Opinion ID: 2999618
Heading Depth: 4
Heading Rank: 2

Heading: Mitchell Cain

Text: Mr. Thanongsinh also identifies Mitchell Cain as a similarly situated individual. We agree that Cain meets the criteria of a similarly situated individual. Cain is a Caucasian male who, at the time of taking the Group V certification exam, had been employed by the School District as a Head Custodian for a year. In that position, he had a job description similar to and was subject to the same standards as Mr. Thanongsinh. Specifically, like Mr. Thanongsinh, Cain was required to obtain an average composite score of 70 on the certification exam to remain a Group V employee. Although it is not clear from this record whether Cain and Mr. Thanongsinh had the same supervisor, Mr. Thanongsinh and Cain’s certification exams both were administered by Mr. Javetz. Mr. Thanongsinh has presented sufficient evidence that he was treated less favorably than Cain by the interviewers. Notably, both men forgot to bring their M.S.D.S. materials to the hands-on portion of the exam. See Thanongsinh Score Sheet, R.24, Ex.L at D184 (interviewers handwrote “don’t have” next to question 9); Cain Score Sheet, R.27, Ex.F (noting, in the narrative section, “No M.S.D.S. book”).10 The 10 This document was under a protective order in the district court, and it never was produced on appeal, despite the parties’ failure to renew the protective order in this court. See Seventh (continued...) 20 No. 05-3002 test administrators therefore awarded Mr. Thanongsinh zero points on Topic 9 of the hands-on portion of the exam, which required the candidate to answer various questions related to the M.S.D.S. materials. See also Dugo Dep., R.28, Ex.C at 57 (explaining that Mr. Thanongsinh “[m]ost likely” received zero points on these questions because he did not bring to the interview his M.S.D.S. materials). But Cain, despite also failing to bring the relevant documents to the exam, was awarded ten points on Topic 9, after being asked by the interviewers follow-up questions related to the missing M.S.D.S. materials. The defendants respond that the only evidence supporting the conclusion that Cain and Mr. Thanongsinh were treated differently by interviewers is inadmissible. The district court held that Mr. Thanongsinh had failed to lay a proper foundation for the admission of the document containing Cain’s interview scores and the interviewers’ handwritten notes; according to the court, because the document would be inadmissible at trial, it also could not be relied upon by Mr. Thanongsinh to survive summary judgment. We review the district court’s evidentiary ruling for abuse of discretion. See United States v. White, 443 F.3d 582, 591 (7th Cir. 2006) (“This Court will reverse a district court’s evidentiary ruling (...continued) Circuit Operating Procedure 10(a) (providing that all documents sealed by the district court are considered public in this court unless a motion is made to seal). Although the document is absent from the record, the parties admit to what the document contains—namely, proof that Cain did not bring with him to his hands-on interview his M.S.D.S. materials but nevertheless was awarded points on the question related to those materials. We interpret this admission as a stipulation by the parties as to the contents of the Cain score sheet. No. 05-3002 21 only upon a showing that the district court committed an abuse of discretion.”). The district court abused its discretion when it excluded the interviewers’ score sheet from Cain’s interview and the handwritten notes on that sheet. This document is admissible under the business record exception to the hearsay rule. See Fed. R. Evid. 803(6). Rule 803(6) provides that [a] memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of a regularly conducted business activity, and if it was the regular practice of that business activity to make the memorandum, report, record or data compilation, all as shown by the testimony of the custodian or other qualified witness, or by certification that complies with Rule 902(11) [or] Rule 902(12) shall be admissible at trial, even when introduced for the truth of the matter asserted. Id. “Because a business depends on the accuracy of its recordkeeping, its records, although of course not sworn, are likely to be at least reasonably accurate, or at least not contrived for the purpose of making the business look better if it is sued.” Lust v. Sealy, Inc., 383 F.3d 580, 588 (7th Cir. 2004). In this case, Cain’s score sheet11 is precisely the type of 11 This score sheet was prepared by Cathy McNamara, the second interviewer; the score sheet for Cain’s interview prepared by Mr. Javetz is not in the record. The defendants, however, do not contest that the hand-written notes on the score sheet prepared (continued...) 22 No. 05-3002 “memorandum” or “record” that falls within the ambit of the business record exception. Fed. R. Evid. 803(6). First, the parties do not dispute that interviews were conducted, the sheets completed and kept, and the notes taken in the normal course of business. It was the “regular practice” of the School District to conduct certification interviews of Group V employees pursuant to their agreement for certification testing with the union. Id. Moreover, it was the School District’s regular practice to keep records of these interviews. Cf. R.32, Ex.1 at 1-2.12 Second, the Cain score (...continued) by McNamara reflect accurately the events of the interview. Notably, McNamara’s notes indicate that, although Cain did not bring with him to the interview his M.S.D.S. materials, he nevertheless was asked by the interviewers the questions associated with those materials. 12 The defendants contend that, even if Cain’s score sheet itself is a business record, the “examiner’s handwritten notes[] [on that score sheet] cannot be interpreted as . . . a business record.” Appellees’ Br. at 16. These notes, however, are part of the admissible business record: The notes were made at the time of the interview by a person with knowledge, and, like the rest of the document, were kept with personnel records by the School District in the ordinary course of business. See also Crimm v. Missouri Pac. R.R. Co., 750 F.2d 703, 709 (8th Cir. 1984) (holding that handwritten notes taken during an interview and kept with the interview report were admissible as a business record). The defendants further argue that, because it is impossible to identify who made the handwritten notes, the plaintiff cannot authenticate this crucial portion of the document. But only two individuals—McNamara and Mr. Javetz—administered the hands-on exam to Cain; one logically can conclude that these two individuals, and the custodian of School District records, were the persons with primary access to the document and likely are (continued...) No. 05-3002 23 sheet was completed “at or near the time” of the events in question, Fed. R. Evid. 803(6); there is no reason to believe that the handwritten comments, such as the notation that Cain had forgotten his M.S.D.S. materials, were not made during the interview itself. Lastly, the score sheet was completed by “person[s] with knowledge”—the interviewers, McNamara and Mr. Javetz; these two administrators filled out the score sheet as a way to transmit information about the content of the interview to other School District officials, in order to facilitate an informed certification decision and to maintain accurate personnel records. The defendants respond that Cain’s hands-on score sheet has not been properly authenticated because, in response to the motion for summary judgment, Mr. Thanongsinh “did not present testimony from the person who created the record.” Appellees’ Br. at 15. But Mr. Thanongsinh need not present testimony from the interviewers themselves; rather, Rule 803(6) permits the authentication of a business record by the “custodian” of the record or any “other qualified witness.” Fed. R. Evid. 803(6). Ordinarily, the custodian or other qualified witness will testify in court that it was the “regular practice” of the 12 (...continued) the persons who made the notation in question. They can be called at trial and can authenticate the handwritten note if necessary. Moreover, no evidence has been offered by the defendants to suggest that the chain of custody was broken, or that any other individual had access to or tampered with this record. Cf. United States v. King, 613 F.2d 670, 673 (7th Cir. 1980) (holding that Social Security Administration interview forms were business records and admissible at trial, given that the defendants had failed to identify a “danger of unreliability” in the manner in which the forms were kept). 24 No. 05-3002 business to make and keep the business record. Id. Alternatively, the plaintiff can certify the document under Rule 902(11) or 902(12), both of which require the plaintiff to introduce at trial a “written declaration” by the custodian or other qualified person that the record: (A) was made at or near the time of the occurrence of the matters set forth by, or from information transmitted by, a person with knowledge of those matters; (B) was kept in the course of the regularly conducted activity; and (C) was made by the regularly conducted activity as a regular practice. Fed. R. Evid. 902(11), 902(12). In both situations, the custodian need not be the individual who “personally gather[ed] . . . in a business record. The custodian of the records need not be in control of or have individual knowledge of the particular corporate records, but need only be familiar with the company’s recordkeeping practices.” United States v. Jenkins, 345 F.3d 928, 935 (6th Cir. 2003) (internal quotation marks and citations omitted). On appeal from an order granting summary judgment, the party seeking admission of a document as a business record need not have secured already the deposition testimony of these witnesses. Instead, he only need establish that the document has “sufficient indicia of trustworthiness to be considered reliable.” Woods v. City of Chicago, 234 F.3d 979, 988 (7th Cir. 2000). Generally, to demonstrate such trustworthiness and reliability at the summary judgment stage, the party seeking to offer the business record must attach an affidavit sworn to by a person who would be qualified to introduce the record as evidence at trial, for example, a custodian or No. 05-3002 25 anyone qualified to speak from personal knowledge that the documents were admissible business records. Id.; see also F.D.I.C. v. Patel, 46 F.3d 482, 484 (5th Cir. 1995) (holding that the affidavits submitted by the plaintiff “constitute[d] appropriate summary judgment evidence adequate to support a grant of summary judgment,” given that those affidavits were sworn to by employees of the bank who were familiar with its record-keeping practices and therefore were “qualified to speak from personal knowledge that the documents attached to the affidavits are admissible business records”). The requirement that the party seeking the admission of the evidence must submit supporting affidavits, however, has been relaxed by this court in certain, limited circumstances. For example, in Woods, the plaintiff contended that the district court had erred in relying on his arrest report and misdemeanor complaint in granting summary judgment to the defendants because those documents contained inadmissable hearsay; the plaintiff further submitted that the documents were not admissible as business records because they had not been properly authenticated by an affidavit sworn to by the custodian of the record or by an individual with personal knowledge of the events. Although recognizing that, in most cases, an affidavit authenticating the document as a business record is required at summary judgment, we held that an exception is applicable when the party challenging the document’s admissibility relied on that same document “for its accuracy” in earlier proceedings, or otherwise “conceded the accuracy of the documents that the [opposing party] sought to introduce.” Woods, 234 F.3d at 988. In this case, Mr. Thanongsinh has not submitted an affidavit by the custodian of the School District records, attesting that the Cain score sheet qualifies as a business 26 No. 05-3002 record under Rule 803(6). But a careful examination of the record reveals that the defendants have conceded the admissibility of Cain’s score sheet.13 See id. First, they admitted in discovery that the score sheet is what the plaintiff purports it to be. As verified by the affidavit sworn to by Mr. Thanongsinh’s attorney, see R.32, Cain’s score sheet was produced by the School District in the course of discovery. The School District then confirmed in its response to the plaintiff’s interrogatories that Cain “w[as] tested by Defendant School District U-46,” and that Cain’s score sheet was the product of hands-on testing for the Group V certification exam. Id., Ex.1 at 1 (producing, in response to an interrogatory, Cain’s score sheet). The School District also confirmed that Cathy McNamara was the “individual[] from School District U-46” who filled out the “Hands-On Test Topics” sheet produced by the defendants. Id., Ex.2 at 2 (interrogatory 2). Our sister circuits have held documents to be admissible under the business record exception under similar circumstances. For example, in Cerqueira v. Cerqueira, 828 F.2d 863 (1st Cir. 1987), the plaintiff disputed the admissibility of an unsigned agreement between the parties prepared by the plaintiff’s attorney for use in an earlier case between them. The plaintiff conceded that he had drafted the document, but nevertheless argued that the defendant was required to authenticate the document as a business record. The First Circuit recognized that, generally speaking, the document should have been introduced “into the record through affidavits.” Id. at 865. However, it held, there was 13 In addition, the defendants do not contest that the document—absent the handwritten notes—is admissible as a business record, nor do they contend that the plaintiff is required to depose or obtain an affidavit from the custodian of the records. No. 05-3002 27 “no point in remanding this case to permit [the defendant] to file an affidavit stating the very thing that [the plaintiff] has conceded, namely, that the document is what it purports to be.” Id.; see also Woods, 234 F.3d at 989 (noting that the reasoning in Cerqueira is “persuasive and applicable to the facts of this case”). As in Cerqueira, the defendants’ responses to the interrogatories in this case provide us with sufficient assurance that Cain’s score sheet was made at the time of the interview by a person with knowledge and was prepared and kept in the course of the regularly conducted business activity of certifying Group V custodians under the Collective Bargaining Agreement, rendering a remand to “permit [Mr. Thanongsinh] to file an affidavit” on this question unnecessary. Cerqueira, 828 F.2d at 865. Second, the School District, by relying on Mr. Thanongsinh’s score sheet, which is substantially similar in all material respects to the score sheet completed in the course of Cain’s interview, has conceded the accuracy of these documents. See Defs.’ Motion for Summary Judgment, R.23 at 9 (relying on the score sheets from Mr. Thanongsinh’s interview in the course of argument); Defs.’ St. of Undisputed Mat’l Facts, R.24 at 5-6; id., Ex.L (summarizing the contents of Mr. Thanongsinh’s score sheet). Both score sheets necessarily were prepared and kept by the School District in the same manner and according to the same internal procedures. As we did in Woods, we therefore conclude that the defendants “cannot reasonably question the reliability” of score sheets made by School District employees and produced in the course of this litigation. Woods, 234 F.3d at 989. “Requiring authenticating affidavits in this case would be an empty formality.” Id. Even if this were not true, the Cain score sheet would be admissible against the School District as an admission by one of its representatives under Federal Rule of Evidence 28 No. 05-3002 801(d)(2). Rule 801(d)(2)(A) provides that written statements may be admitted as non-hearsay against the party who made the statement in their “individual or . . . representative capacity.” Fed. R. Evid. 801(d)(2). In this case, Cathy McNamara, the person who filled out the score sheet, is a “representative” of the School District, id., or a “person authorized” to complete the score sheet, id. 801(d)(2)(C). As under Rule 803(6), Mr. Thanongsinh still would be required to lay a foundation for the document’s status as an admission by a party-opponent under Rule 801(d)(2). Authentication for the purposes of Rule 801(d)(2) is governed by Rule 901(a), which requires that the plaintiff prove that the document is “what its proponent claims.” Fed. R. Evid. 901(a); see also United States v. Dhinsa, 243 F.3d 635, 658 (2d Cir. 2001) (“Rule 901 does not erect a particularly high hurdle.” (internal quotation marks omitted)). Rule 901’s requirements are satisfied if evidence has been introduced from which a reasonable juror could find that the document is authentic. See Dhinsa, 243 F.3d at 658. This standard has been met in this case. As discussed previously, the School District admitted in its response to the plaintiff’s interrogatories that Cain’s score sheet was completed by a School District employee. See R.32, Ex.1 at 1; id., Ex.2 at 2 (identifying Cathy McNamara as the individual who filled out the score sheet previously produced). One can reasonably conclude from these discovery documents that the Cain score sheet is what the plaintiff claims it to be—the document completed by interviewers in the course of Cain’s hands-on certification exam. Therefore, the district court abused its discretion in refusing to credit this document as evidence that Mr. Thanongsinh was treated less favorably than a similarly No. 05-3002 29 situated individual outside of his protected class.14