SHAWN ALEXANDER, Plaintiff-Appellant, v. CARESOURCE, Defendant-Appellee.
No. 08-3880
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
August 14, 2009
RECOMMENDED FOR FULL-TEXT PUBLICATION Pursuant to Sixth Circuit Rule 206 File Name: 09a0287p.06. Appeal from the United States District Court for the Southern District of Ohio at Dayton. No. 07-00198—Michael R. Merz, Magistrate Judge. Argued: April 21, 2009.
COUNSEL
ARGUED: Kendall Duane Isaac, THE ISAAC FIRM, LLC, Columbus, Ohio, for Appellant. Vladimir P. Belo, BRICKER & ECKLER LLP, Columbus, Ohio, for Appellee. ON BRIEF: Kendall Duane Isaac, THE ISAAC FIRM, LLC, Columbus, Ohio, for Appellant. Vladimir P. Belo, BRICKER & ECKLER LLP, Columbus, Ohio, Mark R. Chilson, BRICKER & ECKLER LLP, West Chester, Ohio, for Appellee.
OPINION
DAVID M. LAWSON, District Judge. The issue in this appeal of a grant of summary judgment to the defendant in this employment discrimination action is whether the plaintiff‘s response in the district court was adequate to establish a material fact issue
I.
Plaintiff Shawn Alexander, an African American woman, applied for a job as a claims analyst with defendant CareSource Management Group in 2005. Although she was interviewed for the position, the defendant hired Caucasian applicants instead. The plaintiff believes that race played a role in the defendant‘s decision, as evidenced, she alleges, by the more rigorous application and interview protocols demanded of the plaintiff compared to the Caucasian applicants.
CareSource provides services for the administration of public sector health care programs, operating Medicaid health plans in Indiana, Michigan, and Ohio. In 2005, the claims department had approximately sixty employees and only two managers: Gary North and Linda Hay. In May and June 2005, CareSource sought to fill two claims analyst positions, one for Michigan and one for Ohio. Claims analysts are responsible for analyzing and processing claims that have been rejected from an automatic electronic processing system. North assumed responsibility for hiring the Michigan claims analyst, and Hay was responsible for the Ohio position. Prospective candidates would interview with human resources consultant Lara Bentley before meeting with North or Hay or both, depending on their availability. Both internal and external candidates were interviewed for the position, although, according to Bentley, the internal candidates were not asked questions about their preference regarding management structure because Bentley assumed they were already familiar with the management of the claims department.
The plaintiff apparently learned about the job openings from her friend Claudette Wheeler with whom she worked at Miami Valley Hospital. According to Lara Bentley‘s
Alexander was interviewed for the open Michigan claims analyst position on June 29, 2005. Bentley recalls Alexander stating that she “preferred well-organized management and strong communication between herself and the department manager,” which Bentley found incompatible with the management structure of the claims department. Record on Appeal (“ROA“) at 60. Following this meeting, both North and Hay interviewed Alexander, and both found that Alexander was “unable to provide accurate and/or detailed responses to many questions asked.” ROA at 54. They noted Alexander‘s belief that the acronym “COB” referred to “Collaboration of Benefits” rather than “Coordination of Benefits,” and her inability “to fully explain the COB process.” ROA at 54-55. As a result of the interview, Hay and North concluded that Alexander did not know enough about claims processing to work effectively as a claims analyst. She was not offered the job.
The Michigan claims analyst position ultimately went to Kim Seiber, who had been employed by CareSource in a provider customer service position. Seiber, apparently, is Caucasian. She interviewed for the position on June 28, 2005, the day before Alexander. According to North, Seiber provided “satisfactory” answers to his questions and he believed that she had received positive performance reviews in her previous position. ROA at 54.
On July 7, 2005, Bentley telephoned Alexander to inform her that the position was given to another candidate. The following day, Alexander filed a charge of race
On June 3, 2005, Respondent interviewed a Caucasian applicant for Claims Analyst. Unlike Charging Party, this similarly situated person was not required to submit an employment application, and was offered a position the same day she was interviewed by Respondent. Charging party became aware of these facts only because she worked alongside this person during Respondent‘s interview process.
Ibid. On May 2, 2007, citing the Ohio Civil Rights Commission‘s finding, the EEOC issued a determination that there was probable cause to believe that the allegation of race discrimination was true; but on May 9, 2007, the EEOC issued a correction, stating that the May 2, 2007 document was “null and void, and of no legal significance.” ROA at 15. The EEOC issued a right-to-sue letter that same day.
On May 24, 2007, Alexander filed a pro se complaint in the United States District Court for the Southern District of Ohio. She was granted in forma pauperis status. The complaint – which is not verified – states that she believes she was “unlawfully discriminated against because of my race, African American.” ROA at 9. Attached to the complaint is the charge of discrimination filed by the plaintiff with the OCRC and the EEOC. In this charge, which was notarized and signed under penalty of perjury, Alexander states that she is an African American, the position at CareSource was offered to Wheeler, a Caucasian, and Wheeler‘s interview was less rigorous than Alexander‘s because Wheeler was asked less difficult questions. Counsel entered an appearance on behalf of Alexander on July 12, 2007 but did not file an amended complaint. The parties consented to plenary jurisdiction over the case by United States Magistrate Judge Michael Merz under
Alexander also submitted a document that purports to be a resume of David Roush. It appears that Roush had worked since 2000 as a claims analyst for Anthem Blue Cross Blue Shield. Before that he worked in various customer service jobs since 1980. According to Alexander‘s brief, Roush was hired for a claims analyst position covering Indiana, he did not have a completed application on file, and he is Caucasian.
CareSource responded to the plaintiff‘s submissions by asking the district court to strike all of Alexander‘s exhibits except the deposition transcripts because they were not authenticated by an affidavit or deposition testimony. The district court granted the motion to strike the exhibits as well as the motion for summary judgment, and entered judgment against Alexander on June 3, 2008. Alexander filed a timely notice of appeal and contends that the district court erred by granting summary judgment and disregarding her exhibits.
II.
This court reviews a district court‘s grant of summary judgment de novo and applies the same standard as the district court. Farhat v. Jopke, 370 F.3d 580, 587 (6th Cir. 2004); Lake v. Metro. Life Ins. Co., 73 F.3d 1372, 1376 (6th Cir. 1996). The parties’ arguments in this case suggest that it may be useful to review those standards once again.
Rule 56(e)(2) leaves no doubt about the obligation of a summary judgment opponent to make her case with a showing of facts that can be established by evidence that will be admissible at trial.
The submissions by a party opposing a motion for summary judgment need not themselves be in a form that is admissible at trial. Celotex Corp. v. Catrett, 477 U.S. 317, 324 (1986) (“We do not mean that the nonmoving party must produce evidence in a form that would be admissible at trial in order to avoid summary judgment.“). Otherwise, affidavits themselves, albeit made on personal knowledge of the affiant, may not suffice, since they are out-of-court statements and might not be admissible at trial. See
The dispute in this case focused on whether the plaintiff‘s race played any role in the defendant‘s decision not to hire her. She never contended that there was any direct evidence of that motivation, so the district court used the familiar McDonnell Douglas burden-shifting methodology to determine whether the plaintiff could establish by circumstantial evidence that race was a motive in the defendant‘s refusal of employment. Under the McDonnell Douglas approach, “(1) the plaintiff must establish a prima facie case of racial discrimination; (2) the employer must articulate some legitimate, nondiscriminatory reason for its actions; and (3) the plaintiff must prove that
A plaintiff can establish a prima facie case by showing that “(1) she was a member of a protected class; (2) she applied for and was qualified for the position . . . ; (3) she was considered for and denied the position; and (4) she was rejected in favor of another person with similar qualifications who was not a member of her protected class.” Betkerur v. Aultman Hosp. Ass‘n, 78 F.3d 1079, 1095 (6th Cir. 1996) (citing Brown v. Tennessee, 693 F.2d 600, 603 (6th Cir. 1982)). CareSource argued in the district court that Alexander was not qualified for the position and that there was no other similarly-situated person outside the protected class who was treated differently than she was. In support of its motion, CareSource filed affidavits by its employees, Linda Hay, Gary North, and Lara Bentley. Those witnesses described the sequence of events that led to the interviews of the plaintiff and others, the qualifications that were important to them, how they determined to evaluate those qualifications, and the reasons they decided to hire the successful applicants rather than the plaintiff. They also provided a rationale for the differences in the interview processes and some of the questions asked, attributing those differences to prior familiarity with some of the job applicants, while the plaintiff was a stranger to them.
In response to the motion, the plaintiff filed a memorandum that included as attachments an e-mail printout from a co-worker to Claudette Wheeler, the plaintiff‘s handwritten notes, a typed paragraph of undetermined origin, CareSource‘s job description of the open positions, letters from the OCRC and the EEOC, resumes of the plaintiff and another individual, and excerpts from two depositions taken in the case. Based on those items, the plaintiff argued that she proved that she was qualified for the position, she was treated differently during the interview process than other individuals, and the persons who were hired for the claims analyst positions were not as qualified as she.
Sworn statements
The record contains two types of sworn statements submitted by the plaintiff. One was a copy of the verified charge she submitted to the EEOC and OCRC. That document stated that the plaintiff is a member of a protected class (African American); she believes she is qualified for the position of claims analyst, although the statement is conclusory and contains no supporting facts; she interviewed for that position; CareSource offered the job to Claudette Wheeler, who did not fill out an application; the plaintiff was required to fill out an application; and the plaintiff “was asked more difficult questions than Ms. Wheeler, ie [sic] multiple problem solving questions.” ROA at 13. This document establishes the plaintiff‘s protected class status and the difference in treatment she received compared to Ms. Wheeler‘s experience, but it does not amount to evidence that the plaintiff is qualified for the position. Conclusory statements unadorned with supporting facts are insufficient to establish a factual dispute that will defeat summary judgment. Lewis v. Philip Morris Inc., 355 F.3d 515, 533 (6th Cir. 2004) (finding that “conclusory statements” unsupported by specific facts will not permit a party to survive summary judgment); Doren v. Battle Creek Health System, 187 F.3d 595, 598 -599 (6th Cir. 1999) (holding that affidavits that contained no “specific facts” but “are merely conclusory, restating the requirements of the law . . . therefore cannot create a genuine issue of material fact sufficient to defeat summary judgment“).
The second type of sworn statement was deposition testimony.
The deposition excerpts in this case do little to establish a factual dispute on the questions whether the plaintiff was qualified for the position and a non-class member treated more favorably was similarly situated to the plaintiff. Gary North testified that he did not remember interviewing one of the applicants, he knew Claudette Wheeler and was familiar with her work, lack of knowledge of the claim-processing software was not disqualifying for an applicant, the plaintiff may have been the only candidate from outside the company that was interviewed, and the plaintiff was unfamiliar with several terms a claims analyst must know to perform the job. Lara Bentley testified that she believed the plaintiff would not have been a good fit because of her preferred management style and lack of technical skills. The deposition excerpts did not establish a genuine dispute on a material fact.
Non-sworn documents
The district court did not consider many of the other documents attached to the plaintiff‘s response because they were not authenticated or otherwise were inadmissible in evidence. As noted earlier, because the defendant objected, it would have been improper for the district court to consider documents that were not admissible in evidence. Moore, 2 F.3d at 699. Charritye LeMoine‘s e-mail, the hand-written notes, the unidentified typed paragraph, the plaintiff‘s and David Roush‘s resumes, and the
EEOC and OCRC reports
The plaintiff relies heavily on the reports of the administrative agencies finding probable cause that discrimination had occurred. The determination by the Ohio Civil Rights Commission is signed by a team leader and contains the Seal of the State of Ohio. The EEOC letter dated May 2, 2007 is signed by the district director and contains the agency‘s seal. Both of those documents are self-authenticated under
The OCRC determination was offered for its truth, and therefore amounts to hearsay as defined by
Records, reports, statements, or data compilations, in any form, of public offices or agencies, setting forth . . . (C) in civil actions and proceedings and against the Government in criminal cases, factual findings resulting from an investigation made pursuant to authority granted by law, unless
the sources of information or other circumstances indicate lack of trustworthiness.
The OCRC letter concludes with a finding of probable cause that unlawful discrimination occurred. The district court gave no evidentiary weight to that finding for several reasons. We do not agree with all of them, but we do concur that the letter does not establish a material fact question. The district court first cited this court‘s unpublished opinion in E.E.O.C. v. Ford Motor Co., 98 F.3d 1341, 1996 WL 557800 (6th Cir. 1996) (table), which authorized district courts to adopt a blanket rule refusing the admission of EEOC probable cause determinations at trial. In Ford Motor Co., the court noted that “an EEOC cause determination carries an evidentiary value of practically zero,” and that “the only plausible value of an EEOC cause determination would be that it presents the evidence of discrimination that the EEOC considered.” 1996 WL 557800 at *10. Certainly there are reasons for excluding a probable cause determination at trial. See Cortes v. Maxus Exploration Co., 977 F.2d 195, 201-02 (5th Cir. 1992) (recognizing that the district court has “discretion under
The district court also discounted the letter because it was not made on personal knowledge, citing
“The trustworthiness of a factual finding is often a function of the trustworthiness of the information upon which the finding is based.” Ibid. (citations omitted). In this case, there was no agency “hearing,” the investigation lingered for over a year before the report was completed, and there is no information in the record as to the evidence available to the agency. It appears, however, the district court considered at least all of the same evidence examined by the OCRC team leader and arrived at its own conclusion. Because the lower court considered the same facts as the agency, the differing conclusion in the agency report does not by itself establish a material issue of
On de novo review of the summary judgment determination, we reach the same result. There is scant evidence that the plaintiff was qualified for the job. “The prima facie burden of showing that a plaintiff is qualified can . . . be met by presenting credible evidence that his or her qualifications are at least equivalent to the minimum objective criteria required for employment in the relevant field.” Wexler v. White‘s Fine Furniture, Inc., 317 F.3d 564, 575-76 (6th Cir. 2003) (en banc). This rule focuses the Court‘s inquiry on the “plaintiff‘s education, experience in the relevant industry, and demonstrated possession of the required general skills.” Ibid. CareSource‘s job description amounts to evidence of the minimum job qualifications. There is no evidence as to what Alexander‘s qualifications for the position were, other than her unauthenticated resume. However, CareSource “identified [Alexander] as a potential candidate,” ROA at 60, selecting her for an interview. This is extremely weak evidence, but it would allow a fact finder to infer that the plaintiff met the minimum job qualifications.
To prove that she was treated differently than similarly-situated individuals outside the protected class, the plaintiff compares herself to Wheeler and Roush, who were offered claims analyst positions for Ohio and Indiana, respectively. She argues that both of these individuals applied for a claims analyst position with CareSource contemporaneously with her application, so they must be similarly situated. Yet the “assertion that she satisfies her prima facie burden because she is similarly situated to [other candidates] by virtue of the fact that they applied for the same position and their applications were reviewed by the same committee fundamentally misconceives the concept of the fourth prong of the prima facie requirement.” White v. Columbus Metro. Housing Auth., 429 F.3d 232, 241-42 (6th Cir. 2005).
CareSource argues that different, less satisfying answers during her interview render Alexander dissimilar to the other candidates. However, subjective impressions from an interview do not provide a valid basis for finding dissimilarity. See id. at 242
Missing from the record, however, is any evidence that Alexander‘s qualifications are comparable to those of Wheeler or Roush. Alexander‘s work history of claims processing only appears through her unsworn resume. The same is true for Roush. Nor is there any properly submitted evidence of Wheeler‘s qualifications. There is no evidence from which a reasonable jury could conclude that Alexander is similarly situated to either identified comparator, Wheeler or Roush.
But even if we were to conclude that the plaintiff established a prima facie case, “she has failed to produce any evidence that [CareSource‘s] decision was mere pretext.” Ladd v. Grand Trunk Western R.R., Inc., 552 F.3d 495, 502 (6th Cir. 2009). CareSource identified the reasons it treated Wheeler and the plaintiff differently and why it chose applicants other than the plaintiff. It filed affidavits establishing that Alexander was not hired based on the answers she provided in her interview, which demonstrated a lack of knowledge for a position the employer sought to fill with someone who needed minimal training or adjustment. The defendant explained why it did not require Wheeler to fill out an employment application. CareSource made known its interest in in-house applicants over outsiders. It justified its less rigorous questioning of applicants who were known to the interviewers based on prior knowledge, which obviated questions that
III.
The district court properly concluded that the plaintiff failed to come forward with admissible evidence from which a jury could conclude that race was a factor in the defendant‘s decision not to hire her for one of the claims analyst positions it sought to fill. The summary judgment of the district court, therefore, is AFFIRMED.
