Federal Circuits, 2nd Cir. (September 01, 2005)
Docket number: 04-3230-CV
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Peter Rahbar, Esq., Proskauer Rose LLP, New York, New York (Michael A. Cardozo, Corporation Counsel of the City of New York, and Kristin M. Helmers, Assistant Corporation Counsel, on the brief), for Defendants-Appellees.
Before: POOLER and SOTOMAYOR, Circuit Judges, and CHIN, District Judge.*CHIN, District Judge.In this case, plaintiff-appellant Anthony P. Capobianco, Jr. was employed as a New York City sanitation worker. He suffers from "congenital stationary night blindness," which prevents him from driving at night and makes it difficult for him to see and function in dim light. The New York City Department of Sanitation ("DOS") fired him, at least in part, as a jury could find, because of the limitations imposed by his medical condition.Capobianco brought this action against DOS and the City of New York (the "City"), alleging violations of the Americans with Disabilities Act of 1990, 42 U.S.C. 12101 et seq. (the "ADA"), and state and city law. The district court granted defendants' summary judgment motion and dismissed the complaint because it concluded that no reasonable jury could find that Capobianco was disabled or that defendants regarded him as being disabled within the meaning of the ADA.We reverse and remand for further proceedings.STATEMENT OF THE CASEA. The Facts11. Capobianco Is Hired By DOSCapobianco was employed by DOS from December 7, 1998 until November 4, 1999. He was hired only after many years of trying to obtain employment with DOS, as he took the test to be a sanitation worker first in 1983 and again in 1990. Although he obtained perfect scores both times, he was not called by DOS to be a sanitation worker until 1995.In June 1995, as part of the pre-employment evaluation process, Capobianco filled out a DOS medical questionnaire. He checked off "YES" for "Vision Problems," and added a note explaining: "Vision Problems: Nearsighted." He was given an eye examination and DOS advised him in August 1995 that it had determined that he was "NOT QUALIFIED" for the position of sanitation worker because of his "Visual deficit." By letter dated August 25, 1995, he appealed the decision to the New York City Civil Service Commission.In 1997, Capobianco underwent cataract surgery to improve his vision. His doctor reported that Capobianco's vision had improved to 20/30 with both eyes together and 20/40 in each eye separately. In July 1997, with his appeal apparently still pending, Capobianco wrote to the City, enclosing a letter from his doctor advising of the improvement. He asked DOS to give him another eye examination so that he could be appointed a sanitation worker.DOS gave Capobianco another vision test on January 13, 1998. This time, DOS determined that Capobianco had "no visual deficit" and that he was "now medically qualified to perform the duties of a sanitation worker barring any other medical problems." On September 24, 1998, DOS sent Capobianco a notice advising him to report for pre-employment processing. He did so in October 1998, and was given another medical examination. He reported no medical or physical conditions that would interfere with his ability to perform the functions of the job, but did disclose that he had had cataract surgery. On October 5, 1998, Capobianco filled out another DOS medical questionnaire form. He again checked off "YES" for "Vision problems," and added the following explanation:Have been Nearsighted Since Birth. In April of 1997 I had Cataract Surgery in Both Eyes To improve my vision.On December 7, 1998, Capobianco commenced employment with DOS as a sanitation worker. After classroom instruction and "hands on" training, he was assigned to work in a Queens garage. For the first month or so, he worked the day shift on a truck. This was a two-person operation, with one person driving the truck along a predetermined route and the other picking up garbage and placing it into the back of the truck. Capobianco performed both functions.2. Capobianco Is Diagnosed with Night BlindnessOn January 27, 1999, shortly after he returned from a vacation, Capobianco was assigned to work an evening shift for the first time. He drove a sanitation truck that night without incident, as he was able to follow another sanitation worker in another truck performing "relays," driving trucks that had been filled during the day shift and unloading them at a refuse transfer station. The next night, he was assigned to a different location in Brooklyn. While driving on an unfamiliar, dark route in the rain, he had difficulty seeing signs and lines on the road. He returned to his garage in Queens and informed his supervisor of the problems he had experienced. He had also developed a migraine headache, and the supervisor instructed him to go home sick.Capobianco stayed home the next day. When he returned to work, he visited the DOS medical clinic. On February 1, 1999, he was placed on what is referred to within DOS as a "medical tissue": he was assigned to light duty, with no driving. For about two months thereafter, he was primarily assigned to clerical duties, with some garbage collection. On March 16, 1999, a consulting neuro-ophthalmologist reported that Capobianco's "best corrected vision" was 20/40 and recommended further testing. On March 18, 1999, the medical tissue was changed to "no night driving," "day driving only." There were no other restrictions.Capobianco was then examined by Dr. Scott Brodie at Mount Sinai Medical Center, who, after performing a number of tests, diagnosed "congenital stationary night-blindness." In a report to DOS dated April 9, 1999,2 Dr. Brodie wrote:This is an inherited condition, present throughout life. While there is no known treatment, Mr. Capobianco can be expected to retain his present level of visual function indefinitely. The "night blindness" has been present since early childhood, and is not related to the recent cataract surgery or the size of the posterior capsulotomies.As a consequence of Mr. Capobianco's visual condition, it would not be advisable for him to drive at night, particularly a multi-ton vehicle. Bad weather would of course further exaggerate the disability. It would be appropriate for Mr. Capobianco to be placed on a duty schedule which avoids the need to drive at night. During daylight conditions, there is no significant visual disability.This was the first time Capobianco had been diagnosed with night blindness. On April 19, 1999, he was continued on a limited duty tissue, "day driving only."3. Capobianco Is DischargedUntil July 1999, DOS continued to assign Capobianco mostly to clerical work, even though he was capable of performing all duties during the day. For a period of time, from March 31, 1999 until the first week in May 1999, he was detached temporarily to Safety and Training and performed field training. One supervisor described his work as "terrific" and "outstanding," and he received a written commendation.As of July 13, 1999, Capobianco was assigned to regular duty, days only, which included driving a truck as well as working the back of the truck. He performed these duties in a satisfactory manner. One of his supervisors, however, refused to rate Capobianco for two evaluation periods (December 7, 1998 to March 6, 1999 and March 7, 1999 to June 6, 1999), twice writing "unrateable" on the form. A different supervisor rated Capobianco's work "satisfactory," for the period June 7, 1999 to September 6, 1999.3On July 27, 1999, Capobianco again was temporarily detached to Safety and Training. He assisted in the hiring of new DOS employees, performed administrative and clerical functions, and also drove DOS personnel to different locations, all during the day shift. He performed these duties satisfactorily, and one supervisor described him as an "outstanding worker" who did "everything well." He was still working in Safety and Training when he learned, in mid-October 1999, that he was being officially transferred to Safety and Training, effective October 17, 1999.Notwithstanding the transfer order, on November 4, 1999, just two weeks later, Capobianco was informed by DOS that he was being fired. He was not given an explanation. He subsequently received a one-sentence letter dated November 8, 1999 that stated in its entirety:Your services as a Sanitation Worker are terminated under probation effective at the close of business on Thursday, November 4, 1999.After he was dismissed, Capobianco was commended for his job performance in Safety and Training by the Director of Human Resources. Two weeks after his dismissal, he was given a Certificate of Achievement by the Director and Assistant Director of Safety and Training.4. Capobianco's Medical Condition Is a FactorInternal DOS records show that Capobianco's medical condition was a factor in DOS's decision to terminate his employment. On June 11, 1999, the Personnel Management Division of DOS wrote to DOS Human Resources as follows: The Personnel Management Division recommends termination for probationary sanitation worker Anthony Copobianco [sic]. He is unable to perform in title duties of a sanitation worker due to Myopic Macular Degeneration. Mr. Copobianco [sic] was placed on a limited duty Medical Assignment by the Medical Division shortly after he was hired.The head of the Personnel Management Division followed up in a memorandum to Human Resources dated July 14, 1999, questioning why Capobianco had not yet been fired:On June 11, 1999 I sent the attached letter to you recommending termination of [Capobianco] due to Myopic Macular Degeneration. The eye problem he has hampers his ability to perform the duties of sanitation workers, especially during the night time hours.If the disease is continuing to degenerate, why are [we] waiting to terminate him? Why did the clinic resume him [sic] to regular duties on a days only tissue?On October 4, 1999, the Personnel Management Division requested that the Evaluation Review Board (the "ERB") of DOS meet to discuss Capobianco's "status." The ERB met and recommended "the termination of probationary Sanitation Worker A. Capobianco due to inability to sustain regular duty resulting from a permanent medical condition."5. Capobianco's Night BlindnessDuring discovery in the proceedings below, Capobianco designated Dr. Brodie of Mount Sinai as an expert witness. Dr. Brodie prepared a written expert's report, in the form of a letter dated July 1, 2003, which was produced to defendants in discovery. Dr. Brodie explained that Capobianco's night blindness:impacts all attempts at activities performed under conditions of dim light. It is extremely difficult for him to find a seat in a dark movie theater or restaurant. It is unsafe for him to walk, run, or ride a bicycle outdoors at night, except in the most familiar and well-lit surroundings. Independent excursions in the evening twilight must be planned with great care, or avoided altogether, due to the risk of his unexpectedly finding himself outdoors as night falls. Nighttime outdoor recreation, such as campfires, or even a game of catch, must be severely curtailed. Driving at night is impossible, a restriction which has effectively proscribed many opportunities for gainful employment which Mr. Capobianco might otherwise pursue as a holder of a valid commercial driver's license.Dr. Brodie also noted that "[a]fter 20 minutes in darkness, Mr. Capobianco requires more than 100 times as much light in order to see as does a normally-sighted person." Dr. Brodie also explained that "[c]ongenital stationary night blindness is quite rare, occurring in about 1 individual in 10,000." Capobianco was born with his night blindness and the condition is permanent and "stationary": it will not get better or worse with age. The condition cannot be corrected with surgery, glasses, contact lenses, or other optical means. Capobianco does not have "myopic macular degeneration."Capobianco's night blindness does not limit him in performing the daily activities of his life, as long as the lighting conditions are adequate. For example, he is able to care for his young daughter, including driving her to school in the morning and picking her up at 5 p.m. He is able to perform typical household tasks such as housecleaning and routine chores, including taking garbage to the curb at night and picking up at night toys or other items left in the front yard. He exercises regularly, including walking, jogging, and playing tennis, and walks his dog both at night and during the day. He also has an extensive work history, and has been able to work as an ambulance driver, a security guard, a toll taker, a postal worker, and an office worker.Capobianco is able to engage in these activities only during the day, except to the extent that he can take garbage to the curb or pick up toys in the front yard and the like at night because the outside of his home is well-lit and he has lived there for many years and the area is familiar to him. He cannot jog, bike, or even walk at night or in the early morning when it is still dark. Whenever he goes out at night, his wife or someone else must drive. Although he has a commercial driver's license, he is unable to take on any job that would involve driving at night or in dim light.B. Prior Proceedings1. The Administrative ProceedingsOn February 2, 2000, Capobianco filed a charge of discrimination against DOS with the Equal Employment Opportunity Commission (the "EEOC"). On December 13, 2000, the EEOC issued a written determination finding that there was "reasonable cause to believe that [Capobianco] was discriminated against in violation of the ADA." After efforts to conciliate were unsuccessful, the EEOC referred the matter to the United States Department of Justice ("DOJ") on January 30, 2001. On April 19, 2001, Capobianco received a right-to-sue letter from DOJ.2. The Proceedings BelowCapobianco filed the action below on June 29, 2001, within 90 days after receipt of the right-to-sue letter. The complaint asserted claims under the ADA as well as the New York State Human Rights Law, N.Y. Exec. Law § 290 et seq., and the New York City Human Rights Law, N.Y.C. Admin. Code § 8-101 et seq. He asserted claims for discrimination based on disability as well as a perception of disability.After discovery, defendants moved for summary judgment. By an unpublished opinion and order filed May 17, 2004, the district court (Allyne R. Ross, District Judge) granted the motion in part and denied it in part. The district court dismissed the ADA claims, concluding that no reasonable jury could find that Capobianco was disabled or was regarded by defendants as being disabled within the meaning of the ADA. The district court did not reach the merits of Capobianco's state and city claims, noting that the term "disability" is defined more broadly under state and city law than under the ADA. The court nonetheless dismissed the state and city law claims as well, declining to exercise supplemental jurisdiction over those claims.Judgment was entered on May 20, 2004 dismissing the action, and Capobianco filed a timely notice of appeal on June 4, 2004.DISCUSSIONA. Standard of ReviewWe review the district court's decision to exclude the two medical reports for abuse of discretion. Gen. Elec. Co. v. Joiner, 522 U.S. 136, 141, 118 S.Ct. 512, 139 L.Ed.2d 508 (1997); see also United States v. LaFlam, 369 F.3d 153, 155 (2d Cir.2004).We review the district court's grant of summary judgment de novo. Woodman, 411 F.3d at 75; Dawson v. Bumble & Bumble, 398 F.3d 211, 216 (2d Cir.2005). We may affirm only if we conclude that on the record presented, considered in the light most favorable to Capobianco, no reasonable jury could find in his favor on his claims under the ADA. See Shannon v. New York City Transit Auth., 332 F.3d 95, 98-99, 103 (2d Cir.2003).B. The Medical ReportsIn opposing defendants' summary judgment motion, Capobianco sought to rely on two reports from Dr. Brodie. The first was Dr. Brodie's letter dated April 9, 1999 addressed to the Medical Division of DOS. It was submitted to DOS while Capobianco was still an employee and was part of his employment file at DOS. The second was Dr. Brodie's letter dated July 1, 2003, addressed "To Whom It May Concern." During discovery Capobianco designated Dr. Brodie as his expert witness and the report was produced to defendants as part of Capobianco's expert disclosures, in accordance with Rule 26(a)(2)(B) of the Federal Rules of Civil Procedure.The district court held that Dr. Brodie's letters were "inadmissible as unsworn statements and inadequate as a basis to oppose the defendants' motion for summary judgment." As a general matter, it is correct that unsworn letters from physicians generally are inadmissible hearsay that are an insufficient basis for opposing a motion for summary judgment. See Fed.R.Civ.P. 56(e); Douglas v. Victor Capital Group, 21 F.Supp.2d 379, 391-92 (S.D.N.Y.1998) (physician letters in ADA case); see also United States v. All Right, Title & Interest in Real Prop. & Appurtenances,Try vLex for FREE for 3 days
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