was a temporary "floating'' replacement, and that his true replacement was Esposito. Esposito, however, did not even apply for a position at Cyanamid until November 1984, and began working for the company in March 1985. Although the replacement of Hollander with an "insignificantly younger” person like Augsbach would not give rise to an inference of discrimination, see O'Connor v. Consolidated Coin Caterers Corp.,
. As noted by the district court,
. One example of a possible non-discriminatory reason is the apparent friction between Hollander and Duckett. In one incident, Hollander (unknown to Duckett) sent Duckett’s superior a copy of a memorandum Hollander wrote to Duckett disagreeing with Duckett's decision to remove him from a partiсular project. Duckett was sufficiently displeased by Hollander’s action, which he considered "out of line” and "insubordination,” to meet with Hollander and memorialize it in an internal memorandum.
. We are informed that the data provided to Hollander by Cyanamid permitted analysis for the years 1984, 1985, 1987 and 1989 only.
. It is also worth noting that, during the 1984-1989 period, the greatest increase in Cynamid's level 9+ workforce occurred in the 40-49 age group — employees within the class of persons covered by the ADEA.
Concurrence Opinion
concurring:
I join the panel’s opinion in full. I write separately only to note that, in appropriate circumstances, evidence of discrimination against one group of people can support an inferеnce of discrimination against another group. For example, if statistical or other evidence indicated that an employer discriminated against Asian-Americans, Asians, Chícanos, and African-Americans, it might be reasonable to deem that evidence relevant to a claim that the same employer had discriminated against a Native American or a Nigerian. This would especially be so if the available data were insufficient to establish a pattern of behavior toward the plaintiffs class specifically, as might be the case if the plaintiff had been the only Native American or Nigerian in the defendant’s employ. Because nothing in the panel’s opinion precludes the use of the statistical evidence in such a case, I concur.
