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`Exress Mall Label No. EV ‘67 295 313 US
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`
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`
`Burke
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`PTOISB/17 (10—03)
`Approved for use through 07/31/2006. OMB 0651-0032
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`wuired to res nd to a collection of information unless it dis-Ia
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`Burke. Robert M.
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`1807 '
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`2809
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`
`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.
`
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`b
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`'
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`Page 6
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`Unified Patents Ex. 1012, pg. 8
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`Unified Patents Ex. 1012, pg. 8
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`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‘
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`Unified Patents Ex. 1012, pg. 9
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`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.
`
`'
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`Unified Patents Ex. 1012, pg. 10
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`Unified Patents Ex. 1012, pg. 10
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`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
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`Page 9 I
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`Unified Patents Ex. 1012, pg. 11
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`Unified Patents Ex. 1012, pg. 11
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`

`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