IN THE UNITED STATES DISTRICT COURT
`FOR THE EASTERN DISTRICT OF TEXAS
`MARSHALL DIVISION
`
`
`
`
`
`
` Case No. 2:14-CV-59-JRG-RSP
`
`
`
`
`
`
`C-CATION TECHNOLOGIES, LLC,
`
`
`Plaintiff,
`
`v.
`
`
`
`
`TIME WARNER CABLE, INC., ET AL.
`
`
`Defendants.
`
`
`
`
`PLAINTIFF C-CATION TECHNOLOGIES, LLC’S DISCLOSURE OF ASSERTED
`CLAIMS AND INFRINGEMENT CONTENTIONS AGAINST CISCO SYSTEMS, INC.
`
`Pursuant to P.R. 3-1 and the Court’s order of March 24, 2014 (D.I. 34), Plaintiff C-Cation
`
`
`
`Technologies, LLC (“C-Cation Tech”) hereby submits its Disclosure of Asserted Claims and
`
`Infringement Contentions against Cisco Systems, Inc., (“Cisco”). Pursuant to P.R. 3-2, C-Cation
`
`Tech is concurrently producing documents bearing production numbers
`
`CTECHEDTX_00000001-CTECHEDTX_00000365.
`
`
`
`C-Cation Tech’s investigation into the extent of infringement by Cisco is ongoing, and
`
`the following disclosures are based solely on the information currently available to C-Cation
`
`Tech. C-Cation Tech reserves the right to supplement or modify these disclosures as new
`
`information, through discovery or otherwise, becomes available.
`
`
`I.
`
`
`
`
`
`DISCLOSURE OF ASSERTED CLAIMS AND INFRINGEMENT CONTENTIONS
`
`A.
`
` P.R. 3-1(a) – Asserted Claims
`
`Pursuant to P.R. 3-1(a), C-Cation Tech asserts that Cisco infringes U.S. Patent No.
`
`5,563,883 entitled “Dynamic Channel Management and Signalling Method and Apparatus” (“the
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`ARRIS GROUP, INC.
`IPR2015-00635 , p. 1 of 141
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`
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`’883 patent”). Based on C-Cation Tech’s investigation thus far, Cisco is liable under 35 U.S.C. §
`
`271 for infringement of at least claims 1, 3, 4, and 14 (“the Asserted Claims”).
`
`
`
`C-Cation Tech has yet to receive production or disclosure of certain documents or
`
`information, such as technical manuals, design specifications, and/or source code for the accused
`
`products that may affect the substance of C-Cation Tech’s disclosure of asserted claims.
`
`Accordingly, C-Cation Tech reserves the right to amend or otherwise modify its identification of
`
`asserted claims based upon its review of the relevant documentation and continued investigation.
`
`
`
`
`
`B.
`
`P.R. 3-1(b) – Accused Instrumentalities
`
`Pursuant to P.R. 3-1(b), and based on C-Cation Tech’s investigation thus far, the Accused
`
`Instrumentalities include all cable systems and cable system components, products sold, offered for
`
`sale, operated by, and/or imported into the United States by or for Cisco, or by its customers,
`
`that fall within or whose use of falls within the scope of at least one claim of the ’883 patent. The
`
`accused cable systems include cable system components such as cable modem termination systems,
`
`RF and optical transmission hardware, network monitoring equipment, and customer premises
`
`equipment (e.g., cable modems, embedded multimedia terminal adapters, and set-top boxes),
`
`including but not limited to components that are compliant with the Data Over Cable System
`
`Interface Specification (“DOCSIS”) standard (e.g., versions 1.1, 2.0 and 3.0). In particular, the
`
`Accused Instrumentalities include all cable systems or cable system components that perform or
`
`are capable of performing, channel management or bandwidth allocation functions, including, but
`
`not limited to, static load balancing, dynamic load balancing, passive load balancing, autonomous
`
`load-balancing, and/or channel assignment and reassignment.
`
`C-Cation Tech has made reasonable efforts to determine the models of the devices that are
`
`distributed to customers by or for Cisco, or otherwise used by Cisco’s customers. A list of such
`
`devices is attached hereto as Exhibit A. In addition to the devices identified in Exhibit A, it is
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`
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`2
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`IPR2015-00635 , p. 2 of 141
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`believed that other devices are being operated by or for Cisco or its customers, to which
`
`information is not publicly available. Such devices include cable modem termination systems
`
`(“CMTS”) and associated head-end components operated by or for Cisco or its customers.
`
`C-Cation Tech reserves the right to accuse additional products based on its review of the
`
`
`Cisco document production and its continued investigation.
`
`
`
`
`
`C.
`
`P.R. 3-1(c) – Claim Charts for the Accused Instrumentalities
`
`Pursuant to Patent Rule 3-1(c), attached hereto as Exhibit B are claim charts that identify
`
`where each element of each asserted claim is found within the Accused Instrumentalities based
`
`on the information available to C-Cation Tech. C-Cation Tech reserves the right to supplement
`
`or amend these claim charts based on its ongoing review of the Cisco document production and
`
`continued investigation, and based on the Court’s claim construction rulings.
`
`
`
`
`
`D.
`
`P.R. 3-1(d) – Nature of Infringement
`
`Pursuant to P.R. 3-1(d), C-Cation Tech asserts that each element or limitation of each
`
`asserted claim of the ’883 patent is literally present in, or performed by, the Accused
`
`Instrumentalities. To the extent that Cisco alleges that any element or limitation of the asserted
`
`claims is not found to have literal correspondence in the Accused Instrumentalities, C-Cation
`
`Tech alleges that any such elements or limitations are present or performed under the doctrine of
`
`equivalents in the Accused Instrumentalities.
`
`
`
`
`
`E.
`
`P.R. 3-1(e) – Priority Dates
`
`The Asserted Claims of the ’883 patent are entitled to a priority date of July 18, 1994, its
`
`filing date.
`
`
`
`
`
`F.
`
`P.R. 3-1(f) – Patentee’s Asserted Practice of the Claimed Inventions
`
`Presently, C-Cation Tech is not relying on the assertion that its own product or method
`
`practices the claimed inventions.
`
`
`
`3
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`ARRIS GROUP, INC.
`IPR2015-00635 , p. 3 of 141
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`
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`II.
`
`DOCUMENT PRODUCTION ACCOMPANYING DISCLOSURES
`
`
`
`
`
`A.
`
`P.R. 3-2(a) – Documents Evidencing Pre-Application Disclosure
`
`Presently, C-Cation Tech is not aware of any documents evidencing discussions with,
`
`disclosure to, or any other manner of providing to a third party, or sale or of offer to sell, the
`
`claimed invention prior to the date of application for the patent-in-suit.
`
`
`
`
`
`B.
`
`P.R. 3-2(c) – File Histories for the Patent-in-Suit
`
` A copy of the file history for the ’883 patent has been produced and bears production
`
`numbers CTECHEDTX_00000001-CTECHEDTX_00000365.
`
`
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`4
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`IPR2015-00635 , p. 4 of 141
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`Dated: March 31, 2014
`
`
`
`Respectfully submitted,
`
`/s/ David J. Kaplan
`Lewis V. Popovski
`Jeffrey S. Ginsberg
`Sheila Mortazavi
`Merri C. Moken
`David J. Kaplan
`KENYON & KENYON LLP
`One Broadway
`New York, NY 10004-1007
`Tel.: (212) 425-7200
`Fax: (212) 425-5288
`lpopovski@kenyon.com
`jginsberg@kenyon.com
`smortazavi@kenyon.com
`mmoken@kenyon.com
`djkaplan@kenyon.com
`
`Samuel F. Baxter
`Texas State Bar No. 01938000
`sbaxter@mckoolsmith.com
`MCKOOL SMITH, P.C.
`104 East Houston, Suite 300
`Marshall, Texas 75670
`Telephone: (903) 923-9000
`Facsimile: (903) 923-9099
`
`John F. Garvish, II
`Texas State Bar No. 24043681
`jgarvish@mckoolsmith.com
`MCKOOL SMITH, P.C.
`300 West Sixth Street, Suite 1700
`Austin, Texas 78701
`Telephone: (512) 692-8700
`Facsimile: (512) 692-8744
`
` Attorneys for C-Cation Technologies, LLC
`
`5
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`ARRIS GROUP, INC.
`IPR2015-00635 , p. 5 of 141
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`CERTIFICATE OF SERVICE
`
`I hereby certify that a true and correct copy of the foregoing document was served upon
`
`Cisco’s counsel of record by e-mail on this 31st day of March, 2014 as indicated below:
`
`
`
`J. Mark Mann (mark@themannfirm.com)
`G. Blake Thompson (blake@themannfirm.com)
`MANN | TINDEL | THOMPSON
`300 West Main Street
`Henderson, Texas 75652
`
`
`
`
`
`
`
`
`
` /s/ David J. Cooperberg
`
`David J. Cooperberg
`
`
`
`
`6
`
`
`
`
`
`
`
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`
`
`
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`
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`ARRIS GROUP, INC.
`IPR2015-00635 , p. 6 of 141
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`
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`EXHIBIT A
`
`Cisco offers for sale, sells, rents, leases, uses, operates, advertises and/or markets cable
`
`systems including cable system components such as cable modem termination systems, RF and
`
`optical transmission hardware, network monitoring equipment, and customer premises
`
`equipment (e.g., cable modems, embedded multimedia terminal adapters, and set-top boxes),
`
`including but not limited to components that are compliant with the Data Over Cable System
`
`Interface Specification (“DOCSIS”) standard (e.g., versions 1.1, 2.0 and 3.0), that infringe the
`
`asserted claims of the ’883 patent.
`
`
`
`Based upon information and belief, at least the following customer-premises equipment,
`
`has been and/or is currently distributed to customers by or for Cisco and/or used in Cisco’s
`
`customers’ cable systems:
`
`MANUFACTURER MODEL
`Cisco
`4640
`Cisco
`BEFCMU10
`Cisco
`BEFCMU10v3
`Cisco
`BEFCMU10v4
`Cisco
`CM100
`Cisco
`DPC 2100
`Cisco
`DPC 2202
`Cisco
`DPC 2203
`Cisco
`DPC 2320
`Cisco
`DPC 2505
`Cisco
`DPC 2607
`Cisco
`DPC 3000
`Cisco
`DPC 3008
`Cisco
`DPC 3208
`Cisco
`DPC 3208G
`Cisco
`DPC 3212
`Cisco
`DPC2100
`Cisco
`DPC2325
`Cisco
`DPC2505
`Cisco
`DPC3000
`
`Exhibit A - 1
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 7 of 141
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`
`
`
`DPC3008
`DPC3010
`DPC3825
`DPC3939
`DPC3939B
`DPQ 2203
`DPQ 3010
`DPQ 3212
`DPQ2160
`DPQ3212
`DPQ3925
`DPX 2160
`DPX 2202
`DPX 2203
`DPX 2213
`EPC 3202
`HWIC-CABLE-D-2
`LINKSYS
`WCM300
`
`DPC2100
`
`DPC2203
`
`DPC2203C
`
`DPC2203C2
`
`DPX2100
`
`DPX2203
`
`DPX2203C
`DPC2100
`DPC2100R2
`DPC2100R2i
`DPC2100V2
`DPC2203
`DPC2203C
`DPC2434
`DPC2505
`DPC3000
`DPQ2160
`
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`
`Cisco
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Cisco/Scientific-
`Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`
`Exhibit A - 2
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 8 of 141
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`
`
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`
`DPQ2202
`DPQ2425
`DPX2100
`DPX2203
`DPX2213
`Explorer 4200
`Explorer 8300
`
`Based upon information and belief, at least the following CMTSs, have operated and/or
`
`
`
`currently operate according to DOCSIS 1.1, 2.0, and/or 3.0 specifications in Cisco’s Customers’
`
`cable systems:
`
`
`
`MANUFACTURER
`Cisco
`Cisco
`Cisco
`Cisco
`Cisco
`
`MODEL
`
`uBR7200
`uBR7246
`uBR7246 VXR
`uBR 7225 VXR
`uBR10012
`
`Exhibit A - 3
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 9 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`1. In a multiple access
`communication system
`comprising
`
`The Cisco Accused Instrumentalities include a multiple access communication system, as described by at
`least the following sections of the DOCSIS specifications and CMTS literature:
`
`
`
`DOCSIS 1.1 and 2.0:
`
`“The intended service will allow transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system headend and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-1. The transmission path over the cable system
`is realized at the headend by a Cable Modem Termination System (CMTS), and at each customer location
`by a Cable Modem (CM).”
`
`DOCSIS 1.1 Radio Frequency Interface Specification (“RFI v1.1”) § 1.3.1; DOCSIS 2.0 Radio Frequency
`Interface Specification (“RFI v2.0”) § 1.3.1.
`
`
`
`
`1
`These infringement contentions herein are offered in the absence of the Court’s ruling on the construction of disputed claim
`terms. Nothing in these infringement contentions should be construed as endorsing or refuting any proposed claim construction.
`
`Exhibit B - 1
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 10 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`
`
`DOCSIS 3.0:
`
`“The elements that participate in the provisioning of DOCSIS services are shown in Figure 1-1.
`
`The CM connects to the operator’s HFC network and to a home network, bridging packets between them.
`Many CPE devices can connect to the CM’s LAN interfaces, can be embedded with the CM in a single
`device, or they can be separate standalone devices (as shown in Figure 1–1). CPE devices may use IPv4,
`IPv6 or both forms of IP addressing. Examples of typical CPE devices are home routers, set-top devices,
`personal computers, etc. The CMTS connects the operator’s back office and core network with the HFC
`network. Its main function is to forward packets between these two domains, and between upstream and
`downstream channels on the HFC network.”
`
`
`
`
`
`Exhibit B - 2
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 11 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`DOCSIS 3.0 MAC and Upper Layer Protocols Interface Specification (“MULPI v3.0”) § 1.2.2.
`
`
`“The DOCSIS system allows transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system head-end and customer locations over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-2.”
`
`MULPI v3.0 § 1.2.3.
`
`
`
`Exhibit B - 3
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 12 of 141
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`
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`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`MULPI v3.0 § 1.2.4.
`
`Product Literature:
`
`Exhibit B - 4
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 13 of 141
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`
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`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`
`Cisco uBR10012 Universal Broadband Router Software Configuration Guide, November 2006 (“Cisco
`uBR10012 Guide”), ch 5, p 2; see also id. at p A-2; Cisco uBR7200 Series Universal Broadband Router
`Software Configuration Guide, May 2009 (“Cisco uBR7200 Guide”), ch 1, p 137 and ch 6, p 2.
`
`Exhibit B - 5
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 14 of 141
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`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`Cisco DOCSIS 3.0 Downstream Solution Design and Implementation Guide, July 2012 (“Cisco D3.0 Sol.
`Guide”), 2-4; see also id. at 3-2, 5-2 to 5-4, 5-8, 5-10, 5-11, 5-24.
`
`
`
`
`
`Exhibit B - 6
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 15 of 141
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`
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`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`a central controller,
`
`The Cisco Accused Instrumentalities include a central controller (CMTS), as described by at least
`the following sections of the DOCSIS specifications and CMTS literature:
`
`DOCSIS 1.1 and 2.0:
`
`“The intended service will allow transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system headend and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-1. The transmission path over the cable system
`is realized at the headend by a Cable Modem Termination System (CMTS), and at each customer location
`by a Cable Modem (CM).”
`
`RFI v1.1 § 1.3.1; RFI v2.0 § 1.3.1.
`
`
`
`
`“Cable Modem Termination System (CMTS). Cable modem termination system, located at the
`cable television system headend or distribution hub, which provides complementary functionality to the
`cable modems to enable data connectivity to a wide-area network.”
`
`RFI v1.1 Appendix P, Glossary; RFI v2.0 § 3, Glossary.
`
`Exhibit B - 7
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 16 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`DOCSIS 3.0:
`
`“The CMTS connects the operator’s back office and core network with the HFC network. Its main
`
`function is to forward packets between these two domains, and between upstream and downstream
`channels on the HFC network.”
`
`MULPI v3.0 § 1.2.2.
`
`“The DOCSIS system allows transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system head-end and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-2.”
`
`MULPI v3.0 § 1.2.3.
`
`
`“Cable Modem Termination System (CMTS). Cable modem termination system, located at the
`cable television system head-end or distribution hub, which provides complementary functionality to the
`cable modems to enable data connectivity to a wide-area network.”
`
` MULPI v3.0 § 3.
`
`Product Literature:
`
`Exhibit B - 8
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`ARRIS GROUP, INC.
`IPR2015-00635 , p. 17 of 141
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`
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`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`Cisco uBR10012 Guide, ch 5, p 2; see also id. at p A-2; Cisco uBR7200 Guide, ch 1, p 137 and ch 6, p 2.
`
`Exhibit B - 9
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 18 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`a shared transmission
`means for signalling
`data and user
`information, and
`
`The Cisco Accused Instrumentalities include a shared transmission medium for signalling data and
`user information, as described by at least the following sections of the DOCSIS specifications and CMTS
`literature:
`
`DOCSIS 1.1 and 2.0:
`
`“The intended service will allow transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system headend and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-1. The transmission path over the cable system
`is realized at the headend by a Cable Modem Termination System (CMTS), and at each customer location
`by a Cable Modem (CM).”
`
`RFI v1.1 § 1.3.1; RFI v2.0 § 1.3.1.
`
`
`
`“A coaxial-based broadband access network is assumed. This may take the form of either an all-
`coax or hybridfiber/coax (HFC) network. The generic term ‘cable network’ is used here to cover all cases.
`A cable network uses a shared-medium, tree-and-branch architecture with analog transmission.”
`
`RFI v1.1 § 2.1; RFI v2.0 § 4.1.
`
`“This section covers the key requirements for the interaction between a CM and a CMTS. The
`interaction can be broken down into five basic categories: initialization, authentication, configuration,
`authorization, and signaling.”
`
`RFI v1.1 § 9; RFI v2.0 § 11.
`
`“The subscribers will be able to use the transparent IP capability as a bearer for higher-layer
`
`services. Use of these services will be transparent to the CM.
`
`In addition to the transport of user data, there are several network management and operation
`
`capabilities which depend upon the Network Layer.”
`
`Exhibit B - 10
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 19 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`RFI v1.1 § 3.4; RFI v2.0 § 5.4.
`
`
`
`DOCSIS 3.0:
`
`“A coaxial-based broadband access network is assumed. This may take the form of either an all-
`coax or hybridfiber/coax (HFC) network. The generic term ‘cable network’ is used here to cover all cases.
`A cable network uses a tree-and-branch architecture with analog transmission.”
`
`MULPI v3.0 § 1.2.1.
`
`“The DOCSIS system allows transparent bi-directional transfer of Internet Protocol (IP) traffic
`between the cable system head-end and customer locations over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network.”
`
`MULPI v3.0 § 1.2.3.
`
`“In addition to the transport of user data, there are several network management and operation
`
`capabilities which depend upon the network layer.”
`
`MULPI v3.0 § 9.1.
`
`Exhibit B - 11
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 20 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`MULPI v3.0 § 6.2.2.1.
`
`
`
`Product Literature:
`
`Cisco uBR10012 Guide, ch 5, p 2; see also id. at p A-2; Cisco uBR7200 Guide, ch 1, p 137 and ch 6, p 2.
`
`
`
`Exhibit B - 12
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 21 of 141
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`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`a plurality of remote
`terminals,
`
`The Cisco Accused Instrumentalities include a plurality of remote terminals, as described by at
`least the following sections of the DOCSIS specifications and CMTS literature:
`
`DOCSIS 1.1 and 2.0:
`
`“The intended service will allow transparent bi-directional transfer of Internet Protocol (IP) traffic,
`
`between the cable system headend and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-1. The transmission path over the cable system
`is realized at the headend by a Cable Modem Termination System (CMTS), and at each customer location
`by a Cable Modem (CM).”
`
`RFI v1.1 § 1.3.1; RFI v2.0 § 1.3.1.
`
`
`
`DOCSIS 3.0:
`
`“The CM connects to the operator’s HFC network and to a home network, bridging packets
`
`between them.”
`
`MULPI v3.0 § 1.2.2.
`
`
`
`Exhibit B - 13
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 22 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`“The DOCSIS system allows transparent bi-directional transfer of Internet Protocol (IP) traffic,
`between the cable system head-end and customer locations, over an all-coaxial or hybrid-fiber/coax (HFC)
`cable network. This is shown in simplified form in Figure 1-2.”
`
`MULPI v3.0 § 1.2.3.
`
`
`“The elements that participate in the provisioning of DOCSIS services are shown in Figure 1-1.
`The CM connects to the operator’s HFC network and to a home network, bridging packets between them.
`Many CPE devices can connect to the CM’s LAN interfaces, can be embedded with the CM in a single
`device, or they can be separate standalone devices (as shown in Figure 1–1). CPE devices may use IPv4,
`IPv6 or both forms of IP addressing. Examples of typical CPE devices are home routers, set-top devices,
`personal computers, etc. The CMTS connects the operator’s back office and core network with the HFC
`network. Its main function is to forward packets between these two domains, and between upstream and
`downstream channels on the HFC network.”
`
`
`
`Exhibit B - 14
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 23 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`MULPI v3.0 § 1.2.2.
`
`Product Literature:
`
`Cisco uBR10012 Guide, ch 5, p 2; see also id. at p A-2; Cisco uBR7200 Guide, ch 1, p 137 and ch 6, p 2.
`
`
`
`Exhibit B - 15
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 24 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`The Cisco Accused Instrumentalities allocate signaling data channels between the central controller
`
`and the plurality of remote terminals from a plurality of communication channels and assign remote
`terminals as detailed below:
`
`a method of allocating
`signaling data channels
`between said central
`controller and said
`plurality of remote
`terminals from a
`plurality of
`communication channels
`and of assigning remote
`terminals comprising the
`steps of:
`
`Exhibit B - 16
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 25 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`(a) establishing
`communications
`between said central
`controller and said
`plurality of remote
`terminals via a plurality
`of signalling data
`channels, each of said
`remote terminals being
`initially assigned to a
`pair of predetermined
`signalling data channels;
`
`The Cisco Accused Instrumentalities establish communications between the CMTS and various
`
`CMs and initially assign each CM to a pair of predetermined channels, as described by at least the
`following sections of the DOCSIS specifications:
`
`DOCSIS 1.1 and 2.0:
`
`“On initialization or a ‘Reinitialize MAC’ operation, the cable modem MUST acquire a
`downstream channel. The CM MUST have non-volatile storage in which the last operational parameters
`are stored and MUST first try to re-acquire this downstream channel. If this fails, it MUST begin to
`continuously scan the 6-MHz channels of the downstream frequency band of operation until it finds a valid
`downstream signal.”
`
`RFI v1.1 § 9.2.1; RFI v2.0 § 11.2.1.
`
`“After synchronization, the CM MUST wait for an upstream channel descriptor message (UCD)
`from the CMTS in order to retrieve a set of transmission parameters for a possible upstream channel.
`These messages are transmitted periodically from the CMTS for all available upstream channels and are
`addressed to the MAC broadcast address. The CM MUST determine whether it can use the upstream
`channel from the channel description parameters. The CM MUST collect all UCDs which are different in
`their channel ID field to build a set of usable channel IDs. If no channel can be found after a suitable
`timeout period, then the CM MUST continue scanning to find another downstream channel. The CM
`MUST determine whether it can use the upstream channel from the channel description parameters. If the
`channel is not suitable, then the CM MUST try the next channel ID until it finds a usable channel. If the
`channel is suitable, the CM MUST extract the parameters for this upstream from the UCD. It then MUST
`wait for the next SYNC message and extract the upstream mini-slot timestamp from this message. The CM
`then MUST wait for a bandwidth allocation map for the selected channel. It may begin transmitting
`upstream in accordance with the MAC operation and the bandwidth allocation mechanism. The CM
`MUST perform initial ranging at least once … .”
`
`RFI v1.1 § 9.2.2.
`
`
`
`“The CM MUST have non-volatile storage in which channel ID of the last upstream on which the
`
`Exhibit B - 17
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 26 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`CM successfully completed registration is stored. If multiple upstreams are available, the CM MUST
`attempt to use the one that matches this stored channel ID. If none of the available upstreams match that
`stored ID, or if the CM is unable to successfully complete initial ranging on the matching channel, then the
`CM MUST preferentially select upstream channels in the following order. Type 3 channels are first,
`followed by type 2 channels, and type 1 channels are last. The CM MUST NOT begin initial ranging on a
`type 1 or type 2 upstream until it has allowed sufficient time, at least the UCD Interval (refer to Annex B),
`to determine if a type 3 upstream is available. If initial ranging fails on a type 3 upstream, the CM MUST
`ensure that it has allowed sufficient time to detect any other type 3 upstreams that are available before
`moving on to a type 2 or type 1 upstream. Of course, once the CM has waited enough time to ensure that it
`knows about any available type 3 upstreams, it will also know about any available type 2 upstreams and it
`MUST try them in preference to any type 1 upstreams.”
`
`RFI v2.0 § 11.2.2.
`
`“In the event that more than one downstream signal is present in the system, the CM MUST
`operate using the first valid downstream signal that it encounters when scanning. It will be instructed via
`the parameters in the configuration file (see Appendix C) to shift operation to different downstream and/or
`upstream frequencies if necessary. Both upstream and downstream channels MUST be identified where
`required in MAC management messages using channel identifiers.”
`
`RFI v1.1 § 9.2.12 See also RFI v2.0 § 11.2.12
`
`“The procedure for initialization of a cable modem MUST be as shown in Figure 9-1.”
`
`Exhibit B - 18
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 27 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`
`
`Exhibit B - 19
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 28 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`RFI v1.1 § 9.2. See also RFI v2.0 § 11.2.
`
`See also RFI v1.1 §§ 6.3.3, 6.3.5; RFI v2.0 §§ 8.3.3, 8.3.5.
`
`The subscribers will be able to use the transparent IP capability as a bearer for higher-layer
`services. Use of these services will be transparent to the CM.
`
`In addition to the transport of user data, there are several network management and operation
`capabilities which depend upon the Network Layer.
`
`RFI v1.1 § 3.4; RFI v2.0 § 5.4.
`
`“The CMTS MUST generate SYNC and UCD messages on the downstream at periodic intervals
`
`within the ranges defined in Appendix B. These messages are addressed to all CMs. Refer to Figure 9-4.”
`
`RFI v1.1 § 9.2.3; RFI v2.0 § 11.2.3.
`
`“The ranging and adjustment process is fully defined in Section 6 and in the following sections.
`
`The message sequence chart and the finite state machines on the following pages define the ranging and
`adjustment process which MUST be followed by compliant CMs and CMTSs. Refer to Figure 9-5 through
`Figure 9-8.”
`
`RFI v1.1 § 9.2.4; RFI v2.0 § 11.2.4.
`
`DOCSIS 2.0
`
`“Load balancing is managable on a per-CM basis. The CMTS assigns each CM: to a set of
`channels (a Load Balancing Group) among which it can be moved by the CMTS . . .”
`
`RFI v2.0 § 11.4.5.6.
`
`DOCSIS 3.0:
`
`Exhibit B - 20
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 29 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`“On initialization or a ‘Reinitialize MAC’ operation, the cable modem MUST acquire a Primary-
`Capable downstream channel. The CM MUST have non-volatile storage in which the last operational
`parameters are stored. Unless directed otherwise, the CM MUST first try to re-acquire the downstream
`channel from non-volatile storage. If this fails, the CM MUST begin to continuously scan the channels of
`the entire downstream frequency band of operation until it finds a valid primary downstream signal.”
`
`MULPI v3.0 § 10.2.1.
`
`“During initialization, the CM is required to receive only those MAPs and UCDs which are sent on
`its Primary Downstream Channel. For this reason, it is necessary for the Primary Downstream Channel to
`carry UCDs and MAPs for the upstream channel(s) upon which the CM will attempt initial ranging.”
`
`MULPI v3.0 § 7.3.1
`
`“The CMTS needs to determine the service group of a DOCSIS 3.0 CM for channel bonding and
`load balancing purposes. As described in Figure 10–2, the CM MUST attempt to determine its MAC
`Domain Downstream Service Group ID (MD-DS-SG-ID) if an MDD is present on the downstream. If
`successful, the CM MUST provide the MDDS- SG-ID it has selected to the CMTS in the Bonded Initial
`Ranging Request (B-INIT-RNG-REQ) message. If the CM could not determine its MD-DS-SG-ID then it
`MUST send a B-INIT-RNG-REQ with the MD-DS-SG-ID set to zero. The CMTS replies to the B-INIT-
`RNG-REQ with a RNG-RSP message. In order to resolve the upstream service group (MD-US-SG)
`associated with this CM, the CMTS may include an Upstream Channel Adjustment in this RNG-RSP
`message. If this occurs, the CM MUST tune to the new channel and sends an Initial Ranging Request
`(INIT-RNG-REQ) message. The CMTS responds with a RNG-RSP message, possibly including another
`Upstream Channel Adjustment.”
`
`Exhibit B - 21
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 30 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`MULPI v3.0 § 10.2.3.
`
`See also MULPI v3.0 §§ 7.3, 10.2.
`
`
`
`“Once a candidate upstream channel has been chosen for upstream ambiguity resolution, the CM
`MUST attempt Bonded Initial Ranging as shown in Figure 10–7 . . .”
`
`Exhibit B - 22
`
`ARRIS GROUP, INC.
`IPR2015-00635 , p. 31 of 141
`
`

`
`
`
`CLAIM ELEMENT
`
`INFRINGING INSTRUMENTALITY/OPERATION1
`
`MULPI v3.0 § 10.2.3.5.1.
`
`“The following sections and Figure 10-6 explain the steps that a CM MUST perform in order to
`resolve MD-US-SG resolution.
`
`The CM MUST store the UCID and the transmit power level of all the US channels in its latest
`operational Transmit Channel Set in non-volatile memory.
`
`Refer to Figure 10-6:
`
`1. Based on the MDD message received on its Primary Downstream Channel, the CM creates a
`"Candidate UCID list" by randomly ordering the list of UCIDs in the Upstream Ambiguity Resolution
`Channel List. If any of these upstream channel UCIDs are stored in non-volatile memory as the last
`operational transmit channel set, then the CM SHOULD move these UCIDs to the front of the list while
`maintaining their random ordering relative to each other. In addition, if a specific UCID was sent in an
`Upstream Channel ID Override TL V in a RNG-RSP message, an Upstream Channel ID Configuration TL
`V in the CM Configuration File, or an Upstream Channel ID TL V in a DCC-REQ message, the CM adds
`this UCID to the head of the "Candidate UCID List".
`
`2. The CM now reads UCD messages and finds the PHY parameters for the upstream channels with
`UCIDs listed in the "candidate UCID List". If timer T 1 expires and the CM has not received any valid
`UCD messages it MUST continue scanning.
`
`3. Taking the UCID at the head of the candidate UCID list, the CM performs Ranging Holdoff
`processing and configures the transmitter for that channel and attempts Bonded Initial Ranging. If the
`channel was stored in non-volatile memory then the CM SHOULD transmit using the stored transmit
`power le