`~.—
`Additional inventors are being named on the
`TITLE OF THE INVENTION (500 characters max)
`SERVICE PREFERENCE ARCHITECTURE FOR DATA TRAFFIC AND PROVISIONING CONTROL
`Direct all correspondence to:
`CORRESPONDENCE ADDRESS
`‘
`
`
`
`U.
`
`
`
`
`II
`,'O 7
`
`PTO/SBIIG (0803)
`Approved for use through 07/31/2006. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act 01 1995. no persons are required to respond to a collection at information unless it displays a valid OMB control number.
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET
`This is a re-uest for film a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53 C .
`
`Exress Mall Label No. EV ‘67 295 313 US
`
`Given Name (first and middle [if any])
`
`Family ”Name or Surname
`
`Robert M.
`
`Burke
`
`Residence
`and either State or Forein Count
`
`Ci
`
`Los Gatos. CA
`
`
`
`
`
`
`
`
` 11180:;
`
`
`Customer Number:
`
`23488
`
`.
`
`OR
`
`'
`
`Firm or
`Individual Name
`Address
`
`Address
`
`
`
`
`
`Applicant claims small entity status. See 37 CFR 127.
`-
`.
`A check or money order is enclosed to cover the filing fees.
`
`l
`
` Gerald B. Rosenberg, Esq,
`
`
`285 Hamilton Avenue
`
`
`
`
`
`Suite 520
`'
`-
`
`Ciw
`PaioAno
`'
`‘ 53-“ 94301
`
`Country
`us
`_
`Telephone
`650.325.2100 650.325.2107
`,
`f
`
`ENCLOSED APPLICATION PARTS (check all that apply)‘
`
` I:
`
`Specification Numberot Pages
`14 '
`CD(s), Number
`D ~Drawing(s) Number of Sheets
`Other (specify)
`. D
`
`
`
`Q Application Date Sheet. See 37 CFR 1.76
`
`METHOD OF PAYMENT OF FILING FEES FOR THIS PROVISIONAL APPLICATION FOR PATENT
`
`
`.
`FILING FEE
`
`Amount ($)
`
`
`.
` I The Director is herby authorized to charge filing
`so on
`
`
`
`fees or credit any overpayment to Deposit Account Number: 50-0890
`'
`'
` ID Payment by credit card. Form PTO-2038 is attached
`
`
`
`The invention was 'made by an agency of the United States Government or under a contract with an agency of the
`United States Government.
`.
`D Yes. the name of the US. Government agency and the Government contract number are:
` [Page 1 of 2]
`
`
`
`No.
`
`
`Respectfully submitted.
`
`.
`
`SIGNATURE
`’
`.
`TYPED or PRINTED NAME Gerald B. Rosenberg
`TELEPHONE 650.325.2100
`
`_
`
`REGISTRATION No. 30.320
`(if appropriate)
`. Docket Number. BRDB3000
`
`'
`
`USE ONLY FOR FILING A PROVISIONAL APPLICATION FOR PATENT
`This collection of information is required by 37 CFR 151. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO
`to process) an application. Confidentiality is governed by 35 USS. 122 and 37 CFR 1.14. This collection is estimated to take 8 hours to completerincluding
`gathering. preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to oompIete this form and/or suggestions for reducing this burden. should be sent to the Chief Information Officer. U.S. Patent and
`Trademark Office. U.S. Department of Commerce. P.0. Box 1450. Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS
`ADDRESS. SEND To: Mall Stop Provisional Applicatlon. Commissioner for Patents. P.O. Box 1450. Alexandrla. VA 22313-1450.
`
`Ifyou need assistance in completing the form. call 1-800—PTO~9199 and select option 2.
`
`Unified Patents Ex. 1012, pg. 1
`
`Unified Patents Ex. 1012, pg. 1
`
`
`
`eoéz'ir"'-'““llllllllllllllllilllilllllllllllllllllll
`
`Under the Paerwork Reduction Act of 1995 no - rsons are
`
`
`
`
`
`FEE TRANSMITTAL
`for FY 2004
`Efiective 10l0112003. Patent fees are subject to annual revision.
`
`Applicant claims small entity status. See 37 CFR 1.27 >
`.
`i
`‘ TOTAL AMOUNT OF PAYMENT.
`
`($) 80.00
`
`,
`
`
`
`'
`
`50-0890
`
`_
`
`4u~
`
`
`
`
`
`1205
`
`18
`
`86
`1201
`1203 290
`1204
`86
`
`Fee Descrigtion
`9 Claims in excess of 20
`
`Independent claims in excess of 3
`43
`2201
`2203 145 Multiple dependent claim, if not paid
`2204
`43 " Reissue independent claims
`over original patent
`" Reissue claims in excess 0120
`and over original patent
`
`2205
`
`9
`
`
`33000"
`RD
`Attome Docket No.
`
`
`
`
`Money
`3. ADDITIONAL FEES
`
`Order
`
`Check El Credit card D
`[:| Other DNone
`Lar e Enti
`Small Enti
`
`
`
`Deposit Account:
`
`
`Fee
`Fee Fee
`Fee
`' De
`Sit
`Fee Description
`
`
`Code (5)
`Code (3)
`
`
`45’3"“
`1051 . 130
`Number
`
`2051
`65 Surcharge - late filing fee or oath
`
`
`'
`D
`'t
`
`
`2052
`25 Surcharge - late provisional filing fee or
`1052
`_50
`cover sheet
`.
`
`
`
`AS32111 NewTechLaw
`Name
`1053
`130
`130 Non-English specification
`1053
`
`
`The Director is authorized to: (check all that apply)
`
`
`1812
`2.520
`1812 2.520 For filing a request for ex parte reexamination
`
`
`
`
`DCharge feeis) indicated below .' Credit any overpayments
`920' 1804
`1804
`920' Requesting publication of SIR prior to
`
`
`
`.Charge any additional fee(s) or any underpayment of fee(s)
`_ Examiner action
`
`1805 1,840’
`1805 1.840' Requesting publication of SIR after
`DCharge fee(s) indicated below, except for the filing fee .
`Examiner action
`
`
`
`
`to the above-identified deposit account.
`
`
`
`110
`
`2251
`1251
`
`55 Extension for reply within first month
`
`
`FEE CALCULATION
`
`
`
`1252
`420
`2252
`210 Extension for reply within second month
`
`1. BASIC FILING FEE
`
`
`1253
`950
`2253
`
`
`475 Extension for reply within third month
`rga Entity Small Entity
`
`
`1254
`2254
`Mg Fee Paid
`1.480
`740 Extension for reply within fourth month
`
`
`
`
`
`1255
`2255
`2.010
`1005 Extension for reply within fifth month
`
`
`
`
`
`1401
`1 Utilityfilingfee _
`1001 770
`2001 335
`330
`2401
`
`165 Notice of Appeal
`
`
`
`
`
`Design filing fee —
`1002 340
`2002 170
`1402
`330
`2402
`165 Filing a brief in support of an appeal»
`
`
`Plant filing fee —
`1003 530
`2003 265
`
`
`1403
`290
`2403
`145 Request for oral hearing
`'
`
`Reissue filing fee _
`1004 770
`2004 385
`
`
`
`1451
`1451
`1.510
`1.510 Petition to institute a public use proceeding
`Provisional filing fee
`1005 .160
`2005
`00
`
`
`
`
`‘ 1452
`110
`55 Petition to revive - unavoidable
`
`2452
`
`SUBTOTAL (1)
`
`
`2453
`. 1453
`1.330
`
`
`
`
`2. EXTRA CLAIM FEES FOR UTILITY AND REISSUE
`1501
`2501
`1 ,330
`
`.
`‘
`Fee from
`
`
`Extra Claims
`Fee Paid
`480
`1502
`2502
`
`
`
`
`Total Claims E .20“ ‘5 :I X&E
`
`640
`1 503
`
`
`
`130
`1 460
`Iggrggvdem 1:1 .3" = 1:1 x :I =:l
`
`
`
`
`
`1 807
`Multiple Dependent
`' EE
`
`
`
`Lar e Enti
`S
`180
`1 806
`
`
`
`
`
`180 Submission of Information Disclosure Stmt:
`Fee Fee
`Fee Fee
`
`
`Recording each patent assignment per
`Code (8)
`Code (3)
`
`
`
`1202
`18
`2202
`8°21
`4°
`0 property (times number of properties)
`
`
`
`
`
`
`
`
`
`
` 1809 770
`385 Filing a submission after final rejection
`(37 CFR 1.129(3))
`
`
`1810
`770
`385 For each additional invention to be
`
`
`
`
`
`examined (37 CFR 1.129(0))
`
`
`1801
`770
`
` 2001
`355 Request for Continued Examination (RCE)
`
`
`
`1802
`900 Request for expedited examination
`
`
`
`of a design application
`
`
`
`Other fee (specify)
`‘
`
`
`_ summ 12)
`.
`
`
`'Reduced by Basic Filing Fee Paid
`"or number reviousl
`. id. if Heater; For Reissues, see above
`
`
`
`
`
`SUBMITTED BY
`(Complete (ilapplicable))
`
`
`Registration No.
` 30,320
`Telephone 650.3
`.2100
`
`
`—mcem_—lumam
`
`
`
`
`
`ubllc. Credit card information sh uId not
`WARNING: Informatl n n this f rm may bec
`be included on this form. Provide credit card inforr'nation and auth rlzation on PTO-2030.
`This collection of information is required by 37 CFR 1.17 and 1.27. The information is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete.
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on
`the amount of time you require to complete this form and/or suggestions for reducing this burden. should be sent to the Chief lnfonnation Officer, US. Patent and
`Trademark Office. US. Department of Commerce. PO. Box 1450. Alexandria. VA 22313-1450. DO NOT SEND FEES 0R COMPLETED FORMS TO THIS ADDRESS.
`SEND TO: Commissioner for Patents. PO. Box 1450. Alexandria. VA 22313-1450.
`ifyou need assistance in completing the form. call 1-800-PTO-9199 and select option 2.
`
`PTOISB/17 (10—03)
`Approved for use through 07/31/2006. OMB 0651-0032
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`wuired to res nd to a collection of information unless it dis-Ia
`a valid OMB control number.
`
`
`
`
`
`
`
`Complete if Known
`N/A
`
`Filing Date
`First Named Inventor
`
`Examiner Name
`Art Unit
`
`November 18. 2003
`Burke. Robert M.
`N/A
`N/A
`
`
`
`
`
`
`J
`
`‘
`
`2505
`1 460
`
`1807 '
`1806
`
`8°21
`2809
`2810
`
`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)
`
`Unified Patents Ex. 1012, pg. 2
`
`Unified Patents Ex. 1012, pg. 2
`
`
`
`1.,
`
`BNS Intellectual Property Description
`
`\f
`~BN5
`
`,
`
`. BROADBAND NETWORK SYSTEMS, INC.
`Intellectual Property
`Service Preference Architecture
`(SPA)
`Description & Technology;
`
`November 17, 2003 '
`
`A
`
`BNS Proprietary
`1 1117/2003
`.
`
`-
`
`V
`
`~
`
`Page 1
`
`Unified Patents Ex. 1012, pg. 3
`
`Unified Patents Ex. 1012, pg. 3
`
`
`
`BNS Intellectual Property Description ‘
`
`i.
`
`ii.
`
`7
`
`.
`III.
`A.
`
`_4
`
`B.
`
`, C.
`
`D.
`
`E
`
`I.
`
`Service Preference Architecture .............................................................................................. 4
`A. High Level Description ............................................................................................................. 4
`B. Service Control and Copyright Protection ................................................................................ 4
`C. Flexibility to add new Service Control and CopyrightTechniques .......................................... 5
`SPA- Network & Product Architecture .................................................................................... 5
`A General Description ................................................................................................................. 5
`Figure 1. Service Preference Architecture ................................................................................ 6
`B. The ICP Controls Communication Gateways .......................................................................... 6
`C. The ICP Controls ISP, BNS & EDC Service Deliveries .......................................
`...... 6
`D. The ICP Controls are determined by Regular and Active Human intervention ........ '....... 7 .
`E; ICPs Updated by Active Intervention & Multiple ICPs Deliver High Availability....................... 7
`Figure 2. Active Intervention Updates and Backup iCPs .........................................'................. 7
`BNS Internet Control Techniques ..........................................................................., .............7
`Digital Rights Management ................................................................................................. 7
`1. Conditional Denial .......................................................................................................7.......... 7
`Figure 3. DRM— Conditional Denial ....................................................................................... 8
`
`2 ......................... 8
`-3. Packet inspection ...........
`' 4. E-Mail Server 8. Client Spoofing .................................................................................... 8
`Figure 4. DRM- Blocking E-Mail of Copyrighted Files ............................................................ 9
`5. Denial of ServiceAttacks on Unlicensed “Pirate” Copyright Material Sites.......................... 9
`6. Copyright Registry ................................................................................................................ 9
`7. Copyrighted File Deletion9
`8. Eyent Notification.................................................................................................................. 9
`Service Initialization .................................................................................~........................... 9
`
`Figure 5. Service initialization. .........................................................................
`Active and Inactive Gateway Processing Control .......-...................................................... 10
`Figure 6. Active and Inactive CG processing ......................................................................... 10
`First Portal Visibility (“First Portal")
`............................................... '. ......... 10
`Figure 7. First Portal Visibility.
`............................... 11
`Advertising ............................................. '. .......................................................................... 11
`Figure 8. Advertising Insertion. ............................................................................................... 11"
`
`.
`'
`F. Browser, Program Communications & URL or IP Address Access Blocking
`Figure 9. URL or IP address Blocking ..........‘.......................................................................... 12
`G. Service Applet Downloads ..................................................................................................... 12
`Figure 10. Service Applet Downloads ............
`......-................................................................. 12
`H. Virus Initiated Denial of Service Traffic Blocking ............. 13
`Figure 11 Virus Initiated Traffic Blocking .......................................................................... _..;..-13
`Law Enforcement MonItorIng ...................................
`................ 13
`Figure 12. Law Enforcement Monitoring.......................................... ......................‘................ 13
`J. VolP Blocking ..................................................14 '
`Figure 13. voiP Blocking. ...................................................................~....................'................ 1 4
`
`’
`
`,,
`
`,
`
`BNS Proprietary
`11/17/2003
`
`'
`
`_
`
`, Page 2
`
`Unified Patents Ex. 1012, pg. 4
`
`Unified Patents Ex. 1012, pg. 4
`
`
`
`BNS Intellectual Property Description
`
`ABOUT THIS DOCUMENT
`
`This document describes BNS Product Features, Intellectual Property and Product Architecture.
`
`CONFIDENTIAL INFORMATION
`This Intellectual Property Description document is the property of Broadband Network Systems.
`It is proprietary information and is strictly confidential.
`It contains information intended only for the
`person(s) to whom it
`is transmitted. With receipt of this Intellectual Property Description
`document , Recipient acknowledges and agrees that:
`I) in the event that the recipient does not
`wish to pursue this matter, this document will be returned, at the address listed below assoon as
`possible; the ‘recipient will not copy, fax, email, reproduce. divulge, or distribute this confidential
`Intellectual Property Description document
`,
`in whole or in part, without the express written
`consent of Broadband Network Systems; and
`Ill) all of the information contained in this
`document will be treated as confidential material with no less care than that afforded to your
`company or personal confidential material;
`
`TRADEMARK NOTICE
`BROADBAND NETWORK SYSTEMS, BROADBAND NETWORK SERVICES and the Broadband
`Network Logos are Trademarks of Broadband Network Systems;
`.
`
`‘
`
`CONTACT INFORMATION
`, Robert Burke
`.
`C.E.O.
`‘
`21103 Old Well Road
`Los Gatos, CA 95033
`USA.
`-
`
`~
`
`,_ (408)353-3573
`
`URL: www_.bbns.us
`
`BNS Proprietary
`1 1/17/2003
`
`'
`
`.
`
`Page 3
`
`.
`
`Unified Patents Ex. 1012, pg. 5
`
`Unified Patents Ex. 1012, pg. 5
`
`
`
`BNS Intellectual Property Description
`
`I.
`
`‘ Service PreferenceArchitecture
`
`A. High Level Description
`
`Broadband Network Systems (BNS) plans to develop and to sell Broadband (high-speed)
`Residential and Business Communication Gateways (C63) and Internet Control Points (ICPs) to
`Telecommunication Carriers such as the Regional Bell Operating Companies (RBOCs), other
`Telephone companies, ISPs and Cable TV companies. ICPs are network based routers or
`computers that control the operation of CGs. CGs,
`installed at a Subscriber’s site and ICPs,
`installed inthe Carriers’ network are designed to enable Carriers to 'provide the so—called ‘Triple
`Play’ services (Voice+ Broadband Internet + Video) to their Subscribers using the Carrier’s
`existing distribution network.
`In addition, new revenue generating COntent Services (music,-
`video, games, and software services) can be offered by BNS.
`
`With BNS's unique Service Preference Architecture (SPA), several new datatraffic control
`techniques are available to Carriers, ISPs, Enterprises and Cable TV companies for their Internet
`Access networks.
`
`they provide ‘an important new. feature- Digital Rights
`.BNS products are unique in that
`Management,
`i.e., the assurance to both the Service Provider and the Content Provider that
`Intellectual Property (music. video, games, software, etc.) will be secure from illegal downloading
`and transmission over the Internet, a major source of lost revenues and the basis for hundreds of
`lawsuits. .Service Providers will want this feature to halt the legal onslaught launched by music
`companies and because they want to offer Video/DSL and the Motion Picture Industry will not
`license the content for distribution over the unsecured Internet, having seen the negative impact
`piraCy has already had on the Music Recording Industry Content Providers will demand this
`feature to stop the illegal downloading and transmission of Intellectual Property over the Internet
`which has cost the music and movie industries billions of dollars annually.
`
`B. Service Control and Copyright Protection
`
`BNS’- Service Preference Architecture (SPA) is a collection of _‘BNS software routines executed by '
`‘ BNS 06s in conjunction with SPA-based Internet Servers under the control of BNS Internet
`Control Points
`-
`
`. The software routines perform eight functions:
`
`rights management- SPA protects copyrighted material
`1. Digital
`downloaded and distributed over the Internet.
`
`from being illegally
`
`’2. First portal visibility- SPA enables Consumers to receive the Carrier/BN8 home page or
`video menu system every time their Computer or TV is turned on or whenever they re-initiate
`activity after an extended idle period.
`3. Advertising- SPA allows desired advertisements to be delivered by the Carrier and/or by BNS
`to the Customers
`4. Web site blocking- SPA enables Web Sites to be blocked by the Carrier,
`corporate customers as required by Law or by the Subscribers own Policy
`5. Services download- SPA allows Consumer and Business customers to download applets that
`facilitate their use of the ENS/Carrier Services portfolio.
`6. Virus - Initiated traffic BI cking— SPA prevents infected user machines from repeatedly
`sending traffic at high data rates to sites which are the subject of Denial of Service attacks
`7. Law enf rcement monitoring— SPA allows data passing through a CG to be copied to law
`enforcement or national security agencies.
`
`ISP or their
`
`BNS Proprietary
`11/17/2003
`
`‘
`
`. Page 4
`
`Unified Patents Ex. 1012, pg. 6
`
`Unified Patents Ex. 1012, pg. 6
`
`
`
`BNS Intellectual Property Description
`
`ver Internet Protoc I (V IP) traffic blocking — SPA allows Carriers to restrict the use
`8. V ic
`of the Internet Access Service they offer Subscribers to “data transport only." blocking VoIP and
`thereby protecting their voice revenue stream from encroachment and preserving their ability to
`migrate their voice customers from the Public Switched Telephone Network (PSTN) when they
`upgrade their Internet Access Networks to offer Real Tome Quality of Service.
`
`In the sections that follow, we describe how the software routines work.
`
`C. Flexibility to add new Service Control and Copyright Technigues
`
`BNS has created SPA to be highly flexible, adaptable and to deliver a high degree of availability
`and security. The BNS SPA Architecture allows new Internet Control techniques to be added as
`BNS, Content Providers or Service providers need them. More techniques will be added by BNS
`as it creates them to deliver value to BNS,
`its customers and partners. This flexibility .to add
`techniques is a key feature of SPA and BNS Intellectual Property.
`
`II.
`
`SPA = Network & Product Architecture
`
`A. General Description
`
`Telecommunication Carriers, Cable TV companies and Internet' Service Providers can be
`equipped to deliver the ENS suite of features only by using a network service based system. This
`system is based on an architecture that employs an Internet Control Point (ICP) to control the
`access to web sites and to deliver data to Subscribers. The ICP controls the processing of data
`sent between Customers (client PCs or LAN servers) Using the ENS Communication Gateway
`(CG) and the ISPs, Enterprise Data Centers or Content Servers with which they are exchanging‘
`information. The architecture is completed with a hardware/software implementation in the
`Communication Gateways that Carriers/ISPs use at their customers premises to deliver the
`service. The Communication Gateways cannot be tampered With by Users. Users are given no
`access to unload or modify the CG operating software by design and all ICP-CG communications
`takes place within the Carrier side of the network (DSL uplink), ICP-CG communications are
`secured with encryption and hashing. Furthermore, the ICP will not enable any service to an un-
`registered CG and an un-registered CG will not operate in an experimental environment at all.
`
`This ensures secure control of the data flow betWeenboth the ICP and the CG. This secure flow
`of data then enables Carriers, ISPs, Enterprise data Centers or'Cable TV Companies to control
`the services their Users have access to. Figure 1 illustrates the overall Network Architecture.
`
`BNS Proprietary
`11/17/2003
`
`I
`
`‘
`
`I
`
`.
`
`Page 5
`
`Unified Patents Ex. 1012, pg. 7
`
`Unified Patents Ex. 1012, pg. 7
`
`
`
`BNS Intellectual Property Description
`
` Content Owners
`
`Music. Movies. Books.
`
`Software. Games, Gaming. etc.
`
`
`
`BNS Content Servers
`
`
`' BNS lnternet Control
`
`
`Secure Services
`I
`
`Points"
`Subscriber Data Base:
`
` Service
`
`
`BlockedSites 3‘
`Frsi Portai
`,
`
`
` Provrders
`' Aavemsi‘rig‘ ii;
`534:4
`Virus Traffic Blocidnglflf
`
`
`
`intemet Based DRM
`
`
`preempts piracy
`and controls Services
`
`Figure '1. Service Preference Architecture
`
`4
`g
`‘
`f B. The ICP Controls Communication Gateways
`“The Communication Gateway (CG) may be either: 1) a GateWay that combines TV, Video,
`Internetand Voice, 2) a dial—up Remote Access Server, 3) an ADSL Modem/Router, 4) a Satellite '
`TV Gateway, 5) a Cable TV Modem, or 6) a converged set top + Internet Gateway.
`'
`
`,
`
`The ICP is the source of Internet Service Control and Conditional Denial of Users access to
`Service Provider selected URLs or‘IP addresses. The ICP controls the CG to determine what web
`‘ site data is allowed through to Subscribers browsers. The ICP also controls the 065 packet
`inspection processing to determine which data can be allowed to flow through the CG to and from
`the Subcriber, specifically when e-maii or file transfers are initiated. The ICP also controls what'
`activities are engaged in by idle 065 when Consumers are inactive.
`Idle CGs may receive
`software downloads from the ICP, may be used to collect data and to initiate communications
`activities that are disruptive to Content Servers that offer unauthorized copyrighted materials for
`illegal download by Consumers
`Multiple ICPs are deployed geographically in the Carrier's network to- support the Gateway
`management capacity of the ICP and the number of Broadband Users in its service area;
`
`'
`
`C. The ICP Controls ISPI BN3 8. EDC Service Deliveries
`Next is the interaCtion of the ICP with the ENS Content Server (BCS), Service Provider’s Internet
`Portal or Carrier (ISP) and Enterprise Data Centers (EDC). The ICP controls Consumers ability to
`access services that are offered by the ISP or EDC. The ICP also’controls the C63 to deliver: 1)
`advertisements, 2) the home page for lSP/BCS/EDC web servers or 3) software downloads to
`Consumer’s PCs for their use of lSP/BNS/EDC content services.
`
`BNS Proprietary
`1 1/17/2003
`
`b
`
`'
`
`'
`
`Page 6
`
`Unified Patents Ex. 1012, pg. 8
`
`Unified Patents Ex. 1012, pg. 8
`
`
`
`BNS Intellectual Property Description
`
`D. The ICP C ntr ls are determined by Regular and Activ Human Intervention
`
`The ICP is programmed either by human input or by operator-controlled web crawler software.
`Updates are determined from BNS's active intervention service whereby changes to the control
`entries are discovered and implemented. This is a service delivered to ISPs and EDCs whereby
`the operation of BNS Features described below are controlled in a manner analogous to the
`regular updating of Virus Definitions for computer virus and worm protection.
`
`E. ICPs UQdated by Active Intervention & Multiple ICPs Deliver High Availability
`
`The web crawlers, human intervention and ICP/CG software/processing data base updates are
`controlled by an Active Intervention system consists of a set of centrally maintained computer
`systems which control the operation of the ICPs. Figure 2 illustrates this.
`
`BNS Update System
`Manages Operation of
`
`
`
`
`
`
`
`ICP Updates
`ICP Updates
`& Control
`8. Control
`
`
`
`Figure 2. Active Intervention Updates and Backup ICPs.
`
`Ill. BNS Internet Control Techniques
`Digital Rights Management
`
`A. I
`
`1. Conditional Denial
`
`The 065, under ICP control, deliver a network based Digital Rights Management Service (DRM)
`which denies Users the capability to send or to receive data from or to URLs or IP addresses that
`are known to contain unlicensed copyrighted material. When this "Conditional Denial" occurs. the
`Gateway substitutes the URL or lP Address of a site that offers licensed copyrighted materials for
`legal, authorized sale to the User. This list of URLs or IP addresses that are known to contain‘
`
`BNS Proprietary
`1 1/17/2003
`
`Page 7
`
`Unified Patents Ex. 1012, pg. 9
`
`Unified Patents Ex. 1012, pg. 9
`
`
`
`BNS Intellectual Property Description
`
`unlicensed copyrighted material will be regularly updated similar to how virus definitions are
`regularly updated today.
`
`ICPs delivering DRM service use the Section F. Browser, Program Communications & URL or iP
`Address Access Blocking method to direct Users to authorized content sites. DRM uses both
`Active Human and Web Crawler input to find unauthorized content offered over the Internet and -
`to update the URLs or IP addresses that are known to contain unlicensed copyrighted material.
`
`When programs other than browsers attempt to access the blocked sites, the requested URL or
`lP address may be substituted by a legal content provider’s URL/IP Address or none at all.
`
`Upon registration as an “Active” Gateway, the ICP updates the Communication Gateway’s list of
`DRM URL or IP Address substitutions.
`
`
`
`
`GW In ActIve
`Browser or Program Reduests
`
`
`Mode
`connection to DRM Blocked URL
`
`
`‘ or lP address? '
`
`
`
`Event is Logged
`
`
`
`GWsubstitutes
`
`requested URL or
`
`
`
`
` ',no\oces atall
`
`Figure 3. DRM — Conditional Denial
`
`‘
`
`3. Packet Inspection
`
`Additional packet inspection processing is performed by the Gateways to determine the file type
`of all files being transferred through the Gateway based upon the files properties, such as file
`extension, file format, header or trailer contents and URL/IP addresses that are known sources of
`unauthorized Copyrighted material. The Gateway is programmed by the ICP With, certain Data
`Patterns These data patterns may be any length and may contain .exact matches plus regular
`expressions. When certain data patterns are recognized, the data transfer is stopped or another
`action is taken, based upon rules delivered by the ICP to the Gateway.
`
`4. E-Mail Server & Client Spoofing
`
`CGs present themselves to Users as the User's Email Server and present themselves to E-Mail
`servers as Users.
`In so doing, the CG acts as a 2- way encryption/decryption point to enable
`inspection of what would otherwise be encrypted data. When E-mail is sent through the Gateway,
`the Gateway inspects all attached fles using Packet Inspection. Based upon rules delivered by
`the ICP to the Gateway, the Gateway can then deny access toIncomingIfiles,“ stop the transfer of
`outgoingIfiles or take other action.
`
`'
`
`BNS Proprietary
`1 1/17/2003
`
`-
`
`Page 8
`
`Unified Patents Ex. 1012, pg. 10
`
`Unified Patents Ex. 1012, pg. 10
`
`
`
`BNS Intellectual Property Description
`
`
`
`
`
`
`
`
`
`
`
`GW m Active Mode as
`E-MaIl Program send
`GW De—Crypts 8.
`
`Packet Inspection
`or receives
`
`e—maIl client a. seLLt A m I
`finds Copyrighted fil
`GW Re—Encrypts &
`E-mail passes
`
`
` User receives browser
`
`screen from
`
`
`
`GW stops
`Legal Source URL
`
`
`file
`or IP address;
`
`transfer
`
`
`Program is connected to
`
`
`Legal Source or given
`
`no access at all
`
`
`Event is Logged
`
`Figure 4. DRM - Blocking E-Mail of Copyrighted Files
`
`
`
`5. Denial of Service Attacks on Unlicensed “Pirate" Co ri ht Material Sites
`
`Powered up aid Inactive Gateways under ICP control can be directed to initiate repeated
`requests for service or for other transactions over the'lnternet Uplink to URLs of lP Addresses in
`the Conditional Denial of Service list which have been identified for interdiction. ICP control can
`activate the attacks on any of several bases. 1) scheduled with duration, 2) real time activation by
`the ICP or 3) event driven in this way, access to Users not served by BNS Gateways under ICP
`control are denied access to the copyrighted materials greatly expanding the impact of the
`initially deployed Gateways to prevent access to pirated material.’
`
`6. Cogyright Registg
`
`Users who have purchased copyrighted material are registered by the seller or can self register
`as owners of a license to use the material. This registry'Is centrally kept and the ICP has access
`to it. Furthermore, non-copyrighted material can be registered to identifyIfles with no limit on the.
`_* number of copies made or that may be e-mailed Or downloaded without intervention
`
`. ICogyrighted File Deletion
`A Powered up_and Inactive Gateway, under ICP control, has the capability to inspect any User’s
`computerifile system available to it on the LAN to which they are attached. Notification to the ICP
`is made of file names that match Packet
`Inspection patterns to identify the presence of
`copyrighted material to which the User may not be entitled. Human intervention or the Copyright
`Registry may be used to verify Users entitlement to copyrighted materials found on the file
`system. The Gateway deletes files to which the UserIs not entitled.
`
`8. Event Notification ’-
`
`The Gateways deliver an event notification to the ICP whenever a Packed inspection match or an I
`attempt to access a conditionally denied URLIs made
`
`I;
`
`‘
`
`.
`
`B.
`
`Service Initialization
`
`’ 065 are required to be registered with the Internet Control Point when they are powered up for
`the first time They will remain inactive until they have received a registration confirmation from the
`ENS Registration URL. The registration process gathers information for a Warranty registration
`from the Consumer and for the 06's hardware address and other identifying data. The CG is
`downloaded with the latest BNS Operating Software (if necessary) and is loaded with its initial
`
`BNS Proprietary
`11/17/2003
`
`.
`
`Page 9 I
`
`-
`
`Unified Patents Ex. 1012, pg. 11
`
`Unified Patents Ex. 1012, pg. 11
`
`
`
`BNS Intellectual Property Description
`
`operating parameters and processing data base. Subsequent re—registrations may be initiated
`under Consumer control for address or ISP changes. Operating parameters include the address
`of its ICP and other variables as described for the features below.
`
`GW
`
`Power Up
`
`GW "3 to lCP
`
`lCP Collect
`
`Registration
`
`ICP Down-
`
`load SNV
`
`
`update 8; op
`oarame ers
`
`GW
`
`Operational
`
`
`
`Figure 5. Service Initialization.
`
`/
`
`C.
`
`Active and Inactive Gatéway Processing Control
`
`Upon power down or inactivity timeout of the CG. the CG registers itself as “Idle" to the ICP. The
`timeout will be preset and may be changed by input to the ICP for distribution to all Gateways it
`controls.
`
`the Communication
`re—activation, either upon power .up , or user activity,
`Upon subsequent
`Gateway identifies itself as “Active” to the ICP that controlsit. Failure‘ to lD-results in re-try until a
`timeoutor maximum numberof attempts occurs. This causes a diagnostic program to execute
`that advises the Consumer what to do next based on the' deduced source of the failure.
`
`Processing by Inactive Gateways
`Processing by and Active CG controls Service Delivery.
`contrOls eitherGateway maintenance or activity that is delegated to inactive Gateways by design.
`
`'
`
`May need to be re—checked from time to time or the registration is encrypted...
`
`
`
`Idle Processes are:
`- Denial of Service Attack
`
`On Pi