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`UTILITY PATENT APPLICATION TRANSMITTAL
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`oeFlewSSS C eptember 25, 2003
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`REQUEST AND CERTIFICATION|“trey Docket no. 03,395
`
`UNDER
`First Named Inventor
`David Grabelsky
`35 U.S.C. 122(b)(2)(B)(i)
`Express Mail Label No.
`EV 334708865 US
`
`| herebycertify that the invention disclosed in the attached application
`has not been and will not be the subject of an application filed in
`another country, or under a multilateral agreement, that requires
`publication at eighteen monthsafterfiling.
`| hereby request that the
`
`attached application not be published under 35 U.S.C. 122(b).
`
`32™ Floor, 300 South WackerDrive
`
`City, State, Zip|Chicago,Illinois 60606
`
`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT REQUIRED
`Name
`Joseph A. Herndon
`
` ome McDonnell BoehnenHulbert&Berghoff
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`
`
`Reg. No.
`
`50,469
`
`Signature
`
`
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`
`
`\
`Oa
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`September 25, 2003
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`APPLICATION FOR A UNITED STATES PATENT
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`5
`
`MBHBCaseNo.03-395
`(3Com Case No. 3948.CS.US.P)
`
`10__—‘Title: SYSTEM AND METHOD FOR NETWORK BASEDPOLICY
`
`
`
`ENFORCEMENTOF INTELLIGENT-CLIENT FEATURES
`
`15
`
`20
`
`25
`
`30
`
`35
`
`40
`
`Inventors:
`
`David Grabelsky
`3800 Lee Street
`Skokie, Illinois 60076
`Citizen of United States of America
`
`AnoopTripathi
`462 Pheasant Ridge Road
`Lake Zurich,Illinois 60047
`Citizen of India
`
`Michael Homeier
`284 Greenwood Avenue
`Lake Forest, Illinois 60045
`Citizen of United States of America
`
`Guanglu Wang
`43 Canterbury Lane
`Buffalo Grove,Illinois 60089
`Citizen of China
`
`Assignee:
`
`3Com Corporation
`Legal Department
`5500 Great America Boulevard
`Mailstop 8412
`Santa Clara, California 95052
`
`McDonnell Boehnen Hulbert & Berghoft
`300 South Wacker Drive, 32nd Floor
`Chicago,IL 60606
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`1
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`FIELD OF INVENTION
`
`The present
`
`invention relates to policy enforcement of network services and, more
`
`particularly, to a system and method for network based policy enforcement of intelligent-client
`
`features.
`
`BACKGROUND
`
`The emergence of Internet Protocol (IP) telephony and IP multimedia networks poses
`
`challenges to carriers and service providers, however,
`
`it also presents new and expanded
`
`business opportunities. The increasing use of IP telephony has spurred development and
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`10
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`introduction of numeroustelephonyservices. The use ofIP telephony protocols as an interface
`
`mayassure that a “customer” and a “server” can rely on a commonand widely used method for
`
`exchanging information. The protocols developed for IP-based services, features, and media
`
`transport enable migration of signaling and call-control functionality to intelligent end-user
`
`clients. Examples of such protocols include H.323 and the Session Initiation Protocol (SIP). To
`
`15
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`the extent that telephony services and features can be implemented in intelligent clients, the
`
`carriers and service provider network’s responsibilities include little more than providing data
`
`pipes.
`
`In practice, however, many next-generation services still depend upon network-based
`
`servers and support, so network providers are probably in no dangerof loosing their ability to
`
`20
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`sell services. But the trend toward intelligent, IP-based clients is a new dimension in the space
`
`of creation and delivery of telephony and media services. At best, carriers, service providers,
`
`and device manufacturers may have to work together to ensure interoperability. At worst,
`
`carriers and service providers may need to deal with unauthorized delivery of services by
`
`McDonnell Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
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`intelligent clients in their networks. Either way, maintaining relevance as providers of services,
`and not just transport of the services,
`is no longer a given for network providers in a world
`
`shared with intelligent clients.
`
`Therefore, if carriers and service providers are to maintain their ability to generate
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`5
`
`revenuefor services offered or supported in their networks, then the service providers’ ability to
`
`enforce the authorization of service usage is important. This is particularly important in next-
`
`generation IP telephony and IP multimedia networks, where many basic and advanced services
`
`maybesignaled, controlled, and/or delivered byintelligent end-user clients that are not owned or
`
`controlled by the network providers, thereby enabling potential bypassing by the end user of
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`10
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`service agreements or other subscription accounting mechanisms.
`
`McDonnell Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
`Chicago,IL 60606
`(312) 913-0001
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`SUMMARY
`
`In an exemplary embodiment, a method for controlling services in packet-based networks
`
`is provided. The method includes receiving signaling messages within a communication path
`
`between a sender and a recipient device. The signaling messages include an indication of a type
`
`of service which the messages are intended to invoke. The method further includes making a
`
`determination of whether the sender or the recipient of the messages is authorized to invoke the
`
`typeofservice,and filtering the signaling messages based on the determination so as to pass to
`
`the intended recipient device signaling messages having an indication of services that are
`
`authorized.
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`10
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`In another respect,
`
`the exemplary method for controlling services in packet-based
`
`networks includes receiving a message, which is configured according to a protocol, and
`
`associating the message with a knownservice that is defined within the protocol. This method
`
`includes requesting a user profile of a user associated with the message that specifies which
`
`services the user is authorized to use. This method also includes determining from the user
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`15
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`profile whether the user is authorized to invoke the knownservice, and filtering the message
`
`based on whetherthe useris authorized to invoke the known service.
`
`In still another respect, the exemplary embodiment may take the form of a system that
`
`includes a border element and a proxy server. The border element is in a communications path
`
`of session initiation protocol (SIP) signaling messages between end devices, and mayfilter the
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`20
`
`SIP signaling messages based on authorized services of the end devices. The SIP signaling
`
`messages include an indication of services. The proxy server may receive a request from the
`
`border elementfor a userprofile of at least one of the end devices, and in response, send the user
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`300 South Wacker Drive, 32nd Floor
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`profile to the at least one of the end devices. Theuser profile specifies which servicestheat least
`one end device is authorizedto use.
`
`These as well as other features and advantages will become apparent to those of ordinary
`
`skill in the art by reading the following detailed description, with appropriate reference to the
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`5
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`accompanying drawings.
`
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`300 South Wacker Drive, 32nd Floor
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`BRIEF DESCRIPTION OF FIGURES
`
`Exemplary embodiments of the present invention are described with reference to the
`
`following drawings, in which:
`
`Figure 1
`
`is a block diagram illustrating one embodiment of a network architecture for
`
`5
`
`support of packet-based telephony and multimedia sessions and services according to the present
`
`invention;
`
`Figure 2 is a block diagram illustrating another embodiment of a network architecture for
`
`support of packet-based telephony and multimedia sessions and services according to the present
`
`invention;
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`10
`
`Figure 3 is a flowchart depicting one embodiment of a method of network-based policy
`
`enforcementof intelligent client features;
`
`Figure 4 illustrates one embodiment of a network policy enforcement entity that may
`
`carry out the method ofFigure 3;
`
`Figure 5 illustrates one embodiment of a SIP-aware firewall functioning as the network
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`15
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`policy enforcementpoint;
`
`Figure 6 illustrates one embodiment of a SIP-aware NAT anda firewall functioning as
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`the network policy enforcement point; and
`
`Figure 7 illustrates one embodiment of a SIP-aware firewall and a SIP Proxy server
`
`functioning as the network policy enforcementpoint.
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`DETAILED DESCRIPTION OF EXEMPLARY EMBODIMENTS
`
`In packet-based networks, intelligent end-user clients with little or no support and/or
`
`knowledge ofthe network can deliver many features and services. For networksto retain control
`
`over the features and services used by subscribers that use intelligent end-user clients, the
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`5
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`networks need to be able to recognize signaling and call control messages and transactionsthat
`
`implementthese features and services within the network. Thisis particularly important in next-
`
`generation IP telephony and IP multimedia networks where many basic and advancedservices
`
`may besignaled, controlled, and/or delivered by intelligent end-user clients which are not owned
`
`or controlled by the networkorservice providers, thereby enabling the potential bypassing by the
`
`10
`
`end userof service agreements or other subscription accounting mechanisms.
`
`One approach to policing network service usage is to extend signaling and control
`
`protocols, such as the Session Initiation Protocol (SIP), to support informingtheintelligent client
`
`as to which services are authorized. This approachis described in U.S. Patent Application Serial
`
`Number 10/243,642, filed on September 10, 2002, and entitled “Architecture and Method for
`
`15
`
`Controlling Features and Services in Packet-Based Networks,” which is entirely incorporated by
`
`reference herein asif fully set forth in this description. This approachrelies on the ability of the
`
`client to support required protocol extensions, and to function as the policy enforcement point on
`
`behalf of the network.
`
`In the exemplary embodiment, the present invention describes a system and method for
`using network-based policy enforcement to control access to, and invocation of, features and
`
`20
`
`services which may otherwise be delivered to subscribers without the knowledgeor authorization
`
`of the network. An operator of an IP telephony and/or IP multimedia network may enforce
`
`authorization or privileges of intelligent end-user clients to utilize or invoke services in the
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`network, even whenthe capabilities for the requisite signaling and call control of those services
`may reside in the end-userclients themselves.
`
`In the exemplary embodiment, a policy enforcement point is maintained in the network
`
`by elements that are under control of the network operator. This approach lessens and/or
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`5
`
`eliminates a need for the network operator to police the selection of client devices, and at the
`
`sametime, allows endusersto install nearly any suitable device of their choosing.
`
`NETWORK ARCHITECTURE
`
`Referring now to the figures, Figure 1 is a block diagram illustrating one embodiment of
`
`10
`
` anetwork 100.
`
`It should be understood that this and other arrangements described herein are set
`
`forth for purposes of example only, and other arrangements and elements can be used instead and
`
`some elements may be omitted altogether. Further, many of the elements described herein are
`
`functional entities that may be implemented as hardware, firmware or software, and as discrete
`
`componentsor in conjunction with other components,in any suitable combination andlocation.
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`15
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`The network 100 includes functionality of a packet network architecture for support of
`
`packet-based telephony and multimedia sessions and services. The network 100 includes a core
`
`packet network 102, and two local packet networks 104 and 106, as well as intelligent end-user
`
`clients 104a-d and 106a-e associated with the local packet networks 104 and 106. Access to the
`
`core packet network 102 is available through border elements 108 and 110, such asa firewall or
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`20
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`application layer gateway (ALG) device. Maintaining the border elements 108 and 110 within
`
`the core packet network 102 may protect the core packet network 102 from errant behavior of
`
`extra-network elements, whether malicious or inadvertent. Note that local packet networks 104
`
`and 106 maylikewise employ border elements for security purposes.
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`The core packet network 102 includes a signaling and call control server 112, an
`
`authentication and authorization sever 114, and a network-based services server 116. The
`
`signaling and call control server 112 intercepts call set-up messages sent between the end-user
`
`clients, e.g.,
`
`intelligent client 104c, and the core packet network 102 and checks the
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`5
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`authentication and authorization server 114 to determine what services the client may invoke.
`
`In
`
`turn, the signaling and call control server 112 may contact the network-based services server 116
`
`to invoke any services requested by the client,if the client is authorized to invoke theservice.
`
`The local packet networks 104 and 106 may be local area networks (LANs). The LAN
`
`provides local connectivity for end-user clients, while the core packet network 102 provides
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`10
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`access to global packet telephony services, as well as possibly to a public packet data network.
`
`The core packet network 102 connects the local packet networks 104 and 106 to other local
`
`networks, as well as to the public switched telephone network (PSTN) via media gateways, for
`
`example.
`
`The local packet networks 104 and 106 may be maintained within private or restricted
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`15
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`address spaces. That is, addresses of devices within or residing within a given local packet
`
`network maynotbe visible or valid to entities in the core packet network 102, or in other local
`
`networks. Rather, a mapping of addresses is used across the boundaries between the core packet
`
`network 102 and the local packet networks 104 and 106.
`
`In this case, the border elements 108
`
`and 110 in the core packet network 102 provide the mapping functionality, translating between
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`20
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`addresses on the core packet network 102 side and the local packet network side.
`
`In an IP
`
`network, for example, this could be supported with Network Address Translation (NAT). This
`
`may also be supported with Realm Specific Internet Protocol (as described in RFC 3104-3105).
`
`Alternatively, this address-mapping function may be accomplished on the local networkside, but
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`the corepacket network 102 maystill provide a subset of core network addresses that may be
`used in the mapping, i.e., access to the core packet network 102 first passes through somesort of
`
`core-network border element.
`
`Isolating the address space of the local packet networks 104 and
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`106 from the core packet network 102 introduces a stronger degree of control over access to
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`5
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`services and features in the core packet network 102, becauseclients’ true addresses are hidden
`
`from entities outside the local packet networks 104 and 106, which prevents surreptitious
`
`communications across the boundary betweenlocal and core networks.
`
`If address mapping is used at the border between the core packet network 102 and the
`
`local packet networks 104 and 106, then end-user devices can access services in the core packet
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`10
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`network 102 with explicit awareness of some element or elements within the core packet
`
`network 102.
`
`Figure 2 illustrates a specific example of a network 200, similar to that illustrated in
`
`Figure 1, in which the packet networks are IP networks. For this example, the SIP signaling and
`
`call control protocol is implemented. However, other signaling protocols, such as H-323, Media
`
`15.
`
`Gateway Control Protocol (MGCP), Media Gateway Control (MEGACO), and other standard or
`
`proprietary techniques mayalternatively be used. A brief explanation of SIP is given below.
`
`SIP is described in Handley, et al., “SIP: Session Initiation Protocol,” IETF RFC 2543,
`
`March 1999, which is entirely incorporated by reference herein, as if fully set forth in this
`
`description. SIP is also described in Rosenberg et al., “SIP: Session Initiation Protocol,” IETF
`
`20
`
`RFC 3261, June 2002, the contents of which are entirely incorporated herein by reference, as if
`
`fully set forth in this description.
`
`SIP describes how to set up Internet
`
`telephone calls,
`
`videoconferences, and other multimedia connections.
`
`SIP can establish two-party sessions
`
`(ordinary telephone calls), multiparty sessions (where everyone can hear and speak), and
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`multicast sessions (one sender, manyreceivers). The sessions may contain audio, video, or data.
`SIP handlescall setup, call management, and call termination. Other protocols, such asreal time
`
`protocol (RTP) are used for data transport. SIP is an application layer protocol and can run over
`
`the user datagram protocol (UDP)or the transport control protocol (TCP), for example.
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`5
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`SIP supportsa variety of services, including locating the callee, determining the callee’s
`
`capabilities, and handling the mechanicsofcall setup and termination, for example. SIP defines
`
`telephone numbers as uniform resource locators (URLs), so that Web pages can contain them,
`
`allowing a click on a link to initiate a telephonecall (similar to the mailto function that allows a
`
`click on a
`
`link to initiate a program to send an e-mail message).
`
`For example,
`
`10
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`JohnDoe@3Com.com may represent a user named John at the host specified by the domain
`
`name system (DNS) of 3Com. SIP URLs mayalso contain other addresses or actual telephone
`
`numbers.
`
`| The SIP protocol
`
`is a text-based protocol
`
`in which one party sends a message in
`
`American standard code for information interchange (ASCII) text consisting of a method name
`
`15
`
`on thefirst line, followed by additional lines containing headers for passing parameters. Many
`
`of the headers are taken from multipurpose Internet mail extensions (MIME)to allow SIP to
`
`interwork with existing Internet applications.
`
`As an example, consider the following exemplary text encoded message below in Table
`
`INVITEsip:user@biloxi.com SIP/2.0
`Via: SIP/2.0/UDP pc33.atlanta.com;branch=z9hG4bK776asdhds
`
`
`
`
`
`
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`
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`Content-Type: application/sdp Content-Length: 142
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`Table 1
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`This text-encoded message is a SIP INVITE message.
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`Thefirst line of this text-encoded
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`5
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`message contains the method name(e.g., INVITE). Thelines that follow are a list of header
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`fields. For example, the fields Via (describing the address at which the user is expecting to
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`receive responses), To (contains a display name or SIP request-URI towards which the request
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`wasoriginally directed), From (contains a display name and a SIP request-URI that indicate the
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`originator of the request), Call-ID (contains a globally unique identifier for this call), CSeq (a
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`10
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`traditional sequence number), and Contact (contains a SIP request-URI that represents a direct
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`route to contact the sender) are header fields.
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`In addition, the From header also has a tag
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`parameter containing a randomstring (e.g., 1928301774) that is used for identification purposes.
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`Other example methodsare provided below in Table 2.
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`
`
`
`
`
`
`
`
`
`
`
`
`
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`REGISTER
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`Inform a redirection server about
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`the
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`user’s current location
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`
`
`REFER
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`
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`Requests
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`that
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`the party sending the
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`REFERbenotified of the outcome of the
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`referenced request
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`McDonnell Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
`Chicago, IL 60606
`(312) 913-0001
`
`Table 2
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`To establish a call session, a caller sends an INVITE messageto a callee by way of a
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`proxy server. Thetransport protocol for the transmission may be TCP or UDP,for example.
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`In
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`both cases, the headers on the second and subsequent lines of INVITE message describe the
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`5
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`structure of the message body, which containsthe caller’s capabilities, media types, and formats.
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`The INVITE message also contains a user identifier to identify the callee, a caller user identifier
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`to identify the caller, and a session description that informs the called party what type of media
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`the caller can accept and where the caller wishes the media data to be sent. User identifiers in
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`SIP requests are known as SIP addresses.
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`SIP addresses are referred to as SIP Universal
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`Resource Indicators (SIP request-URIs), which are of the form sip: user@host.domain. Other
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`addressing conventions mayalso be used.
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`The proxy server will read the INVITE message and mayusealocation service locally or
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`remotely located to itself to determine the location of the callee, as identified in the INVITE
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`message. The proxy server determines the location of the callee by matching the SIP request-
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`URI in the INVITE message to one within a location database, which may be within another
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`proxy server. The INVITE request is then forwarded to the callee. Upon receiving the INVITE
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`request, the callee may transmit a response message.
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`The response message maybe a reply code. A reply code may be a three-digit number
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`with a classification as defined below in Table 3.
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`CODE
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`
`
`4xx
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`
`
`1xx
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`2XxX
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`
`
`MEANING
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`EXAMPLES
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`100 = server agrees to handle
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`client’s request
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`200 = request succeeded
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`
`
`
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`403 = forbidden page
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`
`
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`
`
`McDonnell Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
`Chicago, IL 60606
`(312) 913-0001
`
`] 3
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`5xx
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`ServerError
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`500 = internal server error
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`Table 3
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`For example, if the callee accepts the call, the callee responds with a 200 OK message.
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`Following the reply code line,
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`the callee also may supply information about
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`the callee’s
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`capabilities, media types, and formats.
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`Referring back to Figure 2, the network 200 includes a core IP network 202, and local IP
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`networks 204 and 206.
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`In this case, end-user clients are SIP user agents, such as SIP user agent
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`204a-b and 206a-b, and SIP phones, such as SIP phone 204c-d and 206c-e. The core IP network
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`202 includes a SIP Proxy server 208, an authentication/authorization server 210, a directory
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`server 212, and a network-based services server 214. Border elements in the core IP network
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`202 are NAT firewalls 216 and 218, which incorporate functionality specific to SIP. Such
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`devices are commonly referred to as SIP-aware firewalls, as illustrated. The NAT firewalls 216
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`and 218 makeit possible, for example, for a SIP client with only a local address within the local
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`area network to initiate and receive SIP-based calls to and from SIP endpoints in the core IP
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`network 202, or other local networks connected (directly or indirectly) to the core IP network
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`202.
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`In order for a SIP phone, e.g., 204c, to establish connectivity beyondits local IP network
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`204,its user registers with the SIP proxy server 208 in the core IP network 202. The registration
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`20
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`process will typically include somesort of verification that authenticates the user and authorizes
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`use of a set of services. This authentication usually involves communications between the SIP
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`proxy server 208 and the authentication and authorization server 210 via an additional protocol.
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`For example, Remote Authentication Dial In User Service (RADIUS) might be used for this
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`purpose. Assumingtheuseris successfully authenticated, authorization for use of services could
`
`McDonneil Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
`Chicago,IL 60606
`(312) 913-0001
`
`] 4
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`be determined according to a user profile stored in the authentication and authorization server
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`210. The user profile might list services and features to whichthe user has subscribed,e.g., basic
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`calls, call waiting, call forwarding, etc. Once registration is complete, the user may invoke
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`services within the core IP network 202. Note that the user could be a specific person, group, or
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`generic identity (e.g., “cafeteria phone”).
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`While lists of authorized services and features may be stored in the userprofile, it is
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`possible for many of the features themselves to be fully or partially realized directly within the
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`SIP phone 204c. Thus, a user could decline to subscribe to a certain service in the core IP
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`network 202, but still obtain that service using the implementation on the SIP phone 204c.
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`Assumingthat a carrier or service provider of the network 200 normally charges for that service,
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`then this user would be acquiringit for free. As noted, one way to attempt to prevent this from
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`happeningis to extend or enhance the SIP protocol to support passing the information about the
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`user’s authorized services to the SIP phone, as described in U.S. Patent Application Serial
`
`Number10/243,642, entitled “Architecture and Method for Controlling Features and Services in
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`Packet-Based Networks.” The SIP phone would then only invoke those services for which
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`authorization has been received, i.e., the SIP phone becomes the policy enforcement point on
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`behalf of the core IP network 202.
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`NETWORK-BASED POLICY ENFORCEMENTOF INTELLIGENT-CLIENT FEATURES
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`20
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`In the exemplary embodiment, an entity of the network 200 is the policy enforcement
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`point on behalf of the core IP network 202.
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`The entity is a core-network-based policy
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`enforcement point that is (1) in the communications path of substantially each and every call
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`control and signaling message between any end-user client and any call control and signaling
`
`McDonnell Boehnen Hulbert & Berghoff
`300 South Wacker Drive, 32nd Floor
`Chicago, IL 60606
`(312) 913-0001
`
`1 5
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`entity of the network 202 (including, possibly, another client device); and (2) able to
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`communicate with, and set parameters of, network elements that monitor and control media data
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`flow across network boundaries (e.g., border elements 216 and 218). The policy enforcement
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`point may recognize all call control and signaling messages that pass through it, and filter them
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`5
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`according to their content, including, but not limited to, sender, intended recipient, and meaning
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`within the particular call control and signaling protocol (e.g., message type).
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`In addition, the
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`policy enforcement point may control media data flow, or augment and/or assist other network
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`elements that have this function. Such control of media data flow mayinclude,but is not limited
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`to, ensuring compliance of media streams with agreed-to bandwidth and other network resource
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`10
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`usage.
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`The policy enforcement point mayfacilitate network-based enforcement of service and
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`feature privileges on a call-by-call basis, (1) during an initial setup phase of the call or session,
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`based upon the filtering of call control and signaling messages; and (2) once the call, session,
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`service, or feature is allowed and/or established, based upon both filtering of subsequent call
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`control messages, and the monitoring and