McNeil-PPC, Inc. v. Procter & Gamble Co.

136 F.R.D. 666, 1991 U.S. Dist. LEXIS 12018, 1991 WL 103503
CourtDistrict Court, D. Colorado
DecidedJanuary 25, 1991
DocketCiv. A. No. 90-B-2029
StatusPublished
Cited by7 cases

This text of 136 F.R.D. 666 (McNeil-PPC, Inc. v. Procter & Gamble Co.) is published on Counsel Stack Legal Research, covering District Court, D. Colorado primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
McNeil-PPC, Inc. v. Procter & Gamble Co., 136 F.R.D. 666, 1991 U.S. Dist. LEXIS 12018, 1991 WL 103503 (D. Colo. 1991).

Opinion

ORDER

DONALD E. ABRAM, United States Magistrate Judge.

This matter comes before this Court on a Motion to Compel Discovery Regarding Preparation and Prosecution of the Patent-in-Suit. Defendants sought this motion after Defendants sought to depose Jason Li-pow, the patent counsel for Plaintiffs. Mr. Lipow had written and prosecuted the application for the U.S. Patent No. 4,217,901 (the Bradstreet patent). During this deposition Lipow had refused to answer several questions claiming the privileges of work product and attorney-client privilege. Further, Defendants assert that the Plaintiffs have taken pages from the “file wrapper.” Defendants seek these missing pages and to compel answers from Mr. Lipow regarding his knowledge of the Bradstreet patent. Defendants assert that the attorney-client privilege and the work product privilege are not a bar to the information that Defendants seek.

Pursuant to Rule 602 of the Local Rules of Practice of the United States District Court for the District of Colorado, this matter has been referred to Magistrate Judge Donald E. Abram. Magistrate Judge Abram has reviewed the law and the briefs submitted by both parties and hereby makes the following order.

THE SUBJECT OF THE PRIVILEGES

During the deposition, the attorney for the Plaintiffs, Mr. Johnson objected on the basis that the questions called for mental impressions opinions or conclusions with respect to relative contributions. Counsel for the Plaintiffs also objected on the basis of the attorney-client privilege that the questions would reveal a confidence of Mr. Lipow’s client, Johnson & Johnson, McNeil-PPC, as Mr. Lipow represented Johnson and Johnson in obtaining the “Bradstreet” patent. Counsel also objected on the basis of work-product privilege, that the knowledge that the patent attor[668]*668ney has in answering the question is a present day knowledge and he is not sure of what his knowledge was at the time of the patent. This Court has reviewed the objections of the Plaintiffs counsel and have found that those portions of the record which refer to objections by Plaintiffs. Of the objections set forth, this Court finds that Plaintiffs are only in part correct that Mr. Lipow could not answer questions which would reveal an attorney client privilege or violate the work product privilege.

After reviewing the caselaw in the area of patent applications and the attorney-client privilege, this Court has found that the federal courts have taken a variety of positions on this issue. This Court has grouped these positions into two categories. In the first category of cases, several courts have held that the communication between patent attorney and client does not become privileged merely because the information is processed through the attorney. These Courts have held that where there was a duty to disclose all information in the patent application, that communication and information which was open does not become privileged merely because it was between the attorney and the client. In the second category of cases, other courts have held that the attorney-client privilege always applies to any communications between patent attorney and client as long as it is for legal advice. These courts have held that even though the attorney has a duty of candor in his patent application,1 the communication between the attorney and his client is what is protected and not the information within. Therefore, under this theory, the requirement of candor does not destroy the attorney-client privilege.

PARTIAL PATENT ATTORNEY-CLIENT PRIVILEGE

Several Courts have held that the attorney-client privilege does not apply to factual information which was communicated so that the attorney could disclose it in a patent or trademark application. These Courts have held that the privilege only applies to communications which were given and concerned primarily with giving legal guidance to the client not involving the patent or trademark application. Judge Doyle of the District of Colorado District Court sitting by designation in the Northern District of California wrote two opinions on what was privileged in the attorney-client relationship in patent litigation. He stated in his first opinion,

Much of the information passing from client to attorney for purposes of preparation of patent application is technical material relating to descriptions of the products and/or processes sought to be patented, explanations of prior art, public use and sale, and samples of the product. So also in connection with the examination there is no room for game playing or withholding. As we view it, the attorney exercises no discretion as to what portion of this information must be relayed to the Patent Office. He must turn all such factual information over in full to the Patent Office pursuant to 35 U.S.C. § 112, and hence with respect to such material he acts as a conduit between his client and the Patent Office. As to all such matters it is concluded that a basic element required for the assertion of an attorney-client privilege is absent—that is, a communication not for relay but for the attorney’s ears alone.

Jack Winter, Inc. v. Koratron Co., 50 F.R.D. 225 (N.D.Cal.1970). (Hereafter Jack Winter I).

In a second decision involving the same parties, Judge Doyle went on to clarify what he stated in Jack Winter I. He stated,
Generally, when factual information was communicated so that the attorney could disclose it in a patent or trademark application, the communication was viewed as non-privileged. On the other hand, doc[669]*669uments containing considerable technical factual information but which were nonetheless primarily concerned with giving legal guidance to the client were classified as privileged. In other words, doubts have been resolved in favor of the privilege.

Jack Winter, Inc. v. Koratron Co., 54 F.R.D. 44, 46 (N.D.Cal.1971) (hereafter Jack Winter II).

The Court also classified the types of documents which would be non-privileged. These include:

(1) Client authorizations to file applications and take other steps necessary to obtain registration;
(2) Papers submitted to the Patent Office;
(3) Compendiums of filing fees and requirements in the United States and foreign countries for various types of applications;
(4) Résumés of applications filed and registrations obtained or rejected (including dates and file or registration numbers);
(5) Technical information communicated to the attorney but not calling for a legal opinion or interpretation and meant primarily for aid in completing patent applications;
(6) Business advice such as that related to product marketing; and Communications whose confidentiality [the person seeking the privilege] has waived.

Id. at 47 (citations omitted).

In the Ashland Oil Inc. v. Delta Oil Products Corporation, 209 USPQ 151, 152 (E.D.Wis.1979), the Court discussed the applicability of the attorney-client privilege when it comes to patents. The Court discussed how the Natta v. Zletz,

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136 F.R.D. 666, 1991 U.S. Dist. LEXIS 12018, 1991 WL 103503, Counsel Stack Legal Research, https://law.counselstack.com/opinion/mcneil-ppc-inc-v-procter-gamble-co-cod-1991.