Collection Summary

Title: Papers of the Dalkon Shield Claimants Trust, [1970-1998]
Accession: MSS 00-4
Description: 408 boxes and cartons, 3 volumes, 271 videotapes, 416 notebooks; 327.5 linear feet
Location: SC - Basement
Photograph Collection: View 0 digitized photographs
Digitized Content: 0 objects
Use Restrictions: There are no restrictions on materials that do not contain identifying information.

Collection Description & Arrangement

The Dalkon Shield Claimants Trust Collection was transferred to the University of Virginia Law Library by an order of the U.S. Bankruptcy Court for the Eastern District of Virginia in September of 2000. Staff at the Trust first contacted the Law Library about the collection six months before the Trust was terminated at the end of April 2000. The collection came to the library in several installments between the late fall of that year and early 2001. It is comprised of 408 boxes and cartons of documents, 3 volumes, 416 three-ring notebooks, 271 videotapes, for a total of 327.5 linear feet; 139 reels of microfilm, and approximately 7500 pieces of microfiche, or approximately 170,000 items.

The Trust collection traces the history of the Dalkon Shield, the intrauterine contraceptive device manufactured and sold by the A.H. Robins Company, from the company's purchase of the device through its tort litigation and subsequent bankruptcy which was resolved in 1988. The collection also documents the establishment and history of the Dalkon Shield Claimants Trust, 1988-2000, which settled over 218,000 claims.

The collection is arranged in six series. Series I, the A.H. Robins (AHR) Company Documents, consist of company records which trace the purchase, manufacture, testing, marketing, and sale of the Dalkon Shield. Series II is comprised of AHR Litigation Documents, principally employee depositions and trial testimony. Series III concerns the U.S. Food and Drug Administration investigation of the Dalkon Shield, and Series IV, news articles regarding the Shield. Series V is comprised of bankruptcy materials, and Series VI consists of the administrative files of the Dalkon Shield Claimants Trust.

The Dalkon Shield Claimants Trust Collection came to the University of Virginia Law Library by order of the U. S. Bankruptcy Court for the Eastern District of Virginia. Series I through V are open for research with no restrictions. The court has allowed access to Series VI (the Trust's Central Records Library and Outside Counsel Files) with the following restrictions:

Preservation of Claimants' Privacy. No Identifying Information, or any document or record within the Trust Materials containing Identifying Information, relating to any Personal Injury Claimant . . . or Other Claimant . . . may be disclosed at any time, without written consent of the relevant Personal Injury Claimant or Other Claimant, or an Order by the Court allowing such disclosure.

"Identifying Information" means a person's name, address, telephone number, other contact information, and Social Security or other numerical identifiers.

Series VI does not include claimant files, and access to any material containing identifying information is restricted. Requests for material in Series VI should be made in advance in order to allow Special Collections staff time to adequately determine that no identifying information is contained therein and to allow for redaction of such information prior to access being allowed. Please note that photocopying of documents in Series VI may be restricted and advance consideration of such requests is required.

Biographical & Historical Information

I. Introduction

The history of the Dalkon Shield spans more than thirty years and is charged with controversy at every turn. Many legal scholars and journalists have written on the subject. What follows is a very brief overview of the Shield from its creation and marketing, through tort litigation and bankruptcy, to the trust settlement of more than 200,000 claims in just over ten years.

II. Production and Sale of the Dalkon Shield, 1968-1974

The Dalkon Shield, a contraceptive intrauterine device (IUD), was invented in the late 1960s at a time when women and their physicians were looking for a safe and simple alternative to the birth control pill. This particular model of IUD was the creation of Dr. Hugh Davis, a professor of gynecology at Johns Hopkins University Medical School, and Irwin S. Lerner, an engineer and inventor. Davis, who for several years had been testing other IUDs on patients at a family planning clinic, began to test his own device there in 1968. Davis, Lerner, and a lawyer, Robert E. Cohn, partners in a pharmaceutical laboratory, named the new IUD the Dalkon Shield. The word "Dalkon" apparently came from letters of the partners' last names, and "Shield," from the shape of the device. By 1970, in hopes of wider marketing, they looked for a purchaser of the Shield and found the A.H. Robins Company in Richmond, Virginia.

A.H. Robins (AHR), a family-run pharmaceutical company more than a hundred years old, was, by the late 1960s, the well-respected manufacturer of popular, over-the-counter products such as Robitussin cough medicines, Chapstick lip balm, Sergeants Flea & Tick Collars, and Dimetapp cold remedies. AHR purchased the Dalkon Shield in June of 1970 and began production in early 1971. Thanks to a vigorous sales campaign, the Shield sold well in the U.S. and abroad. Within four years, 3.6 million Dalkon Shields had been used by women worldwide.

III. Dalkon Shield Litigation, 1974-1985

By 1972 physicians began reporting problems with the Dalkon Shield. Besides the fact that the device had a higher failure rate as a contraceptive than Dr. Davis and AHR had touted, some users of the Shield were suffering other health complications, the most serious being spontaneous septic abortion. In the spring of 1973 two women who had become pregnant while using the Shield died of severe infection.

As early as 1971 an AHR employee had discovered that the multifilament material used for the tail string of the Shield was capable of serving as a wick and, thus, of introducing bacteria from outside the body into the sterile environment of the uterus. In the summer of 1974 when the Food and Drug Administration held hearings on IUDs and septic abortion, AHR argued that the Dalkon Shield posed no more risk that other devices, but a physician reported that his research indicated the Shield's tail string was capable of wicking bacteria. That summer AHR suspended domestic sales of the Dalkon Shield. By the time foreign sales were suspended some months later, fifteen Shield users had died of septic abortions; 245 other women had suffered septic abortions and survived. Other problems Shield users reported included severe cramping and bleeding, ectopic pregnancies, birth defects in children carried to term, and pelvic inflammatory disease. Some complications led to sterility.

In late 1974 the first lawsuit against AHR began in a Kansas court. The plaintiff, Connie Deemer, had suffered a perforated uterus after becoming pregnant while using the Shield. The jury awarded a relatively small amount, $10,000, in compensatory damages, but awarded $75,000 in punitive damages. Over the next six years AHR often settled cases out of court and prevailed about half the time at trial, but by 1980 when hundreds of new claims were being filed, the company was faced with punitive damages and settlements of high six- or seven-figures. Both plaintiff groups and AHR had made attempts to consolidate this litigation, but the only success in this regard was for pre-trial hearings for federal cases before the Judicial Panel on Multi-district Litigation.

In 1980, AHR sent a letter to about 200,000 physicians suggesting they remove the Shield from any women who had been using it for more than three years. In the fall of 1984, with about 3,500 claims yet to settle, the company sent another letter to doctors offering to pay for removal of the Shield from any women still using it. More claims poured in. The following spring another Kansas jury awarded $1.75 million in compensatory damages and $7.5 million in punitive damages to Loretta Tetuan, a childless young woman whose Dalkon Shield injuries had led to a hysterectomy. Faced with more than 5,000 unresolved claims, AHR filed on August 21, 1985, for federal bankruptcy protection.

IV. Bankruptcy Proceedings, 1985-1989

Presiding over the AHR bankruptcy case were U.S. District Judge Robert R. Merhige, Jr. and Bankruptcy Judge Blackwell N. Shelley. In late fall 1985 Merhige ordered a worldwide notification via newspaper and television for all persons claiming injury from the Shield to file claims with the court by April 1986. By that date the court had received over 300,000 claims from the U.S. and abroad. The court then mailed a questionnaire to claimants, to be returned by summer of 1987. After that deadline the claims numbered 197,000.

AHR, assuming that just a few thousand outstanding claims remained, had entered bankruptcy hoping that after reorganization the company could settle its obligations with claimants and resume operation as before. However, the number of claims filed in 1986 led to an effort to locate a company which could pay off these claims in exchange for ownership of the business. Simultaneously work began to determine a fair value of the outstanding claims. The judges appointed an examiner, Ralph Mabey, to oversee the management of AHR and to assist in handling the difficult negotiations in this complex bankruptcy and mass tort settlement. The largest group of creditors consisted of claimants represented by a number of plaintiffs' attorneys. Other creditors included banks and businesses, as well as AHR shareholders. Once bidding for the company began, potential purchasers also became involved in the settlement negotiations.

The court appointed Francis E. McGovern, a law professor who specialized in mass torts, to examine and report on a sample of resolved cases, as well as a sample of outstanding claims, so that other experts could determine the extent of AHR's liability. The experts' estimates ranged from $1.2 to $7 billion. After hearing their reports in late 1987, Merhige estimated AHR's liability to be $2.475 billion. In early 1988 American Home Products (AHP), a large manufacturer of health care products, agreed to put up about $2.3 billion to fund the Dalkon Shield Claimants Trust and in the process acquire the A.H. Robins Company. The remainder of the fund came from other sources, including Aetna, which insured AHR, and the Robins family. In addition AHP paid $700 million to AHR shareholders, of which over $300 million went to the Robins family.

As soon as this deal was struck, five trustees were appointed to commence the work of the Trust. By spring 1988 AHR's Sixth Amended and Restated Disclosure Statement for its reorganization was mailed to claimants and other parties for approval. After approval by the requisite majority of claimants and other creditors, and after a hearing on July 28, 1988, Judge Merhige confirmed the plan. Some claimants opposed the plan, however, and a long appeal process began. The U.S. Supreme Court denied petitions for review in November 1989, and the following month the reorganization plan was consummated.

V. Dalkon Shield Claimants Trust, 1989-2001 Administration

The Dalkon Shield Claimants Trust, located in Richmond, Virginia, began work under the direction of five trustees appointed in mid-January 1988, and an executive director hired that August. Even before consummation, the plan provided for a start-up fund of $100 million. Consequently, in the fall of 1988 the Trust was able to offer claimants the first and simplest of several options. Under Option 1, a woman merely had to sign an affidavit affirming injury from the Dalkon Shield, and she would be paid $725. If her husband or injured child chose, he (or she) could also file under this option and receive $300. During the pre-consummation period the Trust could also pay liquidated claims. By the time the Disclosure Statement was consummated in December, the Trust had settled 85,000 Option 1 claims for about $60 million.

The Disclosure Statement laid out the basic principles under which the Trust was to operate. The purpose of the Claims Resolution Facility (CRF) was to "provide all persons full payment of valid claims at the earliest possible time consistent with the efficient design and implementation of the claims resolution facility. This purpose [was] to be achieved by (1) providing an efficient economical mechanism for liquidating claims which [favored] settlement over arbitration and litigation, thereby reducing transaction costs, (2) providing claimants with an attractive alternative to trial by jury where settlement [was] not achieved, (3) providing fair and equitable compensation based upon historic values . . . to persons injured by the Dalkon Shield."

The Trust's responsibility was to the claimants as a collective whole, and all claimants were to be treated equally and fairly. Also the Trust was non-reversionary, which is to say that any funds remaining at the end would not revert to AHP, but instead would be distributed among the claimants. Nor would the Trust award punitive damages to certain claimants, as in tort litigation, but instead would pay out whatever funds remained at the end on a pro rata basis to all claimants with documented injuries. One of the most important purposes of the plan was to establish "global peace." That is, the plan stipulated that any and all claims involving the Dalkon Shield would be resolved once and for all by the Trust, and therefore AHR, its purchaser AHP, Aetna, doctors, clinics, and hospitals would no longer be liable for Dalkon Shield injuries.

The plan also provided general guidelines for evaluating claims. For example, both represented and unrepresented claimants were to be treated equally and without regard to where they might sue on their claims. In addition, the plan outlined the injuries for which claimants would be compensated. Subsequently, the Trust devised an elaborate review process for the most serious injuries, insuring as nearly as possible the fair and consistent treatment of every claim. Furthermore, the Trust's offers would be "best and final," and not subject to negotiation before litigation. If claimants were dissatisfied with their offers, they were encouraged to choose from several methods of settlement in order to avoid a costly trial.

The CRF laid out four claims options. Option 1, described above, was ultimately chosen by 133,000 users and their relatives. Option 2 was for claimants who had proof of Shield use as well as proof of injury, but no documentation of a connection between the two. Relatively few claimants (18,000) chose this option, which paid between $850 and $5,500 in fixed allotments based upon type of injury. Option 3 was the category where the most money was paid and the most thorough documentation of injury was required. Here the claimant had to produce medical records showing that her use of the Shield was the direct cause of her documented injuries. Payments in this category went as high as $4 million, although the average was $31,000. Each case was carefully evaluated, and the award was assigned based upon the nature of the individual's circumstances. About 47,000 claimants chose Option 3. Finally, Option 4 allowed claimants to defer their choice if they were not yet certain of the extent of their injuries. Spouses as well as injured children could file their own claims in any of the three categories based upon the nature of the user's injury and medical records.

During the bankruptcy proceedings efforts were made to notify all claimants worldwide and get them to submit their claims during 1986. However, late claims came in, and the court and the Trust ultimately honored legitimate claims filed between the April 1986 deadline and September 1989. A class action suit filed against Aetna for its alleged compliance in AHR's liability was settled by establishing a fund to pay late claims. Named the Breland Insurance Trust (BIT) (Glenda Breland was the first-named claimant in the class action), this fund was created from the proceeds of two $50 million insurance policies and was intended first to supplement the Trust if necessary. But if that were not necessary, the BIT would be used to pay late claimants and persons whose claims had been reinstated after initially being disallowed. The BIT began making payments in 1994 when it became clear that the Trust had ample funds. The Breland claims were handled exactly like Trust claims, but dissatisfied Breland claimants were not allowed to take their settlements to litigation.

A second smaller trust, called the Other Claimants Trust, was established with $5 million from the Robins family and $45 million from the sale of AHR. The purpose of the OTR was to cover the financial losses of doctors, hospitals, and clinics as a result of their involvement with the Dalkon Shield.

As soon as the Trust was fully funded at the end of 1989, work began to determine values for Option 3 claims. Trustees and Trust staff, statisticians, and a few plaintiffs' lawyers worked for months examining settlements and awards AHR had paid, as well as the data about the nature of outstanding claims that had been captured in the McGovern survey. Keeping an eye always on the total amount of the Trust's assets, this working group eventually set values on every foreseeable type of injury. Their work was then evaluated by a group of plaintiffs' attorneys who had handled large numbers of Dalkon Shield suits before bankruptcy. The process of establishing evaluation guidelines for Option 3 claims took more than a year.

Meanwhile claimants were sent packets informing them of the details of Options 2 and 3. Great care was taken to explain the process clearly so that it would not be necessary for claimants to hire an attorney unless they chose to do so. The Trust hired staff to assist claimants in filing claims and to secure medical records for them if their own efforts were fruitless. Another team of staff members checked the claims to be sure they were complete before sending them to reviewers. The Trust hired novices in the claims review process and gave them sixteen weeks of intensive training in evaluating gynecological injuries before they began work. After a value was placed on a claim, a supervisor reviewed the file again before the offer was mailed to the claimant.

For the most part claims were evaluated in the order in which documentation reached completion. Higher priority, however, was afforded the claimants whose suits had been frozen when AHR declared bankruptcy, and those who had participated in the McGovern survey. In addition, claimants with critical health issues were given priority. Couples who were rendered childless because of the Shield could apply right away for funds for in vitro fertilization.

Once a claimant received her settlement offer, which was "best and final," she had to decide whether to accept or reject it. If she was not pleased with the amount and wanted to go to arbitration or litigation, the Trust required her to attend a settlement conference first. There she could discuss her claim with a Trust representative, who would explain how the Trust had reached the figure offered. At this time the claimant was allowed to present new medical evidence that had not been available when she filed her claim. If new documentation was offered, the Trust would re-evaluate her claim. Otherwise, the Trust stood by the original amount offered. If the claimant remained dissatisfied, she could choose to proceed to arbitration or litigation. Another choice was Alternative Dispute Resolution (ADR), a relatively simple and speedy form of arbitration.

The ADR process opened in April of 1993 with an award cap of $10,000. When the cap was raised to $20,000 five months later, ADR became popular with claimants dissatisfied with the Trust's offer. In the end, 6,600 chose ADR. A smaller number chose to go to formal arbitration, and fewer still chose litigation. Because the Trust was committed to keeping costs as low as possible, every effort was made to avoid expensive trials. Of the 47,000 claims that were settled under Option 3, 41,000 were accepted; about 6,000 of them were resolved in ADR; 70 in arbitration; and only 90 went to trial.

Although it was necessary for the CRF to allow settlement by these more traditional tort means, by far the majority of claimants worked directly with the Trust, without aid of an attorney, and accepted the Trust's offer. Those who had legal assistance received slightly larger awards on average, but they then had to pay their attorney's fees out of the award.

By 1995 it became clear that more than enough funds were left to cover the remaining claims. Furthermore, the Trust's investments had earned $800 million and at that point administrative costs were running $200 million lower than had been anticipated. So in that year the Trust made the first of a half-dozen pro rata payments. Claimants who had been paid more than $725 under Option 2 or 3 were eligible for pro rata payments. By the time the Trust closed in the summer of 2001, pro rata payments had totaled about $1.5 billion, and eligible claimants had been paid just over 100% above their initial settlement amounts. By December 1996, 97% of the claims had been settled. The Trust began reducing its staff, and those who remained took care of the small portion of claims that were being appealed.

Legal Department

When the Trust was opened in 1989, staff was hired to handle the anticipated legal issues. General Counsel, Linda Thomason, was assisted by a team of in-house lawyers as well as attorneys in other parts of the country where claims were contested. At the outset the Trust also hired, as outside counsel, Michael W. Smith and Orran L. Brown with the Richmond law firm of Christian, Barton, Epps, Brent & Chappell. Eventually Brown carried on alone in that position, and in the spring of 1993 he established his office in the building where the Trust was located. His principal duties were to interpret the Reorganization Plan and handle injunction enforcement issues on the Trust's behalf. Some of the major interpretation issues included whether claimants could sue for punitive damages and attorney's fees, whether pre- or post-judgment interest would be allowed, whether the Plan forced the Trust to concede product liability, and whether the list of injuries in the CRF could be taken as an admission that such injuries were caused by the Dalkon Shield.

The Reorganization Plan discharged A.H. Robins, and all persons connected with it, as well as American Home Products, of any liability for tort or other claims relating to the Dalkon Shield. The Plan also enjoined claimants from bringing suit against these corporations and persons, or against hospitals, clinics, or physicians. When claimants did attempt such suits, the Trust moved to enforce the injunction.

In 1991 the Trust filed a motion with the district court for an order to establish guidelines for arbitration and litigation. Amended Administrative Order Number One set parameters for discovery, and it directed that a document depository be established and made accessible to claimants. The order provided a system to insure that claimants who chose arbitration and litigation followed a prescribed procedure, and it reiterated the CRF's disallowance of trebled, exemplary or punitive damages, or attorney's fees.

The purpose of the Trust, as stated in the CRF, was to provide "an efficient economical mechanism for liquidating claims which [favored] settlement over arbitration and litigation" and to provide "an attractive alternative to trial by jury where settlement [was] not achieved." Once a settlement offer was made, the Trust was willing to discuss the evaluation in a settlement conference but it refused to negotiate. Many claimants dissatisfied with their offers went to ADR. Others choose the more costly options of arbitration or trial in hopes of receiving a much higher award. At this point the playing field changed, and Trust no longer waived various defenses. For example, if the statute of limitations had run out before she filed her claim, the Trust employed that defense. In other words, the Trust did all it could to discourage claimants from choosing expensive methods of resolving disputes, adhering to the principle that if all claims were settled equally and efficiently, there would be a greater amount to be shared among all.

Two decisions of the Trustees aided the settlement process. Raising the cap on ADR awards from $10,000 to $20,000 in 1993 made this process very popular with claimants. Two years later when the pro rata payments commenced for those with offers higher than $725, many claimants who were initially dissatisfied realized their awards would ultimately be more generous than they had thought.

Many legal issues required judicial intervention during the course of the Trust's existence. One controversial issue concerned the Trust's holdback policy. In a case where a claimant was awarded a higher amount in litigation, the Trust reserved the right, upheld by the court, to defer paying the difference between the trial award and the original offer until there was assurance that all claims could be paid. Often when claimants brought their cases in state court, the Trust attempted to have them removed to federal court. There were many questions surrounding how ADR and arbitration would be handled. One case regarding burden of proof in ADR, Reichel v. Dalkon Shield Claimants Trust, was decided in the Trust's favor by the district court but partially overturned by the Fourth Circuit, which said that the claimant only had to provide a "presumption of causation." Plaintiffs were unsuccessful in getting this ruling to apply to arbitration and litigation.

In 1995 when the Trust began making pro rata payments, Judge Merhige on his own initiative issued an order limiting claimants' attorneys from recovering more that ten percent from those payments. One impetus for this ruling was complaints he had heard through the years from claimants whose attorneys had received a large percentage of their initial awards as contingent fees. The judge also knew that since pro rata payments would be made in cases that had been settled, little or no additional work was required of the attorneys. However, this order provoked protest from the plaintiffs' bar, and a group of twenty-nine lawyers appealed the order. The Fourth Circuit, calling "this litigation and appeal . . . wonderful examples of chutzpah," affirmed Judge Merhige's order.

Although Brown spent about ten years representing the Trust, and some of the cases stretched over many of those years, the legal costs were ultimately lower than anticipated. While a couple hundred cases were filed, in the end only about ninety went to trial. Nonetheless, the legal issues and claims that were litigated required the attention of the legal department for about five years after the vast majority of the claims were settled. Pro rata distributions from the remainder of the Trust were issued over time as the number of unresolved cases diminished.

VI. Conclusion

The Disclosure Statement had given the Trust twenty years to settle 197,000 claims. With the allowance of late claims, the Trust ultimately paid a little over 218,000 claims and settled the vast majority of them in only seven years. Although the Trust operated particularly cautiously at the outset in order to be sure all claimants could be paid fairly, this extreme care worked to the benefit of the claimants in the end. Thanks in large part to the Trust's diligence, caution, and wise investments, the most seriously injured claimants saw their awards doubled. In terms of fairness and efficiency, the Dalkon Shield Claimants Trust achieved, in the opinion of many, the most successful resolution of a mass tort case in the twentieth century.

Acquisition Information

Date Received 2000
Donor Information The Dalkon Shield Claimants Trust Collection was transferred to the University of Virginia Law Library by an order of the U.S. Bankruptcy Court for the Eastern District of Virginia in September of 2000. Staff at the Trust first contacted the Law Library about the collection six months before the Trust was terminated at the end of April 2000. The collection came to the library in several installments between the late fall of that year and early 2001.

Content List

Series I: A.H. Robins Company Documents

In 1975 a Multi-District Litigation Panel was set up to consolidate over one hundred Dalkon Shield personal injury tort cases pending in federal district courts in over a third of the states. The pretrial proceedings were held before U. S. District Judge Frank Theis in Wichita, Kansas. Bradley Post, a Wichita lawyer who had represented Connie Deemer, the first woman to win a verdict against Robins for her Dalkon Shield injuries, was chosen lead lawyer in the consolidated cases. Post led the court-ordered discovery proceedings that ran from 1976 through the late 1970s and resumed in 1981 and 1982.

AHR was ordered to produce copies of tens of thousands of documents and to store them at the Richmond offices of McGuire, Woods & Battle, the law firm handling its defense. The collection of documents became known as the Source Files. Documents in the following subject categories were requested, copied and numbered at various times from 1976 through 1982: Research & Development, Adverse Reaction, Manufacturing, Administration, Commercial, Government, International, FDA (Food and Drug Administration), and Bibliography.

In 1991, by administrative order, the Trust was directed to "maintain a document depository in Richmond, Virginia, containing substantially all documents which the Trust, using its best efforts, has identified as having been produced without qualification by Robins in pre-petition Dalkon Shield personal injury tort litigation." The depository, to be made accessible to claimants and their attorneys, was comprised of documents previously in the custody of McGuire, Woods and was located at Datastor, a facility on the east end of the city.

The A.H. Robins Company documents consist of the master group, the Source Files, produced under the direction of Judge Frank Theis in the late 1970s and early 1980s. In addition, there are a number of subsets of the Source Files gathered and arranged by plaintiffs' attorneys, and additional documents produced under orders from other judges in the mid-1980s.

Series I Sub-series 1: AHR Source Files

According to a Trust memorandum, (see notebook labeled Background Information re Document Depository), AHR and its attorneys began collecting, reviewing, and copying these documents, later known as the Source Files, as early as 1975. In 1976 when the Multi-District Litigation Panel was set up, the range of documents was expanded to include information on Robins' international sales, and on its interactions with Hugh Davis, Robert Cohn, Thad Earl, and Irwin S. Lerner. Plaintiffs involved in the MDL proceedings were allowed access to all documents that were not privileged. The copies, held in Richmond in the custody of McGuire, Woods, were made from the original documents.

The Law Library completed a project begun sometime ago to convert the Source Files to microform. Documents 1 through 171, 245 are available on microfiche; and 171,246 through 211, 892, on microfilm. Researchers may gain access to the Source File documents through any of its four indexes: document number, document date, name of document writer, and document type and date. The indexes are in three-ring notebooks, and on microfilm reels 1 to 6.

Two types of materials in the Source Files, numbers 189,673 through 207,502, are not in microform (4 cartons, 5 linear feet). The first are computer printouts of names and addresses of the 200,000 doctors to whom AHR wrote in the early 1980s, requesting removal of the Shield. Box 1 contains names and addresses for physicians in Colombia, Sweden, The Netherlands, South Africa, and Australia; Box 2, for Mexico, Philippines, Germany, Denmark, Finland, France, and Venezuela; and Box 3, for the United States. Second, in Box 4, is a collection of used Dalkon Shields sent back to AHR by Thad Earl, David Ostergard, and other doctors.

Series 1 Sub-series 2: Source File Subsets

Sub-sub-series 1: MDL Chronological ("Chrono") subset of the Source Files

The MDL Chrono Files are a chronological arrangement of 1300 of some of the more important documents from the Source Files and were offered in evidence during the1976-1978 MDL discovery proceedings. The date range of the Chrono Files is 1938 to 1977, with the bulk of the documents falling between 1971 and 1975. In some cases the copy in the Chrono Files is more legible than the one in the Source Files.

There is no list or index for the Chrono Files. Boxed with the files was a subject index to the first 183,000 SF documents; this index which pairs Source File number with subject was prepared in 1979. The Chrono Files are available on microfilm reels 19-22, as well as on paper in Boxes 1-6 (2.5 linear feet).

Sub-sub-series 2: Bradley Post's Selected Subset of the Source Files

Bradley Post preserved a set of selected Robins Source File documents which he had submitted as evidence in a case around 1979. The Post documents are arranged chronologically and numbered 1 to 836 in the upper left corner; the Source File number is visible in the lower left corner. The date range is 1938 to 1979, with bulk dates of 1971 to 1975. The Post documents are available on microfilm reels 22 and 23. A list of numbered Post documents providing extensive information about each entry is available on paper and also precedes the documents on the film.

Sub-sub-series 3: Robins, Zelle Selected Subset of the Source Files

In 1983 Robins, Zelle, Larson & Kaplan, a large firm in Minneapolis acquired about two hundred Dalkon Shield cases from another practice, and the firm appointed experienced plaintiffs' attorneys Dale Larson and Michael Ciresi to handle them. For the case of Shirley Dean v. A. H. Robins, the lawyers submitted as evidence 3,789 documents they had chosen from the Robins Source Files. Those documents comprise this subset and are arranged chronologically and numbered 1 to 3,789, usually near the top of the first page of the document; the Source File number is visible in the lower left corner. The dates range from 1938 to 1984, but are concentrated in the years 1970 to 1980. The Robins, Zelle documents are available on microfilm reels 23-31. The list of numbered Robins, Zelle documents provides extensive information about each entry; it is available on paper, and it also precedes the documents on the film.

Series I Sub-series 3: Judge Miles Lord Responsive, An Addition to the Source Files.

In 1983 Minnesota U.S. District Judge Miles Lord began hearing Dalkon Shield cases. By early 1984 he believed there were pertinent documents AHR had not produced during multi-district proceedings in the late 1970s and early 1980s. He, therefore, ordered a re-opening of discovery specifically for a number of categories, including correspondence with Aetna, AHR's insurance company, correspondence between certain top company officials and AHR lawyers, and documents relating to testing of Dalkon Shield safety. Furthermore, Lord appointed two attorneys to go to Richmond to supervise the production of these documents.

The Lord Responsive documents are available on microfilm reels 31-33. These document numbers appear at the end of the Source File Document Number Index, but since a substantial number of them did not pertain to Lord's order, or were privileged, there are not corresponding documents for all the numbers. An annotated copy of the Lord pages from the Index precedes the documents on the film, and there the researcher can determine which documents will appear.

Series I Sub-series 4: Zelius Production, An Addition to the Source Files

In 1984 and early 1985 lawyers for Claire Zelius were preparing their case against AHR in Florida. The federal district court allowed them to seek additional Robins documents, principally unpublished scientific or medical studies on the Dalkon Shield tail string.

The Zelius Production documents are available on microfilm reels 34-41. The documents have been numbered, although there is no corresponding index for them in the Source Files index. Available on paper, and preceding the Zelius documents on microfilm, is an index which ties production date to a note book number, followed by another index which is a short list of doctors' names for depositions they gave in other cases.

Series I Sub-series 5: Dalkon Shields

Production commenced on the Dalkon Shield intrauterine device in 1968 under the direction of inventors Hugh Davis, gynecologist, and Irwin Lerner, electrical engineer. In early 1970 Davis and Lerner looked for a pharmaceutical company to market their product more widely, and by June of that year, AHR agreed to purchase it.

The Dalkon Shield came in two sizes: standard, for women who had already had children (multiparous), and small, for women who had never had children (nulliparous). Shaped somewhat like a law enforcement officer's badge, hence its name, the Shield had five fingers protruding along each side, so that it also looked somewhat like a crab. Tied to its base was a three-inch length of synthetic polyfilament otherwise used for surgical sutures. In the case of the Shield, this filament, called the tail string, was principally designed for easy removal of the IUD.

The A.H. Robins Company began production and sales in early 1971. Domestic sales were suspended in June of 1974, although foreign sales continued until August 1975. By the time sales ceased altogether, 3,600,000 Dalkon Shields had been sold worldwide.

This sub-series of 7 boxes (2.9 linear feet) consists of packets of standard and small Dalkon Shields produced by the Dalkon Corporation and by A.H. Robins Co. In addition there are examples of boxes in which the packets were distributed; instruction sheets for physicians and patients; publicity material; rolls of the tail string material, loose shields, and various instruments. Finally, there is a videotape made by the Dalkon Corporation to demonstrate insertion and placement of the Dalkon Shield.

Box 1:

  • Two packets of standard Shields with production number 6030; manufactured by the Dalkon Corporation, Stamford, CT 1970
  • One packet of standard Shields without a production number; manufactured for A.H. Robins Co., Richmond, VA July 1970
  • Nine packets of standard Shields numbered A7041, A7141, & A7201; manufactured for AHR April 1971
  • Six packets of standard Shields numbered A7381, A7511, 715711, and not numbered; manufactured for AHR July 1971
  • Seven packets of standard Shields numbered 72239 & 72329; manufactured for AHR June 1972

Box 2:

  • Nineteen packets of standard Shields numbered 73424, 73978, 731129, & 7312210; manufactured for AHR December 1972

Box 3:

  • Fourteen packets of standard Shields numbered 73263 & 73282; manufactured for AHR; bearing label Property of the Mexican Institute of Social Security.../Patent Number 113,969/November 12, 1969 December 1972
  • Box for packets of standard Shields numbered F030; manufactured by the Dalkon Corporation, Stamford, CT 1970
  • Box of standard Shields bearing no production number; manufactured for A.H. Robins Co., Richmond, VA July 1970
  • Box for packets of standard Shields numbered 715711; manufactured for the A.H. Robins Co., Richmond, VA April 1971
  • Box for packets of standard Shields numbered 73424; manufactured for AHR June 1972

Box 4:

  • Two packets of small Shields with production number 6200; manufactured by the Dalkon Corporation, Stamford, CT 1970
  • Ten packets of small Shields numbered 6430, 6450, 645016 & n.d.; manufactured for A.H. Robins Co., Richmond, VA 1970
  • One packet of small Shields numbered A6931; manufactured for AHR November 1970
  • Seventeen packets of small Shields numbered A7091, A7341, 71359, 71369, & 71379; manufactured for AHR April 1971

Box 5:

  • Twelve packets of small Shields numbered A7351, A7471, & 72196; manufactured for AHR July 1971
  • Thirty-two packets of small Shields numbered 72308, 72329, 73131, 73313, 725711, & 726812; manufactured for AHR June 1972
  • Fifteen packets of small Shields numbered 73696 & 74615; manufactured for AHR December 1972

Box 6:

  • Box for small Shields bearing production number 6200; manufactured for AHR July 1970
  • Box for small Shields packets numbered 71369; manufactured for AHR April 1971
  • Box for small Shield packets numbered 73696; manufactured for AHR June 1972

Box 7:

  • Brochures about the Dalkon Shield November 1970, March 1971
  • Instructions for Physician and Patient July 1972, August 1972 & January 1973
  • "Cold Sterilization" Procedures...; instructions in English, French and Spanish n.d.
  • Brochure about Dalkon Contraceptive Foam March 1973
  • General Instructions for Physicians in English, French, and Spanish May 1973
  • Supramid Extra, Size 0; 2 rolls white and 8 rolls black; "Synthetic, polyamide, non-absorbable, polyfilament, Class II, surgical suture."
  • Inserter Sticks, 8
  • [Foam models for insertion practice?], 4
  • Two bags of loose multiparous shields
  • Two medical instruments probably used for Dalkon Shield removal
  • Dalkon Shield Insertion film prepared by the Dalkon Corporation n.d.
  • V1-Video 1

Sub-series 6: Miscellaneous AHR Documents Providing an Overview of the Company and Dalkon Shield Production and Sales

Box 1:

  • (First Quarter) AHR Annual Reports 1966-1985 [20 folders]

Box 2:

  • AHR Press Releases 1970-1984
  • Dalkon Shield packaging information and patient information n.d.
  • Packaging Information--other IUDs n.d.
  • Pre-January 1971 Testing of Dalkon Shield 1970, 1974
  • AHR Dalkon Shield purchase documents 1970
  • Dalkon Shield trademark 1971
  • Inserter stick--patents, etc 1971
  • Dalkon Shield Manufacturing and Quality Assurance Manual 1973
  • Foreign distribution of Dalkon Shield 1973-1974
  • "Dear Doctor" letters-domestic 1974
  • Glossary of individuals relevant to Dalkon Shield n.d.

Series I Sub-series 6: Miscellaneous AHR documents providing an overview of the company and Dalkon Shield production and sales

This two-box collection (0.8 linear feet) of miscellaneous A. H. Robins Company documents, assembled by the Trust, provides a bird's eye view of the purchase, production, and sale of the Dalkon Shield from 1970 to 1985. All of these documents can be located in the Source Files, but researchers may find these two boxes provide a convenient, simple and accessible introduction to the history of Robins and the Shield.

Series II: A.H. Robins Litigation Documents

During the multi-district litigation proceedings from the late 1970s through the early 1980s, many employees of AHR were deposed, and their depositions made accessible to plaintiffs' lawyers all over the country. When the Trust set up the document depository for the use of claimants, the MDL depositions were included. In addition, depositions not under the aegis of the MDL panel, as well as a great deal of trial testimony of A. H. Robins employees, became part of the document depository. The Trust legal department also had a core collection of depositions, exhibits, etc. for their own attorneys' use in litigation. Materials in this series are principally on microfilm or videotape.

Sub-series 1: AHR Employee Depositions and Testimony

Sub-sub-series 1: MDL Depositions

In 1976 when Bradley Post, on behalf of plaintiffs' attorneys, was seeking Robins documents for multi-district litigation, dozens of top officials in the A. H. Robins Co. were being deposed. The following Robins employees were deponents: Ernest L. Bender, Jr., Dr. John I. Brewer, John Leo Burke, Dr. A.N. Chremos, Dr. Fred A. Clark, Jr., Robert E. Cohn, Elderin Wayne Crowder, Dr. Hugh J. Davis, Dr. Roy William Dent, Thomas D. Downs, Dr. Thad J. Earl, Dorothy Kimball Ervin, William A. Forrest, Jr., Daniel Eugene French, Jack Freund, Edwin Hood, A.J. Kapadia, Oscar Klioze, Irwin Lerner, Frank William Mann, A. Edwin Martin, David Mefford, Kenneth Moore, C.E. Morton, Dr. Robert S. Murphey, Dr. Fletcher B. Owen, Jr., Allen Polon, Dr. Ellen Preston, Dr. Lester W. Preston, E.C. Robins, Melvin Rohling, W. Roy Smith, Ritchie Alan Snyder, Robert Walker Tankersley, Howard James Tatum, Dale Taylor, George E. Thomas, Roger Lewis Tuttle, Richard A. Velz, John Wesley Ward, Thomas C. Yu, and William L. Zimmer III.

Depositions were taken from 1976 through 1983. These transcripts, available on microfilm reels 42-55, are arranged alphabetically by deponent and then chronologically. Most depositions lasted from one to four consecutive days, although a few deponents were called back for a second time. Some depositions are followed by exhibits, summaries, and/or objections. An index precedes the documents on the microfilm.

Sub-sub-series 2: Non-MDL Depositions

At the same time of the MDL discovery process, Robins officials were being deposed for cases not included in the multi-district litigation. The following Robins employees were deponents: Jerald Eugene Adams, Frank Bedrick, Ernest L. Bender, Jr., Dr. Anne J. W. Board, Eleanor Bradley, Bob L. Brown, Jeneal D. Brummett, John Leo Burke, John S. Campana, Edward C. Casey, Robert F. Childs, Dr. A.N. Chremos, Charles F. Christopher, Eugenia Clark, Dr. Fred A. Clark, Jr., Ben Clarkson, Robert E. Cohn, Everett L. Cook, Thomas E. Costa, Carlyne Crotty, Elderin Wayne Crowder, Arthur R. Cummings, Darwin Carl Dahl, Dr. Hugh J. Davis, Charles T. Degolia, Dr. Roy William Dent, Jr., Erich De Romero, Calvin R. De Witt, Charles S. Donahue, Paul M. Duffy, Jr., Hartwell Durrance, Thomas D. Downs, Dr. Thad Joseph Earl, John A. Emerick, Dorothy Kimball Ervin, Jeanne Featherston, William A. Forrest, Jr., Daniel Eugene French, Dr. Jack Freund, Anne Friedman, John E. Gallapago, John T. Gaywood, Michael Gibb, Frank W. Gilbert, Donald Thomas Gillooly, Robert L. Gorvett, Lawrence Griffin, John Vincent Guiney, Ray Hanchey, William D. Hart, Jr., Norval Haugh, Dennis F. Heikka, Dr. E.B. Heilman, Doral Loren Hessman, Douglas Arthur Hewey, Robert A. Hogsett, Thomas B. Horne, Robert F. Hunley, David E. Jones, Herbert Joyce, Jr., Duwaine F. Kaufman, James W. Kennedy, Sidney M. Kessler, Louis Kilgore, Daniel Klimpel II, Oscar Klioze, David Mayer Koepke, John P. Kypriotis, Leonard Clayton Lacy, John P. Lage, Raymond L. Langston, Patricia Lashley, Irwin S. Lerner, Charles Hunter Leys, George Lobeck, Gene Ross Lucas, and Carl D. Lunsford.

Also, Frank William Mann, Jr., A. Edwin Martin, Joseph Mazzeo, Thomas J. McCarthy III, William D. McGehee, Otto McGilvrey, Allen Arthur McKeel, Olivia McMichael, James Gray McWhorter, David Mefford, James Frederick Miller, Clyde Moore, Kenneth E. Moore, Emily M. Morley, C.E. Morton, Dr. Robert S. Murphey, James M. Nisely, Edward Normandia, Terry G. Oakley, Roy Francis O'Hanley, Jr., Guy Edward O'Neal, John P. Onkey, Dr. Fletcher B. Owen, Jr., Jerry Paul Parker, William B. Plisco, Allen J. Polon, Dr. Ellen J. Preston, Dr. Lester W. Preston, Roscoe E. Puckett, Jr., Robert Lee Ramsay, E.C. Robins, Jr., E. Claiborne Robins, Sr., Julian Ross, Phillip Rudine, Raymond J. Russo, Carroll L. Saine, Philip J. Schmid, Walt W. Schoenberger, Stephen I. Schwartz, Thomas A. Schwartz, Leland Schweer, Stuart Shumate, Michael Silva, George Smith, Louis L. Smith, W. Roy Smith, William Smithdeal, Elmer A. Snyder, Sam Sparks, Hunter Spencer, George Stiles, Arthur M. Stranz, Stephen Richard Stubbs, Robert Walker Tankersley, August Tassan, Dr. Howard Tatum, Dale R. Taylor, John Trippe, Roger Lewis Tuttle, William S. Van Bezey, Richard A. Velz, Harris Wagenseil, John W. Ward, Robert Watts, Dale E. Weiss, James C. White, William T. Yale, Alan Young, Roland Younglin, and William L. Zimmer III.

These depositions were taken between 1975 and 1985. The transcripts, available on microfilm reels 55-82, are arranged alphabetically by deponent, and then by case name. Exhibits are sometimes included. An index precedes the documents on the microfilm.

Sub-sub-series 3: Trial Testimony

Bradley Post helped the Trust select a number of cases for which the AHR company employees' trial testimony was particularly useful, and these documents became part of the Document Depository. The collection of trial testimony, available on microfilm reels 82-139, was divided in two groups arranged alphabetically by plaintiff's name.

The first collection of testimony is for the following plaintiffs' trials: Kyle Askeland, Delma R. Barnes and Debra Jean Clark, Marguerite Bryson, Consuella Bundy, Candyce L. Cabe, Nancy S. Carley, Colorado Consolidated, or Janette A. Hawkinson, et al., Valerie Dembrosky, Susan L. Dodge, Marsha Feldman, Susan Fitzpatrick, Laureen Ford, Laurie Jo Franz, Kay Hamilton, Gay Lynn Hertzler, Linda Johnson, Terri Johnson, Patrick Junkin, Nancy Kaye, Nancy Lewis, Carole Mansfield, Jayne Miller, Gayle McCann, Joan Price, Karen Clark Raine, Carol Ann Setter, Kim Elizabeth Shewan, Joyce A. Smith, Kay E. Swenson, Robert C. and Deborah Terhune, Rosemary Warner, Francis G. Williams, and Anna Wilkins.

The second collection of testimony is for the following plaintiffs' trials: Carin Linn Abramson, Miriam Breyer, Linda S. James Brown, Pamela Craig, Connie L. Deemer, Mary Ann Ducharme, Cynthia and Robert Fletzin, Mary Guenther, Martha E. Hahn, Linda and William Harre, Diane Hilliard, Regina and Keith Husbands, Cathy J. Maguire, Peggy Joan Mample, Sue and Wayne Mitchell, Rosalie Nunley, Carie M. Palmer, Janet and George Reif, Debbie Rohl, Elizabeth Rubin, Brenda Happke-Strempke, Loretta L. Tetuan, Pamela Van Duyn, and Sharon Worsham.

The transcripts, having come from a variety of courts, vary a good bit, but for each case it is easy to determine whose testimony is where.

Sub-sub-series 4: Depositions and Trial Testimony (videotape)

The Trust had a large collection of videotaped depositions (51 videotapes) and trial testimony (177 videotapes) of AHR employees. They transferred to the library all the tapes on VHS format. Many of these tapes, dating from 1979 to 1985, have corresponding transcripts in the previous three sub-series, but some do not.

Sub-sub-sub-series I: MDL Depositions


  • Elderin Wayne Crowder 1981 March [Videotape]


  • Oscar Klioze 1983 January [Videotape]


  • A. Edwin Martin 1983 April [Videotape]


  • Kenneth Moore 1982 September; 1983 January [Videotape]


  • Dr. Fletcher B. Owen, Jr. 1983 April [Videotape]


  • Robert Walker Tankersley n.d. [Videotape]

Sub-sub-sub-series 2: Trial Testimony


  • Dr. Karlis Adamson (Happke-Strempke v. AHR) 1983 March [Videotape]


  • Dr. [Samuel] Barr (Jobe v. AHR) 1985 July [Videotape]


  • Dr. [Onofre P.] Carrillo (Jobe v. AHR) 1985 May [Videotape]


  • Dr. Fred A. Clark Jr., (Cameron v. AHR) 1983 January


  • Dr. Fred A. Clark Jr., (Junkermeier v. AHR) 1984 January [Videotape]


  • Dr. Fred A. Clark, Jr. (Mample v. AHR) 1983 January [Videotape]


  • E. Wayne Crowder (Hawkinson v. AHR) 1981 May [Videotape]


  • Dr. Thad J. Earl (Palmer v. AHR) 1979 May [Videotape]


  • Dr. Max Elstein (Happke-Strempke v. AHR) 1983 May [Videotape]


  • William Forrest Jr., (Junkermeier v. AHR) 1984 February [Videotape]


  • Robert Gorvette (Happke-Strempke v. AHR) 1983 April- May [Videotape]


  • Dr. [Louis] Keith (Happke-Strempke v. AHR) 1983 May [Videotape]


  • Patricia Lashley (Bonlender v. AHR) 1984 August [Videotape]


  • Dr. Daniel Mishell (Miller v. AHR) 1983 February [Videotape]


  • Dr. Daniel Mishell [case not identified, may be Miller] [1983 February?] [Videotape]


  • Kenneth Moore (Bondlender v. AHR) 1984 August [Videotape]


  • Dr. David Ostergard (Bryson v. AHR) 1985 February [Videotape]


  • Fletcher Owen (Happke-Strempke v. AHR) 1983 March [Videotape]


  • Fletcher Owen (Bonlender v. AHR) 1984 August [Videotape]


  • Dr. Ellen Preston (Abril v. AHR) 1981 September [Videotape]


  • Dr. Ellen Preston (Junkermeier v. AHR) 1984 January [Videotape]


  • Sam Sparks (Jobe v. AHR) 1985 July [Videotape]


  • Dr. Richard Soderstrom (Happke-Strempke v. AHR) 1983 May [Videotape]


  • Brian Strom (Palmer v. AHR) 1985 May [Videotape]


  • Dr. Howard Tatum (Davis v. AHR) 1984 January [Videotape]


  • Roger Tuttle (Bonlender v. AHR) 1984 August [Videotape]


  • Roger Tuttle (Punitive Damages) 1985 May [Videotape]


  • Robert Watts (Happke-Strempke v. AHR) 1983 May [Videotape]


  • Dr. Joe Williamson (Jobe v. AHR) 1985 May [Videotape]


  • William Zimmer (Bonlender v. AHR) 1984 August [Videotape]

Sub-series 2: Miscellaneous Trial Material

This collection of trial material, 9 boxes (3.75 linear feet), was created by Trust employees for use in litigation. Included are copies of pre-trial orders, exhibits, depositions, and videotapes of depositions (33 videotapes). For Robins litigation, McGuire, Woods had prepared a set of exhibits, and so the Trust prepared their own based upon the law firm's set.

Box 1:

  • 1MDL Pre-Trial Order 1977, 1979 [3 folders]
  • Various MDL Orders 1981-1983
  • Various Orders 1983-1984
  • Eight Circuit Investigation of Judge Miles Lord 1984
  • "5000 Series" [AHR] Exhibit List 1984 November

Box 2:

  • AHR Dalkon Shield Trial Results-List of Cases Tried to Judgment n.d.
  • Robins, Zelle Catalog of Materials compiled and developed by its Dalkon Shield team [mid-1980s]
  • Trust Standard Designation Exhibit List 1995
  • Standard Trust Designations: edited portions of depositions and testimonies of Wayne Crowder (MDL), William Forrest (Bonlender), Emanuel Friedman (Healey), Patricia Lashley (Bonlender), Albert Martin (MDL), Kenneth Moore (Bonlender and MDL), Fletcher Owen (MDL), Ellen J. Preston (Abril) 1981-1997 [16 folders]
  • [videotapes of the edited depositions and testimonies are also available]

Box 3:

  • Standard Trust Designations, continued: edited portions of depositions and testimonies of Sam Sparks (Jobe), Roger Tuttle (Bonlender and Punitive Damages Litigation), and Russel J. Thomsen (Marshall and Bookout) 1975-1994 [6 folders]
  • [videotapes of Sparks and Tuttle also available]

Boxes 4-9:

  • Interrogatory Exhibits dating from 1996 to 1985 1985 June [29 folders]

Videotape Inventory


  • Wayne Crowder MDL Deposition-Edited Portions 1981 March


  • William Forrest Testimony in Bonlender- Edited Portions 1984 August


  • Dr. Emanual Friedman Deposition in Horne-Edited Portions 1997 April


  • Patricia Lashley Deposition in Bonlender-Edited Portions 1984 August


  • Dr. Albert Martin MDL Deposition-Edited Portions 1983 April


  • Kenneth Moore MDL Deposition-Edited Portion 1982 September


  • Kenneth Moore Deposition in Bonlender-Edited Portions 1984 August


  • Dr. Fletcher B. Owen MDL Deposition-Edited Portions 1983


  • Dr. Ellen J. Preston Deposition in Abril-Edited Portions 1981 September & October


  • Sam Sparks Deposition in Jobe-Edited Portions 1985 July


  • Roger L. Tuttle Deposition in Punitive Damages Litigation 1985 May


  • Dr. Janet Daling Deposition in Cloutier v. DSCT 1993 July


  • Dr. Richard Sorce Deposition in Rendulic v. DSCT 1993 March


  • Dr. Emanuel Friedman Deposition in Horne v. DSCT 1997 April

Series III: U.S. Food and Drug Administration Investigation of the Dalkon Shield

This series of U.S. Food and Drug Administration files is comprised of 5 boxes (2.1 linear feet). During 1974 the FDA held several hearings investigating IUDs and septic abortions, and, specifically, the safety of the Dalkon Shield. In preparation for these investigations the agency asked AHR to present documents concerning production of their IUD. The documents the company provided make up part of this series. (Most, if not all of these documents, are also found in the Source Files.) Also included here are transcripts of various hearings. In 1983 the FDA received a request under the Freedom of Information Act to produce documents relating to AHR and the Dalkon Shield. Copies of those documents are also in this series.

Index of FDA Submissions related to the Dalkon Shield

Boxes 1-2:

  • FDA Requested Information on the Dalkon Shield 1973-1974 [5 folders]

Box 2:

  • Materials Submitted to FDA 1970-1973 [4 folders]
  • FDA Open Hearing Transcript 1974 August 21 [2 folders]

Box 3:

  • AHR's Report for the FDA Obstetrics and Gynecology Advisory Committee 1974 October 22
  • Ad Hoc Advisory Committee Meeting-Transcript and Report 1974 October 29-30
  • Transcript of Sen. Edward Kennedy's Hearing on IUDs [Subcommittee on Health of the Committee on Labor and Public Welfare] 1975 January 28

Boxes 4-5:

  • FDA Documents [re Dalkon Shield] Produced Pursuant to a Freedom of Information Act Request [in 1983]; with Chronological Index 1968-1983 [6 folders]

Series IV: News Materials Concerning Dalkon Shield

  • This series is comprised of newspaper clippings in 9 boxes (3.75 linear feet) and videotapes of television shows concerning Dalkon Shield injuries and litigation. The clippings, dated 1974-1985, are arranged alphabetically by state and are preceded by an index.

Box 1:

  • Index for Collected Articles Concerning the Dalkon Shield, by State, 1974-1985 n.d.
  • Alabama 1974-1985
  • Alaska 1973-1985

Boxes 1-2:

  • California 1973-1985 [4 folders]

Box 2:

  • Colorado 1974-1985
  • Connecticut 1974-1985
  • Delaware 1974-1985
  • District of Columbia 1973-1985 [2 folders]

Box 3:

  • Florida 1974-1985 [2 folders]
  • Georgia 1974-1985
  • Idaho 1974-1985
  • Hawaii 1972-1985
  • Illinois 1973-1985 [2 folders]
  • Indiana 1974-1985

Box 4:

  • Iowa 1974-1985
  • Kansas 1974-1985
  • Kentucky 1974-1985
  • Louisiana 1974-1985
  • Maine 1974-1986
  • Maryland 1974-1985
  • Massachusetts 1973-1985
  • Michigan 1974-1985

Box 5:

  • Minnesota 1974-1985 [3 folders]
  • Mississippi 1974-1985
  • Missouri 1974-1985
  • Montana 1974-1985
  • Nebraska 1974-1986
  • Nevada 1974-1985
  • New Hampshire 1975-1980

Box 6:

  • New Jersey 1974-1985
  • New Mexico 1974-1984
  • New York 1973-1986 [3 folders]
  • North Carolina 1974-1985

Box 7:

  • North Dakota 1974-1985
  • Ohio 1973-1984 [2 folders]
  • Oklahoma 1973-1985
  • Oregon 1975-1985
  • Pennsylvania 1974-1985 [2 folders]
  • Rhode Island 1974-1985

Box 8:

  • South Carolina 1974-1985
  • South Dakota 1974-1985
  • Tennessee 1974-1985
  • Texas 1974-1985 [2 folders]  
  • Utah 1974-1985
  • Vermont 1974-1985

Boxes 8-9:

  • Virginia 1973-1985 [3 folders]

Box 9:

  • Washington 1970-1980
  • Wisconsin 1974-1986
  • Wyoming 1974-1985
  • West Virginia 1974-1985
  • Africa 1980
  • Australia 1972-1984
  • Belgium 1984-1985
  • Canada 1974-1988
  • France 1985
  • Puerto Rico 1974-1985
  • United Kingdom 1979-1985
  • Virgin Islands 1984-1985
  • Transcripts of "60 Minutes" Dalkon Shield story [aired twice] 1981 April 19 and 1984 August 5
  • Transcript of "Northwest Reports with Lars Larson" on the Dalkon Shield Claimants Trust 1994 May 31

Videotape Inventory


  • "60 Minutes" story on the Dalkon Shield, Mike Wallace narrating 1981 April 19 [2 copies]


  • "60 Minutes" reprise of the Dalkon Shield story shown with a 1984 November 11 story on Judge Miles Lord, Mike Wallace narrating 1984 August 4 [4 copies]


  • "60 Minutes" story on Judge Miles Lord 1984 November 11 [4 copies]


  • "People are Talking" [a talk show in San Francisco], featuring Morton Mintz and Carol Hewitt 1986 [January or February]


  • "Northwest Reports with Lars Larson" on Dalkon Shield Claimants Trust, Portland, Oregon 1994 May 31

Series V: In re A. H. Robins; Case No. 85-01307-R

AHR filed for federal bankruptcy protection on August 21, 1985. The Trust kept on file each pleading that was entered in the case up through August of 2000. This series contains those pleadings. In addition, there is data on some of the lawsuits Robins resolved before bankruptcy. This data was studied by analyst Frances McGovern whose report is also included. Finally, there are transcripts of the estimation hearings.

Sub-series 1: Docket Books

The docket books for the AHR bankruptcy case contain, in order of filing, virtually all the pleadings entered between 1985 and 2000. In addition to the pleadings themselves in 416 three-ring notebooks (123 linear feet), there is a complete list of the documents providing the date each item was entered, its docket number, and the document's heading. Researchers must examine the list to determine the notebook-location of documents. Many of these documents also appear in other parts of the collection.

Sub-series 2: Resolved Cases Database

This series of 28 boxes (22.5 linear feet) is contains data derived from a sampling of cases A. H. Robins settled before bankruptcy proceedings began. In 1976 AHR created a Product Litigation System (PLS) to assist their lawyers in tracking Dalkon Shield claims and law suits. The master file in this database included the following information about a claim: claimant name; type of action; status of action; filing and resolution dates; insurance (Aetna) information; location of litigation; information about counsel; and resolution amounts.

About ten years later, during the claims estimation phase of the bankruptcy proceedings, AHR was asked to provide information on settled suits to assist in determining the company's liability for outstanding claims. By that time the PLS database held information on 9,500 resolved cases, of which 1,800 were selected for analysis. According to Francis McGovern, the court-appointed master of the study, the selection included 1,600 cases chosen at random, plus "a stratified sample" of the one hundred lowest and one hundred highest cases.

This new arrangement of resolved cases data presented eight categories of information: 1. Case Summary, which contained the master file data outlined above. 2. Dalkon Shield Use, providing basic information about use and type of injury. 3. Other Contraceptive Use, including dates and type. 4. Economic Damages, listing costs incurred by the claimant including work loss. 7. Statute of Limitation including date of claim, onset of injury, first consultation with attorney, state of residence. 8. Sexual History, including names of partners and dates of relationship. This information was followed by a medical history arranged by date and including information about symptoms, procedures performed, test and results.

In addition to the resolved cases, the McGovern study also involved analysis of questionnaires sent to about 6,000 claimants with pending claims. See Series VI Sub-series 1 Boxes 15-17 for a copy of the questionnaire along with additional information about the McGovern study.

The print-outs of the Resolved Cases Database are bound in twenty-six oversize volumes in Boxes 1-26. The names of the claimants and their partners have been obliterated, in order to protect their privacy. The volumes are open to research without restriction. Boxes 27 and 28 contain a copy of McGovern's final report titled Report of the Dalkon Shield Claims' Estimation Process, June 15, 1988.

Sub-series 3: Estimation Hearing and Disclosure Statement

From November 5 to 11, 1987, Judges Merhige and Shelley held hearings at which the various interested parties presented their estimates of the dollar value of the outstanding claims. Each party had hired experts to examine the data McGovern had compiled, and the work of these experts was presented at the hearing. Thomas Florence conducted the analysis and prepared the estimation for AHR. Other estimates were presented on behalf of the claimants' committee, Aetna, the official committee representing AHR shareholders, and the unsecured creditors. One month later Judge Merhige, having reviewed the estimates which ranged from $1.2 to 7.2 billion, announced that AHR's liability to claimants was $2.475 billion.

On February 1, 1988, American Home Products agreed to acquire AHR, and on March 28, 1988 Robins filed its Sixth Amended and Restated Disclosure Statement Pursuant to Section 1125 of the Bankruptcy Code. This document begins with a summary of the case and a detailed overview of the settlement, followed by the Plan of Reorganization, the Claimants Trust and Other Claimants Trust Agreements, the Claims Resolution Facility, the Merger Agreement, and other documents. Along with letters of endorsement, relevant court orders and notices, and a ballot, the Disclosure Statement was mailed to all eligible claimants to vote on approval of the plan in late April 1988.

This sub-series of 4 boxes and 1 carton (2.9 linear feet) contains the transcript of the hearing, Thomas Florence's estimation report, AHR memoranda on statute of limitations filed with the court at the time of estimation, and a copy of the disclosure statement with accompanying letters of endorsement, court orders and notices.

Boxes 1-2:

  • In Re: A. H. Robins: Estimation Hearing Transcripts 1987 November 5-11

Boxes 2-3:

  • Report of B. Thomas Florence on behalf of AHR at the Estimation Hearing [labeled Plaintiff's Exhibits 1-99] [1987] [6 folders]

Box 4:

  • Memorandum of A.H. Robins Regarding Statute of Limitations and Estimation of Dalkon Shield Claims 1987 November 2 [4 folders]
  • In Re: A.H. Robins: Sixth Amended and Restated Disclosure Statement Pursuant to Section 1125 of the Bankruptcy Code

Series VI: Dalkon Shield Claimants Trust Central Records Library

The Dalkon Shield Claimants Trust opened in early 1988 with the appointment of five trustees, Barbara Blum, Kenneth Feinberg, Gene Locks, Stephen Saltzburg, and Ann Samani. The critical issue of how the Trust would be managed proved as controversial as most other aspects of the bankruptcy settlement. Consequently, within months disputes caused the resignations of Blum, Samani, and Locks. One of the new appointees, Georgene Vairo, eventually became chair of the Trust and remained in that post until it closed.

Meanwhile the trustees hired Michael Sheppard, clerk of the bankruptcy court in Richmond, as executive director of the Trust. Others administrators hired shortly thereafter included Teri Lovelace and Ann Peters. At its peak the Trust employed a staff of almost four hundred. The staff included attorneys to handle the anticipated legal issues. General Counsel, Linda Thomason, was assisted by a team consisting of Lynn Greer, Susan Manardo, and Patricia Powis whose job was to oversee and coordinate representation of the Trust in cases that went to arbitration or litigation. Richmond lawyers Michael W. Smith and Orran L. Brown were hired as outside counsel. The legal department grew along with the caseload. Assisting the Trust staff were attorneys chosen in regions throughout the U.S., and in other countries, as required to handle local litigation. In addition, local defense attorneys were hired on a case-by-case basis when a claim went to arbitration or litigation.

The papers of the Trust include the Central Records Library (CRL), the official staff files which document the innumerable mailings to claimants, claims processing, and other Trust administrative matters, as well as the Trustees' minutes. Although the collection does not contain the files of administrative heads of the Trust, some of their correspondence and inter-office communications can be found in the CRL. The collection does include the files of the Trust's outside counsel, Orran L. Brown.

Sub-series 1: Central Records Library

The Central Records Library 166 boxes and cartons, 3 volumes (75.6 linear feet), contains the official file copies of the Trust's administrative records, 1989 to 1999. The records were assigned numbers and are filed in numerical order, but they also fall into the following thirty-two, sometimes overlapping, subject or form categories: alternative dispute resolution, A.H. Robins, arbitration, bankruptcy, Breland, consummation, contracts, correspondence, final dispute resolution, financial, forms, internal, late Dalkon Shield, litigation, mass mail, McGovern, management reports, newsletters, offer letters, options, orders, other, Other Trust, packets, procedures, projects, releases, settlement conference, special program (for in vitro fertilization), status, trustees, and warning/deadlines. The inventory which follows is in numerical order; available for use in the Special Collections department is an inventory arranged by subject.

The bulk of the CRL contains the staggering amount of communication the Trust conducted with the 218,000 claimants and with the attorneys who represented about 28% of them. One copy has been retained of each form or letter preserved in the CRL. In addition to mailings to claimants, the files document such matters as staff training; scripts for verbal communication with claimants; procedures for handling the various options; procedures for settlement conferences, ADR, and arbitration; the special program for assisting claimants seeking in vitro fertilization; pro rata payments; the financial management of the Trust; and Trust termination.

Please note that the CRL does not contain information about individual claims, claimants, or awards.

Box 1:

  • CRL 0001 Initial Notice to File a Claim with the U.S. Bankruptcy Court 1985
  • CRL 0002 Pleading by A.H. Robins Relating to the Breland Class Action 1989
  • CRL 0003 Summary of A.H. Robins Product Litigation System (PLS) (ARC471) 1988
  • CRL 0004 Objection of A.H. Robins to Bankruptcy Rules 3003 and 3007 to Certain Untimely DS Claims 1988  
  • CRL 0005 List of Robins Documents 1989  
  • CRL 0006 List of Participants in the A.H. Robins Removal Program 1989-1990
  • CRL 0007 List of A.H. Robins Pending Lawsuits (ARC43) 1989
  • CRL 0008 A.H. Robins Report on Plan of Reorganization 1988

Boxes 1-4:

  • CRL 0009 A.H. Robins Bar Date Master Pleadings 1985-1988 [12 folders]

Boxes 4-7:

  • CRL 0010 Records and Briefs Filed in the Fourth Circuit Before and During Bankruptcy Proceedings 1985-1989 [10 folders]
  • Arranged by docket number

Box 7:

  • CRL 0011 Disallowance Tape from A.H. Robins 1988
  • CRL 0012 A.H. Robins Packets 1990
  • CRL 0013 Agreement for Transfer of Funds from Robins to Trust 1990
  • CRL 0014 A.H. Robins' Report of Pre-bankruptcy Legal Cost Management 1984, 1994
  • CRL 0015 Copies of Partial Testimonies by Dr. Davis Re: Initial Insertion Dates for DS Users 1988

Boxes 7, 7a, 8:

  • CRL 0100 Scrapbooks Containing Articles Regarding the DS, Bankruptcy Case, Trust, Claims Deadlines, etc. 1974-1991 [6 folders]

Box 8:

  • CRL 1001 Notice of Special Program for Reconstructive Surgery and IVF (ARC264) [1987]
  • CRL 1002 Notice Regarding Reinstatement of Claim 1987  
  • CRL 1003 Questionnaire and Claim Form #1 (ARC268) 1987  
  • CRL 1004 Notice and Questionnaire #2 1987
  • CRL 1005 Schedule of Liabilities 1989
  • CRL 1006 Motion for Emergency Relief by the Dalkon Shield Claimants Committee 1988  
  • CRL 1007 Notice of Hearing on Motion For Administrative Order (ARC114) 1991
  • CRL 1007a Transcript of Hearing for Motion Re: Administrative Order 1991
  • CRL 1008 SRA Records Status Report 18-Mar-88 1988
  • CRL 1009 Memorandum Re: Late Claim Pleadings, Deceased Claimants 1988
  • CRL 1010 Summary of 100 Explanation Forms from Claimants Whose Claims had been Disallowed and were Requesting Reinstatement 1987  
  • CRL 1011 Notice of Disallowance Due to No Submission of Q1 or Q2; Deadline for Filing Objection Included 1987
  • CRL 1012 Memorandum Regarding Appeals From Orders Denying Reinstatement to DSCT 1988  
  • CRL 1014 Claims Resolution Facility Plan 1987

Boxes 9-10:

  • [CRL 1015] Pre-Consummation Proceedings [Trustee Removal] 1988-1989 [10 folders]

Box 11:

  • CRL 1016 Original User Claim Packet Sent by Court for Estimation Purposes 1986
  • CRL 1017 Original Adult Non User Claim Packet Sent Out by the Courts for the Estimation Process 1986
  • CRL 1018 Original Child Claim Packet Sent by the Court to be Used in the Estimation Process 1986
  • CRL 1019 Notice of Hearing on Confirmation of Debtors Plan of Reorganization 1988
  • CRL 1020 Cadwalader Pleadings 1988

Boes 11-12:

  • CRL 1021 Gallaway Pleadings 1987-1992 [5 folders]

Box 12:

  • CRL 1022 Rogers Pleadings 1990-1991 [3 folders]
  • CRL 1023 Confirmation Pleadings 1988, 1991

Box 13:

  • CRL 1024 Breland Pleadings 1988-1989
  • CRL 1025 Estimation Pleadings 1988, 1991

Boxes 13-14:

  • CRL 1026 Williams Pleadings 1982-1994 [4 folders]

Boxes 14-15:

  • CRL 1027 Dill Pleadings 1990-1991 [6 folders]

Box 15:

  • CRL 1028 Declaration of John D. Taylor Re: Compliance with Order for Bar Date Notification Program 1986
  • CRL 1029 Various Form Letters Used by the Bankruptcy Court for Claims n.d.
  • CRL 2000 McGovern Study. Questionnaire and Forms Sent to Random Sample of Claimants 1986-1988  
  • CRL 2001 McGovern Study Participant Listing 1990-1991
  • CRL 2003, 2006 Survey Research Associates [SRA], Training Notes and Manual and List of SRA System Codes and Forms 1986-1987

Box 16:

  • CRL 2004 SRA Review Log n.d.
  • CRL 2005 List of SRA File Integrations n.d.
  • CRL 2007 Notice to Non-Users of the DS; SRA Court Correspondence to Claimants 1986
  • CRL 2008 SRA File Audit Priority Status Guidelines 1986-1987
  • CRL 2009 [McGovern] Priority Claims List 1990
  • CRL 2010 SRA/McGovern Audit 1990
  • CRL 2012 List of SRA Claimants n.d., 1990
  • CRL 2013 Samples and Programs for Analyzing McGovern Study Results 1989
  • CRL 2014 Computer File Descriptions for PLS System, Law-Firm Look Up Tables, and Frozen Claims 1989
  • CRL 2017 SRA Documents 1986-1995 [3 folders]

Box 17:

  • CRL 3001 Information on Option 1 Election 1988
  • CRL 3002 Status Report on Trust 20-Apr-89 1989
  • CRL 3003 Primary Excess Policy From Aetna (ARC58) 1989
  • CRL 3004 Notice of Hearing on Adequacy of Disclosure Statement (ARC254) 1987
  • CRL 4001 Consummation of 6th Amended and Restate Plan of Reorganization (The Plan) [3 bound volumes]

Box 18:

  • CRL 4002 Ordered Entered 22-May-95 Upholding the Order Limiting Attorney Fees to 10% of the Pro Rata Distribution 1995 [4 folders]
  • CRL 4003 Order Dated 10/20/95 Regarding Payment of Pro Rata Distribution Funds 1995
  • CRL 4004 Order Disallowing Unreasonable Attorney Fees on Pro Rata Distribution 1995
  • CRL 4005 Notice of Entry of Administrative Order Number 1 Governing DSCT Arbitration and Litigation 1991, 1995

Box 19:

  • CRL 4006 Protective Order 1992
  • CRL 4007 Order Approving Insurance Trust Agreement for the Breland Class Action 1988  
  • CRL 4009 Order Setting Time Within Which Certified Claimants Must Commence or Recommence Litigation Against the DSCT 1995 [2 folders]
  • CRL 4010 Order Disallowing Twelve OTR Claims 1991

Boxes 19-20:

  • CRL 4011 Collection of Court Rulings, Orders, Opinions, etc 1990-1997 [6 folders]

Box 20:

  • CRL 4012 Order Vacating 11/13/85 Order, Fixes Bar Date as of 4/30/86, and Approves Form of Notice of Bar Date, Entered 11/22/85 by Judge Merhige 1985
  • CRL 4014 Order Upholding Pro Rata Fees Limit 1996
  • CRL 4015 Order Establishing Emergency Fund for Special Program, Entered 5/21/87 1987  
  • CRL 4016 Order Regarding Disposition of Pre-petition Case Files 1998
  • CRL 4017 Motions by the DSCT to Close OTR into DSCT 1996
  • CRL 4018 Transcripts and Exhibits for Pro Rata Fees Limitation Hearing 1995
  • CRL 4019 Order Approving Notice to Termination of Breland Insurance Trust 1998
  • CRL 4020 Order Regarding the Payment of Unpaid Arbitration Fees 1998
  • CRL 4021 Work Papers for Appeals to the Order Limiting Fees from Pro Rata Payments 1995
  • CRL 4022 Order Regarding the Termination of OTR and Transfer of Funds 1996
  • CRL 4023 Order Terminating the Breland Insurance Trust 1998
  • CRL 5001-5004 Photocopy Request (ARC166); Acknowledgement of Additional Information; Form Letter Listing Multiple Responses to Generic Question; Notice of Merger of Duplicate Claims n.d.
  • CRL 5005 Various Versions (Undated) of the Address Update Letter, Revised as Postcard 12/18/95 n.d.
  • CRL 5006-5011 Claimant Withdraw Form; Address Update Letter; Attorney Letter Asking them to Forward the Newsletters; Postcard Acknowledging Receipt of Claim Packet; Request for Re-Review Acknowledgement Letters n.d.
  • CRL 5012-5047 Form Letters Used by Breland Insurance Trust n.d.  
  • CRL 5048-5049 Identify Your Claim Letter #2; Option 2 Follow-Up Letter OPT2_FUP 1990, 1993

Box 21:

  • CRL 5050 Postcard Acknowledging the Receipt of the Rejection/ADR Election [1995]
  • CRL 5051 SC Requests for Conference Location Letters n.d.
  • CRL 5052 Letter Responding to Inquiries Re Additional Pro Rata Payments n.d.  
  • CRL 6000 PBC Forms for Claims Department Performance Evaluation [1992-1993]
  • CRL 6001 Claims Dept. Various Forms [1991]
  • CRL 6002 Option 2 and B Evaluation Forms and Policies and Procedures n.d.
  • CRL 6003-6037 Miscellaneous Forms n.d.
  • CRL 6038 Reclassification Letters and Forms 1977-1998
  • CRL 6040 Request for Replacement Pro Rata Check Form 1996
  • CRL 6041 Summary of Letters Included in the Blank Forms Directory as of 5/20/96 1996  
  • CRL 7001 Memos Regarding Future Plans for Downsizing 1993
  • CRL 7002 Attorney Merge Project 1990
  • File removed by DSCT, 2/2004
  • CRL 7004 Job Descriptions 1992, 1994
  • CRL 7005 Employee Survey 1992

Box 22:

  • CRL 7006 Memorandum Regarding Datastor Boxes 1987-1988 [2 folders]
  • CRL 7008 System Design Specifications for Option 1 Mailing 1988
  • CRL 7010 Summary of Reassignment of Unused LDS Numbers 1989
  • CRL 7011 DSCT Structure Charts 1995-1997
  • CRL 8000A Breland and OTR Contracts and Agreements 1991-1996 [2 folders]
  • CRL 8001 Furniture Sale Between A.H. Robins and DSCT 1988
  • CRL 8002 Directors and Officers Liability Policy 1990-1991
  • CRL 8003 1st and 2nd Outlier Policy 1989, 1992
  • CRL 8004 Management Agreement Between DSCT and Breland Insurance Trust 1995
  • CRL 8005 Management Agreement Between DSCT and OTR 1992, 1994
  • CRL 8006 Lease Between 500 Cary Street Corp. as Landlord and DSCT as Tenant 1993
  • CRL 8007 Lease for Exchange Place Building 1987-1991
  • CRL 8008-8009 Database Service Agreement; Proposal to Use Database for Storage of Microfilm n.d.
  • CRL 8012 Radio Station License 1991
  • CRL 8013 Service Agreement with Equifax for Dtech Services 1990  
  • CRL 8014 Scudder Agreement for Trustee Services 1991  
  • CRL 8015 Lease of the Breland Matter Correspondence System by Aetna 1990-1991

Box 22a:

  • CRL 8016 Assignments of Insurance Claims and Policies for Consummation 1989
  • CRL 8017 OTR Agreement Pursuant to the 6th Amended and Restated Plan 1989
  • CRL 8018 Escrow Agreements 1989
  • CRL 8019-8019A Custody, Claims Processing and Securities Lending Agreement; Custodial Agreement Dated 8/22/88 1988-1989  
  • CRL 8020 Tax Characterization Agreement 1990

Box 23:

  • CRL 8021 Blue Cross/Blue Shield Select Plan Contracts for Health Insurance n.d.
  • CRL 8022 Integrated Flexible Benefits Plan for Employers 1989  
  • CRL 8023 UNUM Employee Benefits 1988
  • CRL 8024 [DSCT Employee's 401K Plan]. Summary Plan Description 1989-1991
  • CRL 8025 BC/BS Policies for Health Insurance 1989-1994
  • CRL 8026 Memorandum Regarding Aetna Insurance 1989
  • CRL 8028-8029 Agreement Between Scudder Trust Company and DSCT; [Scudder] 401K Program Prototype Plan 1991
  • CRL 8031 Crestar Custody and Investment Agreements 1989, 1993-1994, 1996
  • CRL 8032 Background Documents on the Transition from Crestar to First Union 1997
  • Trustee Removal-Bankruptcy Court Pleadings; 4th Circuit Records and Briefs; Lawyers' Fees 1998-1989
  • File removed by DSCT, 2/2004
  • CRL 9001 DSCT Board of Trustees Minutes 1988 [5 folders]

Box 23b

  • CRL 9001 DSCT Board of Trustees Meeting: 2/18/1992; 1992, Feb. [3 folders]  
  • CRL 9001 DSCT Board of Trustees Meeting 4/9/1992; 1992, Apr.

Box 23c

  • CRL 9001 DSCT Board of Trustees Meeting 6/26/1992; 1992, Jun. [4 folders]
  • CRL 9001 DSCT Board of Trustees Meeting 9/3-9/1992; 1992, Sep. [2 folders]

Box 23d

  • CRL 9001 DSCT Board of Trustees Meeting 12/15/1992; 1992, Dec.
  • CRL 9001 DSCT Board of Trustees Meeting 2/17-18/1993; 1993, Feb. [3 folders]
  • CRL 9001 DSCT Board of Trustees Meeting 6/14/1993; 1993, Jun.
  • CRL 9001 DSCT Board of Trustees Meeting 8/3/1993; 1993, Aug.

Box 23e:

  • CRL 9001 DSCT Board of Trustees Meeting 9/1/1993; 1993, Sep.
  • CRL 9001 DSCT Board of Trustees Meeting 11/5/1993; 1993, Nov.
  • CRL 9001 DSCT Board of Trustees Meeting 1/27/1994; 1994, Jan.

Box 23f:

  • CRL 9001 DSCT Board of Trustees Meeting 5/18/1994; 1994, May
  • CRL 9001 DSCT Board of Trustees Meeting 7/28/1994; 1994, Jul.  
  • CRL 9001 DSCT Board of Trustees Meeting 9/8/1994; 1994, Sep.
  • CRL 9001 DSCT Board of Trustees Meeting 11/13-14/1994; 1994, Nov.

Box 23g:

  • CRL 9001 DSCT Board of Trustees Meeting 1/30/1995; 1995, Jan.
  • CRL 9001 DSCT Board of Trustees Meeting 2/27/1995; 1995, Feb. [2 folders]
  • CRL 9001 DSCT Board of Trustees Meeting 4/25/1995; 1995, Apr.
  • CRL 9001 DSCT Board of Trustees Meeting 6/22/1995; 1995, Jun.

Box 23h:

  • CRL 9001 DSCT Board of Trustees Meeting 9/29/1995; 1995, Sep.  
  • CRL 9001 DSCT Board of Trustees Meeting 11/3/1995; 1995, Nov. 
  • CRL 9001 DSCT Board of Trustees Meeting 1/11/1996; 1996, Jan.
  • CRL 9001 DSCT Board of Trustees Meeting 4/25-26/1996; 1996, Apr. [3 folders]

Box 23i:

  • CRL 9001 DSCT Board of Trustees Meeting 6/25/1996. 1996, Jun.
  • CRL 9001 DSCT Board of Trustees Meeting 10/2/1996; 1996, Oct. [3 folders]  
  • CRL 9001 DSCT Board of Trustees Crestar/Capitoline Dispute 1996, Oct.
  • Litigation and Arbitration Report Prepared for Trustees 1996, Dec.

Box 23j:

  • CRL 9001 DSCT Board of Trustees Meeting 12/18/1996; 1996, Dec.
  • CRL 9001 DSCT Board of Trustees Conference Call 1/15/1997; 1997, Jan.
  • Legal Report 1997, Feb.
  • CRL 9001 DSCT Board of Trustees Meeting 2/17/1997; 1997, Feb. [2 folders]
  • Closedown Committee Meeting 4/17/1997; 1997, Apr.
  • CRL 9001 DSCT Board of Trustees Meeting 4/28/1997; 1997, Apr.
  • CRL 9001 DSCT Board of Trustees Meeting 6/24/1997; 1997, Jun.

Box 24:

  • CRL 9002 Overview of Trust Operations and Summary of Future Plans 1992-1994, 1996

Box 25:

  • CRL 9003 Proposal for Directors and Officers Liability n.d.
  • CRL 9004 Summary of Estimation of Fund Requirements for the DSCT 1987
  • CRL 9005, 9021 DSCT By-laws and Interim By-laws 1988  
  • CRL 9006 "The DSCT: Paradigm Lost (or Found)?"; Article Written by Georgene Vairo in Fordham Law Review 1992
  • CRL 9007 Summary of Travel Expenses 1993 
  • CRL 9008 Summary of Presentation to Trustees of Management Projects (1991); 1991
  • CRL 9009 Report of Current and Future Liabilities for the Breland Trust 1993
  • CRL 9010 Report of Plan to Restructure Plan of the Trust [and Planning Team Recommendations] 1993-1994
  • CRL 9011 Proposals from Various Sources for the NTP Services in Arbitration 1991 [2 folders]
  • CRL 9012 Letter Certifying that John Dowd has Returned All Information Pertaining to the Trust and Has Kept No Copies 1992
  • CRL 9013 Reports of Structured Settlement Proposals and Requirements 1991
  • CRL 9014 Transcription of Orlando ATLA Meeting 1990

Box 25a:

  • CRL 9019 Option 2/3 Status and Expert Proposals 1989

Box 26:

  • CRL 9016 Performance Report of Investments 1990
  • CRL 9017 Public Information Release; Nomination of Georgene Vairo as a Trustee 1988
  • File Removed by DSCT Team, 2/2004
  • CRL 9020 Budget Recommendations 1996
  • CRL 9022 Trustee Notification of Discounted Dividend 1995
  • CRL 9023 Resolution Allowing Reductions from the Other Claimants Trust Reserve Account 1998
  • CRL 10000 Letter Dated 7/7/95 Warning FDR [Final Dispute Resolution] Claimants of 9/1/95 Deadline Mailing 1995
  • CRL 10001-10003 Letters Informing Claimants of Deadlines 1989, 1992, 1995
  • CRL 10004 Letter to Irish Dalkon Shield Association 1989
  • CRl 10005 Letter Warning of 7/1/92 for Breland Claimants to Submit Claim Forms 1992
  • CRL 10006-10007 Notice of Possible Disallowance: Postcard Warning of Deadline to Elect an Option 1991 
  • CRL 10009 Postcard Warning of Breland Deadline to Elect Option 3 1995
  • CRL 10010-10011 Letter Warning to Claimants of the 7/14/95 Deadline to Submit Option 3 Packets and Deadline to Accept Their Offers; Letter Warning of Deadline to Elect Option 3 and to Submit Releases 1995
  • CRL 10012-10014 Letter Warning of Breland Deadline to File an Option C and Deadline to Accept or Reject/Elect Offer; Postcard from Breland Acknowledging Receipt of Intent to Participate 1995
  • CRL 10016-10017 Letter Warning of the 9/1/95 Deadline; Letter Warning Certified Claimants of the 9/1/95 Deadline 1995
  • CRL 10018 Letter Warning of LDS Deadline (#1) of the 6/30/95 Deadline 1995 [2 folders]
  • CRL 10019 Letter Warning Claimants with Uncashed Settlement Checks of the 9/1/94 Deadline to Cash Their Checks 1994

Box 27:

  • CRL 10020 Letter Warning of the 8/1/94 Deadline to Submit Completed Claim Material 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10021 Postcard Warning of the 8/1/94 Deadline to Submit Claim Material 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10022-10024 Postcards Warning of the 9/1/95 Deadline 1995
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10025 LDS Notice of 6/30/94 Deadline for Filing Materials 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10026 Generic Postcard Sent to Claimants to Elect ADR/SC n.d.
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10027 Breland Warning of 12/31/95 Deadline to Accept Offer 1995
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 10028 Letter to Opt B Claimants Stating that they Must Accept their Offer by 12/31/95 Deadline 1995
  • CRL 10029-10033 Letters and Postcard Notifying Claimants of Deadlines 1995-1996
  • CRL 10034 Press Release Dated 4/29/96 Re: ADR Deadline, 25% Pro Rata Payment and ADR Stats 1996
  • CRL 10035 Listing of Claims Disallowed as a Result of 5/1/96 Deadline 1996

Boxes 27-29:

  • CRL 11001 External Financial Statements for DSCT 1988-1998

Box 29:

  • CRL 11002 External Financial Reports for Breland Insurance Trust 1991-1998

Box 30:

  • CRL 11003 External Financial Statements for OTR 1989-1991

Boxes 30-46:

  • CRL 11004 Financial Statements for DSCT 1990-1996

Boxes 46-51:

  • CRL 11005 Financial Statements for Breland Insurance Trust 1990-1996 [1 binder per month, '93-'95]

Boxes 52-54:

  • CRL 11006 Financial Reports for OTR [Other Claimants Trust] 1990-1994, Dec. 1995

Box 55:

  • CRL 11007 IRS Letter Approving the Plan 1991
  • CRL 11009 Crestar 401K Plan and Statement 1989-1990 [3 folders]
  • CRL 11010 Breland Insurance Tax Form 1041 with Supplements 1990
  • CRL 11011 5500 Tax forms for DSCT 1989-1990, 1993-1994
  • CRL 11012 Form 5032 to IRS 1991
  • CRL 11013 Financial Investment Surveys for OTR 1991
  • CRL 11014-11018 DSCT Group Insurance Policies n.d.
  • CRL 11019 Employer Information Report 1990-1991
  • CRL 11020 5500 Tax Report of Employee Benefits 1994-1997
  • CRL 11021 Taxibility Issues (Memos) 1988-1997

Box 56:

  • CRL 12001-12009 Option 1 Forms, Letters, Q and A Sheets and Informations Sheets 1988-1989, 1992
  • CRL 12100-12120 Option 2 Booklets, Information Sheets, Payment Schedule, Instruction Sheet, Affidavit Form, Medical Records Request Form, Authorization Form; Option 2 Child Election Packet n.d.
  • CRL 12200-12216 Option 3 User Claim Books, Information Letter, Instruction to Retrieve Medical Records, Affidavit Form, Medical Request Form, Authorization Form, Wrongful Death Packet n.d.
  • CRL 12300-12304 Option 4 User Claims Forms, Information Sheet n.d.
  • CRL 12400 Option 5 Voluntary Withdrawal of Claim Form n.d.
  • CRL 12600 User Election Packet n.d.  
  • CRL 12601 Non-User Election Packet n.d.

Box 57:

  • CRL 12602 Child Election Packet n.d.
  • CRL 12700-12701 Breland User and Non-User Option A Claim Forms [1996]
  • CRL 12750-12751 Breland User and Non-User Option B Forms n.d.
  • CRL 12800-12802 Breland User, Non-User, and Child Option C Claim Forms [1995]
  • CRL 12850-12851 Breland User and Non-User Option D Claim Form n.d.
  • CRL 12900-12901 Quick Payment Questionnaire and General Release of Claim (Option Q Claim Form); Voluntary Withdrawal Form n.d.
  • CRL 12950-12960 Breland Insurance Trust Letters, Questionnaires, Instructions, Forms, Option Sheets, etc. n.d.
  • CRL 12970-12971 Breland User and Non-User Claim Packets n.d.
  • CRL 12972-12973 Breland Rejection and Election Form; Notification of 12/31/95 Deadline for Bit Option B Claimants 1995
  • CRL 12999 Late Claim Form n.d.
  • CRL 13000 Pro Rata Check Stuffer 1995-1996
  • CRL 13001 Breland Reinstatement Requests 1992
  • CRL 13002 Bit Claim with LDS Claim Status Letter 1995
  • CRL 13003-13004 Letters Informing Claimants of 60% Distribution; Letter to Joint Claimants Eligible for Pro Rata 1995
  • CRL 13005 Letter Requesting the Claimant to Indicate if the Claimant was a User, Husband, Child, Father, or Other 1990
  • CRL 13006 Dear Doctor Letter 1990
  • CRL 13008 Category 5 Letter Warning of the 9/1/94 Deadline to Accept or Reject/Elect 1994
  • CRL 13009 Letter Warning of the Withdrawal of the Offer at the 91st Day 1995
  • CRL 13010 Letter to LDS Appellants of the Request to Make Timely to Court 1995
  • CRL 13011 Mailing to Attorneys of Late Claim Appeals 1995
  • CRL 13012 No-elects Deadline to Elect 5/8/95 1995

Box 58:

  • CRL 13013 Order Disallowing Unreasonable Attorneys Fees on Pro Rata Distribution 1995 [2 folders]
  • CRL 13014 Notice of Deadline to Reactivate the Option 4 and File a Claim 1995
  • CRL 13015 Claims Resolution Election Form for ADR/LIT/ARB 1995
  • CRL 13016 Breland Distribution Letter 1995
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13017 Late Claim Made Timely Letter (Option 3 Claims) 1995 [2 folders]
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13018 Letter Reporting Order to Make Late Claims Timely, Mailing List Provided 1995
  • CRL 13019 Re-review Request Form Mailing 1994

Box 59:

  • CRL 13020 Letter to Claimants Notifying of Raise in ADR Cap to $20000, Mailed with ADR Election Form, Rules and Q and A 1993, 1995  
  • CRL 13021 Attorney Rejection Letter/SC Clarification Letter 1993
  • CRL 13022 Mass Mailing Report [1986-1992]  
  • CRL 13023 Letter Offering ADR to LIT/ARB Claimants 1993  
  • CRL 13024-13025 Pro Rata Payment Letter for Claimants in SC Process; Press Release 1995
  • CRL 13026 Prospective Claimant Letter; Order Re: LDS Claimants [1990]
  • CRL 13027 Information on Appeal from Conflicting User Claim n.d.
  • CRL 13028 Instructions to Breland Claimants to File a DSCT Late Claim [1991]
  • CRL 13029 Order to Accept Late Claims with Letter of Explanation 1990
  • CRL 13030 Order Regarding Payment of Pro Rata Distribution Funds [and Mailing List] 1995 [4 folders]

Box 60:

  • CRL 13031 Option One Warning Mailing (Category 1-1A Mailing) 1994
  • CRl 13032 Stalled Claims in SC Mailing (Category 6 Mailing) Mailed on 4/15/94-Warned of 7/15/94 Deadline 1994
  • CRL 13033 LAMS [Litigation and Arbitration Management System] No Elect Mailing (Category 5) 1994
  • CRL 13034 Option Packets Mailed to Outstanding Option 2/3 Claims (Category 1 User/Nonuser); Mailing List 1994
  • CRL 13035 Mailing of Options Packets to Option 2 Rejections No Elects (Category 4 Mailing); Mailed April 1, 1995 1995 
  • CRL 13036 Mailing to Option 1/5 Elects with No Election Form in House (Category 1A) 1994

Boex 60-61:

  • CRL 13036A Packets Sent to Option 2/3 Claimants with No Queue Number, Cover Letter Warning of 8/1/94 Deadling; Mailing List 1994 [7 folders]

Box 61:

  • CRL 13037 Option 4 Follow Up Packet Warning of 4/30/93 Deadline to Elect, Mailed 29-Jan-93 1993
  • CRL 13038 Last Chance Packet. Deadline of Option Election of 7/1/91 Warning, Mailed on 01-May-91 1991
  • CRL 13040 Press Release Process for Late Claim Deadline 1994 [2 folders]
  • CRl 13041 Pro Rata Stuffer (Insert for Pro Rata Checks) 1996
  • CRL 13042-13044 Packet Mailed to Option 2 Rejections that have not Elected Option 3 or Accepted their Offer, Cover Letter Dated 9/18/95 1995 [144 Oversize]
  • CRL 13045 Notice of OTR Bar Date of 4/1/96 [Dalkon ACP Mailing List] 1996

Box 62:

  • CRL 13046 Order Regarding Pro Rata Payments After 31-Dec-95--Mailed on 2/13/96 to Attorneys 1995-1996
  • CRL 13047 Complaint Certification Deadline Warning of 01-Apr-96 Deadline -Mailed 16-Feb-96-to Legal Claimants who Have Not Decided 1996
  • CRL 13048 Packet Warning of Disallowance 4/1/96 1996
  • CRL 13049-13051 Packets Mailed to Offers Outstanding >725, Warning of the 5/1/96 Deadline 1996  
  • CRL 13052-13053 Option 4 and D Activation Mailing 1994-1995  
  • CRL 13054 Letter Reminding Claimants of Final 5/1/96 Deadline 1996
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13055 LDS Warning Postcard of 6-30-95 Deadline, Mailed 6/1/95 1995
  • Mailing list removed by DSCT Redaction Team, 2/2004

Boxes 62-63:

  • CRL 13056 Mailing Re: The Opportunity to Accept Offer-ADR Elects Received Mailing (Mailed 5/1/96) 1995-1996
  • Mailing list removed by DSCT Redaction Team, 2/2004

Box 63:

  • CRL 13057 Warning Letter of 2/1/95 Deadline for SC Claimants who have not Returned a SC Questionnaire or Medical Authorization-Mailed on 10/26/94 1994-1995
  • CRL 13058 Proof of Postage and Invoices for Newsletters-Used by Legal in Most Instances to Support Mailings 1994-1996  
  • CRL 13059 LDS Phillipine Claim Disallowance Mailing 1994
  • Mailing list in Oversize Box 144, removed by DSCT Redaction Team, 2/2004
  • CRL 13060 Claim Type ID Mailing, Included Option 1/5 Options 1990
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13061-13063 Breland Claim Mailings; Letter to Inform Breland Claimants of an Additional 30% Payment 1993-1994
  • CRL 13064 Disallowance of Fraudulent Claims Report 1994
  • CRL 13065 Mailing to Option C Claimbooks with No Signature 1994
  • CRL 13066 Request for Option 3 Claimants with no Signed Claimbook to Return Claim Book by 11/2/94 1994  
  • CRL 13067 Notification of Change of Address for Special Program PO Box 1994
  • CRL 13068 Notification of Discontinuance of ART [Administrative Review Team] Process 1994  
  • CRL 13069 Offer of Option One to Non-Users that Were Offered Less than Option One Amount 1994
  • CRL 13070 Notification to Breland Claims of the Discontinuance of BART 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13071 Notification of 3/1/95 Deadline to Submit ADR [Alternative Dispute Resolution] Agreement 1994
  • CRL 13072 Notification to LIT/ARB Claimants of the Availability of Re-review 1994
  • CRL 13073 Notification of Deficient LDS Claim and Warning of 8/31/94 Deadline to Submit Materials 1994  
  • CRL 13073A Complete Listing of Disallowed Claims for Failure to Submit a Completed Claim Package 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004

Box 64:

  • CRL 13074 Notification of Late Claim Request Received after Deadline 1994  
  • CRL 13075 Option 3 No Elect Mailing, Requesting Election by 12/1/94 1994  
  • CRL 13076 Claimant Newsletter Mailing to Attorneys That Were Not Forwarding Them to Claimants 1994  
  • CRL 13077 Notification of the Removal of the Review Hold Placed on IVF [In Vitro Fertilization] Claims Effective 1/1/95 1994  
  • CRL 13078 Notification of Deadline to Proceed with the Option 2/3 Claims Stalled, (60 Days) 1995
  • CRL 13079 Notification to Stalled Option 2/3 Claims Requesting Action by 6/1/94 1994
  • CRL 13080 Notification of 6/1/94 Deadline to Proceed with Option 2/3 Joint Claims Stalled in Process 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 13081 Special Option One Mailing to Claimants Not Previously Elegible 1993-1994
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 13082 Notification to Late Claims of the Hold on Reclassification Process 1994
  • CRL 13083 LDS Address Update Mailing 1994
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13084 Follow Up to Special Option One Mailing 1994

Box 65:

  • CRL 13085 Mailing of ADR Claimants Ability to Accept their Settlement Offer 1996 
  • CRL 13086 Mailing of Warning of 10/1/96 Deadline to Choose ADR/LIT/ARB Offer 1996 [5 folders]
  • Mailing list in folder no. 1 removed by DSCT Redaction Team, 2/2004

Box 66:

  • CRL 13078A-13078D Second Warning of 10/1/96 Deadline, Sent Certified 1996
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13088 Letter Sent with Corrected Breland Release, Mailed 8/2/96 1996
  • CRL 13089 Letter from PAC [Private Adjudication Center] Explaining Revisions to the Scheduling Process, Trust Assuming Scheduling Responsibilities 1996
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 13090 Elimination of ADR Mailing, for Breland Claims 1996  
  • CRL 13090B Notice of Elimination of ADR from DSCT Trustee 1996
  • Mailing list removed by DSCT Redaction Team, 2/2004
  • CRL 13091 Postcard of Third Warning of 10/1/96 Deadline 1996
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 13092 Mailing to ADR Attorneys with more than 5 Claims in ADR 1996  
  • CRL 13093 ADR Notification Letter Mailing 1996
  • CRL 13094 Compliance Audit of 60% Pro Rata 1996
  • CRL 13095 Outstanding Pro Rata Check Warning Letter 1997

Box 67:

  • CRL 13096-13096A Lutz Mailing; Lutz Mailing Resulting from Appeals Court Ruling 1997
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 13097 LIT/ARB Mailing Offering ADR Election Until 7/31/97 1997
  • CRL 13098 PAC Address Update Mailing 1997  
  • CRL 13099 Collection of Press Releases 1988-1996  
  • CRL 13100 Pro Rata III Notification Letter/Deadline to Cash n.d. [4 folders]
  • Documents with claimant identification removed by DSCT Redaction Team, 2/2004

Box 68:

  • CRL 13101 Pro Rata III Warning Letter (3/1/99) Deadline 1999
  • Mailing list removed by DSCT Redaction Team, 2/2004  
  • CRL 14002, 14004-14032 Miscellaneous Letters Sent By DSCT Regarding Medical Records and Information [1990-1992]
  • CRL 14003 Late Claimant not Eligible for Special Program [1990-1992]
  • CRL 14033 Report of Cases in the Special Program (InVitro Fertilization Program) 1990-1992
  • Documents with claimant information removed by DSCT Redaction Team, 2/2004
  • CRL 14034 Program Development Work Papers for the Special Program 1988-1989
  • Documents with claimant identification removed by DSCT Redaction Team, 2/2004

Box 69:

  • CRL 14035 [Special Program Correspondence with Doctors.] Resumes 1990-1995 [3 folders]
  • CRL 14036, 14038-14047 Special Program/IVF Packet n.d.
  • CRL 14037 Special Program Information Request 1988
  • CRL 14048 Listing of the Trust's Consulting Physicians 1994
  • CRL 14049 List of [IVF] Offer Calculations with Dividend n.d.  
  • CRL 15001-15003 Trust Initial Offer Letters for Conflict Claim, to IVF Program Participants and for Compensable Claimants 1993, 1996  
  • CRL 15000, 15004 Breland Initial Offer Letters for Conflict Claim and Compensable Claimant 1993
  • CRL 15006-15007 In-Depth Review Offer Letters 1993
  • CRL 15008 Breland Final Offer Letter 1993
  • CRL 15009 Trust Final Offer Letters 1991-1994
  • CRL 15010 Joint Offer Letters and Procedures 1993  
  • CRL 15011 LAMS Re-Review Offer Letters 1995  
  • CRL 15012-15019 [DSCT Re-Review Offer Letters] 1996  
  • CRL 16000 Option 2 General Release of Claims 1996  
  • CRL 16001 Option 3 General Release of Claims 1996
  • CRL 16002 General Release of Claims-Survivor Release n.d.
  • CRL 16003 Breland General Release of Claims 1995-1996
  • CRL 16004 Release B for OTR Corporate Claimants 1990
  • CRL 16006 Release with Future Pro Rata Payment 1996
  • CRL 16007 Release with Dividend 1996
  • CRL 16009, 16011 Agreements to Limit Attorneys Fees and Costs [sample] 1996
  • CRL 16010 General Release of Claims-Survival Release 1996  
  • CRL 17000 45 Day Packet Explanation Letter 1993  
  • CRL 17004 45 Day Packet (LIT/ARB Information) 1991-1995
  • CRL 17005 91st Day Packet n.d.
  • CRL 17006 91st Day Packet Letter 1993

Box 69a:

  • DSCT Claim Review Form 1990-1994
  • DSCT General Release of Claims Forms n.d.
  • DSCT Miscellaneous Forms 1988
  • Forms: Child Claim Form 1993-1994
  • Forms: Husband Claim Forms 1990
  • Forms: User Claim Valuation Worksheet 1990-1991

Box 70:

  • CRL 17007 45 Day Packet Letter 1994-1995
  • CRL 17008 Rejection Packet 1993
  • CRL 18000-18020 [Settlement Conference Letters Master Copy Notebook] 1991-1995
  • CRL 18100 Additional Information Sheet With and Without Deadline Warning Section 1995
  • CRL 18104 SC Confidentiality Agreement 1995
  • CRL 18106 [SC] Acceptance Considerations 1995-1996
  • CRL 18110 Settlement Conference Packet Label 3 for Special Releases 1995
  • CRL 18111 Settlement Conference Packet Label 1 for Offers Greater than $725 1995
  • CRL 18112 Settlement Conference Packet Label 2 for Offers Less than $725 1995
  • CRL 18113 Settlement Conference Packet Label 4 for Offers Greater Than $300 and Less Than $725 1995
  • CRL 18114 Pro Rata Distribution Chart 1995
  • CRL 18201 Breland SC Materials Packet with Offers Greater Than $725 1995  
  • CRL 18202 Breland SC Materials Packet for Claims Less than $725 1995

Box 71:

  • CRL 18203 Breland SC Materials Packets (Special Release) 1995
  • CRL 18204 Acceptance Considerations for BIT Claims 1995-1996
  • CRL 19000 Rules Governing ADR [Alternative Dispute Resolution] 1992-1994, 1996  
  • CRL 19001 Common Questions about ADR, Q& A 1993-1995
  • CRL 19002 ADR Results 1993-1996
  • CRL 19003 ADR Considerations 1995-1996
  • CRL 19004 ADR Election Packet Cover Letter 1992-1994
  • CRL 19005 ADR Election Packet 1993
  • CRL 19006 ADR Introduction Letters 1993-1994
  • CRL 19007 ADR vs. In-Depth Settlement Conference Information Packet 1993-1994  
  • CRL 19008 ADR Glossary 1993
  • CRL 19009 In-Depth SC/ADR Election Form 1993-1994
  • CRL 19010 ADR Agreement 1993
  • CRL 19011 PAC [Private Adjudication Center, Inc.] Introduction Letter 1993-1994
  • CRL 19012 DSCT Claims Resolutions Election Form for ADR Only (Single and Joint Forms) 1993, 1995-1996
  • CRL 19013 ADR Agreement Cover Letter 1992-1993
  • CRL 19015 ADR Survey 1993
  • CRL 19016 ADR Internal Forms/Correspondence 1992
  • CRL 19017 Breland ADR/ARB Election Form 1995
  • CRL 19108 Breland Package for Option C Rejections No Elects 1995
  • CRL 19019-19021 Breland SC Rejection Packet Cover Letter Detailing ADR and Arbitration Choices 1995-1996  
  • CRL 19022 BIT Claims Resolution Election Form for ADR Only (Joint and Single Forms) 1995-1996
  • CRL 19023 Guidelines for Security of ADR Advocates at Hearings 1996
  • CRL 19024 Pre-Hearing Call Informational Sheet for Referees with Cover Letter 1996
  • CRL 19025-19028 Joint Resolution and Election Form; Guidelines for Prehearing Calls; Prehearing Call Observation Sheet; Rejection and Election Form 1996
  • CRL 19029-19031 ADR Checklist and Forms 1996
  • CRL 19032 ADR Notification Letters 1996 
  • CRL 19033 ADR Task Force-ADR Cap Changes to $20000, Fast Track Arbitration Eliminated 1993-1994
  • CRL 19034 ADR Summary of Proposal to Increase Award to $20000 1993
  • CRL 19035 Letter Mailed to Claimants Informing them of the Increase in the ADR Cap to $20,000 1993

Box 72:

  • CRL 19036 Mailing to ADR-Accept Offer with 75% Dividend 1996  
  • CRL 19037 Private Adjudication Center Program Summary n.d. [2 folders]

Boxes 72-77:

  • CRL 19038 Original Case Specific Affadavits [CSA's] DS Number Order, Vols. 1-7 1995-1996 [31 folders]

Box 78:

  • CRL 19039 General Affadavits Exchanged/CVS for Doctors 1995-1997  
  • CRL 20000 Rules Governing Regular Arbitration 1991, 1995, 1997
  • CRL 20001-20002 Common Questions About Binding Arbitration; Arbitration Glossary 1993, 1995-1996  
  • CRL 20003 Jury Trial and Arbitration Results 1994, 1996  
  • CRL 20004 Rules Governing Fast-Track Arbitration n.d.
  • CRL 20005-20007 Trial and Arbitration Considerations; Election Form for Litigation/Arbitration 1995-1996  
  • CRL 20008 Defining an Arbitration Policy 1991  
  • CRL 20009 New Arbitration Rules Mailing 1995
  • CRL 20010-20011 Arbitration Election Forms for DSCT and Breland 1996-1997  
  • CRL 21000 Rossman Information 1991-1992  
  • CRL 21004 DSCT History and Background Sent to Local Counsel for Orientation Purposes 1991 [2 folders]
  • CRL 21005 Common Questions About Trial 1996  
  • CRl 21006 Sample 120 Day Deadline Warning to Commence or Recommence Litigation Against Trust Per Order 1996  
  • CRL 21007 Trial Election Form for DSCT 1996
  • CRL 21008 Philippine Pleadings 1994-1996

Box 79:

  • CRL 21009A Order and Report of Disallowance of Philippine Late Claims 1994-1995  
  • CRL 21012 Litigation Factors 1991  
  • CRL 21013 Policy Manual for Litigation/Arbitration 1992 [3 folders]

Boxes 79-80:

  • CRL 21014 Information Packets Provided to Local Counsel 1992-1993 [5 folders]

Box 80:

  • CRL 21015 Legal Resource Team Procedures 1993 [2 folders]  
  • CRL 22000 Daily Option Count Forms 1990-1991 [3 folders]

Box 81:

  • CRL 22001-22003 Non DS Users and Related Derivative Claims Listing; Type Conflict Report; Domestic and Foreign Claimants w/Pre 1968 Insertions and Domestic Claimants w/Post 1976 Insertions; Derivative Future Claims Report 1988, 1990-1991  
  • CRL 22004 Reclassification Request Forms 1989 [2 folders]
  • File removed by DSCT, 2/2004

Boxes 82-83:

  • CRL 22005 Option 3 Weekly Status Reports 1990-1991 [6 folders]

Box 83:

  • CRL 22006 Option 2 Weekly Status Reports 20-Apr-90 Through 4-Oct-91, and 1/9/95 Through 7/28/95 [Breland] 1990-1991, 1995 3 folders 
  • CRL 22007 Listing of Claimants who were Compensated for their Injuries Prior to the Robins Bankruptcy 1991
  • CRL 22008 Priority Change Status Reports and Documentation [Memoranda] 1990-1992
  • CRL 22010 Quarterly Option 3 Productivity Study 1991-1992  
  • CRL 22011 Quarterly Option 3 Claim Composition Report 1992  
  • CRL 22012 Other Claimants Trust and Breland Insurance Trust Summary July 2, 1991

Boxes 84-85:

  • CRL 22013 Summary of Option 3 Claims and Totals for All DS Claim Options By Attorney [Weekly Report] 1992-1995 [8 folders]

Box 85:

  • CRL 22014 Option 3 Rejection Report for DS and LDS Claimants 1995
  • CRL 22015 Claims Dept. Summary Report 7/91 1991
  • CRL 22016 Summary of Option C Claims and Totals for all Breland Claim Options by Attorney 1995
  • CRL 22018 List of Claims Disallowed as a Result of the 10/1/96 Deadline 1996  
  • CRL 22019 Results for the 7/1/96 Mailing 1996

Boxes 85-96:

  • CRL 23001 DSCT Management Reports 1990-1996 [60 folders; also Box 145 oversize]

Boxes: 96-98:

  • CRL 23002 LDS [Late Dalkon Shield] Management Reports for the Late Claims 1995-1996 [7 folders]

Box 98:

  • CRL 23003 Breland Insurance Trust Management Report 1991, 1994-1996 [4 folders]  
  • CRL 23004 ADR [Alternative Dispute Resolution] Weekly Reports 1995
  • CRL 23039 Option 3 Offers 1993

Box 99:

  • CRL 24000 Late Claims Training Manual n.d.
  • CRL 24001 LDS Bardate Information/Process 1994 [2 folders]
  • CRL 24002 Documentation of the Development of the LDS Claim Packets 1994 [2 folders]
  • CRL 24003 List of LDS Numbers Voided and Reassigned 1989  
  • CRL 24004 LDS Court Recommendation Process 1990-1992

Box 100:

  • CRL 24005-24007 Late Claim Application, Mailing to Late Claim Appellants, LDS Address Update/Notification of Disallowance Letter 1995  
  • CRL 24015 Late Claims Reports 1990-1991 [8 folders]

Box 101:

  • [CRL 24015] LDS [Late Dalkon Shield] First Report Objections [1990]  
  • [CRL 24015] LDS Objections to DSCT Late Claim Recommendations and Request of Hearing 1990 [2 folders]  
  • [CRL 24015] LDS Medical Review Chronology First Report 1990 [2 folders]

Box 102:

  • CRL 24016 Late Claims Review Process Notebook n.d.
  • CRL 24018 Late Filed Claims Q& A Portion of Script as of 7/5/90 1990  
  • CRL 24200 Late Claim Option Packet 1995  
  • CRL 25001 Memo Re Breland Matter Processing System 1989  
  • CRL 25002 Holdback Explanation for Breland Claimants n.d.

Box 103:

  • CRL 25003 Executive Director's Correspondence Regarding Breland 1988-1990 [2 folders]
  • CRL 25004 Breland Estimation Project Details 1991 [2 folders]
  • CRL 25005 Breland Reimbursement of Search Fee Letters 1992
  • CRL 25006 Breland Final Warning Postcard of 12/31/95 Deadline 1995
  • CRL 25007 Breland Tax Forms 1991, 1993

Boxes 103-104:

  • CRL 25008 List of Breland Claimants 1989 [4 folders]
  • Mailing list removed by DSCT Redaction Team, 2/2004

Box 104:

  • CRL 25009 LDS Log for Claim Number Assignments 1987-1990  
  • CRL 25010 Breland Matter Class B Packets 1988  
  • CRL 25012 Press Release Increase in Breland Holdback February 16, 1994 1994
  • CRL 25013 Breland Claim Study 1992  
  • CRL 25014 Breland Distribution Planning Folder 1992-1993

Box 104-106:

  • CRL 25016 Aetna Binders. Information Provided to and from Aetna for Aetna Project 1991-1996 [10 folders]

Box 106:

  • CRL 25017 Breland Termination Documents 1998
  • CRL 26000 OTR [Other Claimants Trust] Certificate of Resolution (Consummation) 1989

Box 106a:

  • CRL 26001-OTR Trustees Minutes 1988-1996 [5 folders]

Box 107:

  • CRL 26002 OTR Taxes 1989-1991
  • CRL 26003 OTR Claims Resolution Procedure [1988]  
  • CRL 26004 Director and Officer's Insurance Liability Policy 1990
  • CRL 26005 OTR Investment Manager Reports/ Policies and Procedures 1989-1991 [2 folders]
  • CRL 26007, 26012 OTR Offer Letter Mailing 1990 
  • CRL 26008 OTR Offer Letter Mailing 1990  
  • CRL 26009 OTR Forms 1990
  • CRL 26010 OTR Claim Payment Procedures 1990
  • CRL 26011 OTR Accounting Procedures (w/"OTR Claims 6/95") 1990

Box 108:

  • CRL 26012 Report of DS Claims Estimation Process for OTR 1988
  • CRL 26013 Agreement on Transfer of Funds of OTR to DSCT Due to the Termination of the Other Trust 1988
  • CRL 26014 AH Robins Dear Doctor Letter for Removal Program 1984
  • CRL (no #) OTR Memorandum of Law 1988-1995 [2 folders]  
  • CRL (no #) OTR Claims 1995
  • CRL 27000 Claims Resolution Report. DSCT Newsletters (Numbers 1-14) 1989-1994  
  • CRL 27001 Attorney Update Newsletters 1990-1991
  • CRL 27002 Late Claims Reporter. Newsletter to LDS Claimants 1990-1994
  • CRL 27003 The Bulletin. Newsletter to Breland Claimants 1990-1993

Box 109:

  • CRL 27004 Trust Us. Monthly Newsletter for DSCT Employees 1989-1996 [2 folders]
  • CRL 27005 DSCT Counsel Update 1992
  • CRL 28001 Office Procedures for Temporary Staff Assigned by the Court 1987-1988 [2 folders]

Boxes 109-110:

  • CRL 28003 Breland/LDS Procedures 1990-1991 [3 folders]

Box 110:

  • CRL 28004 Settlement Conference Procedures 1991-1995 [2 folders]
  • CRL 28005 Settlement Conference Script (Merged with DSCT and Bit Phone Scripts) 1995-1996
  • CRL 28006 Script for the Slideshow for New Employees 1995  
  • CRL 28007 Attorney Change Procedures 1993, 1995
  • CRL 28008 Accounting Procedures 1990-1991, 1993

Boxes 110-111:

  • CRL 28009 Personal Contact Script and Settlement Conference Script for DSCT and BIT Claimants 1990-1996 [5 folders]

Box 111:

  • CRL 28010 Other Trust Claims Resolution Procedure 1990  
  • CRL 28011-28012 Special Check Procedure; Shredding Procedures 1993
  • CRL 28013 Safety Policy 1994
  • CRL 28014 Misfiled Document Procedure 1994
  • CRL 28015 System Access Procedures 1993

Boxes 111-112:

  • CRL 28016 Document Retention Policy 1992-1994 [2 folders]

Boxes 112-113:

  • CRL 28018 Operations Department Procedures Manuals 1990-1994 [7 and 3 folders]

Box 113:

  • CRL 28019 Records Management Policy 1992-1993

Box 114:

  • CRL 28020 Re-Review Policy 1992
  • CRL 28021 Vital Records Policy 1991
  • CRL 28022 Merger Procedures from Court 1988
  • CRL 28023 Special Program Procedures and Memoranda 1989-1991
  • CRL 28024 Guide to Form Letters System 1989
  • CRL 28025 Procedures for Option One Audit in 1988 1988
  • CRL 28026 Policy and Procedures for Claims not Meeting the 7/1/91 Deadline 1991
  • CRL 28027 Procedures for Transfering Litcon Claims to ADR 1994  
  • CRL 28028 Procedures for Option 2 1989-1990 [2 folders]
  • CRL 28029 Communications Department Policies and Procedures Manual 1990, 1992, 1997 [2 folders]
  • CRL 28030 Blue/Black Procedures 1999

Box 115:

  • CRL 28031 Late Claims Procedures 1991  
  • CRL 28032 Employee Handbook. Trust Policies and Procedures 1989-1997 [3 folders]
  • CRL 28033 Legal Dept. Policies and Procedures Manuals 1991-1992 [3 folders]

Box 116:

  • CRL 28034 Procedures for Numbering Procedures 1992-1993
  • CRL 28035 Claims Processing Procedures 1992 [3 folders]
  • CRL 28036 [Holdback and Interest, Memoranda] 1992-1993
  • CRL 28037 Document Retention Policy for Breland 1994-1995

Boxes 116-117:

  • CRL 28038 Administrative Review Team Procedures. ART/Option 3 Training 1991-1992 [2 folders]

Boxes 117-118:

  • CRL 28039 Option 3 Evaluation Rules; Claims Review Department EPR Manual 1990-1994 [7 folders]

Box 118:

  • CRL 28040 Option 3 Claims Valuation Procedures 1990-1991, 1995 [4 folders]

Box 118a:

  • CRL 28041 Option 3 Factors 1990-1991 [4 folders]

Box 119:

  • CRL 28041 Option 3 Factors Book 1991, 1993
  • CRL 28044 Claims Medical Resources List n.d. [2 folders]
  • CRL 28046 Special Problems Policy and Procedures Manual 1990, 1992 [3 folders]

Boxes 119-120:

  • CRL 28047 Alternative Dispute Resolution Advocate; ADR Department Policy and Procedures Manual 1992-1994 [6 folders]

Boxes 120-121:

  • CRL 28048 ADR Dept. Training Manual n.d. [5 folders]

Box 121:

  • CRL 28049 Breland Phone Scripts [1992-1994]
  • CRL 28050 MIS [Management Information Systems] Procedures 1989-1990

Boxes 121-122:

  • CRL 28052 Claims Departmental Procedures 1990-1991 [2 folders]
  • CRL 28060 LAMS [Litigation and Arbitration Management System] User Manual 1991-1992 [2 folders]

Box 122:

  • CRL 28054 Option 2 Claims Review Rules and Factors 1989-1992 [3 folders]
  • CRL 28055 LDS File Audit Procedures n.d.
  • CRL 28056 Fileroom Procedures n.d.
  • CRL 28057 Procedures for Dismantling the Gray Folders 1990-1993
  • CRL 28058 General Filing Procedures for SC Files 1995
  • CRL 28059 Procedures and Approval to Shred Merged Claim Files 1992, 1994

Box 123:

  • CRL 28061 Legal Area Jobs Procedure Handbook 1994-1995 [2 folders]
  • CRL 28062 Oracle Letter Listing 1995-1996
  • CRL 28063 Manual Scheduling of Payments Procedures 1996
  • CRL 28064 Review of Claims to Received Warning of Rolling Complaint Deadline Procedures 1995  
  • CRL 28068 Procedures for Handling Requests for Reinstatement 1995  
  • CRL 28069 Procedures Manual for Case Assistants in Legal 1993-1994

Box 124:

  • CRL 28070 Medical Training Manual for Case Assistants, Specialists, and Clerks 1993
  • CRL 28071 Training Manual for Local Counsel 1993
  • CRL 28073 Procedures on How to Prepare Reports on LDS Claims and Hearings on Objections to Trust Recommendations 1993
  • CRL 28076 Attorney Removal Procedures 1996
  • CRL 28077 Guidelines for NFC [Narrative Flow Chart Team] Cases 1996
  • CRL 28078 Procedures for the Conversion of LAMS Claims to ADR 1995
  • CRL 28080 SC Memoranda 1992-1996 [4 folders]

Box 125:

  • CRL 28082 Legal Department Introduction Manual 1991-1992
  • CRL 28085 Procedures for Processing Breland Legal Expenses 1996
  • CRL 28086 Payment Processing Procedures 1996
  • CRL 28087 Claims Complications Assessment/Valuation Process 1991-1993

Boxes 125-126:

  • CRL 28088 Evaluation Guidelines for Determination of Window Claims and Claims Reference File 1990-1994 [8 folders]

Boxes 126-129:

  • CRL 28089 Child Reference File 1990-1994 [14 folders]

Box 129:

  • CRL 28090 Medical Expert Information 1991-1992

Boxes 129-130:

  • CRL 28091 Child Claim Evaluation/Valuation 1991-1993 [4 folders]

Box 130:

  • CRL 28092 Procedures to Address Non-Compliance Issues Relative to Atty. Fees from Pro Rata 1997
  • CRL 28098 Performance Based Compensation (PBC) Graphs n.d. [2 folders]
  • CRL 28099 Claim Disjoin Policy 1994
  • CRL 28100 Severance Policy 1998
  • CRL 28101 Process for Reclassifying Late Claims to Timely 1995
  • CRL 28102 Investment Policy 1989-1990; 1993-1996

Box 131:

  • CRL 29000 Inventory of Boxes Received from McGuire, Woods and Battle Law Firm 1988
  • CRL 29001 Pro Rata Planning and Development of the Payment of the Pro Rata Distribution 1995 [2 folders]

Boxes 131-132:

  • CRL 29004 Trust History 1985-1994 [10 folders]

Boxes 132-133:

  • CRL 29005 NFC [Narrative Flow Chart] Development 1993-1995 [8 folders]

Box 133:

  • CRL 29006 Discontinuation of the Claims Audit Process 1995  
  • CRL 29007 Project File for the Development of the 7/1/96 Mailing 1996
  • CRL 29008 Project File for the Development of the FDR Mailing that Occurred on 6/1/95 1995  
  • CRL 29009 Legal Process Assessment Project 1995

Box 134:

  • CRL 29011 Cost Comparison with DSCT and Manville Trust 1994-1995  
  • CRL 29012 Mass Mailing Team Minutes 1994  
  • CRL 29013 Pro Rata II Planning 1995-1996 [6 folders]
  • CRL 29014 Option File Work 1988-1989 [5 folders]

Box 135:

  • CRL 29015 Request for Proposal for Banking Services 1997 [2 folders]
  • CRL 29019 Planning Team Project File 1993-1995 [2 folders]

Boxes 135-136:

  • CRL 29022 Supoena Team Development Project 1995-1996
  • CRL 29024, Task Force for Special Mailings

Box 136:

  • CRL 29024 Task Force for Special Mailings n.d. [2 folders]

Boxes 136-138:

  • CRL 29027 Attorneys Pro Rata Fees Compliance Audit 1995-1997 [10 folders]

Boxes 139-140:

  • CRL 31001-31016 FDR [Final Dispute Resolution] Packets 1995 [16 folders]

Box 140-141:

  • [no CRL number] Attorney evaluation project 1989-1990 [2 folders]

Box 142:

  • [no CRL number] DSCT downsizing 1991-1997 [2 folders]

Boxes 143-145:

  • [no CRL number] Doctors addresses n.d.

Boxes 146-147:

  • CRL 29023 Oracle Address Updates 1989
  • File removed by DSCT, 2/2004

Boxes 148-150:

  • Training Procedure and Policy Manuals (16) concerning claims evaluations, Option 3, mailings, legal issues, ADR and other topics early 1990s


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