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`UNITED STATES DISTRICT COURT
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`NORTHERN DISTRICT OF CALIFORNIA
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`SONOS, INC.,
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`Plaintiff,
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`v.
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`GOOGLE LLC,
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`Defendant.
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`No. C 20-06754 WHA
`No. C 21-07559 WHA
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`(Consolidated)
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`ORDER RE PROSECUTION
`LACHES AND POST-TRIAL
`MOTIONS
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`INTRODUCTION
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`In the lead-up to trial, all agreed that any remaining affirmative defenses would be
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`decided by the judge after the jury verdict. Following a verdict in favor of the patent holder,
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`the judge has now considered those defenses. Under the doctrine of prosecution laches, this
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`order finds and holds that the patents in suit are UNENFORCEABLE.
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`The essence of this order is that the patents issued after an unreasonable, inexcusable, and
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`prejudicial delay of over thirteen years by the patent holder, Sonos, Inc. Sonos filed the
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`provisional application from which the patents in suit claim priority in 2006, but it did not file
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`the applications for these patents and present the asserted claims for examination until 2019.
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`By the time these patents issued in 2019 and 2020, the industry had already marched on and
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`put the claimed invention into practice.
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`In fact, in 2014, five years before Sonos filed the applications and presented the claims,
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`accused infringer Google LLC shared with Sonos a plan for a product that would practice what
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`would become the claimed invention. The parties were exploring a potential collaboration, but
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`it never materialized. Google then began introducing its own products that practiced the
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`invention in 2015. Even so, Sonos waited until 2019 to pursue claims on the invention (and
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`until 2020 to roll out the invention in its own product line). Because Sonos’s applications for
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`the patents in suit ostensibly descended from the 2006 provisional application, Sonos claimed a
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`priority date before Google’s disclosures and product releases. Once the patents in suit issued,
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`Google’s work putting the invention into practice fell under a cloud of infringement.
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`Trial brought to light what happened here. This was not a case of an inventor leading the
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`industry to something new. This was a case of the industry leading with something new and,
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`only then, an inventor coming out of the woodwork to say that he had come up with the idea
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`first — wringing fresh claims to read on a competitor’s products from an ancient application.
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`Even if the provisional application Sonos filed in 2006 or the corresponding non-
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`provisional application Sonos filed in 2007 had actually disclosed the invention, that would be
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`all the more reason to hold Sonos waited too long to claim it, to the prejudice of Google, not to
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`mention other companies and consumers. But, as will be shown below, those applications
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`failed to disclose the invention. What’s more, in 2019, during the prosecution of the
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`applications for the patents in suit, Sonos amended the specification to insert new matter,
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`despite telling the patent examiner the inserted matter was not new. Under black letter patent
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`law, that new matter necessarily sunk any claim of priority.
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`STATEMENT
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`This order constitutes findings of fact and conclusions of law, the affirmative defense of
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`prosecution laches having been tried to the bench. All declarative statements herein are
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`findings of fact.
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`The patents in suit are United States Patent Nos. 10,848,885 and 10,469,966. They
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`generally concern managing groups of multimedia players (e.g., “smart speakers”) in a
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`multiroom system. Much like how one can customize, save, and invoke groups of email
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`addresses from selected contacts with a name like “Ball Team” or “Band,” the patents
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`contemplate customizing, saving, and invoking groups of multimedia players from selected
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`rooms with a name like “Morning” or “Downstairs.” They refer to the multimedia players as
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`“zone players” and the customized, saved groups of zone players that can be invoked on
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`demand as “zone scenes.” Specifically, the patents in suit claim devices that implement
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`overlapping zone scenes, which share one or more zone players. Just as a single email address
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`can be a member of “Ball Team” and “Band,” a single zone player can be a member of
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`“Morning” and “Downstairs.”
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`This order will now walk through the relevant history, but a short synopsis helps.
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`Seeking to improve upon the wireless multiroom audio system it released in 2005, Sonos
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`set out to patent zone scenes, i.e., customized, saved groups of zone players that could be
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`invoked on demand. Sonos filed a provisional application in 2006, a corresponding non-
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`provisional application in 2007, and a daisy chain of continuation applications over the next
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`decade. During the prosecution of those applications, however, the patent examiner insisted
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`that the prior art had already disclosed this idea. Sonos’s applications were repeatedly rejected,
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`and Sonos only secured zone scene claims with variations of little consequence.
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`Then, in 2019, Sonos filed continuation applications for the patents in suit. To get
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`around the prior art, Sonos sought to patent zone scenes with a new twist: overlap. With
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`overlap, a zone player could be a member of more than one zone scene at the same time. This
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`was thirteen years after Sonos filed the provisional application, but also five years after Google
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`had itself disclosed overlapping zone scenes to Sonos, and four years after Google had released
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`products that implemented the feature. Initially, Sonos’s applications for the patents in suit
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`were rejected on obviousness grounds. Yet after Sonos amended the applications to
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`incorporate new specification language (with new matter) and narrowed claim language (with
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`“standalone mode” limitations), they issued as patents. Sonos promptly asserted these patents
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`against Google.
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`1.
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`THE SONOS 2005 PRIOR ART SYSTEM.
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`At the turn of the century, home audio typically involved radios, turntables, and CD
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`players in individual rooms. Although a lucky few had multiroom systems that allowed them
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`to play the same music in more than one room, those systems required installers to pull wires
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`through the walls and ceilings.
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`Founded in Santa Barbara in 2002, Sonos set out to make multiroom audio higher tech,
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`lower cost, and more accessible by creating a wireless system built on computer networks and
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`processors. It envisioned placing devices, called “zone players,” in various rooms of the home
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`to provide music for those rooms, or “zones.” Each zone player would be connected to other
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`zone players and to the internet using network technology, not wires, and operated using a
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`hand-held controller with a screen, not an infrared remote control. A key feature of Sonos’s
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`vision was the ability to group zone players in different zones to play music in synchrony.
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`In 2003, as Rincon Networks, Sonos began designing hardware and writing software for
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`its first wireless multiroom audio system. By summer 2004, it demoed product prototypes at
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`the All Things Digital conference. And, by January 2005, Sonos shipped its first commercial
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`wireless multiroom audio system. All agree that the system was prior art for our purposes.
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`This order will refer to it as the Sonos 2005 prior art system. It consisted of the ZonePlayer
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`100 (“ZP100”) and the Controller 100 (“CR100”).
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`Readers familiar with Sonos’s contemporary products should be mindful that these
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`earlier products were different. The ZP100 was a wireless internet-connected “smart
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`amplifier” rather than a smart speaker. Sonos’s first zone players were wirelessly connected to
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`other zone players and to the internet, but each one was still hard-wired to the speaker(s) it
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`powered. Sonos released its first wireless internet-connected smart speaker in September 2014
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`(which, incidentally, did not practice the claimed invention; that did not occur until June 2020).
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`Moreover, the CR100 was a discrete hand-held controller rather than an app on a mobile
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`device. Recall, in 2005, the iPhone was still two years in the future. Sonos’s first controller
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`was its own hardware product with a non-touch screen and buttons that allowed a user to
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`manage zone players and music playback. Sonos released its first controller app for mobile
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`devices (the iPhone and iPod Touch) in October 2008.
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`The Sonos 2005 prior art system made waves, drawing attention from the likes of
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`Microsoft Cofounder Bill Gates at the flagship Consumer Electronics Show that year.
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`Importantly, this first commercial wireless multiroom system allowed for grouping zone
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`players in different zones to play music in synchrony. However, as Sonos Chief Innovation
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`Officer Nicholas Millington and Sonos Director of User Experience Robert Lambourne both
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`testified, this system had limitations in terms of how zone players could be grouped.
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`Lambourne went on to be listed as the named inventor on the applications for the patents in
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`suit and the applications from which they descend.
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`As stated, a key feature of Sonos’s vision was the ability to group zone players in
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`different zones to play music in synchrony. The Sonos 2005 prior art system achieved this
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`using “ad hoc grouping,” in which zone players were grouped on the fly. For a user to create a
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`“zone group” in which selected zone players would play the same music at the same time, that
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`user had to link a first zone player to one or more additional zone players, one at a time. The
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`linked additional zone player(s) would be instantly configured to play music in synchrony with
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`the first zone player as soon as the linking occurred. If a user then wanted to play music on a
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`zone player within that zone group separately or in a new zone group, that user had to destroy
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`the existing zone group by dropping one or more linked additional zone players, one at a time.
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`Significantly, “zone groups” were not “zone scenes.” They did not allow a user to
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`customize and save groups of zone players that could be invoked on demand. Nor did they
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`allow a user to create a group of zone players that included one or more zone players from an
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`existing group without destroying the existing group. In other words, zone groups could play
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`different music simultaneously in different sets of zone players, but zone players could be
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`members of only one zone group. Zone groups could not overlap.
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`To demonstrate, imagine a user of the Sonos 2005 prior art system had four zone players
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`in four zones: one in her dining room, one in her living room, one in her bedroom, and one in
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`her bathroom. Let’s say she started out playing Joan Baez in her dining room. If she wanted
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`to play Joan Baez in her dining room and living room simultaneously, she would create a zone
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`group by linking those zone players on her controller, selecting “Dining Room,” then “Link
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`Zone,” and then “Living Room.” “Living Room” would be instantly configured to play Joan
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`Baez in synchrony with “Dining Room.” If she paused, resumed, or changed the music, the
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`music would be paused, resumed, or changed in the dining room and living room.
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`In the meantime, our user could play Bob Dylan in her bedroom. She could also play
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`Bob Dylan in her bedroom and bathroom simultaneously, creating another zone group by
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`linking those zone players on her controller, selecting “Bedroom,” then “Link Zone,” and then
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`“Bathroom.” “Bathroom” would be instantly configured to play Bob Dylan in synchrony with
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`“Bedroom.” At this point, our user would have two distinct zone groups: one composed of
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`“Dining Room” and “Living Room” playing Joan Baez, the other composed of “Bedroom” and
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`“Bathroom” playing Bob Dylan.
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`Say our user now wanted to listen to Joan Baez in her bedroom as well. She would first
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`destroy the zone group composed of the zone players in her bedroom and bathroom by
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`unlinking those zone players using her controller, selecting that zone group, then “Drop Zone,”
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`and then “Bathroom.” She would then link the zone player in her bedroom to the zone group
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`composed of the zone players in her dining room and living room by selecting that zone group,
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`then “Link Zone,” and then “Bedroom.” “Living Room” and “Bedroom” would be instantly
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`configured to play Joan Baez in synchrony with “Dining Room.” This would create a new,
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`real-time zone group composed of the zone players in her dining room, living room, and
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`bedroom. The zone group composed of just the zone players in her dining room and living
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`room would no longer exist.
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`Note the Sonos 2005 prior art system did not allow users to select multiple zone players
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`and link or unlink them simultaneously. Users had to select individual zone players and link or
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`unlink them one at a time. There was a way to link multiple zone players simultaneously in the
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`Sonos 2005 prior art system, however. This was done using the built-in “All Zones-Party
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`Mode” feature, “party mode” for short.
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`In the Sonos 2005 prior art system, “All Zones-Party Mode” was listed alongside
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`available zone players under “Link Zone.” When selected, it simultaneously linked all of the
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`zone players in a given system (thereby destroying any ad hoc zone group). So, if our user was
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`playing Joan Baez in her dining room and wanted to play Joan Baez throughout, she would
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`simultaneously link all of the zone players in her system on her controller, selecting “Dining
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`Room,” then “Link Zone,” and then “All Zones-Party Mode.” “Living Room,” “Bedroom,”
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`and “Bathroom” would be instantly configured to play Joan Baez in synchrony with “Dining
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`Room.” As explained by Inventor Lambourne, “[i]t was sort of a shortcut to grouping all of
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`the rooms together” that “was baked into the product” (Tr. 420:9–10, 15). After selecting party
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`mode, however, if a user wanted to play music on fewer than all of the zone players, there was
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`no shortcut. That user would have to unlink individual zone players, one at a time. Thus, if
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`our user wanted to play Joan Baez only in the dining room after selecting party mode, she
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`would have to drop the zone players in the living room, bedroom, and bathroom, one by one.
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`Putting it all together, in the Sonos 2005 prior art system, the only way to link zone
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`players simultaneously was using party mode, which linked all of the zone players. A user of
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`the Sonos 2005 prior art system could not customize and save a group of zone players to
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`invoke on demand, much less customize and save multiple groups of zone players with one or
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`more overlapping zone players to invoke on demand.
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`2.
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`THE IDEAS OF ZONE SCENES AND OVERLAPPING ZONE SCENES.
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`The grouping limitations of the Sonos 2005 prior art system led Sonos customers and
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`employees to explore potential improvements.
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`A.
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`CUSTOMER COMMENTS AND INVENTOR SKETCHES.
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`Not long after Sonos first shipped the Sonos 2005 prior art system, customers began
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`posting comments on Sonos’s own online forums calling for more advanced grouping
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`functionalities.
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`On February 27, 2005, in a forum post titled “Virtual Zones and Zone Grouping,” a
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`customer going by the name of “theboyg” observed, “[t]his ‘link/unlink’ business is really
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`cumbersome,” and asked, “[w]hy can’t I have a virtual zone — ie a zone called ‘Downstairs’”
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`so that “I can group all my downstairs zones into this” and “I don’t have to keep manually
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`linking/unlinking multiple zones everytime” (TX2424). In other words, back in 2005, theboyg
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`requested a customized, saved group of zone players that could be invoked on demand.
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`On September 22, 2005, in a forum post titled “Macro / presets,” a customer going by the
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`name of “JeffT” took it a step further, suggesting “save[d] Zone links,” such as “Morning
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`mode for the units I want in the morning,” and “2 party modes, Summer and Winter,” in which
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`“[t]he Summer mode would include the deck speakers and the Winter mode would not”
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`(TX3930). In other words, back in 2005, JeffT requested customized, saved, overlapping
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`groups of zone players that could be invoked on demand.
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`Sonos did not introduce such grouping functionalities to its products until June 2020.
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`Contemporaneously with these Sonos forum posts, however, Inventor Lambourne set forth
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`parallel ideas in his notebooks and correspondence.
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`In one notebook sketch, Inventor Lambourne depicted an alarm clock feature that would
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`allow a user to select music to wake up to and rooms to play that music in — a customized,
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`saved group of zone players that could be invoked on demand. This sketch was undated, but
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`the date listed two pages later was February 28, 2005, one day after theboyg’s request for a
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`“Downstairs” group (TX8236 at 40, 42). Shortly thereafter, in another notebook sketch,
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`Inventor Lambourne depicted permanently joining one or more zone players together. This
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`sketch was also undated, but the date listed on the following page was March 2, 2005 (TX6539
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`at 2–3).
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`The following month, Inventor Lambourne traded emails with a Sonos colleague,
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`Andrew Schulert, about the grouping limitations of their own home systems. They compared
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`the merits of Inventor Lambourne’s proposed “Permanent Zone Groups” approach, in which
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`zones could be configured to always appear as one entity, and Inventor Lambourne’s proposed
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`“Zone Profiles” approach, in which zones could be put into different customized, saved groups
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`that could be invoked on demand, such as “downstairs” and “mornings.” Inventor Lambourne
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`observed that “making the UI [i.e., user interface] simple enough” was a problem with the
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`proposed Zone Profiles approach. Colleague Schulert said his first reaction was that the Zone
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`Profiles approach “would be the biggest bang for the buck” (TX0120 at 1).
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`And, on October 21, 2005, one month after JeffT’s request for “Summer” and “Winter”
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`groups, Inventor Lambourne sketched “Alarm Clock / Zone Profiles / Groups,” with a circle
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`that said, “group profiles,” and text below it that said, “[p]ick a room group/profile, same room
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`can be in two groups” (TX6539 at 24). That same day, he also sketched “Room Join Macros”
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`illustrating “downstairs,” “party mode,” and “morning mode” alongside each other and a new
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`group being formed, with text that explained “one room can be part of 2 sets” — customized,
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`saved, overlapping groups of zone players that could be invoked on demand (TX6539 at 31).
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`B.
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`THE UI DOCUMENTS.
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`On December 21, 2005, Inventor Lambourne wrote up a UI document setting out a path
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`for new grouping functionality based on “zone scenes” (TX6545). He also wrote up another
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`UI document focused on the alarm clock feature, which referred to “zone scenes” (TX6544
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`at 27). Although the UI documents look like user manuals, they were internal, exploratory
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`documents, for Sonos use only. The UI documents were supplied to the jury and the judge as
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`conception documents because the parties stipulated that they disclosed the claimed invention.
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`This order accepts this stipulation without weighing in on the adequacy of the disclosure. As
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`such, the stipulated conception date is December 21, 2005.
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`Relevant here, the zone scenes UI document offered two improvements to the grouping
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`functionality of the Sonos 2005 prior art system. First, it described “zone scenes,” i.e.,
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`customized, saved groups of zone players that could be invoked on demand. Second, it
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`described a nimbler form of ad hoc grouping.
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`Let’s start with “zone scenes.” According to the zones scenes UI document, “[t]he Zone
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`Scene feature” would “allow[] the user to arrange the zones into groups using one single
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`command” (TX6545 at 2). “Simple Scenes” would allow a user to set up one group in a zone
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`scene. The document gave the example of a “Morning Scene” that could group zone players in
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`the bedroom, den, and dining room, while leaving the remaining zone players in the bathroom,
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`family room, and foyer untouched (id. at 2). “Advanced Scenes” would allow a user to set up
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`Case 3:21-cv-07559-WHA Document 274 Filed 10/06/23 Page 10 of 55
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`more than one group in a zone scene. The document gave the example of an “Evening Scene”
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`that could group zone players in the bedroom, den, and dining room — and, separately, the
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`garage and garden — with the remaining zone players in the bathroom, family room, and foyer
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`“separated from any group if they were part of a group before the Zone Scene was invoked”
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`(id. at 2–3).
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`The zone scenes UI document explicitly disclosed customizing and saving a group of
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`zone players that could be invoked on demand like “Morning Scene” and “Evening Scene.” It
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`also explicitly disclosed customizing and saving several such groups, depicting selection from
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`a “Party Mode” zone scene and a “Morning Wakeup” zone scene in one instance, as well as
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`from a “Party Mode” zone scene, a “Wakeup” zone scene, and a “Garden Party” zone scene in
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`another (id. at 5–6). But the zone scenes UI document did not explicitly disclose customized,
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`saved, overlapping groups of zone players that could be invoked on demand. Whereas
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`Inventor Lambourne’s notebook sketches had text that stated the “same room can be in two
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`groups” and “one room can be part of 2 sets,” no such text can be found in the zone scenes UI
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`document (see TX6539 at 24, 31). Note “Morning Scene” and “Evening Scene” belonged to
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`different systems, with the system in which “Evening Scene” was created containing additional
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`zone players in the garage and garden. Similarly, there was no explicit disclosure of
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`customized, saved, overlapping groups of zone players that could be invoked on demand in the
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`alarm clock UI document.
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`So how did the UI documents disclose the claimed invention? They implicitly disclosed
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`overlapping zone scenes by reference to party mode in the Sonos 2005 prior art system.
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`Significantly, the alarm clock UI document stated that “‘Party Mode’ that currently ships with
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`the product is one example of a Zone Scene” (TX6544 at 27). The zone scenes UI document
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`similarly referred to the “current Party Mode setting” and represented “Party Mode” as a “Zone
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`Scene” in various figures (TX6545 at 2; see id. at 5–6). When the zone scenes UI document
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`showed a “Party Mode” zone scene next to a “Morning Wakeup” zone scene in one instance,
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`and a “Party Mode” zone scene next to “Wakeup” and “Garden Party” zone scenes in another,
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`it would have been understood that zone scenes would overlap because it would have been
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`Case 3:21-cv-07559-WHA Document 274 Filed 10/06/23 Page 11 of 55
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`understood that the “Party Mode” zone scene would group all of the zone players in a given
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`system. As such, the UI documents implicitly disclosed customized, saved, overlapping
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`groups of zone players that could be invoked on demand. To be sure, this disclosure depended
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`on inference, but both sides stipulated that the UI documents disclosed the claimed invention.
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`Accordingly, this order credits the implicit disclosure.
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`*
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`*
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`*
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`The zone scenes UI document had distinct sections on “Invoking a Scene,” showing
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`“various user Interface methods for invoking a configuration on a Handheld Controller or
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`Desktop Controller,” versus “Scene Setup,” showing various user interface methods for
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`configuring a zone scene from a desktop controller only. According to this document, it was
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`“not expected that the Zone Scenes should be set up using the Handheld Controller” (id. at 5,
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`9).
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`Meanwhile, the zone scenes UI document had a distinct section on “Alternative Linking
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`Methods,” which showed an “adaptation of the Link and Drop Zone feature” of the Sonos 2005
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`prior art system, i.e., ad hoc grouping (id. at 17–18). Whereas the zone scene feature would
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`allow for groups of zone players to be set up in advance on a desktop controller, this “Zone
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`Linking” feature would allow for groups of zone players to be set up in real-time on a
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`handheld controller. It pertained to ad hoc “zone groups,” not “zone scenes.” This ad hoc
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`grouping was an improvement over the ad hoc grouping in the Sonos 2005 prior art system,
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`however.
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`Whereas the ad hoc grouping in the Sonos 2005 prior art system “allow[ed] the user to
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`link and drop Zones one at a time,” “[t]his feature would allow the user to link and drop
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`multiple zones in one screen,” “check[ing] Zones that w[ould] be a part of a zone group, and
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`uncheck[ing] those that w[ould not]” (ibid.) (emphasis added). Here, “the list of the zones in
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`the screen” would “include[] ALL the zones in the system, including the Zones that [were]
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`already grouped” (id. at 17). This would allow for more efficient ad hoc grouping. The “Zone
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`Linking” feature was depicted as follows:
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`Case 3:21-cv-07559-WHA Document 274 Filed 10/06/23 Page 12 of 55
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`Zone Scenes UI Document: “Zone Linking” Feature Diagram.
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`(ibid.).
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`Case 3:21-cv-07559-WHA Document 274 Filed 10/06/23 Page 13 of 55
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`To repeat, “Zone Linking,” as depicted above, was ad hoc grouping, not “Scene Setup.”
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`Ad hoc “zone groups” were not “zone scenes.” They were addressed in different sections in
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`the zone scenes UI document and even accessed using different soft buttons on the handheld
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`controller. By way of demonstration, the diagram is cropped below:
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`Zone Scenes UI Document: Cropped “Zone Linking” Feature
`Diagram (Soft Buttons).
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`The complete diagram will become all the more important later on in connection with the issue
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`of new matter inserted by way of amendment.
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`3.
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`THE FIRST ZONE SCENE PATENT APPLICATIONS.
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`The patents in suit descend from a family of patent applications that claim priority to, or
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`the benefit of, a provisional application filed in September 2006 through a corresponding non-
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`provisional application filed in September 2007. September 2006 was more than one year after
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`the commercial release of the Sonos 2005 prior art system but less than one year after the
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`stipulated conception date. Each of the earlier applications in the “zone scene patent family” is
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`“incorporated by reference in its entirety for all purposes” in its successors, including the
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`patents in suit.1
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`1 Specifically, the April 2019 applications for the ’885 and ’966 patents were continuations of, and
`claimed priority to, an application filed in April 2016, which issued in July 2022 as United States
`Patent No. 11,388,532. The April 2016 application for the ’532 patent was a continuation of, and
`claimed priority to, an application filed in August 2014, which issued in May 2016 as United
`States Patent No. 9,344,206. The August 2014 application for the ’206 patent was a continuation
`of, and claimed priority to, an application filed in May 2013, which issued in September 2014 as
`United States Patent No. 8,843,228. The May 2013 application for the ’228 patent was a
`continuation of, and claimed priority to, an application filed in September 2007, which issued in
`July 2013 as United States Patent No. 8,483,853. And, the September 2007 application for the
`’853 patent claimed priority to a corresponding provisional application filed in September 2006 as
`United States Patent Application No. 60/825,407.
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`Case 3:21-cv-07559-WHA Document 274 Filed 10/06/23 Page 14 of 55
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`The prosecution histories of the applications for the patents in suit are in the trial record,
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`abridged to exclude tens of thousands of pages of prior art references and other publications
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`(gratuitously) submitted (see TX004; TX006). The prosecution histories of the parent
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`applications in the patent family are not in the trial record, though the parties provided excerpts
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`in binders requested by the judge during trial (see Tr. 1030:13–19). The same holds for the
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`resulting patents (ibid.). Seeing that the judge must consider these prosecution histories and
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`patents in order to evaluate arguments raised herein, this order takes judicial notice of these
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`prosecution histories and patents.2
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`A.
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`THE 2006 PROVISIONAL APPLICATION.
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`On September 12, 2006, Sonos filed a “provisional application,” with Inventor
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`Lambourne listed as the named inventor, entitled “Controlling and manipulating groupings in a
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`multi-zone music or media system” (TX2651). A provisional application is a temporary form
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`of patent application that is not required to include any patent claims or information disclosure
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`(prior art) and is never reviewed by a patent examiner. It operates as a low-cost placeholder,
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`establishing an earlier effective filing date for a corresponding non-provisional application
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`filed within twelve months that claims its subject matter. Although a provisional application is
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`never “published” or made publicly searchable, it is “made available to the public” as an
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`individual file when a corresponding non-provisional application is published, as one was here
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`eventually.3
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`The specification of this provisional application consisted of a “Detailed Description of
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`the Preferred Embodiments,” an assortment of implementations involving zones, zone players,
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`zone groups, and zone scenes. It was drafted broadly. Many described embodiments did not
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`relate to zone scenes at all, such as those in which “memory is used to save one or more saved
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`2 Courts may judicially notice facts t