0
`PTO/SB/16 (04;.(J+j
`Approved for use through 07/31/2006. OMB 0651-QOQ! L()
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERI(S "¢
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`co
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET
`a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53 c.
`L() v._
`coo
`gjco
`C\J
`
`Given Name (first and middle [if any])
`
`INVENTOR(S)
`Family Name or Surname
`
`Residence
`(City and either State or Foreign Country)
`
`JOHN ROBERTSON
`
`CAMPBELL
`
`572 Windermere Avenue,
`Ottawa, Ontario K2A 2W5 CANADA
`Additional inventors are being named on the
`separately numbered sheets attached hereto
`TITLE OF THE INVENTION (500 characters max)
`METHOD AND SYSTEM FOR MANAGING AUTHENTICATION ATTEMPTS
`Direct all correspondence to:
`CORRESPONDENCE ADDRESS
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`0 Customer Number:
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`OR
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`Address
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`City
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`Country
`
`33,721
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`Telephone
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`Zip
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`ENCLOSED APPLICATION PARTS (check all that apply)
`0. Specification Number of Pages 7
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`Date July 7 , 2004
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`REGISTRATION NO. _4..:.:5:.!..4.:...:0c::.O _____ _
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`-------------------
`
`TWILIO, INC. EX. 1030
`Page 1
`
`

`
`PTO/SB/17 (10-03)
`Approved for use through 07/31/2006. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`Complete if Known
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`for FY 2004
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`Effective 1010112003. Patent fees are subject to annual revision.
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`~ Applicant claims small entity status. See 37 CFR 1.27
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`130 2051
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`1812 2,520 1812 2,520 For filing a request for ex parte reexamination
`920* 1804 920* Requesting publication of SIR prior to
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`1805 1,840* 1805 1 ,840* Requesting publication of SIR after
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`55 Extension for reply within first month
`210 Extension for reply within second month
`475 Extension for reply within third month
`740 Extension for reply within fourth month
`1255 2,010 2255 1,005 Extension for reply within fifth month
`
`1251
`
`110 2251
`
`1252
`
`420 2252
`
`950 2253
`1253
`1254 1,480 2254
`
`1401
`
`1402
`
`330
`
`330
`
`2401
`
`2402
`
`165 Notice of Appeal
`165 Filing a brief in support of an appeal
`145 Request for oral hearing
`
`2403
`1403
`290
`1451 1,510 1451 1,510 Petition to institute a public use proceeding
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`FEE CALCULATION
`1. BASIC FILING FEE
`Large Entity Small Entity
`IFee Fee
`Fee Fee
`!~"ode (~)
`~o;oae l~l
`2001 385
`1001 770
`1002 340
`2002 170
`2003 265
`2004 385
`2005
`80
`
`1003 530
`1004 770
`1005 160
`
`Design filing fee
`
`Plant filing fee
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`Reissue filing fee
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`Provisionai tiling fee
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`Fee DescriQtion
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`Fee Paid
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`Utility filing fee ~
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`SUBTOTAL (1) I($) 80.00
`I
`1453 1,330 2453
`2. EXTRA CLAIM FEES FOR UTILITY AND REISSUE 1501 1,330 2501
`Fee from
`Extra Claims ~ Fee Paid
`1502
`480
`2502
`-20**= CJ X
`Total Claims D
`I 1503
`~
`-3**= CJ xl
`Independent D
`I
`I~
`I
`I 1807
`I~
`
`Claims
`Multiple Dependent
`
`665 Petition to revive - unintentional
`665 Utility issue fee (or reissue)
`240 Design issue fee
`320 Plant issue fee
`
`130 Petitions to the Commissioner
`
`50 Processing fee under 37 CFR 1.17(q)
`
`640
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`2503
`
`1460
`
`130
`
`1460
`
`50
`
`1807
`
`Laroe Entitv Small Entitv
`Fee Fee
`Fee Fee
`Code ($)
`Code ($)
`1202
`18
`2202
`
`Fee Descrlgtion
`
`1201
`
`86
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`1203 290
`
`1204
`
`86
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`9 Claims in excess of 20
`Independent claims in excess of 3
`2201
`43
`2203 145 Multiple dependent claim, if not paid
`•• Reissue independent claims
`over original patent
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`2204
`
`43
`
`1205
`
`18
`
`2205
`
`9
`
`•• Reissue claims in excess of 20
`and over original patent
`
`~~$~ 0.00
`SUBTOTAL (2)
`••or number previously paid, if greater; For Reissues, see above
`
`1806
`
`180
`
`8021
`
`40
`
`1809
`
`770
`
`1810
`
`770
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`8021
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`40 Recording each patent assignment per
`property (times number of properties)
`2809 385 Filing a submission after final rejection
`(37 CFR 1.129(a))
`
`2810 385 For each additional invention to be
`examined (37 CFR 1.129(b))
`385 Request for Continued Examination (RCE)
`900 Request for expedited examination
`of a design application
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`1801 770 2801
`1802
`900 1802
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`I Other fee (specify)
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`*Reduced by Basic Filing Fee Paid
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`SUBMITTED BY
`Name (Printffype)
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`Signature
`
`T. Andrew Currier
`
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`I Registration No. 145,400
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`Telephone (416) 865-8213
`I July ? , 2004
`WARNING: Information on this form may become public. Credit card Information should not
`be Included on this form. Provide credit card Information and authorization on PT0-2038.
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`
`TWILIO, INC. EX. 1030
`Page 2
`
`

`
`Method and System for Managing Authentication Attempts
`
`The purpose of this invention is to take effective action to manage invalid authentication
`attempts through pattern analysis and the use of a separate communication channel to
`communicate with Users in real time.
`Invalid authentication attempts could include
`fraudulent or abusive situations as well as a lack of User knowledge.
`
`The identification and management of authentication attempts can be improved in a
`uriique way by having a real time communication channel with the end user that is
`separate from the channel being used for authentication. An example of this is where
`Internet users are a) identified by their cell phone numbers and may b) access the internet
`from many different physical locations. The invention allows for authentication issue
`detection to be extended with superior action compared to prior art, utilizing the separate
`communication channel to communicate directly with the User. This allows the
`authenticating authority to take more proactive action on a more automatic basis with the
`ability to distinguish fraud or abuse attempts from user problems aided by the separate
`communication channel.
`
`Brief Description of the Drawings
`
`Preferred embodiments of the present invention will now be described by way of
`example only with reference to the attached figures herein.
`
`Figure 1 is a system block diagram of a system for managing attempted illegitimate
`authentication attempts in accordance with another embodiment of the invention.
`
`Figure 2 and 3 are a flow chart of a method for managing attempted illegitimate
`authentication attempts in accordance with another embodiment of the invention.
`
`Detailed Description of the Invention
`
`Referring to Figure 1, the system for managing authentication attempts is generally
`located at 35. The System 35 includes an Authentication Server 25, which, for example,
`could be a RADIUS server. The System also includes a User Database 40, which could
`be many different standards and products. The System also includes an Event Database
`45 which is used to store information about authentication events such as User ID,
`location .of authentication attempt, time of attempt, if password matched User ID. The.
`Location Database 50 stores information about the geographic coordinates of access
`locations and the type of access location (e.g. airport). The System also contains an
`Application 30 which can interface with the databases, the Authentication Server and the
`Cellular Network 55. The System may be contained in any kind of computer that has
`suitable processing power, RAM, Disc capacity and communications ports. The
`computer may run any OS that is compatible with the applications 25, 30, 40, 45, 50.
`
`Page 1 of 10
`
`TWILIO, INC. EX. 1030
`Page 3
`
`

`
`Users requiring authentication are equipped with internet devices such as a computer, a
`notebook computer, a PDA or a WLAN enabled cell phone 15. Such devices must be
`able to support internet communication protocols.
`
`These devices are attempting to access the internet from various locations. The access
`could be via wireless or wired network. The internet equipment 20 at the location is able
`to block access to the internet until the device 15 has been authenticated. The Internet
`equipment communicates with the Authentication Server 25 to pass information about the
`User to the Authentication Server 25. The Internet equipment will not permit the Device
`to access the network until it has been advised to do so by the Authentication Server. This
`often takes the form of an "authentication accept" message.
`
`The Authentication Server interfaces to the User Database 40 to compare the User ID and
`password offered by the Internet Device 15 with that stored in the User Database 40. The
`Authentication Server passes information about the authentication attempt to the
`indicating if
`Application and receives a message back from
`the application
`Authentication can proceed. If the authentication may proceed, the Authentication Server
`will communicate with the Internet equipment to inform the equipment that access may
`be permitted. This often takes the form of an "authentication accept" message.
`
`The Application 30 receives information about authentication attempts, referred hereafter
`as "events", from the Authentication Server 25.
`
`The Application 30 may:
`a) Record the event in Even Database ( 45)
`b) Retrieve and analyse information about events when a new even occurs. The
`Application searches the database and compares the event to criteria. The criteria
`may include:
`1) Authentication attempt when the same User ID has been used to successfully
`authenticate an internet access, and said internet access is still active.
`2) Authentication attempt when an attempt using the same User ID occurred
`from a different location, and the time between the attempts would not allow a
`legitimate Internet user to travel from the first location to the second. When
`the geographic coordinates (such as UMT
`locations are established,
`coordinates) must be determined. The geographic coordinates are stored in
`the Location database (50). When an authentication attempt occurs, the
`Application will search the Location database to determine the geographic
`location of the current attempt and the geographic location of the most recent
`successful attempt. The time of most recent successful attempt will be
`obtained by searching the Event database.
`3) Multiple authentication attempts using a cellular number (irrespective of
`location of attempts) within a time period, where the number of attempts and
`the duration of the time period indicate atypical use.
`4) Multiple authentication attempts from a given location (irrespective of cellular
`number) within a time period, where the number of attempts and the duration
`of the time period indicate atypical use.
`
`Page 2 of 10
`
`TWILIO, INC. EX. 1030
`Page 4
`
`

`
`The Application 30 may make use of a separate communications channel, in this case a
`cellular network 55, to communicate with a legitimate user via a device they possess, in
`this case a cellular phone 60.
`
`The Application 30 may perform one or more of the following actions depending upon
`criteria that may be established in the Application.
`
`1) Automatic action to change the password and inform the legitimate user of the new
`password. The Application 30 would generate a new password and then a) store the
`new password in the User Database 40 and b) send the new password to the cellular
`phone via the Cellular Network 55 using SMS or IVR methods, along with a message
`explaining the reason a new password is being sent.
`2) Automatic action to suspend the account and distribution of passwords. The
`Application 30 would place the User ID on a Block List in the User database. The
`Block List would over-ride other Authentication server functions to authenticate,
`create a new account, or create and distribute new password to the cellular phone 60.
`3) In the case of 2) above, or otherwise, automatic action to contact the Internet user via
`their cellular phone and request them to take/not take action, including requesting
`them to initiate contact with the service provider. Such contact could be via the
`Cellular Network 55 using SMS or IVR methods to the legitimate User's cellular
`phone 60.
`4) Notification to personnel so that they may initiate manual action to contact the
`Internet user via a phone call or SMS message to their cellular number. If contact
`cannot be made between personnel and the User, and a suitable explanation given by
`the User, then the account may be suspended or law enforcement agency contacted.
`If there is a suitable explanation, assistance may be offered to the legitimate user.
`
`Some or all of the functions of the Application may be distributed and be associated with
`the Authentication Server or other applications such as a web server not necessarily part
`of this system.
`
`The Event database functions maybe provided in a separate database or combined with
`other databases that may be part of a system.
`
`The Location database functions maybe provided in a separate database or combined with
`other databases that may be part of a system.
`
`The implementation of the invention could have a logical flow as depicted in Figure 2
`and Figure 3. This is an example of how a system could function, and others are
`possible, considering other factors and combinations of these factors and other factors in
`the decisions.
`
`The method starts with an attempt to access the internet at a location (105). Equipment at
`the location will capture the request and forward it to a centralized Server (11 0) making
`
`Page 3 oflO
`
`TWILIO, INC. EX. 1030
`Page 5
`
`

`
`use of an authentication protocol such as RADIUS, referred to hereafter as "the
`authentication protocol".
`
`The Server will verify if the User ID is on a Block List (112). If the User ID is on the
`Block list then the Server will proceed with authentication reject using the authentication
`protocol.
`
`The Server will verify if the User ID and password constitute a valid authentication
`attempt (115). If it does, the server will then retrieve the geographic coordinates of the
`current authentication attempt and then retrieve the geographic coordinates and time of
`the most recent previous valid authentication attempt and calculate the physical distance
`between the current and most recent previous authentications as well as the time interval
`between the current and most recent previous authentications. The Server will then apply
`rules (120) with determine if the implied velocity is reasonable. The rules may include
`factors such as the distance (such as short vs. long) and type oflocation (such as airport).
`
`If the Server determines that the implied velocity is acceptable (120) then the Server will
`proceed with authentication accept (130) using the authentication protocol, allowing the
`User to gain access to the internet.
`
`If the Server determines that the implied velocity is unacceptable (120) then the Server
`will then proceed with authentication reject using the authentication protocol preventing
`internet access associated with this attempt (31 0). The Server will then create and a new
`random password for the User and store this new password in the User database,
`replacing the current password (315).
`
`The Server will then send a message to the valid User (320) by way of an SMS message
`the User's cellular phone. The cellular phone number may be determined either by
`searching the User database or, if the service is so designed, the User ID may be the
`cellular number of the User. Thus the User ID would be the required cellular number.
`This above approach may be used in any of the following instances where the cellular
`number of the User is required.
`
`The SMS message sent in step (320) would indicate that the password has been changed
`and the reason. An example message could read "Your password has been changed to
`XXXXXXX due to a risk that your old password has been compromised". Thus the valid
`user is automatically equipped with and informed of a change in password.
`
`Going back to step (115), if the Server determines that the User ID and password do not
`constitute a valid pair, the Server will proceed with authentication reject using the
`authentication protocol preventing internet access associated with this attempt (135).
`
`The Server will then search a database of recent authentication attempts (successful and
`unsuccessful) and determine (140), as an example, if more than 10 attempts have been
`made to authenticate in the past 1 hour. This would have the generic form of more than
`"n" attempts within "x" time interval.
`If the threshold had been exceeded, then the
`
`Page 4 of 10
`
`TWILIO, INC. EX. 1030
`Page 6
`
`

`
`system would put the User IDona Block list (145). The Server will then send a message
`to the valid User (150) by way of an SMS message the User's cellular phone. The SMS
`message would indicate that the User account has been suspended and request the User to
`contact the authentication authority. The authentication authority could be a service
`provider or company that is granting access to, in this case, the internet. An example
`SMS message could read "Your account has been suspended due to a risk that your
`password has been compromised. Please contact 800-555-5555 for further information".
`Thus the valid user is informed of the issue and can contact the authentication authority.
`
`Returning to step 140, if the threshold had not been exc~eded, then the Server would
`determine (305), as an example, if more than 5 attempts have been made to authenticate
`in the past 1 hour. This would have the generic form of more than "n" attempts within
`"x" time interval, but would have a lower threshold than in step 140. If the threshold had
`been exceeded, then the system would proceed as described above in step 315 and 320.
`
`If at step 305, the threshold had not been exceeded, then the Server would retrieve the
`current password from the User database and send the current password to valid User
`(325) by way of an SMS message the User's cellular phone.
`
`Claims:
`
`1) A system for managing illegitimate authentication attempts comprising: .
`an authentication system which may include User ID and password,
`an application connected to the authentication systems to capture and record
`authentication attempts,
`an application to analyze authentication attempts and identify potential illegitimate
`attempts,
`an application that may modify the authentication system database base, and
`a separate communication channel to the legitimate user, such as a cellular phone, and
`to send various messages to the legitimate user by automatic or manual means.
`
`2) The system according to claim 1 wherein the authentication system is based on
`RADIUS protocols.
`
`3) The system according to claim 1 wherein the User ID is based on a non-internet
`communications system.
`
`4) The system according to claim 3 where the non-internet communications system is a
`cellular phone.
`
`5) The system according to claim 3 where the non-internet communications system is a
`pager.
`
`6) The system according to claim 1 wherein the User ID contains the non-internet
`communications address for the User.
`
`Page 5 of 10
`
`TWILIO, INC. EX. 1030
`Page 7
`
`

`
`7) The system according to claim 1 wherein the User ID is cross referenced to the non(cid:173)
`internet communications address for the User.
`
`8) The system according to claim 1 where the application is embedded in one or more
`centralized servers.
`
`9) The system according to claim 1 where the application is embedded in a self
`contained authentication device.
`
`1 0) The system according to claim 4 where the communication is by SMS (Short
`Message Service).
`
`11) The system according to claim 4 where the communication is by voice.
`
`12) The system according to claim 10 where the SMS is generated by an application
`based on analyzing events against criteria.
`
`13) The system according to claim 10 where the SMS is generated by a human.
`
`14) The system according to claim 11 where the voice is generated by an application
`(including an IVR capability) based on analyzing events against criteria.
`
`15) The system according to claim 11 where the voice is generated by a human.
`
`16) The system according to claim 1 where the analysis identifies an authentication
`attempt with valid User ID and password while a previously authenticated session is
`still active.
`
`1 7) The system according to claim 1 where the analysis identifies an authentication
`attempt with valid User ID and password while a previously authenticated session is
`still active.
`
`18) The system according to claim 1 where the application includes geographic
`coordinates for the locations where Users may attempt to authenticate.
`
`19) The system according to claim 1 where the analysis includes determining the distance
`travelled and the elapsed time between the most recent successful authentication
`attempts using a particular User ID.
`
`20) The system according to claim 1 where the analysis includes determining the number
`of authentication attempts using a particular User ID within a time period.
`
`21) The system according to claim 1 where the analysis includes determining the number
`of authentication attempts from a particular location within a time period.
`
`Page 6 of10
`
`TWILIO, INC. EX. 1030
`Page 8
`
`

`
`22) The system according to claim 1 where the password associated with a User ID may
`be modified and the valid User notified as per claim 3.
`
`23) The system according to claim 1 where the User ID is suspended and cannot be used
`and the valid User notified as per claim 3.
`
`24) The system according to claim 1 where the Authentication server may proceed with
`authentication if the Application has not responded within a defined time and the
`User ID and password are valid.
`
`Page 7 of10
`
`TWILIO, INC. EX. 1030
`Page 9
`
`

`
`Figure 1.
`60
`
`Cell
`Phone
`
`55
`
`Cell
`Network
`
`15
`
`Internet
`Device
`
`30
`
`Application
`
`20
`
`Internet
`
`..
`
`~
`
`35
`25
`
`Authenticatior
`Server
`
`Lo~~~ 40
`
`User
`Database
`
`Database
`
`Database
`
`Page 8 of 10
`
`TWILIO, INC. EX. 1030
`Page 10
`
`

`
`Figure 2.
`
`105
`
`110
`
`Authentication
`attempt at
`access
`location
`
`Authentication
`request sent to
`Server
`
`Authentication
`Reject
`
`N
`
`135
`
`Authentication
`Reject
`
`130
`
`Authentication
`Accept
`
`145
`
`Put User ID on
`block list
`
`150
`
`Send message
`to cellular
`phone
`
`Page 9 of 10
`
`TWILIO, INC. EX. 1030
`Page 11
`
`

`
`Figure 3.
`
`315
`
`Char~gePW
`
`Authentication
`, Re)~~i;)
`
`325
`
`320
`
`Send current
`PWto
`cellular phone
`
`Send message
`to cellular
`phone
`
`Page 10 of 10
`
`TWILIO, INC. EX. 1030
`Page 12
`
`

`
`PATENT APPLICATION SERIAL NO . - - - - - - - -
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`
`07/12/2004 tmiZUNES 00000065 60585845
`01 FC:2005
`80.00 0P
`
`PT0-1556
`(5/87)
`
`TWILIO, INC. EX. 1030
`Page 13
`
`

`
`'·
`
`Patent Application Data Sheet
`
`Application Information
`
`Application number::
`
`Application Type::
`
`Subject Matter::
`
`Corr~puter Readable
`Form (CRF)?::
`Title::
`
`N/A
`
`Provisional
`
`Utility
`
`Yes
`METHOD AND SYSTEM FOR MANAGING
`·AUTHENTICATION ATTEMPTS
`
`Attorney Docket Number::
`
`33174-2001
`
`Request for Early
`Publication?::
`
`No
`
`Request for Non-Publication?:: No
`
`Suggested Drawing Figure::
`Total Drawing Sheets::
`
`Small Entity?::
`
`1
`3
`
`Yes
`
`Applicant Information
`
`1. Inventor
`
`Authority Type::·
`
`Primary Citizenship
`Country::
`Status::
`
`Given Name::
`
`Middle Name::
`Family Name::
`
`City of Residence::
`State or Prov. Of
`
`Residence::
`
`Inventor
`
`Canadian
`Canada
`Full Capacity
`
`John
`
`Robertson
`CAMPBELL
`
`Ottawa
`
`Ontario
`
`Country of Residence::
`
`Street of mailing address::
`
`Canada
`572 Windermere Avenue
`
`- 1 -
`
`TWILIO, INC. EX. 1030
`Page 14
`
`

`
`City of mailing address::
`
`Ottawa
`
`State or Province of
`
`mailing address::
`
`Country of mailing address::
`
`Postal or Zip Code of
`
`Ontario
`
`Canada
`
`mailing address::
`
`K2A2W5
`
`Correspondence Information
`
`Correspondence Customer
`
`Number::
`
`Phone Number::
`
`Fax Number::
`
`E-Mail Address::
`
`33721
`
`416.865.0040
`
`416.865.8213
`
`acurrier@torys.com
`
`Representative Information
`
`Representative
`Customer Number::
`
`33721
`
`- 2 -
`
`TWILIO, INC. EX. 1030
`Page 15