Board of Trustees of the Leland Stanford Junior University v. Roche Molecular Systems, Inc.

237 F.R.D. 618, 2006 U.S. Dist. LEXIS 53187, 2006 WL 2192111
CourtDistrict Court, N.D. California
DecidedAugust 1, 2006
DocketNo. C 05-04158 MHP
StatusPublished
Cited by13 cases

This text of 237 F.R.D. 618 (Board of Trustees of the Leland Stanford Junior University v. Roche Molecular Systems, Inc.) is published on Counsel Stack Legal Research, covering District Court, N.D. California primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Board of Trustees of the Leland Stanford Junior University v. Roche Molecular Systems, Inc., 237 F.R.D. 618, 2006 U.S. Dist. LEXIS 53187, 2006 WL 2192111 (N.D. Cal. 2006).

Opinion

MEMORANDUM & ORDER

Re: Defendants’ Motion to Compel

PATEL, District Judge.

On October 14, 2005, plaintiff The Board of Trustees of the Leland Stanford Junior University (“Stanford”) filed a complaint alleging patent infringement (the “Complaint”) by defendants Roche Molecular Systems, Inc., Roche Diagnostics Corporation, Roche Diagnostic Operations, Inc., and Roche Diagnostic Systems, Inc. (collectively the “Roche defendants”). On November 17, 2005, defendants filed an answer and counterclaim against plaintiff and counterclaim defendant Thomas Merigan (the “Counterclaim”), denying infringement and further alleging that the patents in question are not duly and lawfully issued to the plaintiff. Now before the court is the issue of whether Stanford waived its attorney-client privilege and work product protection as to the subject of inventorship of United States Patent Application No. 07/883,-327 (the '327 Application and patents and applications claiming priority from the '327 Application.

Having considered the parties’ arguments and submissions, and for the reasons set forth below, the court enters the following memorandum and order.

BACKGROUND1

The instant motion concerns an incident that occurred more than a decade prior to the commencement of the current litigation. On May 14, 1992, Stanford’s lawyers at Pennie & Edmonds filed the '327 Application with the PTO on behalf of Drs. Michael J. Kozal, who at the time of the patent application in April 1992 was a post-doctoral research fellow in the Division of Infectious Diseases at Stanford University, and Thomas C. Merigan, Professor of Medicine and Director of the Center for AIDS Research at Stanford University. The '327 Application is the parent of the two disputed patents at the heart of the current action, namely United States Patent Nos. 5,968,730 and 6,503,705 (the “ '730 Patent” and “ '705 Patent,” respectively). In submitting its initial patent application to the PTO, Stanford omitted the names of two of the original co-inventors, Drs. Mark Holodniy and David A. Katzenstein. On December 7, 1992, Stanford sought to correct the inventors named on the application. PTO rules require that Stanford submit facts sufficient to establish that the initial omission of the two inventors was through error rather than deceptive intent. Stanford submitted three declarations to the PTO that included a detailed factual explanation of how the initial error occurred, was discovered, and was subsequently investigated as required under 37 C.F.R. section 1.324(b)(2). The three declarations were authored by Thomas C. Merrigan, Michael J. Kozal, and Barry W. Elledge, who at the time of the initial patent application in April 1992 was an associate at Pennie & Edmonds.

In his declaration to the PTO, Dr. Merigan explained that he had “never attempted to mislead or deceive the law firm of Pennie & Edmonds, the PTO, Stanford University or the scientific community .... ” Declaration of T.J. Chiang in support of Roche’s Brief on Stanford’s Waiver of the Attorney-Client Privilege and Work Product Protection Concerning Inventorship (“Chiang Dec.”), Exh. A H 10. During the course of preparing the application, Dr. Merigan initiated numerous communications with his attorneys, and he included details of the legal advice he received in his declaration to the PTO.

[621]*621Drs. Katzenstein and Holoniy communicated to me their opinions that their contributions should entitle them to be named as eoinventors. I informed attorney Laura Coruzzi of these opinions, and requested Pennie & Edmonds to pursue whatever action needed to be done to name the proper coinventors.

Id., Exh. A 119. Barry Elledge also described attorney-client communications in his declaration:

“Dr. Kole [of Pennie & Edmonds] stated that, to the best of her recollection, Dr. Merigan and Kozal were listed as inventors of the above-referenced application because they were the persons named on the Information Disclosure statement, and with whom she had discussed the invention.”

Id., Exh. B 113.

In the declarations, Stanford explained that the extremely short time frame for preparing the original patent application resulted in the omission of the two individuals who should have been named as co-inventors in the original filing to the PTO. See id., Exh. B. On May 10, 1994, the PTO accepted the affidavits after concluding that “the error in inventorship occurred without deceptive intent.” Id., Exh. C.

The Roche defendants claim that Stanford has waived its attorney-client privilege and work product immunity with regards to inventorship of the '327 Application because the declarations submitted to the PTO contain segments of privileged communication between Stanford and its attorneys at Pennie & Edmonds. Therefore, the Roche defendants argue that Stanford should be compelled, without temporal limitation, to produce all documents related to the inventorship of each and every patent or application claiming priority from the '327 Application. The Roche defendants maintain that they are entitled access to these documents because further investigation and discovery will provide additional evidentiary support that Stanford failed to disclose to the PTO the collaboration between Roche and its predeeessor-in-interest, Cetus, and employees of Stanford, and the inventive contributions of the relevant Cetus employees to the subject matter claimed in the '730 and '705 Patents. Stanford counters that the doctrine of subject matter waiver does not apply in this instance because the disclosures made to the PTO were done outside the context of litigation and without prejudice to the Roche defendants. Furthermore, Stanford argues that even if the court finds a waiver of the attorney-client privilege and work product protection, the scope of the waiver should be limited to the subject matter upon which the information was disclosed — namely, the error which led to the omission of two inventors.

LEGAL STANDARD

I. Scope of Discovery

Federal Rule of Civil Procedure 26(b)(1) provides that

[p]arties may obtain discovery regarding any matter, not privileged, that is relevant to the claim or defense of any party, including the existence, description, nature, custody, condition, and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter. For good cause, the court may order discovery of any matter relevant to the subject matter involved in the action. Relevant information need not be admissible at the trial if the discovery appears reasonably calculated to lead to the discovery of admissible evidence.

Fed.R.Civ.P. 26(b)(1). The scope of discovery permissible under Rule 26 should be liberally construed; the rule contemplates discovery into any matter that bears on or that reasonably could lead to other matter that could bear on any issue that is or may be raised in a case. Oakes v. Halvorsen Mar. Ltd., 179 F.R.D. 281, 283 (C.D.Cal.1998). However, the broad scope of permissible discovery is limited by the attorney work product doctrine2 and any relevant

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237 F.R.D. 618, 2006 U.S. Dist. LEXIS 53187, 2006 WL 2192111, Counsel Stack Legal Research, https://law.counselstack.com/opinion/board-of-trustees-of-the-leland-stanford-junior-university-v-roche-cand-2006.