Professional Documents
Culture Documents
2
Abstract
3
Data-Over-Cable Service Interface Specification (DOCSIS)
DOCSIS is a set of standards developed by CableLabs, in collaboration with different interested parties, to
provide bi-directional transfer of data over the cable system. DOCSIS specifications are compatible with all-
coax networks as well as Hybrid Fiber/Coax (HFC) networks.
Cable TV providers have taken advantage of their high bandwidth networks and the DOCSIS standard to
provide high-speed Internet service to their customers.
The Telco Return Access Concentrator is actually a remote access server that allows the Telco to access
tools and information in the Distribution Hub or Headend.
The switch or Backbone Transport Adapter makes an interface available to exchange information from the
Backbone Network and the Headend.
4
The upstream splitter and filter bank provides switching functions for the upstream optical nodes without the
need for reconfiguring the whole Cable Modem Termination System.
The combiner multiplexes the video and data signal and passes them on to the transmitter.
5
Cable Modem to Customer Premise Equipment Interface (CMCI)
Any computer, server, workstation or other electronic device that is to be connected to the network via the
cable system constitutes the Customer Premise Equipment (CPE). DOCSIS defines protocols and standards
of communications required to deploy an interface between the CPE and a Cable Modem. It also describes the
parameters and requirements for data communications that are common to all the devices.
The specifications were created by Cable Television Laboratories, Inc. The goal is to allow the transfer of IP
traffic over the cable network.
Figure 3 shows a block diagram of the system2. The dark (right) side is the CMCI. It is important to know that
the Cable Modem is not necessarily an external device; it can be internal to the CPE, which would make the
CMCI internal to the CPE as well.
The CMCI has a Functional Reference Model in which operation specifications are provided for both internal
and external modems, as well as customer equipment assumptions and CPE configuration for both cases. It
also contains Cable Modem Interface descriptions.
- For external and internal modems, the functional requirements are basically the same; the difference
lies in the capability that the external modem has for creating LAN segments, whereas the internal
modem is assumed not to have any LAN connections.
- The equipment assumptions for both types of modems are the same for Hardware Platform, Operating
System and Communications Software, but differ in the CPE Interface:
o Internal modems are connected via PCI card
o External modems are connected via Ethernet 10BASE-T network interface or Universal Serial
Bus (USB).
6
- The Cable Modem has several other interfaces besides the one with the CPE, among them:
o Radio Frequency Interface (RFI)
o Hardware test interfaces
o Management access interfaces
o Read-only diagnostic interfaces
The CPE Interface specifications have a layered model with slightly different protocols for Ethernet and USB
(external), and PCI (internal). The layers are:
- Network Layer
o IPv4
- Data Link Layer
o DIX Ethernet (Type II)
- Physical Layer
o External: 10BASE-T / RJ-45 | USB receptacle
o Internal: PCI Bus
Below are the protocol stacks for the two external modem options: Ethernet and USB3.
7
CPE Controlled Cable Modems (CCCM)
As the name implies, these modems are controlled by the Customer Premise Equipment. Their CMCI has
three logical data channels:
- CPE channel: Ethernet frames, IP packets related to Internet applications and services that the
consumer is running in a CPE.
- CM management channel: also IP exchange. This channel is used by the MSO (Multi System
Operator) to perform management functions on the cable modem.
- CM control channel: connection between the CCCM hardware and the software running on the CPE.
The hardware and software arrangement of these channels by an OEM must appear as a standalone modem
when connected to the network.
The CCCM protocol layer requirements are no different from the standalone modems at all layers:
- Network: IP
- Data Link: Ethernet Type II
- Physical: Specific to the bus attachment
A Cable Modem Termination System (CMTS) is “a computerized device that enables cable modems to send
and receive packets over the Internet. It inserts IP packets from the Internet into MPEG frames and transmits
them to the cable modems via an RF signal. It does the reverse process coming from the cable modems.”
“A DOCSIS-compliant CMTS enables customer PCs to dynamically obtain IP addresses by acting as a proxy
and forwarding DHCP requests to DHCP servers. A CMTS may provide filtering to protect against theft of
service and denial of service attacks or against hackers trying to break into the cable operator's system. It may
provide traffic shaping in order to guarantee a specified quality of service (QoS) to selected customers. A
CMTS may also provide bridging or routing capabilities.”
“A CMTS performs packet format conversion and DHCP addressing. It may also provide routing, bridging,
filtering and traffic shaping. The combiner merges the TV programming feeds with the RF data from the
CMTS.”4
8
DOCSIS defines protocols and standards of communications required to deploy an interface between the
Cable Modem Termination System and the Backbone Network Transport Adapter Interface. It also describes
the parameters and requirements for data communications that are common to all the devices. This
specification is valid for both HFC and coaxial-only cable systems.
The figure below shows a block diagram of the system5. The dark (left) side is the CMTS-NSI.
Communications Specifications
These specifications have a layered structure much like the CMCI, although in this case there are various
combinations of the physical and data link layers to manage the IP traffic, which depend upon the features and
capabilities of the service that will be provided. According to CableLabs specifications, the compliant
combinations are:
Each one of these combinations has different specifications for the Network, Data Link (or ATM Adaptation
Layer) and Physical layers.
“Network layer requirements for the CMTS exist beyond transparency to IP traffic. The CMTS must also
support:
9
- classless addressing
- IP multicast addressing and forwarding
- Internet Group Management Protocol (IGMP)
- proxy ARP
- filtering of DHCP downstream-bound broadcast packets to protect against BOOTP server spoofing”6
Figure 7 - IP Over ATM Protocol Stack Figure 8 - IP Over FDDI Protocol Stack
The protocol stacks for the rest of the combinations are similar, with the appropriate protocols for each
technology, and are available at the CableLabs website.
The core of the modulation in DOCSIS is based on different implementations of Quadrature Phase-Shift
Keying (QPSK) modulation and Quadrature Amplitude Modulation (QAM).
10
four possible conditions: 00, 01, 10, and 11. Therefore, with QPSK, the binary input data are combined into
groups of two bits, called dibits. In the modulator, each dibit code generates one of the possible output phases
(+45o, +135o, -45o, and -135o).”7 Figure 9 shows a block diagram of a QPSK modulator.
I-Balanced
I-Channel Modulator
Information
BPF
In the block diagram, it is shown that two bits of the data are split in the bit splitter. After both bits are serially
inputted, they are simultaneously parallel outputted. One bit is directed to the I-channel and the other to the Q-
channel. The I-bit modulates a carrier that is in phase with the reference oscillator, and the Q-bit modulates a
carrier that is 90o out of phase or in quadrature with the reference carrier.8 The figure 10 displays the
constellation diagram for QPSK.
10 11
00 01
11
Figure 10 - QPSK modulator
QPSK is a very popular modulation scheme that is used in several applications because it's both easy to
implement and fairly resistant to noise.
Basically QAM is a form of modulation used for digital transmission where the information signals varies both
the amplitude and phase of the carrier. Another way to see a QAM modulator is as the linear sum of one
Amplitude Shift Keying (ASK) modulator and a Phase Shift Keying (PSK) modulator as the simplified equation
view of figure 11 displays.
ASK PSK
QAM
The figure 12 shows a simplified block diagram of a Quadrature Amplitude Modulator. As the figure shows
there is a single carrier oscillator that produces an in-phase carrier to the I-modulator and then shifts the carrier
90o and supplies a second quadrature carrier to the Q-modulator. The outputs from the two modulators are
linearly summed before undergoing additional stages of frequency up-conversion and power amplification.10
12
I-Balanced
Modulator
BPF
I-Channel
Information Bandpass
Filter
Carrier
Oscillator
QAM
Linear Output
BPF
Summer
90o Phase
Shifter
Bandpass
Filter
BPF
Q-Channel
Information Q-Balanced
Modulator
8QAM is the most single implementation of QAM but is not commonly used because 8PSK is still more efficient
at this range. The most common forms of QAM are 16QAM, 32QAM, 64QAM, 128QAM and 256QAM. A
constellation diagram for 16QAM is shown in figure 13, some more in the appendices.
QAM is very used when data-rates beyond those offered by 8PSK are required. This is due QAM accomplish a
greater distance between adjacent points in the I-Q constellation diagram by distributing the points more
evenly. And in this way the points on the constellation are more distinct and data errors are reduced.11
13
Different versions of DOCSIS have different implementation of QPSK and QAM, but usually QPSK is used
primarily for sending data from the cable subscriber upstream to the Internet and QAM is used to send data
from the Internet to the cable subscriber. There are some differences on how QPSK and QAM modulation are
implemented for different versions of DOCSIS.
14
Versions of DOCSIS
DOCSIS comes in four different versions: 1.0, 1.1, 2.0 and 3.0, each one with different limitations. Version 1.0,
1.1 and 2.0 are the ones that are deployed today, while 3.0 is not yet available. Each of these versions have
different features.
DOCSIS 1.0
The first DOCSIS specification, version 1.0, was issued on 1997. In the physical Layer, the specific channel
width of this version is between 200 kHz and 3.2 Mhz. 15 At the MAC layer it utilizes time division multi-access
(TDMA) as the deterministic access method. In addition, version 1.0 has an upstream limited to 10.24 Mbps
and a downstream throughput that goes up to 42.88 Mbps16. This version was mainly created to provide high
speed Internet access to the customer premise. Additionally, it supports best-effort transmission, meaning that
it does not guarantee a good performance for any given service. To provide security to the subscriber over the
HFC access network, which is shared, DOCSIS 1.0 includes a baseline privacy interface (BPI) feature. This
feature is used to protect the data that is being sent to and from cable modems in a Data-Over-Cable network
(encrypting the data), to authenticate cable modems, and to permit the transmission of multicast traffic to cable
modems. Finally, the data transmission in this version is asymmetric, with mostly all of the bandwidth reserved
for the downstream link that goes from the CMTS to the cable modem.
DOCSIS 1.1
The second specification, version 1.1, was developed two years later after the first version was issued. This
new version is interoperable and backward compatible with DOCSIS 1.0. The upstream and downstream
throughput, the channel width and the access method, is the same as the version 1.0. In addition to the first
version, it improves its delivery of best effort services by adding Quality of Service (QoS) control. With this QoS
control the operators were able to provide different performance levels, and charge rates for services that are
delivered with guaranteed and considerable QoS levels. On this version, the BPI was improved with the
release of the Baseline Privacy Interface Plus (BPI+). This new improvements provide more strength to the
service by the addition of certificate-based authentication to the data over cable network. Also, version 1.1
offers Dynamic Services. What this does is to automatically give access to a cable modem user to have higher
bandwidth, if the content that he is viewing requires it. To make this possible, a mechanism of Service ID (SID)
is used. Another new feature added to this version is Packet Fragmentation, which allows variable-sized data
packet to be handled without latency hits. Finally, this version provides support for the Simple Network
Management Protocol version 3 (SNMPv3), enabling management of network equipment by industry-standard
management and control systems.17
15
DOCSIS 2.0
The third specification, version 2.0, focuses on improving the performance and making a more efficient use of
the network capacity. Since an increase for symmetric services –such as IP telephony or video conferencing–
was demanded, the new version primarily focused on the upstream rate, which goes from the subscriber to the
network. This new version increases the upstream throughput to 30.72 Mbps, three times more compared to
the upstream of version 1.1 as it now uses a higher-order modulation technique (64 or 128 QAM).18 In
comparison to recent versions, the channel bandwidth was increased to 6.4 MHz. Additionally, DOCSIS v2.0
uses two different access methods: Advanced TDMA and Synchronous Code Division Multi-Access (S-CDMA).
Under the A-TDMA access method, multiple cable modems can share the same individual radio frequency
channel; this is because each cable modem is allocated a different time slot on which to transmit. As many as
128 CDMA symbols can be simultaneously transmitted using 128 orthogonal codes. On the other hand, S-
CDMA protocol allows multiple cable modems users to transmit in the same time slot simultaneously. (Figure
14) (CommsDesign)
Figure 14 - (CommsDesign)
Furthermore, this new version reduces different noise interference that affects the quality of the transmission
via the cable network. The noise and interference that can happen on a cable plant can be grouped into the
19
following categories: impulse noise, micro reflections, and additive white Gaussian noise. To ensure an
optimal utilization of the channel, this version provides different noise fighting techniques. To improve the
16
impulse noise, DOCSIS v2.0 has increased the Reed-Solomon forward error correction (RS FEC)i capability
from 10 to 16 bytes and includes in it the technique of byte interleaving. To reduce the micro-reflections the
equalizers were increased from 8 to 24 tapsii enabling a faster performance. Lastly, to improve the white
Gaussian noise, the DOCSIS v2.0 incorporates it –at the Physical Layer– with the Trellis coding modulation
(TCM)iii technique, only available in the S-CMDA modulation mode. Finally, this version has interoperability
with DOCSIS v1.x. It can be concluded that the inclusion of advanced PHY technologies, such as the A-TDMA
and S-CDMA, increases the upstream data bandwidth, reduces the noise and interference and guarantees
backwards compatibility with DOCSIS versions 1.x. With DOCSIS v2.0 the cable operators are able to provide
high streaming applications such as VoIP, peer-to-peer networking, video conferencing, video on demand, web
hosting, online gaming and other application services.
DOCSIS 3.0
Lastly, DOCSIS v3.0 specification was issued in August 2006, when CablesLabs came up with the idea of
downstream and upstream channel bonding, in addition to other features such as, IP multicasting, IPv6 and
AES encryption. Channel bonding means that data is transmitted to or from cable modems using multiple
individual radio frequency channels instead of just one channel.20 See figure 15.
i
Reed-Solomon coding specifies a polynomial by plotting, or statistically sampling, a large number of points in a data block. The
coding technique was a quantum leap in forward error correction technology, as it allows recovery of data even if multiple errors
occurred in a single block, and does so without the requirement for the embedding of redundant data within that block. (Newton)
ii
A device used on CATV cables for matching impedance or connecting subscriber drops. (Newton)
iii
A modem modulation technique in which sophisticated mathematics are used to predict the best fit between the incoming signal
and a large set of possible combinations of amplitude and phase changes. (Newton)
17
In addition, by bonding 6MHz channels together, the downstream speeds of DOCSIS 3.0 can increase up to
160Mbps with a modulation scheme of 256QAM. Furthermore, the upstream capacity, with a bandwidth
channel of 6.4 MHz and a modulation type of 64QAM, will be able to offer speeds up to 120Mbps. See figure
16 to observe how the downstream and upstream throughput is higher while more RF channels are available.
On the other hand, this technology includes the IP-Multicast feature which can be used to offer the IPTV
version of Switched Digital Video, and also for forwarding IP-Based information to particular receiver groups
that are interested. To allow the IP Multicast feature to work well, DOCSIS v3.0 includes some other features,
such as the Source Specific Multicast (SSM), QoS Support, Payload Header Suppression (PHS) for multicast,
and enhanced Multicast Authorization. SSM delivers multimedia services such as audio and video from one
source to several customer premise equipments, based on the request of a consumer. The second, QoS
Support, provides the ability for cable operators to control the total amount of bandwidth that is allocated for the
multicast session in order to guarantee a high quality multimedia streaming. Thirdly, the PHS has the ability of
reducing the overhead to ease video-over-DOCSIS services, and as a result allows cable operators to transmit
more multicast sessions, for a specific amount of downstream channel spectrum. Lastly, the enhanced
multicast authorization has the capability to limit the number of simultaneous multicast sessions that are
offered to a subscriber.
Moreover, DOCSIS v3.0 can support IPv6. This will introduce DOCSIS to the new version of IP, which has an
address space of 128 bits compared to the 32 bits of IPv4. It is important that cable operators support both
IPv4 and IPv6 for the projected future.
18
Finally, DOCSIS v3.0 increases the security by supporting the 128 bit Advanced Encryption Standard (AES).
The Additional security features available to this version are early authentication and encryption, configuration
file enforcement, IP address verification, and certificate revocations help increase the security of the
provisioning process.21 These features will prevent any hackers from getting into servers, disrupting the
network and stealing the services. Clearly then, on figure 17 we can see in a briefer way the difference
between the DOCSIS versions mentioned before.
EuroDOCSIS
Due to the difference of frequency allocation plans in the CATV systems between Europe and US, DOCSIS
has been modified for an exclusively use in European countries. The name given to the modified DOCSIS was
EuroDOCSIS. The primary difference between these standards is the TV channel bandwidth; the American
cable channels use the NTSC standards with a bandwidth of 6 MHz and the European cable channels makes
up the PAL TV Standards with 8 MHz. Because EuroDOCSIS has a wider bandwidth, the architecture
increases the speed in the downstream data path, (see figure 13).
19
On figure 18 we can observe the different downstream and upstream throughput that the American and
European DOCSIS have on the different versions.
Figure 18 - (Wikipedia)
20
Target market and market share statistics
Some statistics that can be found in the National Cable and Telecommunications Association (NCTA) give a
good idea of the size of this market and the potential that it represents. For example, the annual cable revenue
is estimated in $75.2 billioniv, the cable penetration in the United States is 58%.
Even when the total of customers connected to digital cable is more than 38 millions, the total of users of high
speed Internet connections is a little less than that, as you can see in figure 20. The values of figure 20 are
given until the second quarter of 2007, since the market has kept growing at an almost constant pace, the total
of high speed Internet connections is about 37,025,000 by March of 2008.
iv
This is an estimate value for 2007 given by the National Cable & Telecommunication Association.
21
The development of technologies like VoIP
and the improvement of the protocols from
DOCSIS 1.0 to DOCSIS 3.0 have allowed the
cable providers to offer services like
voice/phone service with a high quality.
Even when the cable companies have a rich market, it does not mean that they are not facing problems. Their
latest issue is related to Google, which already is testing its own TV ads on EchoStar’s Dish Network. This
decision of Google has created an initiative by all six major cable companies in the U.S. to deliver targeted TV
ads to viewers using their set-top boxes22.
22
Appendices
23
End Notes
1
TechWeb. TechEncyclopedia. 2002. 2 November 2008 <http://www.techweb.com/encyclopedia/>.
2
CableLabs. "Cable Modem to Customer Premise Equipment Interface." 8 April 2005. CableLabs. 2 November 2008
<http://www.cablelabs.com/specifications/SP-CMCI-I10-050408.pdf>.
3
CableLabs. "Cable Modem to Customer Premise Equipment Interface." 8 April 2005. CableLabs. 2 November 2008
<http://www.cablelabs.com/specifications/SP-CMCI-I10-050408.pdf>.
4
TechWeb. TechEncyclopedia. 2002. 2 November 2008 <http://www.techweb.com/encyclopedia/>.
5
CableLabs. "Cable Modem to Customer Premise Equipment Interface." 8 April 2005. CableLabs. 2 November 2008
<http://www.cablelabs.com/specifications/SP-CMCI-I10-050408.pdf>.
6
CableLabs. "Cable Modem Termination System-Network Side Interface Specification." 2 July 1996. CableLabs. 2 November 2008
<http://www.cablelabs.com/specifications/SP_CMTS_NSII01-960702.pdf>.
7
Tomasi, Wayne. Electronic Communications Systems. Pearson Prentice Hall, 2004.
8
Tomasi, Wayne. Electronic Communications Systems. Pearson Prentice Hall, 2004.
9
Tomasi, Wayne. Electronic Communications Systems. Pearson Prentice Hall, 2004.
10
Tomasi, Wayne. Electronic Communications Systems. Pearson Prentice Hall, 2004.
11
Poole, Ian. Radio Electronics. 2007. 29 October 2008 <http://www.radio-electronics.com/info/rf-technology-design/pm-phase-modulation/8qam-
16qam-32qam-64qam-128qam-256qam.php>.
12
Cisco Systems, Inc. Internetworking Technology Handbook . 2008. 30 October 2008
<http://www.cisco.com/en/US/docs/Internetworking/technology/handbook/Cable.html>.
13
CableLabs. "DOCSIS 3.0: Physical Layer Specification." 22 May 2008. 27 October 2008 <http://www.cablelabs.com/specifications/CM-SP-PHYv3.0-
I07-080522.pdf>.
14
CableLabs. "DOCSIS 3.0: Physical Layer Specification." 22 May 2008. 27 October 2008 <http://www.cablelabs.com/specifications/CM-SP-PHYv3.0-
I07-080522.pdf>.
15
Wikipedia. DOCSIS. 18 October 2008. 18 October 2008 <http://en.wikipedia.org/>.
16
Kasim, Abdul. Delivering Carrier Ethernet: Extending Ethernet Beyond the LAN. McGraw-Hill Professional, 2007.
17
Motorola. EFFICIENTLY MIGRATING TO DOCSIS 2.0. 29 September 2003.
18
Motorola. EFFICIENTLY MIGRATING TO DOCSIS 2.0. 29 September 2003.
19
CommsDesign. Docsis 2.0 Places RF Demands on Upstream Signals. 16 January 2003. 18 October 2008 <http://www.commsdesign.com/>.
20
CED Magazine. DOCSIS 3.0 arrives. 01 May 2008. 01 November 2008 <http://www.cedmagazine.com/>.
21
Broadband Reports. Of DOCSIS 3.0. 01 November 2008. 01 November 2008 <http://www.broadbandreports.com>.
22
Schonfeld, Erick. TechCrunch. March 2008. 31 October 2008 <http://www.techcrunch.com/2008/03/10/project-canoe-cable-companies-paddle-to-
catch-up-to-google-in-targeted-tv-ads/>.
24