UNITED STATES DISTRICT COURT
`EASTERN DISTRICT OF TEXAS
`MARSHALL DIVISION
`
`
`
`
` Case No. 2:11-CV-30 (DF)
`
`
`
`DISCLOSURE OF ASSERTED
`CLAIMS AND INFRINGEMENT
`CONTENTIONS AGAINST COMCAST
`CORPORATION, COMCAST CABLE
`COMMUNICATIONS, LLC AND
`COMCAST OF HOUSTON, LLC
`
`
`
`C-CATION TECHNOLOGIES, LLC,
`
`
`Plaintiff,
`
`v.
`
`
`COMCAST CORPORATION, CHARTER
`COMMUNICATIONS, INC., CEQUEL
`COMMUNICATIONS, LLC dba
`SUDDENLINK COMMUNICATIONS,
`CABLE ONE, INC., ALMEGA CABLE
`INC., LONGVIEW CABLE TELEVISION
`COMPANY, INC., AND KILGORE
`VIDEO, INC.
`
`
`
`
`Defendants.
`
`
`
`
`PLAINTIFF C-CATION TECHNOLOGIES, LLC’S DISCLOSURE OF
`ASSERTED CLAIMS AND INFRINGEMENT CONTENTIONS
`
`Pursuant to P.R. 3-1, Plaintiff C-Cation Technologies, LLC (“C-Cation Tech”) hereby
`
`
`
`
`
`submits its Disclosure of Asserted Claims and Infringement Contentions against Comcast
`
`Corporation, Comcast Cable Communications, LLC, and Comcast of Houston, LLC (collectively
`
`“Comcast”). Pursuant to P.R. 3-2, C-Cation Tech is concurrently producing documents bearing
`
`production numbers CTECH0000001-CTECH0000190.
`
`
`
`C-Cation Tech’s investigation into the extent of infringement by Comcast 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.
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`
`
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`
`

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`
`
`
`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 Comcast infringes U.S. Patent No.
`
`5,563,883 entitled “Dynamic Channel Management and Signalling [sic] Method and Apparatus”
`
`(“the ’883 patent”). Based on C-Cation Tech’s investigation thus far, Comcast is liable under 35
`
`U.S.C. § 271 for infringement of at least Claims 1, 3–7, 10 and 12.
`
`
`
`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 modem products sold, offered for sale,
`
`operated by, and/or imported into the United States for Comcast that perform, or are capable of
`
`performing the channel assignment, channel reassignment, bandwidth allocation functions
`
`described, and polling in the Data Over Cable System Interface Specifications (“DOCSIS”)
`
`versions 1.1, 2.0, and 3.0. C-Cation Tech has made reasonable efforts to determine the models
`
`of the devices that are distributed to customers by or for Comcast, or otherwise used by
`
`Comcast’s customers to receive services that Comcast provides. A list of such devices is
`
`attached hereto as Exhibit A. In addition to the devices identified in Exhibit A, it is believed that
`
`other devices are being operated by or for Comcast, to which information is not publicly
`
`available. Such devices include Cable Modem Termination Systems operated by or for Comcast
`
`2
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`

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`to provide services to Comcast’s customers.
`
`
`
`
`
`C-Cation Tech reserves the right to accuse additional products based on its review of the
`
`Comcast document production and 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 review of the Comcast 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 the Accused Instrumentalities. To the
`
`extent 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 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
`
`

`
`
`
`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 CTECH0000001-CTECH0000190.
`
`
`
`4
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`

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`
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`
`
`Respectfully submitted:
`
`
`
` /s/ David J. Kaplan
`Lewis V. Popovski
`Jeffrey S. Ginsberg
`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
`djkaplan@kenyon.com
`
`
`
`Samuel F. Baxter
`Texas State Bar No. 01938000
`sbaxter@mckoolsmith.com
`104 East Houston, Suite 300
`Marshall, Texas 75670
`Telephone: (903) 923-9000
`Facsimile: (903) 923-9099
`
`
`
`Attorneys for C-Cation Technologies, LLC
`
`
`Dated: December 2, 2011
`
`
`
`
`
`5
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`

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`
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`
`
`CERTIFICATE OF SERVICE
`
`The undersigned certifies that on December 2, 2011, the foregoing document was
`
`served on all counsel of record via email.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/s/ David J. Kaplan
`David J. Kaplan
`
`
`
`
`6
`
`
`
`
`
`
`

`
`
`
`EXHIBIT A
`
`Comcast offers for sale, sells, rents, leases, uses, operates, advertises and/or markets
`
`cable systems and products, including systems and products compliant with the DOCSIS 1.1,
`
`2.0, and/or 3.0 specifications, that infringe the asserted claims of the ’883 patent. These cable
`
`systems and products include, but are not limited to, DOCSIS complaint cable modem
`
`termination systems (CMTS) and cable modems (CM) when used together in accordance with
`
`the aforementioned DOCSIS standards.
`
`Included below is a list of DOCSIS compliant cable modems that, based upon
`
`information and belief, have been and/or currently are distributed to customers by or for
`
`Comcast, or otherwise used by Comcast’s customers to receive services that Comcast provides,
`
`currently known to C-Cation Tech:
`
`MANUFACTURER
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`
`MODEL
`CM450A
`CM550A
`TG852G (IMS)
`TG852G (NCS)
`TM402G
`TM402G (IMS)
`TM402P
`TM402P (IMS)
`TM502G
`TM502G (IMS)
`TM504G (IMS)
`TM504G (NCS)
`TM504G (SIP)
`TM508A (NCS)
`TM508A (SIP)
`TM602G (IMS)
`TM602G (NCS)
`
`Exhibit A - 1
`
`

`
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Arris
`Cisco
`Cisco
`D-Link
`D-Link
`Linksys
`Linksys
`Linksys
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Motorola
`Netgear
`
`
`
`TM602G (SIP)
`TM604G (IMS)
`TM604G (NCS)
`TM604G (SIP)
`TM608G (NCS)
`TM608G (SIP)
`TM702G
`TM702G (IMS)
`TM722G
`TM722G (IMS)
`WBM760A
`DPC3000
`HWIC-CABLE-D-2
`DCM-301
`DCM202
`BEFCMU10 v4
`CM100
`WCG200v1&2
`DCH3200
`DCH3416
`DCH6200
`DCH6416
`DCT3400
`DCT5100
`DCT6200
`DCT6208
`DCT6412
`DCX3200
`DCX3200M P2
`DCX3400
`SB5100
`SB5101
`SB5101U-Retail
`SB5120
`SB6120-Retail
`SB6121
`SBG6580-Retail
`SBG901-Retail
`CG814CCR-V2
`
`Exhibit A - 2
`
`

`
`Netgear
`Netgear
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`Scientific-Atlanta
`SMCNetworks
`SMCNetworks
`SMCNetworks
`Terayon
`Thomson
`Thomson
`Thomson
`Ubee
`Ubee
`Ubee
`ZoomTelephonics
`ZoomTelephonics
`ZoomTelephonics
`
`
`
`
`
`CG814v1&2
`CMD31T
`DPC2100
`DPC2100R2
`DPC2100R2i
`DPC2203
`DPC2203C
`DPC2505
`DPX2100
`SMC8014-CCR
`SMCD3G-CCR
`SMCD3GNV
`TJ716
`DCM425
`DCW615
`DHG535
`U10C018
`U10C019
`U10C035
`5241
`5341
`5350
`
`
`
`
`No names and/or model numbers of DOCSIS compliant cable modem termination
`
`
`
`
`
`
`
`systems used by or for Comcast are currently known.
`
`Exhibit A - 3
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`1. In a multiple access
`communication system
`comprising
`
`The accused Comcast DOCSIS compliant systems include a multiple access communication system, as
`described by at least the following sections of the DOCSIS specifications:
`
`
`
`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.
`
`
`
`Exhibit B - 1
`
`
`
`
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`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.”
`
`
`
`
`DOCSIS 3.0 MAC and Upper Layer Protocols Interface Specification (“MULPI v3.0”) § 1.2.2.
`
`
`Exhibit B - 2
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`“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
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`a central controller,
`
`The accused Comcast DOCSIS compliant systems include a central controller (CMTS), as
`described by at least the following sections of the DOCSIS specifications:
`
`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 - 4
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`
`
`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.
`
`Exhibit B - 5
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`a shared transmission
`means for signalling
`[sic] data and user
`information, and
`
`The accused Comcast DOCSIS compliant systems include a shared transmission medium for
`signalling [sic] data and user information, as described by at least the following sections of the DOCSIS
`specifications:
`
`
`
`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.
`
`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.
`
`Exhibit B - 6
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`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.
`
`Exhibit B - 7
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`a plurality of remote
`terminals,
`
`The accused Comcast DOCSIS compliant systems include a plurality of remote terminals, as
`described by at least the following sections of the DOCSIS specifications:
`
`
`
`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 - 8
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`“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 - 9
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`MULPI v3.0 § 1.2.2.
`
`
`
`Exhibit B - 10
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`The accused Comcast DOCSIS compliant systems 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 - 11
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`
`(a) establishing
`communications
`between said central
`controller and said
`plurality of remote
`terminals via a plurality
`of signalling [sic] data
`channels, each of said
`remote terminals being
`initially assigned to a
`pair of predetermined
`signalling [sic] data
`channels;
`
`The accused Comcast DOCSIS compliant systems 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. See also RFI v2.0 § 11.2.2
`
`“In the event that more than one downstream signal is present in the system, the CM MUST
`
`Exhibit B - 12
`
`

`
`
`
`LIMITATION
`
`INFRINGEMENT CONTENTION
`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 - 13
`
`

`
`
`
`LIMITATION
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`INFRINGEMENT CONTENTION
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`Exhibit B - 14
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`LIMITATION
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`INFRINGEMENT CONTENTION
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`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.
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`
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`DOCSIS 2.0
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`“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:
`
`“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
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`Exhibit B - 15
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`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.”
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`Exhibit B - 16
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`LIMITATION
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`INFRINGEMENT CONTENTION
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`MULPI v3.0 § 10.2.3.
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`See also MULPI v3.0 §§ 7.3, 10.2.
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`Exhibit B - 17
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`LIMITATION
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`INFRINGEMENT CONTENTION
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`(b) monitoring the status
`of a plurality of the
`signalling [sic] data
`channels in use between
`said central controller
`and said plurality of
`remote terminals for the
`usability of said
`signaling data channels;
`
`The accused Comcast DOCSIS compliant systems monitor the signaling data channels in use
`
`between the CMTS and the CMs for usability of the signaling data channels as described in at least the
`following sections of the DOCSIS specifications:
`
`
`
`DOCSIS 1.1 and 2.0:
`
`“The goals of fault management are remote monitoring/detection, diagnosis, and correction of
`problems. Network Management operators rely on the ability to monitor and detect problems (such as
`ability to trace and identify faults, accept and act on error-detection events), as well as the ability to
`diagnose and correct problems (such as perform a sequences of diagnostic tests, correct faults, and
`display/maintain event logs.) This section defines what MUST be available to support remote
`monitoring/detection, diagnosis and correction of problems.”
`
`DOCSIS 1.1 Operations Support System Interface Specification (“OSSI v1.1”) § 4.4; DOCSIS 2.0
`Operations Support System Interface Specification (“OSSI v2.0”) § 7.4.
`
`“The cable device (CMTS/CM) MUST support managed objects for fault management of the PHY
`and MAC layers. The DOCS-IF-MIB includes variables to track PHY state such as codeword collisions
`and corruption, signal-to-noise ratios, transmit and receive power levels, propagation delays, micro-
`reflections, in channel response, and Sync loss. The DOCS-IF-MIB also includes variables to track MAC
`state, such as collisions and excessive retries for requests, immediate data transmits, and initial ranging
`requests.”
`
`OSSI v1.1 § 4.4.1; OSSI v2.0 § 7.4.1.
`
`“At any time after registration, the CMTS may direct the CM to change its upstream channel [by
`sending a UCC-REQ message to the CM]. This may be done for traffic balancing, noise avoidance, or any
`of a number of other reasons which are beyond the scope of this specification.”
`
`RFI v1.1 § 9.3.3. See also RFI v2.0 § 11.3.3.
`
`“At any time after registration, the CMTS MAY direct the CM to change its downstream and/or
`
`Exhibit B - 18
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`upstream channel [by sending a DCC-REQ message to the CM]. This may be done for traffic balancing,
`noise avoidance, or other reasons which are beyond the scope of this specification.”
`
`RFI v1.1 § 9.4.5.1. See also RFI v2.0 § 8.3.20.
`
`DOCSIS 3.0:
`
`“CM-STATUS messages are needed in cases where the CM detects a failure that the CMTS can not
`detect directly (for example, a failure in the CIN where an M-CMTS is used), or where the CM can send
`valuable information to the CMTS when an error or a recovery event occurs (for example, the CM can
`report a T3 timeout to the CMTS). Upon receiving an error indication the CMTS is expected to take action
`in order to correct the error. A CM MUST transmit a CM-STATUS message on any available channel
`when it detects an event condition listed in Table 10–3 for any object and reporting of the event type for
`that object is enabled on the CM Table 10–3 describes the trigger conditions that set each event ‘on’, and
`the reset conditions at which the event is considered to change to ‘off.’ An event is said to ‘occur’ when it
`transitions from ‘off’ to ‘on.’ Some event types are for a particular downstream channel, a particular
`upstream channel, or a DSID.”
`
`MULPI v3.0 § 10.4.3.
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`Exhibit B - 19
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`LIMITATION
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`INFRINGEMENT CONTENTION
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`Exhibit B - 20
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`LIMITATION
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`INFRINGEMENT CONTENTION
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`Exhibit B - 21
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`LIMITATION
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`(c) determining whether
`one of said plurality of
`remote terminals needs
`to be reassigned to a
`different signalling [sic]
`data channel other than
`said predetermined
`signalling [sic] data
`channel;
`
`The accused Comcast DOCSIS compliant systems determine whether a CM needs to be reassigned
`
`to a different signaling data channel as described in at least the following sections of the DOCSIS
`specifications:
`
`DOCSIS 1.1 and 2.0:
`Upstream Channel Change Request (UCC-REQ)
`“At any time after registration, the CMTS may direct the CM to change its upstream channel [by
`sending a UCC-REQ message to the CM]. This may be done for traffic balancing, noise avoidance, or any
`of a number of other reasons which are beyond the scope of this specification.”
`
`
`
`RFI v1.1 § 9.3.3. See also RFI v2.0 § 11.3.3.
`
`Dynamic Channel Change Request (DCC-REQ)
`
`“At any time after registration, the CMTS MAY direct the CM to change its downstream and/or
`upstream channel [by sending a DCC-REQ message to the CM]. This may be done for traffic balancing,
`noise avoidance, or other reasons which are beyond the scope of this specification.”
`
`RFI v1.1 § 9.4.5.1. See also RFI v2.0 § 11.4.5.1.
`
` RFI v2.0 §§ 8.3.20, 9.4.5.1.
`
`“Figure 9-57 shows an example of the use of DCC and its relation to the other DOCSIS MAC
`messages. In particular, this example describes a scenario where the CM attempts to allocated [sic] new
`resources with a DSA message. The CMTS temporarily rejects the request, tells the CM to change
`channels, and then the CM requests the resources. This example (not including all exception conditions) is
`described below. Refer to Section 9.2 for more detail.
`
`
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`Exhibit B - 22
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`LIMITATION
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`a) An event occurs, such as the CM issuing a DSA-REQ message.
`
`b) The CMTS decides that it needs to change channels in order to service this resource request.
`The CMTS responds with a DSA-RSP message which includes a confirmation code of ‘reject-temporary-
`DCC’ (refer to Appendix C.1.3.1) in the DSC-RSP message to indicate that the new resources are not
`available until a DCC is received. The CMTS now rejects any further DSA or DSC messages until the
`DCC command is executed.”
`
`RFI v1.1 § 9.4.5.5.1. See also RFI v2.0 § 11.4.5.5.1.; RFI v2.0 § 11.4.5.2.
`
`See also RFI v1.1 Figures 9-57 – 9-65; RFI v2.0 § 11-58 – 11-65.
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`
`
`DOCSIS 3.0:
`
`Dynamic Channel Change (DCC, DCC-REQ) and Dynamic Bonding Change (DBC)
`
`“At any time after registration, the CMTS MAY use the DCC-REQ message to direct a CM not
`operating in Multiple Receive Channel mode to change its upstream and/or downstream channel. At any
`time after registration, the CMTS may use the DCC-REQ message to direct a CM to which a Transmit
`Channel Configuration was not assigned in the registration process to change its upstream channel. The
`CMTS MUST be capable of performing DCC operations to trigger upstream and/or downstream channel
`changes within a MAC domain and between MAC domains for CMs not operating in Multiple Receive
`Channel mode. The CMTS MUST be capable of performing DCC operations to a CM operating in
`Multiple Receive Channel mode to force it to reinitialize in a different MAC Domain. The CMTS MUST
`be capable of performing DCC operations to a CM which has not received a Transmit Channel
`Configuration in the registration process to force it to change its upstream channel. For a CM operating in
`Multiple Receive Channel mode, the CMTS will use Dynamic Bonding Change (DBC) messaging to
`change downstream channels within a MAC domain. For a CM to which a Transmit Channel
`Configuration was assigned in the registration process, the CMTS uses Dynamic Bonding Change (DBC)
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`Exhibit B - 23
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`LIMITATION
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`messaging to change upstream channels within a MAC domain.”
`
`MULPI v3.0 § 11.4.1.
`
`“Autonomous Load Balancing is a feature of the CMTS that controls dynamic changes to the set of
`downstream and upstream channels used by a CM. The CMTS uses the Dynamic Channel Change (DCC)
`message to control the load balancing of CMs not operating in Multiple Receive Channel mode. The
`CMTS can also use DCC to load balance the upstream of a CM to which a Transmit Channel
`Configuration was not assigned in the registration process. The CMTS uses the Dynamic Bonding Change
`(DBC) message to control load balancing of CMs operating in Multiple Receive Channel mode. With
`CMs operating in Multiple Receive Channel mode, load balancing can be performed by changing the
`Receive Channel Set of the CM, or by moving one or more service flows to different downstream channels
`within the current RCS of the CM. With CMs operating in Multiple Transmit Channel mode, load
`balancing can be performed by changing the Transmit Channel Set of the CM, or by moving one or more
`service flows to different upstream channels within the current TCS of the CM.”
`
`MULPI v3.0 § 11.6
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`Exhibit B - 24
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`LIMITATION
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`(d) determining whether
`a different and suitable
`signalling [sic] data
`channel is available
`other than said
`predetermined channel;
`and
`
`The accused Comcast DOCSIS compliant system