IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re inter partes review of:
`
`U.S. Patent 8,626,118 to Smith et al. Atty. Docket: 3210.061IPR0
`
`Filed: Herewith
`
`For: System and Method for
`Authorizing and Monetizing
`Collect Cellular Telephone Calls
`
`
`
`Declaration of Dr. Leonard J. Forys in Support of
`Petition for Inter Partes Review of U.S. Patent No. 8,626,118
`
`
`
`Mail Stop Inter Partes Review
`
`Attn: Patent Trial and Appeal Board
`Commissioner for Patents
`PO Box 1450
`Alexandria, VA 22313-1450
`Commissioner:
`
`
`
`
`
`
`
`
`
`GTL 1003
`IPR of U.S. Patent No. 8,626,118
`
`

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`
`
`Table of Contents
`
` 
`I.  Qualifications .......................................................................................................................... 2 
`II.  My Understanding of Claim Construction ............................................................................ 10 
`III.  My Understanding of Obviousness ................................................................................... 10 
`IV. 
`Level of Ordinary Skill in the Art ..................................................................................... 12 
`V.  Overview of the ’118 Patent ................................................................................................. 12 
`VI. 
`Background of the Technologies Disclosed in the ’118 Patent ........................................ 15 
`A.  Premium SMS Billing ....................................................................................................... 16 
`B.  Collect Calling .................................................................................................................. 18 
`VII.  Overview of Rae ............................................................................................................... 20 
`VIII.  Overview of Sulmar .......................................................................................................... 23 
`IX. 
`Overview of Falcone ......................................................................................................... 24 
`X.  The Combination of Rae, Sulmar, and Falcone .................................................................... 25 
`XI. 
`Claim Construction ........................................................................................................... 28 
`XII.  The Combination of Rae, Sulmar, and Falcone Renders Claims 1–32 Obvious .............. 28 
`A.  Claims 1–23 ...................................................................................................................... 29 
`B.  Claims 24–30 .................................................................................................................... 30 
`C.  Claims 31–32 .................................................................................................................... 30 
`D.  Claim 1 .............................................................................................................................. 31 
`E.  Claim 2 .............................................................................................................................. 48 
`F.  Claim 3 .............................................................................................................................. 50 
`G.  Claim 4 .............................................................................................................................. 51 
`H.  Claim 5 .............................................................................................................................. 52 
`I.  Claim 6 .............................................................................................................................. 57 
`J.  Claim 7 .............................................................................................................................. 58 
`K.  Claim 8 .............................................................................................................................. 59 
`L.  Claim 9 .............................................................................................................................. 60 
`M.  Claim 10 ............................................................................................................................ 61 
`N.  Claim 11 ............................................................................................................................ 62 
`O.  Claim 12 ............................................................................................................................ 66 
`P.  Claim 13 ............................................................................................................................ 67 
`Q.  Claim 14 ............................................................................................................................ 68 
`R.  Claim 15 ............................................................................................................................ 69 
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`S.  Claim 16 ............................................................................................................................ 71 
`S.
`Claim 16 .......................................................................................................................... .. 71
`T.  Claim 17 ............................................................................................................................ 72 
`T. Claim 17 .......................................................................................................................... .. 72
`U.  Claim 18 ............................................................................................................................ 74 
`U. Claim 18 .......................................................................................................................... .. 74
`V.  Claim 19 ............................................................................................................................ 76 
`V. Claim 19 .......................................................................................................................... .. 76
`W.  Claim 20 ............................................................................................................................ 78 
`W. Claim 20 .......................................................................................................................... .. 78
`X.  Claim 21 ............................................................................................................................ 79 
`X. Claim 21 .......................................................................................................................... .. 79
`Y.  Claim 22 ............................................................................................................................ 80 
`Y. Claim 22 .......................................................................................................................... .. 80
`Z.  Claim 23 ............................................................................................................................ 81 
`Z. Claim 23 .......................................................................................................................... .. 81
`AA. Claim 24 ............................................................................................................................ 83 
`AA. Claim 24 .......................................................................................................................... .. 83
`BB.  Claim 25 ............................................................................................................................ 93 
`BB. Claim 25 .......................................................................................................................... .. 93
`CC.  Claim 26 ............................................................................................................................ 93 
`CC. Claim 26 .......................................................................................................................... .. 93
`DD. Claim 27 ............................................................................................................................ 94 
`DD. Claim 27 .......................................................................................................................... .. 94
`EE.  Claim 28 ............................................................................................................................ 94 
`EE. Claim 28 .......................................................................................................................... .. 94
`FF.  Claim 29 ............................................................................................................................ 96 
`FF. Claim 29 .......................................................................................................................... .. 96
`GG. Claim 30 ............................................................................................................................ 99 
`GG. Claim 30 .......................................................................................................................... .. 99
`HH. Claim 31 .......................................................................................................................... 100 
`HH. Claim 31 ........................................................................................................................ .. 100
`II.  Claim 32 .......................................................................................................................... 102 
`II. Claim 32 ........................................................................................................................ .. 102
`XIII.  Secondary Considerations ............................................................................................... 103 
`X111.
`Secondary Considerations ............................................................................................. .. 103
`XIV.  Conclusion ...................................................................................................................... 104 
`XIV. Conclusion .................................................................................................................... .. 104
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`I, Dr. Leonard J. Forys, declare as follows:
`
`1.
`
`I have been retained on behalf of Global Tel*Link Corporation
`
`(“GTL”) for the above-captioned inter partes review proceeding. I understand that
`
`this proceeding involves U.S. Patent No. 8,626,118 (“the ’118 patent”) titled
`
`“System and Method for Authorizing and Monetizing Collect Cellular Telephone
`
`Calls” by Mark R. Smith et al., and that the ’118 patent is currently assigned to
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`Securus Technologies, Inc.
`
`2.
`
`I have reviewed and am familiar with the specification of the ’118
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`patent filed on April 17, 2012 and claiming a benefit to August 23, 2007. I
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`understand that the ’118 patent has been provided as Exh. 1001. I will cite to the
`
`specification using the following format: (’118 patent, 1:1–10). This example
`
`citation points to the ’118 patent specification at column 1, lines 1–10.
`
`3.
`
`I have reviewed and am familiar with the file history of the ’118
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`patent. I understand that the file history has been provided as Exh. 1002. I have
`
`also considered all other materials cited herein.
`
`4.
`
`I have also reviewed and am familiar with the following references:
`
`U.S. Patent No. 7,496,345 to Rae et al., titled “Systems and
`Methods for Processing Calls Directed to Telephones Having a
`Portable Interface,” (“Rae”). I understand that Rae has been
`provided as Exh. 1009.
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`U.S. Patent Application Publication No. 2006/0149644 to
`Sulmar et al., titled “Premium SMS Billing Method,” (“Sulmar”). I
`understand that Sulmar has been provided as Exh. 1010.
`U.S. Patent Application Publication No. 2003/0086546 to
`Falcone et al., titled “Systems and Methods for Offering a Service
`to a Party Associated with a Blocked Call,” (“Falcone”). I
`understand that Falcone has been provided as Exh. 1013.
`U.S. Patent No. 7,106,843 to Gainsboro et al., titled “Computer-
`Based Method and Apparatus for Controlling, Monitoring,
`Recording and Reporting Telephone Access,” (“Gainsboro”). I
`understand that Gainsboro has been provided as Exh. 1014.
`The ’118 patent describes “a system, a method and programming
`
`5.
`
`instructions stored on a computer readable medium for authorizing and monetizing
`
`collect cellular telephone calls.” (’118 patent, 2:33–36.) I am familiar with the
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`technology described in the ’118 patent as of its August 23, 2007 claimed priority
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`date.
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`6.
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`I have been asked to provide my technical review, analysis, insights,
`
`and opinions regarding the ’118 patent and the references that form the basis for
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`the grounds of rejection set forth in the Petition for Inter Partes Review of the ’118
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`Patent.
`
`I.
`
`Qualifications
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`7.
`
`I have over 40 years of experience in the telecommunications industry
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`working for corporations including AT&T Bell Telephone Laboratories for almost
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`two decades and Bellcore (formerly Bell Communications Research), the research
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`and development organization for the Bell Operating Companies (e.g., Bell
`
`Atlantic, Southwestern Bell, US West, etc.), for over a decade. As detailed below, I
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`have worked on many projects and technologies highly relevant to the subject
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`matter of the ’118 patent.
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`8. My academic background in electrical engineering and computer
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`science provides a technical foundation for work in telephone communications
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`networks. I received a Bachelor of Science Degree in Electrical Engineering from
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`the University of Notre Dame in 1963. I received both a Master of Science in
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`Electrical Engineering and
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`the degree of Electrical Engineer from
`
`the
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`Massachusetts Institute of Technology in 1965. I received a degree of Doctor of
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`Philosophy in Electrical Engineering and Computer Science from the University of
`
`California at Berkeley in 1968.
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`9. While at Berkeley, I was an Assistant Professor of Electrical
`
`Engineering and Computer Science, teaching courses in network theory, systems
`
`theory and communications theory, performing research in communications
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`systems and serving as faculty advisor to 20 undergraduates.
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`10. From 1968 to 1973, I was a member of the technical staff at Bell
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`Telephone Laboratories (known commonly as Bell Labs). I engaged in various
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`research activities involving network engineering and performance management in
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`- 3 -
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`
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`telephone networks. I taught several in-house courses in performance analysis and
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`traffic engineering in telephone networks.
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`11. From 1973 to 1984, I was Technical Supervisor at Bell Telephone
`
`Laboratories, heading a group of technical experts, primarily Ph.D.’s. I was
`
`responsible for performance management/analysis and development of traffic
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`engineering algorithms for various telecommunications networks and their
`
`components, primarily processor based voice switches, automatic call distributors,
`
`and Private Branch Exchanges (“PBXs”). As part of this effort, I successfully
`
`rescheduled the processor tasks in several of these systems to increase their
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`capacity and improve their performance. My department did the original traffic
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`engineering work for the Advanced Mobile Phone System, AMPS, which was the
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`predominant mobile service in North America in the 1980s. I provided
`
`management reviews for this work. I also was responsible for all of the call center
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`staffing algorithms for the Bell System and for the engineering of the network
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`elements used for call centers such as the TSPS (Traffic Service Position System),
`
`Rockwell ACDs, and the #5 CrossBar ACD. ACDs are Automatic Call
`
`Distributors, special purpose switches used to provide call center functionality. In
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`particular, these network elements were used during this time period to provide
`
`collect calling for inmate phones as they handled both automatic and operator
`
`assisted coin phones and automatic and assisted collect calling. In particular, the
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`- 4 -
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`Bell System call centers implemented various billing options, both manual and
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`mechanized billing such as AABS (Automatic Alternative Billing Services). These
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`allowed for credit card verification and billing as well as automated collect billing
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`procedures. I note that these network elements were centralized, deployed remotely
`
`from the prison facilities and served multiple prison facilities.
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`12. From 1984 to 1994, I was District Manager for Bell Communications
`
`Research (“Bellcore”), heading a group of 7 to 15 technical experts, primarily
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`Ph.D.’s. I was responsible for the specification and testing of a variety of voice
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`network components. This work included writing sections of the requirements used
`
`by the Bell Operating Companies to buy network components in their networks. I
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`also tested the compliance (to the requirements) of several voice switches made by
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`various companies, e.g., Nortel, Lucent, Ericsson, Fujitsu, NET, and Siemens. The
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`testing involved various billing options and their impact on switch performance.
`
`13. During this time period, I further consulted on the engineering and
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`performance of various supplemental telephonic services such as Voice Mail
`
`systems, including those manufactured by Boston Technologies, Unisys, and
`
`Digital Sound Corporation, as well as supporting equipment such as SMDI
`
`(Simplified Message Display Interface) links. An essential element of these
`
`services was the use of Interactive Voice Response units (IVRs), which are used in
`
`the ’118 patent. IVRs are also heavily used in the call centers technologies that I
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`
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`analyzed. During this time period, I headed a group doing architectural and
`
`performance studies of Personal Cellular Service, PCS. This work was done on
`
`behalf of the Regional Bell Operating Companies, the RBOCs. I was asked to chair
`
`a session on traffic performance of PCS at an international symposium. The PCS
`
`technologies I researched included SMS capabilities. I also participated and
`
`contributed to various national and international voice and data standards
`
`organizations.
`
`14. During this period, I continued my involvement with call center
`
`technology. In particular, I was responsible for the engineering of all call centers
`
`for the Bell Operating Companies. This included analyzing specific network
`
`elements used to handle inmate telephone calls such as Nortel’s TOPS (Traffic
`
`Operator Position System) and MPP (Multi-Purpose Position) systems and
`
`AT&T’s No. 5 OSPS (Operator Services Position Station).
`
`15. Another of my responsibilities while at Bellcore was analyzing and
`
`providing engineering algorithms for data network components used by the Bell
`
`Operating Companies. As part of this endeavor, I was a leader in developing novel
`
`traffic engineering methods for Internet data networks and other high speed data
`
`networks such as Asynchronous Transfer Mode (ATM) and Frame Relay. This
`
`included characterizing Internet traffic and developing loading guidelines for
`
`network components including routers and switches. Through this effort, I worked
`
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`on some of the earliest deployed packet-based networks, some of which included
`
`voice over packet technologies.
`
`16.
`
`I was Bellcore’s prime technical leader for determining root causes of,
`
`and proposed solutions for, several Signaling System No. 7 (“SS7”) data network
`
`outages, including the famous 1990 AT&T nationwide outage, as well as the 1991
`
`Washington, D.C., Pittsburgh, and Los Angeles outages. I was responsible for
`
`writing new sets of requirements for SS7 networks and was involved in a large
`
`scale testing and analysis program for a wide variety of SS7 network components.
`
`17.
`
`I was named a Bellcore Fellow in 1992 – only the fifth person to
`
`receive such an award.
`
`18. From 1994 to 1995, I was a Chief Scientist at Bellcore, overseeing the
`
`technical work of 50 technical experts, many of whom had Ph.D.’s. I was involved
`
`in the teaching of teletraffic engineering and performance management to various
`
`bodies, including the Federal Communications Commission, which included
`
`various aspects of both voice and data networks, including voice mail systems. I
`
`served as a “trouble shooter,” responsible for identifying root causes for diverse
`
`network problems involving a variety of technologies including both high speed
`
`data networks as well as telephone networks. I analyzed the potential impact of
`
`earthquakes and other natural disasters on
`
`telecommunications network
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`performance. The National Science Foundation sponsored me to be the sole U.S.
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`
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`telecommunications industry representative at the First International Joint U.S.-
`
`Japan Earthquake Symposium in 1993.
`
`19. Since 1995, I have been President of my own company, The Forys
`
`Consulting Group, Inc., providing consulting in voice and data communications
`
`services including mobile telephony. Relevant to the subject matter of this case, I
`
`analyzed the performance of AT&T’s wireless (mobile) network which provided
`
`both voice and data services to interstate transport haulers, e.g., Highway Master.
`
`This was in support of a legal case brought about by Highway Master after AT&T
`
`canceled their contract. Highway Master charged that AT&T service was
`
`substandard. I also used HP’s SS7 network monitoring capabilities to analyze
`
`Internet traffic patterns in a large metro area. As part of a team of international
`
`experts, I investigated a wide range of issues involving the introduction of a new
`
`line of vendor products in a foreign national network. In 1995 I experimented with
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`some of the first VoIP systems, including a 1996 version of the Vocaltec’s Internet
`
`Phone.
`
`20. As a consultant to a large telephone company, I advised them on
`
`quality of service issues in providing voice over ATM (with and without IP), Voice
`
`over IP, Internet and Multiprotocol Label Switching (MPLS) networks, which are
`
`used extensively in VoIP. I further analyzed various supplier components for
`
`providing hybrid fiber coax access in cable networks. I consulted with a large
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`company on the economic and technical problems associated with providing voice
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`and data communications over a foreign cable network.
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`21. During this period, I also performed extensive consulting for various
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`data communications systems, including Internet access using satellite systems
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`including LAN in the sky technologies for airplanes. I analyzed the performance,
`
`provided traffic inputs and helped specify traffic network management/congestion
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`controls for three satellite data communications systems capable of handling both
`
`packetized voice as well as Internet traffic.
`
`22.
`
`In the period between 1995-2001 I worked as a consultant to
`
`GLADSIS. GLADSIS provided software for servers that controlled screen based
`
`landline phones (often with keyboards) using the Analog Display Service Interface
`
`(ADSI) protocol which alternated data and voice. During this time, GLADSIS
`
`developed software for providing SMS receipt and delivery to British Telecom
`
`customers using ADSI capable telephones. I was involved in developing various
`
`marketing and billing strategies for the use of these types of phones, particularly
`
`for the application in the UK. In addition, I researched the use of SMS to control
`
`Bluetooth capable devices for a possible patent application. I have been involved in
`
`a number of consulting tasks involving VoIP networks using both H.323 and SIP
`
`signaling technologies. These included several patent cases, including cases
`
`brought against major VoIP carriers such as Level 3, Comcast, Time Warner
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`Cable, Verizon FIOS, and Sprint. I also have been involved in various consulting
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`tasks involving alternative billing strategies such as pre-paid calling cards provided
`
`by Alternative Service Providers.
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`23. My Curriculum Vitae is provided as Exhibit 1023, which contains
`
`further details on my education, experience, publications, and other qualifications
`
`to render an expert option. My work on this case is being billed at a rate of $400.00
`
`per hour, with reimbursement for actual expenses. My compensation is not
`
`contingent upon the outcome of this inter partes review.
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`II. My Understanding of Claim Construction
`
`24.
`
`I understand that during an inter partes review, claims are to be given
`
`their broadest reasonable construction in light of the specification as would be read
`
`by a person of ordinary skill in the relevant art.
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`III. My Understanding of Obviousness
`
`25.
`
`I understand that a patent claim is invalid if the claimed invention
`
`would have been obvious to a person of ordinary skill in the field at the time the
`
`application was filed. This means that even if all of the requirements of the claim
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`cannot be found in a single prior art reference that would anticipate the claim, the
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`claim can still be invalid.
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`26. As part of this inquiry, I have been asked to consider the level of
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`ordinary skill in the field that someone would have had at the time the claimed
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`invention was made. In deciding the level of ordinary skill, I considered the
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`following:
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` the levels of education and experience of persons working in the field;
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` the types of problems encountered in the field; and
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` the sophistication of the technology.
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`27. To obtain a patent, a claimed invention must have, as of the priority
`
`date, been nonobvious in view of the prior art in the field. I understand that an
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`invention is obvious when the differences between the subject matter sought to be
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`patented and the prior art are such that the subject matter as a whole would have
`
`been obvious at the time the invention was made to a person having ordinary skill
`
`in the art.
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`28.
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`I understand that to prove that prior art, or a combination of prior art,
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`renders a patent obvious, it is necessary to: (1) identify the particular references
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`that singly, or in combination, make the patent obvious; (2) specifically identify
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`which elements of the patent claim appear in each of the asserted references; and
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`(3) explain how the prior art references could have been combined in order to
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`create the inventions claimed in the asserted claim.
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`29.
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`I understand that certain objective indicia can be important evidence
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`regarding whether a patent is obvious or nonobvious. Such indicia include: (1)
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`commercial success of products covered by the patent claims; (2) a long-felt need
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`for the invention; (3) failed attempts by others to make the invention; (4) copying
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`of the invention by others in the field; (5) unexpected results achieved by the
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`invention as compared to the closest prior art; (6) praise of the invention by the
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`infringer or others in the field; (7) the taking of licenses under the patent by others;
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`(8) expressions of surprise by experts and those skilled in the art at the making of
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`the invention; and (9) the patentee proceeded contrary to the accepted wisdom of
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`the prior art.
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`IV. Level of Ordinary Skill in the Art
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`30. Based on the disclosure of the ’118 patent, one of ordinary skill in the
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`art would have a B.S. degree in Electrical Engineering, Computer Science, or an
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`equivalent field as well as at least 3–5 years of academic or industry experience in
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`communications systems, or comparable industry experience.
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`V. Overview of the ’118 Patent
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`31. The ’118 patent describes “a system, a method and programming
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`instructions … for authorizing and monetizing collect cellular telephone calls.”
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`(’118 patent, 2:33–36.) The system accomplishes this task by sending a text
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`message, such as a premium short message service (Premium SMS or PSMS)
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`message that is charged to the account of the owner of the cellular telephone to pay
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`for a collect call. (See ’118 patent, 4:1–7.) The carrier sends a bill to the owner for
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`the amount of the message (possibly on top of the normal monthly bill), and the
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`owner rremits payyment. (’118 patent,, 4:24–30..) Upon thhis paymeent, the caarrier
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`returns
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`a portion
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`of the colllected monney for thee message
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`to the venndor of thee cell
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`
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`phone ccollect callling service. (’118 paatent, 4:311–34.) Thiss process iis illustrateed in
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`FIG. 1
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`18 patent,
`of the ’1
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`reproduceed above.
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`In this fi
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`
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`gure, a caalling partyy 10
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`
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`makes aa collect caall to wirelless subscrriber 30. Thhe operatoor service pprovider (OOSP)
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`18 and
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`cell phonee connect sservice (CCCS) 20 wo
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`rk in conjuunction to
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`implemennt the
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`claimedd methods
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`and enablee the colleect call. Thhe carrier 222 sends thhe called pparty
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`l 41.
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`payment.
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`(See
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`30 a billl 36 for thhe messagee (not showwn), and thhe called pparty 30 paays the bil
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`The carrrier 22 theen pays thee service pprovider 200 a portionn 43 of the
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`’118 paatent, 3:38––4:34.)
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`32. The
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`’118 patennt acknowwledges thhat collect
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`
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`calls madde to alterrnate
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`called pparty 11, wwhich does
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`not use a
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`cellular te
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`lephone, wwas knownn to a POS
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`
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`A as
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`ogy.” (’11
`a “priorr methodol
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`8 patent, 33:51–63.)
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`33. A floowchart of f the discloosed methood is providded in FIGGs. 2A andd 2B,
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`reproduuced beloww. A user pplaces a coollect call tto a cellulaar telephonne at blockk 50,
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`and thee system ddetermines
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`whether tthe cellularar carrier ccan be chaarged for SSMS
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`servicess 54. If so,, the systemm calls thee cellular ttelephone
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`number att block 64,, and
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`an interractive voiice responnse (IVR)
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`system as
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`ks the callled party
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`to authoriize a
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`collect
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`call via teext messagge billing 668–74. Thhe billable
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`text messsage (Premmium
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`SMS) iss sent to thhe user at bblocks 78––80 and thhe system cconnects thhe parties ffor a
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`predeterrmined perriod of timme 82–92.
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`34.
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`I notte that sevveral detaails of the above fl
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`owcharts
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`were stanndard
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`proceduure for prisson collectt calls at thhe time of f inventionn, includingg using IVVR to
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`solicit acceptance of the collect phone call, connecting the call after receiving
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`authorization, and setting a timer. The aspect of the method that was not standard
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`in prison systems was the use of a text message, specifically Premium SMS, to bill
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`for the call. However, as discussed in Section VI.A, Premium SMS was known as
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`a viable method for billing users for telecommunication services.
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`35. The specification discloses Premium SMS messages sent to a phone
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`may cost a mobile subscriber “$10 or higher per unit event.” (’118 patent, 4:5.)
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`The ’118 patent simply substituted known Premium SMS billing as the
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`monetization mechanism for standard collect calling practice. Most of the claims
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`of the patent use the term “message service communications protocol”. This is not
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`a term of the art but is used in the patent to refer to the protocol used in SMS
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`technology (“SMS technology has facilitated the development and growth of text
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`messaging and is sometimes called herein ‘message service communications
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`protocol.’” (’118 patent, 2:51–54.)). The “message service communications
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`protocol” would include the sending and implementing of Premium SMS
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`messages.
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`VI. Background of the Technologies Disclosed in the ’118 Patent
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`36. The ’118 patent is the application of a known billing method
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`(premium text messaging) to a known telecommunications service (collect calling).
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`A. Premium SMS Billing
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`37. Premium SMS (PSMS) is a mechanism for charging a mobile
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`telephone user for sending or receiving SMS messages. (Exh. 1010, Sulmar,
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`¶ [0006].) A PSMS message is simply an SMS message with a header that tells the
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`carrier how much to bill the recipient for the message. (Exh. 1015, Schwartz, p.
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`17.) For the header to be honored, the sending party must be approved to send such
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`messages at the specified rate. (Id.) Before the claimed priority date of the ’118
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`patent, PSMS was used or envisioned for use to bill for items and services such as
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`ringtones (Exh. 1016, Garner, p. 2, § 2.1, ¶ 1), horoscopes (Exh. 1017, Brown, p.
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`2), parking (Exh. 1010,