Saxholm AS v. Dynal, Inc.

164 F.R.D. 331, 1996 U.S. Dist. LEXIS 3243, 1996 WL 50746
CourtDistrict Court, E.D. New York
DecidedFebruary 2, 1996
DocketNo. CV-94-2409 (ARR)
StatusPublished
Cited by16 cases

This text of 164 F.R.D. 331 (Saxholm AS v. Dynal, Inc.) is published on Counsel Stack Legal Research, covering District Court, E.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Saxholm AS v. Dynal, Inc., 164 F.R.D. 331, 1996 U.S. Dist. LEXIS 3243, 1996 WL 50746 (E.D.N.Y. 1996).

Opinion

MEMORANDUM ORDER

POHORELSKY, United States Magistrate Judge:

Background

The plaintiffs in this patent infringement action (eoheetively “Saxholm”) have asserted the attorney-client privilege with respect to more than 2,000 documents identified on their log of privileged documents prepared pursuant to the Standing Orders of this court governing discovery (the “privilege log”). Many of the documents come from the files of the original patent holder, who is deceased, and relate to his patent prosecutions in five countries over the last twenty years or more. The assertion of the privilege is further complicated by the fact that many of the documents bear no express indication concerning the identities of the author and the primary recipients.

The defendants (collectively “Dynal”) have moved for an order compelling production of over 1,800 of these documents. Dynal has also applied for an order compelling Mr. Harald Saxholm to disclose the contents of a conversation he had with his attorney in the presence of a third-party. For the reasons set forth below, Dynal’s motion concerning the documents is GRANTED in part and DENIED in part, and its motion to compel testimony from Harald Saxholm is GRANTED.

Discussion

The attorney-client privilege is one of the oldest and most zealously protected privileges in the law. Upjohn Co. v. United States, 449 U.S. 383, 389, 101 S.Ct. 677, 682, 66 L.Ed.2d 584 (1981). A party who asserts the attorney-client privilege, however, bears the burden of establishing all the essential elements of the privilege, von Bulow v. von Bulow, 811 F.2d 136, 144 (2d Cir.), cert. denied, 481 U.S. 1015, 107 S.Ct. 1891, 95 L.Ed.2d 498 (1987); Stryker Corp. v. Intermedics Orthopedics, Inc., 145 F.R.D. 298, 301 (E.D.N.Y.1992). Meeting that burden requires the submission of affidavits or other competent evidence to establish sufficient facts to prove the applicability of the privilege. United States v. Davis, 131 F.R.D. 391, 402 (S.D.N.Y.1990). Conclusory or ipse dixit assertions are not enough. In re Grand Jury Subpoena Dated Jan. 4, 1981, 750 F.2d 223, 225 (2d Cir.1984).

The Court of Appeals for the Second Circuit has outlined the elements of the privilege in this way:

[334]*334(1) Where legal advice of any kind is sought (2) from a professional legal advisor in his capacity as such, (3) the communications relating to that purpose, (4) made in confidence (5) by the client, (6) are at his instance permanently protected (7) from disclosure by himself or by the legal advis- or, (8) except the protection be waived.

In re Grand Jury Subpoena Duces Tecum, 731 F.2d 1032, 1036 (2d Cir.1984). That Court has reiterated on numerous occasions that, like most privileges, the attorney-client privilege “should be strictly confined within the narrowest possible limits underlying its purpose.” United States v. Goldberger & Dubin, P.C., 935 F.2d 501, 504 (2d Cir.1991) citing, inter alia, In re Grand Jury Subpoena Duces Tecum Served Upon Gerald L. Shargel, 742 F.2d 61, 62 (2d Cir.1984)).

Dynal has divided the 1,800 or so documents that are the subject of this motion into six categories. Essentially, Dynal argues that Saxholm has not carried its burden of proving that the privilege applies to the documents categories. In many instances, Dy-nal is correct. As detailed below, the plaintiffs have failed to submit the necessary proofs to establish the elements of the attorney-client privilege with respect to large classes of the documents they have withheld. For example, a host of documents were withheld because they were “presumably” authored by Julian Cohen, an attorney who served as a legal advisor to the deceased holder of the privilege that is asserted. No affidavit to establish that presumption was submitted by Mr. Cohen, who is apparently alive and well.1 Nor was any affidavit or other evidence submitted to establish the facts upon which the plaintiffs’ presumption is based (typeface consistent with other documents authored by Mr. Cohen). Similarly, in some instances where the plaintiffs have sought to rely on the assertion that an author or recipient of a given document is an “agent” of an attorney or of a party, no proof of that status has been submitted. As detailed below, to the extent the plaintiffs have failed to submit such proofs in those and similar circumstances their assertions of privilege are rejected.

Category 1

The first category contains only two documents. The defendants contend both should be produced because they are communications between non-lawyers. Plaintiffs’ log identifies the first as a Draft Statutory Declaration from Kristian Odegaard to an unknown party and the second as a letter conveying legal advice from K. Larsen to H. Saxholm. Since none of the identified authors or recipients of these two documents are attorneys, the documents do not appear to contain communications to or from an attorney, and the plaintiffs have submitted no proof that the documents otherwise qualify for protection under the attorney-client privilege.2 Accordingly the court finds that these documents are not protected by the attorney-client privilege.

As to the letter from Larsen to Saxholm, the plaintiffs have also asserted the work-product privilege. Again, however, they assert without proof that this document was sent by an agent of H. Saxholm to Saxholm’s own files at the request of Saxholm’s attorneys in the context of the present litigation. That unsupported assertion is not sufficient to establish the privilege. Moreover, the mere fact that an attorney has asked that a document be placed in a client’s files does not qualify the document for work-product protection.

Having failed to establish all of the essential elements for the existence of the privilege with respect to the two documents in this category, the plaintiffs are required to produce them to the defendants.

[335]*335Category 2

The second category of documents for which the defendants seek an order compelling production are identified as “draft portions of patent application materials and correspondence conveying information to be provided to Patent Offices.” The analysis below concerning these materials distinguishes between draft patent applications and correspondence conveying information to be provided to patent offices.

The attorney-client privilege of course protects “confidential disclosures by a client to an attorney made in order to obtain legal assistance.” Fisher v. United States, 425 U.S. 391, 403, 96 S.Ct. 1569, 1577, 48 L.Ed.2d 39 (1976). The applicability of the attorney-client privilege to draft patent applications3

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Bluebook (online)
164 F.R.D. 331, 1996 U.S. Dist. LEXIS 3243, 1996 WL 50746, Counsel Stack Legal Research, https://law.counselstack.com/opinion/saxholm-as-v-dynal-inc-nyed-1996.