1

UNIT 1
Fundamentals in communication

1
FUNDAMENTALS OF DATA
COMMUNICATION
Unit Structure
1.1 Introduction to data communication
1.2 Characteristics of a data communication system
1.3 Data & Signal
1.3.1 Analog & Digital data
1.3.2 Analog & Digital Signal
1.3.3 Periodic & Non-Periodic Signal
1.3.4 Composite Signal
1.4 Signal Encoding
1.5 Synchronization
1.6 Digital Data to Digital Signal
1.6.1 Coding methods
1.6.2 Line Encoding
1.6.3 Block Coding
Further Reading & References

1.1. INTRODUCTION TO DATA COMMUNICATION

The main objective of data communication and networking is to

enable seamless exchange of data between any two points in
the world.
This exchange of data takes place over a computer network.
A computer network is a collection of interconnected nodes.
Each node is a device capable of sending or receiving data.

Data & Information

Data refers to the raw facts that are collected while information
refers to processed data that enables us to take decisions.

Ex. When result of a particular test is declared it contains data

of all students, when you find the marks you have scored you
have the information that lets you know whether you have
passed or failed.

The word data refers to any information which is presented in a

form that is agreed and accepted upon by is creators and users.

1.2.

CHARACTERISTICS OF A DATA
COMMUNICATION SYSTEM

The effectiveness of any data communications system

depends upon the following four fundamental characteristics:
1. Delivery: The data should be delivered to the correct
destination and correct user.
2. Accuracy: The communication system should deliver the
data accurately, without introducing any errors. The data
may get corrupted during transmission affecting the
accuracy of the delivered data.
3. Timeliness: Audio and Video data has to be delivered in a
timely manner without any delay, such a data delivery is
called real time transmission of data.
4. Jitter : It is the variation in the packet arrival time. Unven
Jitter may affect the timeliness of data being transmitted.

1.3. DATA & SIGNAL

To be transmitted, data must be transformed to
electromagnetic signals.
1.3.1 Data can be Analog or Digital.
1. Analog data refers to information that is continuous; ex. sounds
made by a human voice
2. Digital data refers to information that has discrete states. Digital
data take on discrete values.
3. For example, data are stored in computer memory in the form of
Os and 1s
1.3.2. Signals can be of two types:
1. Analog Signal: They have infinite values in a range.

2. Digital Signal: They have limited number of defined values

Figure: a. Analog Signal

b. Digital Signal

1.3.3. Periodic & Non Periodic Signals

Signals which repeat itself after a fixed time period are called
Periodic Signals.

Signals which do not repeat itself after a fixed time period

are called Non-Periodic Signals.

1.3.4. Composite Signal

A composite signal is a combination of two or more simple

sine waves with different frequency, phase and amplitude.

If the composite signal is periodic, the decomposition gives a

series of signals with discrete frequencies; if the composite
signal is non-periodic, the decomposition gives a
combination of sine waves with continuous frequencies.

1.4. SIGNAL ENCODING

Data can be analog or digital, so can be the signal that

represents it.

Signal encoding is the conversion from analog/digital data

to analog / digital signal.

Figure: Signal Encoding

In the Figure above,
A) Demonstrates Digital Signaling where data from
analog/digital source is encoded into Digital Signal.

an

B) Demonstrates Analog signaling in which the analog/digital

source modulates a continuous carrier signal to produce an
analog signal.
The possible encodings are:
1. Digital data to Digital Signal
2. Digital data to Analog Signal
3. Analog data to Digital Signal
4. Analog data to Analog Signal

1.5. SYNCHRONIZATION

In order to receive the signals correctly, the receivers bit

intervals must correspond exactly to the senders bit
intervals.

The clock frequency of the transmitter and receiver should

be the same.

If the clock frequency at the receiver is slower or faster than

the bit intervals are not matched and the received signal is
different than the transmitted one.

Figure : Synchronization

In the above figure, the receiver clock frequency is twice that of

the transmitter frequency. Hence the received data is totally
different than the transmitted one

To avoid this, receiver and transmitter clocks have to be

synchronized.

To achieve this the transmitted digital signal should include

timing
information
which
forces
synchronization

1.6. DIGITAL DATA TO DIGITAL SIGNAL

1.6.1. Coding methods
Coding methods are used to convert digital data into digital signals.
There are two types of coding methods:
1 Line Coding
2 Block Coding
Scrambling is also one of the ways to convert digital data to digital
signals but is not used.
1.6.2. Line Encoding
It is the process of converting Digital data into digital signal.
In other words, it is converting of binary data(i.e. A sequence
of bits) into digital signal (i.e. a sequence of discrete, discontinuous
voltage pulses)

Figure: Line Coding

Classification of Line Codes
The following figure shows the classification of Line coding
schemes:

Figure : Classification of line coding schemes

A. Unipolar

All signal levels are either above or below the time axis.

NRZ - Non Return to Zero scheme is an example of this

code. The signal level does not return to zero during a
symbol transmission.

B. Polar

NRZ-voltages are on both sides of the time axis.

Polar NRZ scheme can be implemented with two voltages.

E.g. +V for 1 and -V for 0.

There are two variations:

o NZR - Level (NRZ-L) - positive voltage for one
symbol and negative for the other
o NRZ - Inversion (NRZ-I) - the change or lack of
change in polarity determines the value of a symbol.
E.g. a 1 symbol inverts the polarity a 0 does not.

Polar RZ
The Return to Zero (RZ) scheme uses three voltage
values. +, 0, -.
Each symbol has a transition in the middle. Either from
high to zero or from low to zero

More complex as it uses three voltage level. It has no

error detection capability

Figure : Unipolar(NRZ) & Polar(RZ & NRZ) Encoding

Polar - Biphase: Manchester and Differential Manchester

Manchester coding is a combination of NRZ-L and RZ

schemes.

Every symbol has a level transition in the middle: from

high to low or low to high.

It uses only two voltage levels.

Differential Manchester coding consists of combining

the NRZ-I and RZ schemes.

Every symbol has a level transition in the middle. But

the level at the beginning of the symbol is determined
by the symbol value. One symbol causes a level
change the other does not.

Figure : Polar biphase: Manchester and differential Manchester

coding schemes
C. Bipolar - AMI and Pseudoternary

This coding scheme uses 3 voltage levels: - +, 0, -, to represent

the symbols

Voltage level for one symbol is at 0 and the other alternates

between + & -.

Bipolar Alternate Mark Inversion (AMI) - the 0 symbol is

represented by zero voltage and the 1 symbol alternates
between +V and -V.

Pseudoternary is the reverse of AMI

Figure: Bipolar coding scheme - AMI and Pseudoternary

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D. Multilevel

Here the number of data bits is increased per symbol to

increase the bit rate.

2 types of data element a 1 or a 0 are available, it can be

combined into a pattern of n elements to create 2m symbols.

Using L signal levels we can have n signal elements to

create Ln signal elements. The following possibilities can
occur:

With 2m symbols and Ln signals:

If 2m > Ln then we cannot represent the data elements,

we dont have enough signals.

If 2m = Ln then we have an exact mapping of one symbol

on one signal.

If 2m < Ln then we have more signals than symbols and

we can choose the signals that are more distinct to
represent the symbols and therefore have better noise
immunity and error detection as some signals are not
valid

These types of codings are classified as mBnL schemes. In

mBnL schemes, a pattern of m data elements is encoded as
a pattern of n signal elements in which 2m Ln.

2B1Q (two binary, one quaternary)

Here m = 2; n = 1 ; Q = 4. It uses data patterns of size 2 and

encodes the 2-bit patterns as one signal element belonging
to a four-level signal.

Figure: Multilevel coding scheme : 2B1Q

11

8B6T(eight binary, six ternary)

Here a pattern of 8 bits is encoded a pattern of 6 signal

elements, where the signal has three levels

Here m = 8; n = 6 ; T = 3

So we can have 28 =256 different data patterns and 36 =478

different signal patterns.

Figure : Multilevel coding scheme : 8B6T

4D-PAM5 (Four
Modulation)

Dimensional

Five-Level

Pulse

Amplitude

4D -means that data is sent over four channels at the same

time.

It uses five voltage levels, such as -2, -1, 0, 1, and 2.

E. Multitransition

Because of synchronization requirements we force

transitions. This can result in very high bandwidth
requirements -> more transitions than are bits (e.g. mid bit
transition with inversion).

Codes can be created that are differential at the bit level

forcing transitions at bit boundaries. This results in a
bandwidth requirement that is equivalent to the bit rate.

In some instances, the bandwidth requirement may even be

lower, due to repetitive patterns resulting in a periodic signal.

MLT-3
o Signal rate is same as NRZ-I
o Uses three levels (+v, 0, and - V) and three transition
rules to move between the levels.
If the next bit is 0, there is no transition.

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If the next bit is 1 and the current level is not 0, the

next level is 0.
If the next bit is 1 and the current level is 0, the
next level is the opposite of the last nonzero level.
1.6.3. Block Coding

Block coding adds redundancy to line coding so that error

detection can be implemented.

Block coding changes a block of m bits into a block of n bits,

where n is larger than m.

Block coding is referred to as an mB/nB encoding

technique.

The additional bits added to the original m bits are called

parity bits or check bits

m : message bits
Figure : Block Coding
Example: 4B/5B encoding
Here a 4 bit code is converted into a 5 bit code
Further Reading & References
Data Communication & Networking Behrouz Forouzan.

13

2
MODULATION
Unit Structure
2.1. Introduction
2.2. Modulation (Analog to digital signal conversion)
2.2.1. PAM
2.2.2. PCM
2.2.3. PWM
2.3. Modulation (Analog data to analog signal conversion)
2.3.1. AM
2.3.2. FM
2.3.3. PM
2.4. Digital Modulation (Digital Data to Digital Signal conversion)
2.4.1. ASK
2.4.2. FSK
2.4.3. PSK
2.4.4. QAM
Further Reading & References

2.1. INTRODUCTION
The previous chapter described encoding techniques to
convert digital data to digital signal, now we look at the modulation
techniques to convert

Analog data to digital signals.

Analog data to analog signal.

Digital Data to Analog Signal

2.2. MODULATION
SIGNALS)

(ANALOG

DATA

TO

DIGITAL

The definition of the term modulation is described in the next

section. Here we discuss 3 modulation techniques:
1. PAM
2. PCM
3. PWM

14

2.2.1. PAM (Pulse Amplitude Modulation)

Pulse Amplitude Modulation refers to a method of carrying

information on a train of pulses, the information being
encoded in the amplitude of the pulses.

2.2.2. PCM (Pulse Code Modulation)

PCM is a general scheme for transmitting analog data in a

digital and binary way, independent of the complexity of the
analog waveform. With PCM all forms of analog data like
video, voice, music and telemetry can be transferred.

To obtain PCM from an analog waveform at the source

(transmitter), the analog signal amplitude is sampled at
regular time intervals. The sampling rate (number of
samples per second), is several times the maximum
frequency of the analog waveform. The amplitude of the
analog signal at each sample is rounded off to the nearest
binary level (quantization).

The number of levels is always a power of 2 (4, 8, 16, 32,

64,). These numbers can be represented by two, three, four,
five, six or more binary digits (bits) respectively.

At the destination (receiver), a pulse code demodulator

converts the binary numbers back into pulses having the
same quantum levels as those in the modulator. These
pulses are further processed to restore the original analog
waveform.

2.2.3. PWM (Pulse Width Modulation)

Pulse Width Modulation refers to a method of carrying

information on a train of pulses, the information being
encoded in the width of the pulses. In applications to motion
control, it is not exactly information we are encoding, but a
method of controlling power in motors without (significant)
loss.

There are several schemes to accomplish this technique.

One is to switch voltage on and off, and let the current
recirculate through diodes when the transistors have
switched off. Another technique is to switch voltage polarity
back and forth with a full-bridge switch arrangement, with 4
transistors.

This technique may have better linearity, since it can go

right down to an
cycles, and may jitter between
minimum duty cycles of positive and negative polarity.

15

In battery systems PWM is the most effective way to

achieve a constant voltage for battery charging by switching
the system controller's power devices on and off.
The generation of exact working PWM circuitry is
complicated, but it is extremely conceptually important since
there is good reason to believe that neurons transmit
information using PWM spike trains.

2.3.

ANALOG DATA TO ANALOG SIGNAL

Modulation

The Process of converting analog data to analog signal is

called Modulation.

Modulation is used to send an information bearing signal

over long distances.

Modulation is the process of varying some characteristic of a

periodic wave with an external signal called carrier signal.

These carrier signals are high frequency signals and can be

transmitted over the air easily and are capable of traveling
long distances.

The characteristics (amplitude, frequency, or phase) of the

carrier signal are varied in accordance with the information
bearing signal(analog data).

The information bearing signal is also known as the

modulating signal.

The modulating signal is a slowly varying as opposed to

the rapidly varying carrier frequency.

Types of Modulation:
Signal modulation can be divided into two broad categories:

Analog modulation and

Digital modulation.

Analog or digital refers to how the data is modulated

onto a sine wave.

If analog audio data is modulated onto a carrier sine

wave, then this is referred to as analog modulation.

Digital modulation is used to convert digital data to

analog signal. Ex ASK, FSK, PSK.

16

Analog Modulation can be accomplished in three ways:

1. Amplitude modulation (AM)
2. Frequency modulation (FM)
3. Phase modulation (PM).

2.3.1. Amplitude modulation (AM)

Amplitude modulation is a type of modulation where the
amplitude of the carrier signal is varied in accordance with
modulating signal.
The envelope, or boundary, of the amplitude modulated
signal embeds modulating signal.
Amplitude Modulation is abbreviated AM.

Figure : Amplitude modulation (AM)

17

2.3.2. Frequency modulation (FM)

Frequency modulation is a type of modulation where the

frequency of the carrier is varied in accordance with the
modulating signal. The amplitude of the carrier remains
constant.

The information-bearing signal (the modulating signal)

changes the instantaneous frequency of the carrier.
Since the amplitude is kept constant, FM modulation is a
low-noise process and provides a high quality modulation
technique which is used for music and speech in hifidelity broadcasts.

Frequency Modulation is abbreviated FM.

Figure : Frequency modulation (FM)

18

2.3.3. Phase modulation (PM).

In phase modulation, the instantaneous phase of a

carrier wave is varied from its reference value by an
amount proportional to the instantaneous amplitude of
the modulating signal.

Phase Modulation is abbreviated PM.

Figure : Phase modulation (PM).

19

Figure : Comparison of AM, FM & PM

2.4. DIGITAL DATA TO ANALOG SIGNAL

Digital modulation is used to convert digital data to

analog signal.

It can be accomplished in the following ways:

1. ASK
2. FSK
3. PSK
4. QAM

2.4.1. Amplitude Shift Keying (ASK)

In amplitude shift keying, the amplitude of the carrier signal is

varied to create signal elements.

Both frequency and phase remain constant while the

amplitude changes.

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Binary ASK (BASK)

ASK is normally implemented using only two levels and is
hence called binary amplitude shift keying.
Bit 1 is transmitted by a carrier of one particular amplitude.
To transmit Bit 0 we change the amplitude keeping the
frequency is kept constant

Figure : Amplitude Shift Keying (ASK

2.4.2. Frequency Shift Keying (FSK)
In Frequency shift keying, we change the frequency of the
carrier wave.
Bit 0 is represented by a specific frequency, and bit 1 is
represented by a different frequency.
In the figure below frequency used for bit 1 is higher than
frequency used for bit 0

21

Figure : Frequency Shift Keying (FSK)

2.4.3. Phase Shift Keying (PSK)

Phase shift keying (PSK) is a method of transmitting and

receiving digital signals in which the phase of a transmitted
signal is varied to convey information.

Both amplitude and frequency remain constant as the phase

changes.

The simplest from of PSK has only two phases, 0 and 1.

If the phase of the wave does not change, then the signal
state stays the same (low or high).

If the phase of the wave changes by 180 degrees, that is, if

the phase reverses, then the signal state changes (from low
to high or from high to low)

22

Figure: Phase Shift Keying (PSK)

2.4.4. QAM
The concept of Quadrature Amplitude Modulation (QAM)
involves use of two carriers, one for phase and the other for
quadrature, with different amplitude levels for each carrier.
It is a combination of ASK & PSK.
Further Reading & References
Data Communication & Networking Behrouz Forouzan.

23

3
MULTIPLEXING
Unit Structure
3.1. Multiplexing
3.1.1.
FDM
3.1.2.
TDM
3.1.3.
WDM
3.2.
Modes of communication
3.2.1.
Simplex
3.2.2.
Half Duplex
3.2.3.
Full Duplex
3.3.
Switching Techniques
3.3.1.
Circuit switching
3.3.2.
Packet switching
3.3.2.1. Datagram Approach
3.3.2.2. Virtual Circuit Approach
Further Reading & References

3.1. MULTIPLEXING

The concept of Multiplexing is closely related to bandwidth.

Communication links have a definite bandwidth. A signal
may require a bandwidth that is greater than the
communication link which may require combining the several
links together or the signal may require a very less portion of
bandwidth which results in its wastage. It would be wise to
share this link with other devices, which is done using
Multiplexing techniques.

Multiplexing is a set of techniques. It allows

simultaneous transmission of multiple signals across a
single communication link.

24

Fig. Multiplexing

In the figure above, 4 low speed links are connected to a

Multiplexer (MUX) which combines them into a single high
speed link.

A Multiplexer performs a many to one signal conversion (many

low speed signals are converted into one high speed signal).

This signal is fed to the Demultiplexer (DEMUX) at the other

end which separates the high speed signal into its original
component signals.

Also, a channel is portion of a link, 1 link may have multiple (n)

channels.

Signals are of two types : Analog and Digital so multiplexing

techniques fall under two categories A. Analog & B. Digital

25

Fig: Types of Multiplexing

3.1.1. FDM (Frequency Division Multiplexing)

FDM is applicable when the bandwidth of a link (in hertz)

is more than the combined bandwidth of individual
signals to be transmitted

In FDM, signals generated by each sending device

modulate different carrier frequencies. These modulated
signals are then combined into a single composite signal
that can be transported by the link.

Carrier frequencies are separated by sufficient bandwidth

to accommodate the modulated signal.

Signals are prevented from overlapping by using strips of

unused bandwidth called guard bands.

26

Figure : FDM (Frequency Division Multiplexing)

Figure: Guard Band Frequency in FDM

3.1.2. WDM (Wavelength Division Multiplexing)

Wavelength-division multiplexing (WDM) is designed to

use the high-data-rate capability of fiber-optic cable. The
optical fiber data rate is higher than the data rate of
metallic transmission cable. Using a fiber-optic cable for
one single line wastes the available bandwidth.

Multiplexing allows us to combine several lines into one.

27

WDM is conceptually the same as FDM, except that the

multiplexing and demultiplexing involve optical signals
transmitted through fiber-optic channels.

The idea is the same: We are combining different signals

of different frequencies. The difference is that the
frequencies are very high.

Figure : WDM (Wavelength Division Multiplexing)

Figure above gives a conceptual view of a WDM

multiplexer and demultiplexer.

Very narrow bands of light from different sources are

combined to make a wider band of light. At the receiver,
the signals are separated by the demultiplexer.

3.1.3. TDM (Time-division multiplexing)

It is a digital process that allows several connections to

share the high bandwidth of a link.

Instead of sharing a portion of the bandwidth as in FDM,

time is shared. Each connection occupies a portion of
time in the link.

The next Figure gives a conceptual view of TDM.

The same link is used as in FDM; here, however, the link

is shown sectioned by time rather than by frequency. In
the figure, portions of signals 1,2,3, and 4 occupy the link
sequentially.

28

Figure: TDM (Time-division multiplexing)

3.2. MODES OF COMMUNICATION

Two devices communicate with each other by sending and
receiving data. This can be done in the following ways.
3.2.1. Simplex

Figure: Simplex mode of communication

In Simplex, communication is unidirectional

One of the devices only sends the data and the other one
only receives the data.

Example: in the above diagram: a cpu send data while a

monitor only receives data.

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3.2.2. Half Duplex

Figure: Half Duplex Mode of Communication

In half duplex both the stations can transmit as well as

receive but not at the same time.

When one device is sending other can only receive and viceversa (as shown in figure above.)

Example: A walkie-talkie.

3.2.3. Full Duplex

Figure: Full Duplex Mode of Communication

In Full duplex mode, both stations can transmit and receive

at the same time.

Example: mobile phones

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3.3. SWITCHING

Switching is a solution or an alternate to using meshed network.

A network is a collection of connected nodes. When we have
multiple devices, theres the question of how to connect them,
the best way is to connect a device to every other device to form
a mesh topology, but that would result in a waste of resources.

A Switch is a device capable of creating temporary connections

between two or more devices linked to the switch.

A Switched network consists of a collection of interlinked nodes

called switches.

In a switched network some of the nodes are connected to the

end devices while others are only used for routing.

In the above figure the Switches are labeled I, II, III, IV and the
end nodes are labeled as A, B, C, D, E, F, G. Switch I is
connected to end nodes A, B, C and switch III is connected to
end node D and E while Switch II is only used for routing.

There are three types of Switching techniques :

1. Circuit Switching
2. Packet Switching
3. Message Switching.
Message Switching is no longer used so our discussion is
limited to circuit and packet switching.

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Figure Taxonomy of switched networks

3.3.1. CIRCUIT-SWITCHED NETWORKS

Circuit switching takes place at the physical layer

A circuit switching network is one that establishes a

circuit (or channel) between nodes and terminals before
the users may communicate, as if the nodes were
physically connected with an electrical circuit.

An important property of circuit switching is the need to

set up an end-to-end path before any data can be sent.

Example: A telephone call

The switching equipment within the telephone system

seeks out a physical path all the way from senders
telephone to the receivers telephone.

The actual communication in a circuit-switched network

requires three phases:
i.
ii.
iii.

connection setup
data transfer, and
connection teardown.

Connection Setup

Before the two parties (or multiple parties in a conference

call) can communicate, a dedicated circuit (combination of
channels in links) needs to be established.

The end systems are normally connected through dedicated

lines to the switches, so connection setup means creating
dedicated channels between the switches.

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Data Transfer Phase

After the establishment of the dedicated circuit (channels),
the two parties can transfer data.
Teardown Phase
When one of the parties needs to disconnect, a signal is sent
to each switch to release the resources.
3.3.2. PACKET SWITCHED NETWORKS

In packet switching network, there is no call setup hence

no particular path to be followed by the packets i.e
different packets can follow different paths depending
upon the network conditions, so the packets may arrive
out of order at the receiver.

Packet Switching is more fault tolerant than circuit

switching. If a switch goes down, all of the circuits using
it are terminated and no more traffic can be sent on any
of them. With packet switching packets can be routed
around dead switches.

Packet switching uses store and forward transmission. A

packet is stored in the routers memory and then sent on
to the next router. With circuit switching bits just flow
through the wire continuously. The store and forward
technique adds delay to packet switching networks.

Packet Switching network differ from circuit switching

network in the way in which users are charged.

With Circuit switching charging is done based on

distance and time.
Ex. STD calls are charged more compared to local calls.

Packet switching networks charge for the volume of

traffic.
Ex. MTNL allows 400Mb of internet browsing at Rs 200/After this limit of 400Mb is exceeded every MB is
charged explicitly.

In a packet-switched network, there is no resource

reservation; resources are allocated on demand

There are two approaches to packet switching

Datagram Approach
Virtual Circuit Approach
3.3.2.1.

Datagram Switching
Using Datagram transmission, each packet is treated as
a separate entity and contains a header with the full
information about the intended recipient.

33

The intermediate nodes examine the header of a packet

and select an appropriate link to an intermediate node
which is nearer the destination.

In this system packets do not follow a pre-established

route, and the intermediate nodes (usually routers) do not
require prior knowledge of the routes that will be used.

Figure: A Datagram Network

Datagram switching is normally done at the network layer

In a datagram network as packets are treated as independent

entities they may take different routes to reach the
destination hence may arrive out of sequence at the
destination.

The datagram networks are sometimes referred to as

connectionless networks.

The term connectionless here means that the switch

(packet switch) does not keep information about the
connection state. There are no setup or teardown phases.
Each packet is treated the same by a switch regardless of its
source or destination.

Routing Table

Each switch (or packet switch) has a routing table which is

based on the destination address. The routing tables are
dynamic and are updated periodically.

The destination addresses and the corresponding forwarding

output ports are recorded in the tables.

This is different from the table of a circuit switched network in

which each entry is created when the setup phase is
completed and deleted when the teardown phase is over.

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Destination Address

Every packet in a datagram network carries a header that

contains, among other information, the destination
address of the packet.

When the switch receives the packet, this destination

address is examined; the routing table is consulted to find
the corresponding port through which the packet should
be forwarded.

3.3.2.2. Virtual-circuit networks

A virtual-circuit network is a cross between a circuit-switched
network and a datagram network. It has some characteristics
of both.
1. As in a circuit-switched network, there are setup and
teardown phases in addition to the data transfer
phase.
2. Resources can be allocated during the setup phase,
as in a circuit-switched network, or on demand, as in
a datagram network.
3. As in a datagram network, data are packetized and
each packet carries an address in the header.
4. As in a circuit-switched network, all packets follow the
same path established during the connection.
5. A virtual-circuit network is normally implemented in
the data link layer, while a circuit-switched network is
implemented in the physical layer and a datagram
network in the network layer.
Addressing
In a virtual-circuit network, two types of addressing are
involved:
Global and local (virtual-circuit identifier).
Global Addressing
A source or a destination needs to have a global
address-an address that can be unique in the scope of
the network or internationally if the network is part of an
international network.
Virtual-Circuit Identifier
The identifier that is actually used for data transfer is
called the virtual-circuit identifier (VCl).

A VCI, unlike a global address, is a small number that

has only switch scope; it is used by a frame between two

35

switches. When a frame arrives at a switch, it has a VCI;

when it leaves, it has a different VCl.
Three Phases
A source and destination need to go through three phases in
a virtual-circuit network:
1. setup,
2. data transfer, and
3. teardown
Setup Phase
In the setup phase, a switch creates an entry for a virtual
circuit.
For example, suppose source A needs to create a virtual
circuit to B. Two steps are required:
1. the setup request and
2.
the acknowledgment.

Figure: Setup Request

Setup Request
A setup request frame is sent from the source to the
destination. Figure above shows the process.
a. Source A sends a setup frame to switch 1.
b. Switch 1 receives the setup request frame. It knows that a
frame going from A to B goes out through port 3.

36

It has a routing table which is different from the switching

table

The switch creates an entry in its table for this virtual

circuit, but it is only able to fill three of the four columns.

The switch assigns the incoming port (1) and chooses an

available incoming VCI (14) and the outgoing port (3).

It does not yet know the outgoing VCI, which will be

found during the acknowledgment step. The switch then
forwards the frame through port 3 to switch 2.

c. Switch 2 receives the setup request frame. The same events

happen here as at switch 1; three columns of the table are
completed: in this case, incoming port (l), incoming VCI (66),
and outgoing port (2).
d. Switch 3 receives the setup request frame. Again, three
columns are completed: incoming port (2), incoming VCI
(22), and outgoing port (3).
e. Destination B receives the setup frame, and if it is ready to
receive frames from A, it assigns a VCI to the incoming
frames that come from A, in this case 77.
This VCI lets the destination know that the frames come
from A, and not other sources.
Acknowledgment
A special frame, called the acknowledgment frame,
completes the entries in the switching tables Figure below shows
the process

Figure: Setup Acknowledgement

37

a. The destination sends an acknowledgment to switch 3.

The acknowledgment carries the global source and

destination addresses so the switch knows which entry in the
table is to be completed.

The frame also carries VCI 77, chosen by the destination as

the incoming VCI for frames from A.

Switch 3 uses this VCI to complete the outgoing VCI column

for this entry.

77 is the incoming VCI for destination B, but the outgoing

VCI for switch 3.

b. Switch 3 sends an acknowledgment to switch 2 that contains its

incoming VCI in the table, chosen in the previous step. Switch 2
uses this as the outgoing VCI in the table.
c. Switch 2 sends an acknowledgment to switch 1 that contains its
incoming VCI in the table, chosen in the previous step. Switch 1
uses this as the outgoing VCI in the table.
d. Finally switch 1 sends an acknowledgment to source A that
contains its incoming VCI in the table, chosen in the previous
step.
e. The source uses this as the outgoing VCI for the data frames to
be sent to destination B.
Data Transfer Phase
To transfer a frame from a source to its destination, all
switches need to have a table entry for this virtual circuit.
The table has four columns.

38

Teardown Phase

In this phase, source A, after sending all frames to B, sends

a special frame called a teardown request.

Destination B responds with a teardown confirmation frame.

All switches delete the corresponding entry from their tables.

Further Reading & References

Data Communication & Networking Behrouz Forouzan.

39

UNIT 2
Introductions

4
INTRODUCTION TO COMPUTER
NETWORKS
Unit Structure
4.1 Uses of computer network
4.1.1 Introduction
4.1.2 Purpose
4.1.3 Network Classification
4.1.4 Basic Hardware Components
4.2 LANs, WANs, MANs
4.3 Wireless Networks
4.3.1 Classification of Wireless networks
4.3.2 Uses of Wireless Networks
4.3.3 Problems with Wireless Networks
4.4 Internet work
4.4.1 VPN
4.4.2 Overlay Network

4.1 USES OF COMPUTER NETWORK

4.1.1 Introduction:
A computer network, often simply referred to as a network, is
a
group
of computers and
devices
interconnected
by
communications channels that facilitate communications among
users and allows users to share resources and information. In the
1960s, the Advanced Research Projects Agency (ARPA) started
funding the design of the Advanced Research Projects Agency
Network (ARPANET) for the United States Department of Defense.
It was the first computer network in the world. Development of the
network began in 1969, based on designs developed during the
1960s.

40

4.1.2 Purpose:
Computer networks can be used for several purposes:
Facilitating communications. Using a network, people can
communicate efficiently and easily via email, instant messaging,
chat rooms, telephone, video telephone calls, and video
conferencing.
Sharing hardware. In a networked environment, each
computer on a network may access and use hardware
resources on the network, such as printing a document on a
shared network printer.
Sharing files, data, and information. In a network
environment, authorized user may access data and information
stored on other computers on the network. The capability of
providing access to data and information on shared storage
devices is an important feature of many networks.
Sharing software. Users connected to a network may run
application programs on remote computers.

4.1.3 Network classification:

The following list presents categories used for classifying networks.
1. Connection method
Computer networks can be classified according to the hardware
and software technology that is used to interconnect the
individual devices in the network, such as optical fiber, Ethernet,
wireless LAN, HomePNA, power line communication or G.hn.
Ethernet uses physical wiring to connect devices. Frequently
deployed devices include hubs, switches, bridges, or routers.
Wireless LAN technology is designed to connect devices
without
wiring.
These
devices
use radio

41
waves or infrared signals as a transmission medium. ITUT G.hn technology uses existing home wiring (coaxial cable,
phone lines and power lines) to create a high-speed (up to 1
Gigabit/s) local area network.

a) Wired technologies
Twisted pair wire is the most widely used medium for
telecommunication. Twisted-pair wires are ordinary
telephone wires which consist of two insulated copper wires
twisted into pairs and are used for both voice and data
transmission. The use of two wires twisted together helps to
reduce crosstalk and electromagnetic
induction.
The
transmission speed ranges from 2 million bits per second to
100 million bits per second.
Coaxial cable is widely used for cable television systems,
office buildings, and other worksites for local area networks.
The cables consist of copper or aluminum wire wrapped with
insulating layer typically of a flexible material with a high
dielectric constant, all of which are surrounded by a
conductive layer. The layers of insulation help minimize
interference and distortion. Transmission speed range from
200 million to more than 500 million bits per second.
Optical fiber cable consists of one or more filaments of
glass fiber wrapped in protective layers. It transmits light
which can travel over extended distances. Fiber-optic cables
are not affected by electromagnetic radiation. Transmission
speed may reach trillions of bits per second. The
transmission speed of fiber optics is hundreds of times faster
than for coaxial cables and thousands of times faster than a
twisted-pair wire.
b) Wireless technologies
Terrestrial microwave Terrestrial microwaves use Earthbased transmitter and receiver. The equipment looks similar
to satellite dishes. Terrestrial microwaves use low-gigahertz
range, which limits all communications to line-of-sight. Path
between relay stations spaced approx, 30 miles apart.
Microwave antennas are usually placed on top of buildings,
towers, hills, and mountain peaks.
Communications satellites The satellites use microwave
radio as their telecommunications medium which are not
deflected by the Earth's atmosphere. The satellites are
stationed in space, typically 22,000 miles (for
geosynchronous satellites) above the equator. These Earthorbiting systems are capable of receiving and relaying voice,
data, and TV signals.

42
Cellular and PCS systems Use several radio
communications technologies. The systems are divided to
different geographic areas. Each area has a low-power
transmitter or radio relay antenna device to relay calls from
one area to the next area.
Wireless LANs Wireless local area network use a highfrequency radio technology similar to digital cellular and a
low-frequency radio technology. Wireless LANs use spread
spectrum technology to enable communication between
multiple devices in a limited area. An example of openstandards wireless radio-wave technology is IEEE.
Infrared communication , which can transmit signals
between devices within small distances not more than 10
meters peer to peer or (face to face) without anybody in the
line of transmitting.

2. Scale:
Networks are often classified as
local area network (LAN),
wide area network (WAN),
metropolitan area network (MAN),
personal area network (PAN),
virtual private network (VPN),
campus area network (CAN),
storage area network (SAN), and others, depending on
their scale, scope and purpose, e.g., controller area
network (CAN) usage, trust level, and access right often
differ between these types of networks.

LANs tend to be designed for internal use by an

organization's internal systems and employees in individual
physical locations, such as a building, while WANs may connect
physically separate parts of an organization and may include
connections to third parties.
3. Functional relationship (network architecture)
Computer networks may be classified according to the
functional relationships which exist among the elements of the
network, e.g., active networking, clientserver and peer-to-peer
(workgroup) architecture.
4. Network topology
Computer networks may be classified according to
the network topology upon which the network is based, such
as bus network, star network, ring network, mesh network.
Network topology is the coordination by which devices in the
network are arranged in their logical relations to one another,

43

independent of physical arrangement. Even if networked

computers are physically placed in a linear arrangement and are
connected to a hub, the network has a star topology, rather than
a bus topology. In this regard the visual and operational
characteristics of a network are distinct. Networks may be
classified based on the method of data used to convey the data;
these include digital and analog networks.
4.1.4 Basic hardware components
All networks are made up of basic hardware building blocks
to interconnect network nodes, such as Network Interface Cards
(NICs), Bridges, Hubs, Switches, and Routers. Less common are
microwave links or optical cable ("optical fiber").
Network interface cards:
A network card, network adapter, or NIC (network interface
card) is a piece of computer hardware designed to allow computers
to communicate over a computer network. It provides physical
access to a networking medium and often provides a low-level
addressing system through the use of MAC addresses.
Repeaters:
A repeater is an electronic device that receives a signal,
cleans it of unnecessary noise, regenerates it, and retransmits it at
a higher power level, or to the other side of an obstruction, so that
the signal can cover longer distances without degradation. In most
twisted pair Ethernet configurations, repeaters are required for
cable that runs longer than 100 meters. Repeaters work on the
Physical Layer of the OSI model.
Hubs:
A network hub contains multiple ports. When a packet
arrives at one port, it is copied unmodified to all ports of the hub for
transmission. The destination address in the frame is not changed
to a broadcast address. It works on the Physical Layer of the OSI
model.
Bridges:
A network bridge connects multiple network segments at
the data link layer (layer 2) of the OSI model. Bridges broadcast to
all ports except the port on which the broadcast was received.
However, bridges do not promiscuously copy traffic to all ports, as
hubs do, but learn which MAC addresses are reachable through
specific ports. Once the bridge associates a port and an address, it
will send traffic for that address to that port only.
Bridges learn the association of ports and addresses by
examining the source address of frames that it sees on various
ports. Once a frame arrives through a port, its source address is
stored and the bridge assumes that MAC address is associated

44

with that port. The first time that a previously unknown destination
address is seen, the bridge will forward the frame to all ports other
than the one on which the frame arrived.
Bridges come in three basic types:
Local bridges: Directly connect local area networks (LANs)
Remote bridges: Can be used to create a wide area network
(WAN) link between LANs. Remote bridges, where the
connecting link is slower than the end networks, largely have
been replaced with routers.
Wireless bridges: Can be used to join LANs or connect
remote stations to LANs.
Switches:
A network switch is a device that forwards and filters OSI
layer 2 datagrams (chunk of data communication) between ports
(connected cables) based on the MAC addresses in the packets. A
switch is distinct from a hub in that it only forwards the frames to
the ports involved in the communication rather than all ports
connected. A switch breaks the collision domain but represents
itself as a broadcast domain. Switches make forwarding decisions
of frames on the basis of MAC addresses. A switch normally has
numerous ports, facilitating a star topology for devices, and
cascading additional switches. Some switches are capable of
routing based on Layer 3 addressing or additional logical levels;
these are called multi-layer switches. The term switch is used
loosely in marketing to encompass devices including routers and
bridges, as well as devices that may distribute traffic on load or by
application content (e.g., a Web URL identifier).
Routers:
A router is
an
internetworking
device
that
forwards packets between networks by processing information
found in the datagram or packet (Internet protocol information
from Layer 3 of the OSI Model). In many situations, this information
is processed in conjunction with the routing table (also known as
forwarding table). Routers use routing tables to determine what
interface to forward packets (this can include the "null" also known
as the "black hole" interface because data can go into it, however,
no further processing is done for said data).

4.2 TYPES OF NETWORKS BASED ON PHYSICAL

SCOPE
Common types of computer networks may be identified by
their scale.

45
I. Local area network
A local area network (LAN) is a network that connects
computers and devices in a limited geographical area such as
home, school, computer laboratory, office building, or closely
positioned group of buildings. Each computer or device on the
network is a node. Current wired LANs are most likely to be
based on Ethernet technology, although new standards like ITUT G.hn also provide a way to create a wired LAN using existing
home wires (coaxial cables, phone lines and power lines).
All interconnected devices must understand the network
layer (layer 3), because they are handling multiple subnets (the
different colors). Those inside the library, which have only
10/100 Mbit/s Ethernet connections to the user device and a
Gigabit Ethernet connection to the central router, could be
called "layer 3 switches" because they only have Ethernet
interfaces and must understand IP. It would be more correct to
call them access routers, where the router at the top is a
distribution router that connects to the Internet and academic
networks' customer access routers.

The defining characteristics of LANs, in contrast to WANs

(Wide Area Networks), include their higher data transfer rates,
smaller geographic range, and no need for leased
telecommunication lines. Current Ethernet or other IEEE 802.3 LAN
technologies operate at speeds up to 10 Gbit/s. This is the data
transfer rate. IEEE has projects investigating the standardization of
40 and 100 Gbit/s.

46

a) Intranets and extranets:

Intranets and extranets are parts or extensions of a computer
network, usually a local area network.
An intranet is a set of networks, using the Internet
Protocol and IP-based tools such as web browsers and file transfer
applications that are under the control of a single administrative
entity. That administrative entity closes the intranet to all but
specific, authorized users. Most commonly, an intranet is the
internal network of an organization. A large intranet will typically
have at least one web server to provide users with organizational
information.
An extranet is a network that is limited in scope to a single
organization or entity and also has limited connections to the
networks of one or more other usually, but not necessarily, trusted
organizations or entitiesa company's customers may be given
access to some part of its intranetwhile at the same time the
customers may not be considered trusted from a security
standpoint. Technically, an extranet may also be categorized as a
CAN, MAN, WAN, or other type of network, although an extranet
cannot consist of a single LAN; it must have at least one connection
with an external network.
II) Personal area network:
A personal area network (PAN) is a computer network used
for communication among computer and different information
technological devices close to one person. Some examples of
devices that are used in a PAN are personal computers, printers,
fax machines, telephones, PDAs, scanners, and even video game
consoles. A PAN may include wired and wireless devices. The
reach of a PAN typically extends to 10 meters. A wired PAN is
usually constructed with USB and Fire wire connections while
technologies such as Bluetooth and infrared communication
typically form a wireless PAN.

47

III) Home area network:

A home area network (HAN) is a residential LAN which is
used for communication between digital devices typically deployed
in the home, usually a small number of personal computers and
accessories, such as printers and mobile computing devices. An
important function is the sharing of Internet access, often a
broadband service through a CATV or Digital Subscriber
Line (DSL) provider. It can also be referred as an office area
network (OAN).

(IV) Wide area network:

Wide area network (WAN) is a computer network that
covers a large geographic area such as a city, country, or spans
even intercontinental distances, using a communications channel

48

that combines many types of media such as telephone lines,

cables, and air waves. A WAN often uses transmission facilities
provided by common carriers, such as telephone companies. WAN
technologies generally function at the lower three layers of the OSI
reference model: the physical layer, the data link layer, and
the network layer.

Several options are available for WAN connectivity. They are as

follows:

Option:

Description

Sample
Bandwidth
Advantages Disadvantages
protocols
range
used

Point-to-Point
connection
between two
Leased line computers or Most secure Expensive
Local
Area
Networks
(LANs)

Circuit
switching

A
dedicated
circuit path is
created
between end Less
points.
Best Expensive
example
is dialup conn
ections

Call Setup

PPP,HDLC
,SDLC,
HNAS

28 kbit/s

144

PPP,ISDN

49

Packet
switching

Devices
transport
packets via a
shared single
point-to-point
or
point-tomultipoint link
across
a
carrier internet
work. Variable
length packets
are
transmitted
over
Permanent
Virtual Circuits
(PVC)
or
Switched
Virtual Circuits
(SVC)

Cell relay

Similar
to
packet
switching, but
uses
fixed
length
cells
instead
of
variable length
packets. Data
is divided into
fixed-length
cells and then
transported
across virtual
circuits

Shared media
across link

Best
for
simultaneous Overhead can
use of voice be considerable
and data

(V) Campus network:

A campus network is a computer network made up of an
interconnection of local area networks (LAN's) within a limited
geographical area. The networking equipments (switches, routers)
and transmission media (optical fiber, copper plant, Cat5 cabling
etc.) are almost entirely owned (by the campus tenant / owner: an
enterprise, university, government etc.).
In the case of a university campus-based campus network,
the network is likely to link a variety of campus buildings including;
academic departments, the university library and student residence
halls.

X.25Frame
-Relay

ATM

50

(VI) Metropolitan area network:

A Metropolitan area network is a large computer network
that usually spans a city or a large campus.

The IEEE 802-2001 standard describes a MAN as being:

A MAN is optimized for a larger geographical area than

a LAN, ranging from several blocks of buildings to entire
cities. MANs can also depend on communications channels
of moderate-to-high data rates. A MAN might be owned and
operated by a single organization, but it usually will be used
by many individuals and organizations. MANs might also be
owned and operated as public utilities. They will often
provide means for internetworking of local networks.

(VII) Enterprise private network:

An enterprise private network is a network build by an
enterprise to interconnect various company sites, e.g., production
sites, head offices, remote offices, shops, in order to share
compute resources.

4.3 WIRELESS NETWORK

It refers to any type of computer network that is wireless, and
is commonly associated with a telecommunications network whose
interconnections between nodes are implemented without the use
of wires. Wireless telecommunications networks are generally
implemented with some type of remote information transmission
system that uses electromagnetic waves, such as radio waves, for
the carrier and this implementation usually takes place at the
physical level or "layer" of the network.

51

4.3.1 Types of wireless connections:

Wireless PAN
Wireless Personal Area Networks (WPANs) interconnect
devices within a relatively small area, generally within reach of a
person. For example, Bluetooth provides a WPAN for
interconnecting a headset to a laptop. ZigBee also supports
WPAN applications. Wi-Fi PANs are also getting popular as
vendors have started integrating Wi-Fi in variety of consumer
electronic devices. Intel My WiFi and Windows 7 virtual Wi-Fi
capabilities have made Wi-Fi PANs simpler and easier to set up
and configure.

Wireless LAN
A wireless local area network (WLAN) links two or more devices
using a wireless distribution method (typically spread-spectrum
or OFDM radio), and usually providing a connection through an
access point to the wider internet. This gives users the mobility
to move around within a local coverage area and still be
connected to the network.
Wi-Fi: Wi-Fi is increasingly used as a synonym for 804.11
WLANs, although it is technically a certification of
interoperability between 804.11 devices.

52
Fixed Wireless Data:
This implements point to point links between computers or
networks
at
two
locations.
It
is
often
using
dedicated microwave or laser beams over line of sight paths. It
is often used in cities to connect networks in two or more
buildings without physically wiring the buildings together.

Wireless MAN
Wireless Metropolitan area networks are a type of wireless
network that connects several Wireless LANs. WiMAX is the term
used to refer to wireless MANs.

53
Wireless WAN
Wireless wide area networks are wireless networks that typically
cover large outdoor areas. These networks can be used to
connect branch offices of business or as a public internet
access system. They are usually deployed on the 4.4 GHz
band. A typical system contains base station gateways, access
points and wireless bridging relays. Other configurations are
mesh systems where each access point acts as a relay also.
When combined with renewable energy systems such as photovoltaic solar panels or wind systems they can be stand alone
systems.
Mobile devices networks
With the development of smart phones, cellular telephone
networks routinely carry data in addition to telephone
conversations:
Global System for Mobile Communications (GSM): The GSM
network is divided into three major systems: the switching
system, the base station system, and the operation and support
system. The cell phone connects to the base system station
which then connects to the operation and support station; it then
connects to the switching station where the call is transferred to
where it needs to go. GSM is the most common standard and is
used for a majority of cell phones.
Personal Communications Service (PCS): PCS is a radio
band that can be used by mobile phones in North America and
South Asia. Sprint happened to be the first service to set up a
PCS.
D-AMPS: Digital Advanced Mobile Phone Service, an upgraded
version of AMPS, is being phased out due to advancement in
technology. The newer GSM networks are replacing the older
system.

54

4.3.2 Uses of Wireless Network:

Wireless networks have continued to develop and their uses
have grown significantly.
Cellular phones are part of huge wireless network systems.
People use these phones daily to communicate with one
another.
Sending information overseas is possible through wireless
network systems using satellites and other signals to
communicate across the world.
Emergency services such as the police department utilize
wireless networks to communicate important information
quickly.
People and businesses use wireless networks to send and
share data quickly whether it be in a small office building or
across the world.
Another important use for wireless networks is as an
inexpensive and rapid way to be connected to the Internet in
countries and regions where the telecom infrastructure is
poor or there is a lack of resources, as in most developing
countries.
4.3.3 Problems with Wireless Network:

Compatibility issues also arise when dealing with wireless

networks. Different components not made by the same
company may not work together, or might require extra work
to fix these issues.

Wireless networks are typically slower than those that are

directly connected through an Ethernet cable.

A wireless network is more vulnerable, because anyone can

try to break into a network broadcasting a signal. Many
networks offer WEP - Wired Equivalent Privacy - security
systems which have been found to be vulnerable to
intrusion. Though WEP does block some intruders, the
security problems have caused some businesses to stick
with wired networks until security can be improved. Another
type of security for wireless networks is WPA - Wi-Fi
Protected Access. WPA provides more security to wireless
networks than a WEP security set up. The use of firewalls
will help with security breaches which can help to fix security
problems in some wireless networks that are more
vulnerable.

55

Environmental concerns and health hazard:

In recent times, there have been increased concerns about
the safety of wireless communications, despite little evidence of
health risks so far. The president of Lakehead University refused to
agree to installation of a wireless network citing a California Public
Utilities Commission study which said that the possible risk of
tumors and other diseases due to exposure to electromagnetic
fields (EMFs) needs to be further investigated.

4.4 INTERNETWORK
Interconnection of networks
Internetworking started as a way to connect disparate types
of networking technology, but it became widespread through the
developing need to connect two or more networks via some sort
of wide area network. The original term for an internetwork
was catenet.
The definition of an internetwork today includes the
connection of other types of computer networks such as personal
area networks.
The network elements used to connect individual networks in
the ARPANET, the predecessor of the Internet, were originally
called gateways, but the term has been deprecated in this context,
because of possible confusion with functionally different devices.
Today the interconnecting gateways are called Internet routers.
Another type of interconnection of networks often occurs
within enterprises at the Link Layer of the networking model, i.e. at
the hardware-centric layer below the level of the TCP/IP logical
interfaces. Such interconnection is accomplished with network
bridges and network switches. This is sometimes incorrectly termed
internetworking, but the resulting system is simply a larger,
single sub-network, and no internetworking protocol, such
as Internet Protocol, is required to traverse these devices.
However, a single computer network may be converted into an
internetwork by dividing the network into segments and logically
dividing the segment traffic with routers.
The Internet Protocol is designed to provide an unreliable
(not guaranteed) packet service across the network. The
architecture avoids intermediate network elements maintaining any
state of the network. Instead, this function is assigned to the
endpoints of each communication session. To transfer data reliably,
applications must utilize an appropriate Transport Layer protocol,
such as Transmission Control Protocol (TCP), which provides
a reliable stream. Some applications use a simpler, connection-less

56

transport protocol, User Datagram Protocol (UDP), for tasks which

do not require reliable delivery of data or that require real-time
service, such as video streaming. An internetwork is the connection
of two or more private computer networks via a common routing
technology (OSI Layer 3) using routers. The Internet is an
aggregation of many internetworks; hence its name was shortened
to Internet.

Global area network:

A global area network (GAN) is a network used for
supporting mobile communications across an arbitrary number of
wireless LANs, satellite coverage areas, etc. The key challenge in
mobile communications is handing off the user communications
from one local coverage area to the next. In IEEE Project 802, this
involves a succession of terrestrial wireless LANs.
Internet:
The Internet is a global system of interconnected
governmental, academic, corporate, public, and private computer
networks. It is based on the networking technologies of the Internet
Protocol Suite. It is the successor of the Advanced Research
Projects Agency Network (ARPANET) developed by DARPA of
the United States Department of Defense. The Internet is also the
communications
backbone
underlying
the
World
Wide
Web (WWW).
Participants in the Internet use a diverse array of methods of
several hundred documented, and often standardized, protocols
compatible with the Internet Protocol Suite and an addressing
system (IP addresses) administered by the Internet Assigned
Numbers Authority and address registries. Service providers and
large enterprises exchange information about the reachability of
their address spaces through the Border Gateway Protocol (BGP),
forming a redundant worldwide mesh of transmission paths.

57

4.4.1 Virtual private network:

A virtual private network (VPN) is a computer network in
which some of the links between nodes are carried by open
connections or virtual circuits in some larger network (e.g., the
Internet) instead of by physical wires. The data link layer protocols
of the virtual network are said to be tunneled through the larger
network when this is the case. One common application is secure
communications through the public Internet, but a VPN need not
have explicit security features, such as authentication or content
encryption. VPNs, for example, can be used to separate the traffic
of different user communities over an underlying network with
strong security features.
A VPN may have best-effort performance, or may have a
defined service level agreement (SLA) between the VPN customer
and the VPN service provider. Generally, a VPN has a topology
more complex than point-to-point.

4.4.2 Overlay network:

An overlay network is a virtual computer network that is built
on top of another network. Nodes in the overlay are connected by
virtual or logical links, each of which corresponds to a path,
perhaps through many physical links, in the underlying network.

58

For example, many peer-to-peer networks are overlay

networks because they are organized as nodes of a virtual system
of links run on top of the Internet. The Internet was initially built as
an overlay on the telephone network .
Overlay networks have been around since the invention of
networking when computer systems were connected over
telephone lines using modem, before any data network existed.
Nowadays the Internet is the basis for many overlaid
networks that can be constructed to permit routing of messages to
destinations
not
specified
by
an IP
address.
For
example, distributed hash tables can be used to route messages to
a node having a specific logical address, whose IP address is not
known in advance.
Overlay networks have also been proposed as a way to
improve Internet routing, such as through quality of service
guarantees to achieve higher-quality streaming media. On the other
hand, an overlay network can be incrementally deployed on endhosts running the overlay protocol software, without cooperation
from Internet service providers. The overlay has no control over
how packets are routed in the underlying network between two
overlay nodes, but it can control, for example, the sequence of
overlay nodes a message traverses before reaching its destination.

59

5
NETWORK MODEL
Unit Structure
5.1 Introduction
3.2 The OSI Reference model
5.3 The TCP/IP Reference model
5.4 A comparison of the OSL and TCP Reference models
5.1 INTRODUCTION
Networking models
Two architectural models are commonly used to describe the
protocols and methods used in internetworking.
The Open System Interconnection (OSI) reference model
was developed under the auspices of the International Organization
for Standardization (ISO) and provides a rigorous description for
layering protocol functions from the underlying hardware to the
software interface concepts in user applications. Internetworking is
implemented in the Network Layer (Layer 3) of the model.
The Internet Protocol Suite, also called the TCP/IP model of
the Internet was not designed to conform to the OSI model and
does not refer to it in any of the normative specifications in
Requests and Internet standards. Despite similar appearance as a
layered model, it uses a much less rigorous, loosely defined
architecture that concerns itself only with the aspects of logical
networking. It does not discuss hardware-specific low-level
interfaces, and assumes availability of a Link Layer interface to the
local network link to which the host is connected. Internetworking is
facilitated by the protocols of its Internet Layer.
Connection:
TCP is a connection-oriented protocol. It establishes a virtual
path between the source and destination. All the segments
belonging to a message are then sent over this virtual path. Using a
single virtual pathway for the entire message facilitates the
acknowledgment process as well as retransmission of damaged or
lost frames. In TCP, connection-oriented transmission requires two
procedures:

60
(1) Connection Establishment and
(2) Connection Termination.

Connection Establishment
TCP transmits data in full-duplex mode. When two TCPs in two
machines are connected, they are able to send segments to each
other simultaneously. This implies that each party must initialize
communication and get approval from the other party before any
data transfer.
Four steps are needed to establish the connection, as discussed
before.
However, the second and third steps can be combined to create
a three-step connection, called a three-way handshake, as
shown in Figure.

The steps of the process are as follows:

(1) The client sends the first segment, a SYN segment. The
segment includes the source and destination port numbers.
The destination port number clearly defines the server to which
the client wants to be connected. The segment also contains
the client initialization sequence number (ISN) used for
numbering the bytes of data sent from the client to the server.
(2) The server sends the second segment; a SYN and an ACK
segment. This segment has a dual purpose. First, it
acknowledges the receipt of the first segment, using the ACK
flag and acknowledgment number field. Note that the
acknowledgment number is the client initialization sequence
number plus 1 because no user data have been sent in

61

segment 1. The server must also define the client window size.
Second, the segment is used as the initialization segment for
the server. It contains the initialization sequence number used
to number the bytes sent from the server to the client.
(3) The client sends the third segment. This is just an ACK
segment. It acknowledges the receipt of the second segment,
using the ACK flag and acknowledgment number field. Note
that the acknowledgment number is the server initialization
sequence number plus 1 because no user data have been sent
in segment 2. The client must also define the server window
size. Data can be sent with the third packet.
Connection Termination
Any of the two parties involved in exchanging data (client or server)
can close the connection. When connection in one direction is
terminated, the other party can continue sending data in the other
direction. Therefore, four steps are needed to close the connections
in both directions, as shown in Figure.

The four steps are as follows:

(1) The client TCP sends the first segment, a FIN segment.
(2) The server TCP sends the second segment, an ACK segment,
to confirm the receipt of the FIN segment from the client. Note
that the acknowledgment number is 1 plus the sequence
number received in the FIN segment because no user data
have been sent in segment 1.
(3) The server TCP can continue sending data in the server-client
direction. When it does not have any more data to send, it
sends the third segment. This segment is a FIN segment.

62

(4) The client TCP sends the fourth segment, an ACK segment, to
confirm the receipt of the FIN segment from the TCP server.
Note that the acknowledgment number is 1 plus the sequence
number received in the FIN segment from the server.
Connection Resetting:
TCP may request the resetting of a connection. Resetting
here means that the current connection is destroyed. This happens
in one of three cases:
(1) The TCP on one side has requested a connection to a
nonexistent port. The TCP on the other side may send a
segment with its RST bit set to annul the request.
(2) One TCP may want to abort the connection due to an abnormal
situation. It can send an RST segment to close the connection.
(3) The TCP on one side may discover that the TCP on the other
side has been idle for a long time. It may send an RST
segment to destroy the connection
When is TCP open, TCP half opened?
A three-step process is shown in Figure above. After the server
receives the initial SYN packet, the connection is in a half-opened
state. The server replies with its own sequence number, and
awaits an acknowledgment, the third and final packet of a TCP
open.
Attackers have gamed this half-open state. SYN attacks flood
the server with the first packet only, hoping to swamp the host with
half-open connections that will never be completed. In addition, the
first part of this three-step process can be used to detect active
TCP services without alerting the application programs, which
usually aren't informed of incoming connections until the threepacket handshake is complete.
The sequence numbers have another function. Because the
initial sequence number for new connections changes constantly, it
is possible for TCP to detect stale packets from previous
incarnations of the same circuit (i.e., from previous uses of the
same 4-tuple).
There is also a modest security benefit: A connection
cannot be fully established until both sides have
acknowledged the other's initial sequence number.

63

Node-to-Node,
deliveries:

Host-to-Host

and

Process-to-Process

Connection oriented v/s connectionless deliveries:

Parameter

Connection oriented

Connectionless

Definition

A characteristic of a
network
system
that
requires
a
pair
of
computers to establish a
connection before sending
data.
Example: Telephone line

A characteristic of network
system that allows a
computer to send data to
any other computer at any
time
without
any
prerequisite of destination
connection
Example: Postal system

PDU movement

Sequential

To transmit data in such a

way that each PDU is
treated independently of all
prior PDUs

Three
handshake

way Connection establishment Nothing of this sort

requires three-way hand
shake

Modus Operandi

Three simple steps:

Nothing of this sort
(1) Connection
establishment
Agree on :
(a) Syntax,
(b) Semantics &
(c) Timing
(2) Data Transfer &
(3) Connection termination

64

Decision on path

Only at the beginning

At every node

Sequence

Keeps the sequence

Can arrive out of sequence

Example

TCP

UDP

Reliability

Reliable

Unreliable

5.2 OSI REFERENCE MODEL:

In 1978, work on a layered model of network architecture
was
started
and
the International
Organization
for
Standardization (ISO) began to develop its OSI framework
architecture. OSI has two major components: an abstract model of
networking, called the Basic Reference Model or seven-layer
model, and a set of specific protocols.

The Open Systems Interconnection model (OSI model) is

a product of the Open Systems Interconnection effort at
the International Organization for Standardization. It is a way of
sub-dividing a communications system into smaller parts called
layers. A layer is a collection of conceptually similar functions that
provide services to the layer above it and receives services from

65

the layer below it. On each layer an instance provides services to

the instances at the layer above and requests service from the
layer below.
For example, a layer that provides error-free communications
across a network provides the path needed by applications above
it, while it calls the next lower layer to send and receive packets
that make up the contents of the path. Conceptually two instances
at one layer are connected by a horizontal protocol connection on
that layer.
7. Application Layer
NNTP SIP SSI DNS FTP Gopher HTTP NFS NTP
SMPP SMTP DHCP SNMP Telnet (more)
6. Presentation Layer
MIME XDR TLS SSL
5. Session Layer
Named Pipes NetBIOS SAP SIP L2TP PPTP
4. Transport Layer
TCP UDP SCTP DCCP
3. Network Layer
IP (IPv4, IPv6) ICMP IPSec IGMP IPX AppleTalk
2. Data Link Layer
ARP CSLIP SLIP Ethernet Frame relay ITU-T G.hn DLL PPP
1. Physical Layer
RS-232 RS-449 SONET/SDH OTN DSL .
PHY Ethernet USB Bluetooth Firewire (IEEE 1394)

Description of OSI layers

According to X.200 Recommendation, there are 7 layers,
each one is generically called N layer. The N+1 entity ask for
transmission services to the N entity.
At each level two entities (N-entity) interacts by means of the
(N) protocol by transmitting Protocol Data Units (PDU). Service
Data Unit (SDU) is a specific unit of data that has been passed
down from an OSI layer, to a lower layer, and has not yet been
encapsulated into a Protocol data Unit (PDU), by the lower layer. It

66

is a set of data that is sent by a user of the services of a given

layer, and is transmitted semantically unchanged to a peer service
user. The PDU at any given layer, layer 'n', is the SDU of the layer
below, layer 'n-1'. In effect the SDU is the 'payload' of a given PDU.
That is, the process of changing a SDU to a PDU consists of an
encapsulation process, performed by the lower layer. All the data
contained in the SDU becomes encapsulated within the PDU. The
layer n-1 adds headers or footers, or both, to the SDU, transforming
it into a PDU of layer n-1. The added headers or footers are part of
the process used to make it possible to get data from a source to a
destination.
OSI Model
Data unit

Host
layers

Data

Layer

Function

7. Application

Network process to application

6. Presentation

Data representation, encryption

and decryption, convert machine
dependent data to machine
independent data

5. Session

Inter-host communication

Segments 4. Transport

End-to-end
connections
reliability, Flow control

Packet

3. Network

Path determination and logical

addressing

2. Data Link

Physical addressing

1. Physical

Media,
signal
transmission

Media
layers Frame
Bit

and

and

binary

Some orthogonal aspects, such as management and security,

involve every layer.
Layer 1: Physical Layer
The Physical Layer defines the electrical and physical
specifications for devices. In particular, it defines the relationship
between a device and a transmission medium, such as a copper or
optical cable. This includes the layout of pins, voltages, cable
specifications, hubs, repeaters, network
adapters, host
bus
adapters (HBA used in storage area networks) and more.
To understand the function of the Physical Layer, contrast it
with the functions of the Data Link Layer. Think of the Physical
Layer as concerned primarily with the interaction of a single device
with a medium, whereas the Data Link Layer is concerned more
with the interactions of multiple devices (i.e., at least two) with a

67

shared medium. Standards such as RS-232 do use physical wires

to control access to the medium.
The major functions and services performed by the Physical Layer
are:
Establishment
and
termination
a communications medium.

of

a connection to

Participation in the process whereby the communication

resources are effectively shared among multiple users. For
example, contention resolution and flow control.
Modulation or conversion between the representation of digital
data in user equipment and the corresponding signals
transmitted over a communications channel. These are signals
operating over the physical cabling (such as copper and optical
fiber) or over a radio link.
Parallel SCSI buses operate in this layer, although it must be
remembered that the logical SCSI protocol is a Transport Layer
protocol that runs over this bus. Various Physical Layer Ethernet
standards are also in this layer; Ethernet incorporates both this
layer and the Data Link Layer. The same applies to other local-area
networks, such as token ring, FDDI, ITU-TG.hn and IEEE 802.11,
as well as personal area networks such as Bluetooth and IEEE
802.15.4.
Layer 2: Data Link Layer
The Data Link Layer provides the functional and procedural
means to transfer data between network entities and to detect and
possibly correct errors that may occur in the Physical Layer.
Originally, this layer was intended for point-to-point and point-tomultipoint media, characteristic of wide area media in the telephone
system. Local area network architecture, which included broadcastcapable multi-access media, was developed independently of the
ISO work in IEEE Project 802. IEEE work assumed sub layering
and management functions not required for WAN use. In modern
practice, only error detection, not flow control using sliding window,
is present in data link protocols such as Point-to-Point
Protocol (PPP), and, on local area networks, the IEEE
802.2 LLC layer is not used for most protocols on the Ethernet, and
on other local area networks, its flow control and acknowledgment
mechanisms are rarely used. Sliding window flow control and
acknowledgment is used at the Transport Layer by protocols such
as TCP, but is still used in niche where X.25 offers performance
advantages.
Both WAN and LAN service arranges bits, from the Physical
Layer, into logical sequences called frames. Not all Physical Layer

68

bits necessarily go into frames, as some of these bits are purely

intended for Physical Layer functions. For example, every fifth bit of
the FDDI bit stream is not used by the Layer.
WAN Protocol architecture
Connection-oriented WAN data link protocols, in addition to
framing, detect and may correct errors. They are also capable of
controlling the rate of transmission. A WAN Data Link Layer might
implement a sliding window flow control and acknowledgment
mechanism to provide reliable delivery of frames; that is the case
for SDLC and HDLC.
Layer 3: Network Layer
The Network Layer provides the functional and procedural
means of transferring variable length data sequences from a source
to a destination via one or more networks, while maintaining
the quality of service requested by the Transport Layer. The
Network Layer performs network routing functions, and might also
perform fragmentation and reassembly, and report delivery
errors. Routers operate at this layersending data throughout the
extended network and making the Internet possible. This is a
logical addressing scheme values are chosen by the network
engineer. The addressing scheme is not hierarchical.
Careful analysis of the Network Layer indicated that the Network
Layer could have at least 3 sub layers:
1. Sub-network Access - that considers protocols that deal with
the interface to networks, such as X.25;
2. Sub-network Dependent Convergence - when it is necessary
to bring the level of a transit network up to the level of networks on
either side;
3. Sub-network Independent Convergence - This handles
transfer across multiple networks. The best example of this latter
case
is
CLNP,
or
IPv7
ISO
8473.
It
manages
the connectionless transfer of data one hop at a time, from end
system to ingress router, router to router, and from egress router to
destination end system. It is not responsible for reliable delivery to
a next hop, but only for the detection of errored packets so they
may be discarded. In this scheme, IPv4 and IPv6 would have to be
classed with X.25 as Subnet Access protocols because they carry
interface addresses rather than node addresses.
A number of layer management protocols belong to the
Network Layer. These include routing protocols, multicast group
management, Network Layer information and error, and Network
Layer address assignment. It is the function of the payload that

69

makes these belong to the Network Layer, not the protocol that
carries them.
Layer 4: Transport Layer
The Transport Layer provides transparent transfer of data
between end users, providing reliable data transfer services to the
upper layers. The Transport Layer controls the reliability of a given
link through flow control, segmentation/desegmentation, and error
control. Some protocols are state and connection oriented. This
means that the Transport Layer can keep track of the segments
and retransmit those that fail. The Transport layer also provides the
acknowledgement of the successful data transmission and if no
error free data was transferred then sends the next data.
Although not developed under the OSI Reference Model and
not strictly conforming to the OSI definition of the Transport Layer,
typical examples of Layer 4 are the Transmission Control
Protocol (TCP) and User Datagram Protocol (UDP).
Of the actual OSI protocols, there are five classes of
connection-mode transport protocols ranging from class 0 (which is
also known as TP0 and provides the least features) to class 4 (TP4,
designed for less reliable networks, similar to the Internet). Class 0
contains no error recovery, and was designed for use on network
layers that provide error-free connections. Class 4 is closest to
TCP, although TCP contains functions, such as the graceful close,
which OSI assigns to the Session Layer. Also, all OSI TP
connection-mode protocol classes provide expedited data and
preservation of record boundaries, both of which TCP is incapable.
Detailed characteristics of TP0-4 classes are shown in the following
table:
Feature Name

TP0

TP1

TP2 TP3

TP4

Connection oriented network

Yes

Yes

Yes Yes

Yes

Connectionless network

No

No

No

Yes

Concatenation and separation

No

Yes

Yes Yes

Yes

Segmentation and reassembly

Yes

Yes

Yes Yes

Yes

Error Recovery

No

Yes

No

Yes

Yes

Reinitiate connection (if an

excessive number of PDUs are No
unacknowledged)

Yes

No

Yes

No

Multiplexing and de-multiplexing No

No

Yes Yes

No

Yes

70

over a single virtual circuit

Explicit flow control

No

No

Yes Yes

Yes

Retransmission on timeout

No

No

No

No

Yes

Reliable Transport Service

No

Yes

No

Yes

Yes

Perhaps an easy way to visualize the Transport Layer is to

compare it with a Post Office, which deals with the dispatch and
classification of mail and parcels sent. Do remember, however, that
a post office manages the outer envelope of mail. Higher layers
may have the equivalent of double envelopes, such as
cryptographic presentation services that can be read by the
addressee only. Roughly speaking, tunneling protocols operate at
the Transport Layer, such as carrying non-IP protocols such
as IBM's SNA or Novell's IPX over an IP network, or end-to-end
encryption
with IPSec.
While Generic
Routing
Encapsulation (GRE) might seem to be a Network Layer protocol,
if the encapsulation of the payload takes place only at endpoint,
GRE becomes closer to a transport protocol that uses IP headers
but contains complete frames or packets to deliver to an
endpoint. L2TP carries PPP frames inside transport packet.
Layer 5: Session Layer
The Session Layer controls the dialogues (connections)
between computers. It establishes, manages and terminates the
connections between the local and remote application. It provides
for full-duplex, half-duplex, or simplex operation, and establishes
check pointing, adjournment, termination, and restart procedures.
The OSI model made this layer responsible for graceful close of
sessions, which is a property of the Transmission Control Protocol,
and also for session check pointing and recovery, which is not
usually used in the Internet Protocol Suite. The Session Layer is
commonly implemented explicitly in application environments that
use remote procedure calls.
Layer 6: Presentation Layer
The Presentation
Layer establishes
context
between
Application Layer entities, in which the higher-layer entities may
use different syntax and semantics if the presentation service
provides a mapping between them. If a mapping is available,
presentation service data units are encapsulated into session
protocol data units, and passed down the stack.
This layer provides independence from data representation
(e.g., encryption) by translating between application and network
formats. The presentation layer transforms data into the form that

71

the application accepts. This layer formats and encrypts data to be

sent across a network. It is sometimes called the syntax layer.
The original presentation structure used the basic encoding
rules of Abstract Syntax Notation One (ASN.1), with capabilities
such as converting an EBCDIC-coded text file to an ASCII-coded
file, or serialization of objects and other data structures from and
to XML.
Layer 7: Application Layer
The Application Layer is the OSI layer closest to the end
user, which means that both the OSI application layer and the user
interact directly with the software application. This layer interacts
with software applications that implement a communicating
component. Such application programs fall outside the scope of the
OSI model. Application layer functions typically include identifying
communication partners, determining resource availability, and
synchronizing communication. When identifying communication
partners, the application layer determines the identity and
availability of communication partners for an application with data to
transmit. When determining resource availability, the application
layer must decide whether sufficient network or the requested
communication exists. In synchronizing communication, all
communication between applications requires cooperation that is
managed by the application layer. Some examples of application
layer implementations include Hypertext Transfer Protocol (HTTP),
File Transfer Protocol (FTP), Simple Mail Transfer Protocol (SMTP)
and X.400 Mail.

5.3 TCP/IP - INTERNET TRANSPORT SERVICES

5.3.1 Introduction and Background

TCP/IP has matured to become the backbone of the
Information superhighway. The TCP/IP protocols provide users with
the backbone services used to carry popular services such as the
World Wide Web (WWW), E-Mail, and others. From its beginnings
in the late 70's as a U.S. Government Advanced Research Projects
Agency (ARPA) research and development project, the
"ARPANET" has grown to provide connections to systems
worldwide, helping bring the information age into reality.
With a layered architecture, the TCP/IP suite can be
understood as a set of discrete components. The lower layers
(transport and below) of the TCP/IP suite can be viewed as shown
in Figure 1.

72

Internet Protocol Suite - Architecture

The link protocols provide the delivery of packets between
adjacent nodes in an internetwork; this delivery only implies that
delivered information is intact, not that it has arrived in any
particular order or that delivery guarantees are implied. The
internetwork layer is responsible for the addressing and routing of
packets between source and destination nodes within the network.
Finally, the transport layer provides a range of services to transfer
information between. As shown in Figure 1, the Internet
applications make use of a combination of the services provided by
TCP and/or UDP.
Transport Services
Two general classes of transport services are most often
associated with the Internet protocol suite, the Transmission
Control Protocol (TCP), and the User Datagram Protocol (UDP).
Both of these protocols provide multiplexing services that permit the
transmission of information to any one of a number of applications
residing on the addressed hosts. UDP provides an inherently
unreliable packet transfer service, and TCP is a more full-featured
protocol, providing reliable delivery of an information stream.
UDP, as its name suggests, is a datagram protocol that
will make a single attempt to transfer every application packet to
the appropriate destination, if the network is operating efficiently,
most packets will reach their destination. UDP is used by

73

application protocols such as the Simple Network Management

Protocol that supports network management, the Trivial File
Transfer Protocol. The UDP Header is quite simple, specifying only
the length of the datagram and identifying the source and
destination ports that are involved in the conversation.
TCP has been developed to support applications requiring
reliable, ordered delivery of information between two participating
network entities. Unlike UDP's packet orientation, TCP is a byte
oriented stream protocol, with all information acknowledgments
being based on acknowledgment of individual bytes in the stream
rather than complete packets. The protocol has been designed to
automatically adjust to differences in the communication channels
that exist between the two processes participating in a conversation
over the network. A sliding window acknowledgment scheme
controls the orderly delivery of information presented to the TCP
stream. Retry timers are based entirely on route turnaround times,
with exponential increases being applied to the time applied to each
subsequent retransmission of information.
Network Services
The Internet Protocol network layer provides the smarts
required to identify the computers and sub-networks that receive
and transmit packets. Services provided within the network layer
include packet addressing, routing of traffic between systems.
Protocols that are important in providing these services include the
Internet Protocol (the IP of TCP/IP), a series of routing support
protocols that help in identifying the most appropriate route for each
packet in the network, and additional control protocols. The current
addressing scheme provided by IP makes use of a 32-bit address
field that can be divided into up to four eight bit fields that are used
to describe the network a host is participating in, with a local
address that specifies the address of the specific unit.
Three types of direct station address formats are supported
by IP, class A, in which the high-order 8 (actually seven) bits are
used to describe the network, class B, in which the high-order 16
bits defining the network, and the low order 16 defining the host,
and class C addresses, in which the high-order 21 bits define the
sub-network, and the low order 8 bits define the specific hosts
(machines) on the local network. The type of address is defined by
the high-order bits in the address. A zero in the highest order bit
indicates Class A addressing; a 0x10 in the high-order two bits
indicates that the address is a class B address. Class C addresses
is defined as having a 0x110 in the high-order three bits of the
address. The next generation Internet protocols, still under active
discussion, have addressed the limitations of these addressing
schemes through the definition of address spaces that can be
scaled as the network size grows.

74

In addition to addressing and delivery of packets, IP provides

fragmentation and reassembly services. Each link in the network
has a parameter termed the Maximum Transmission Unit (MTU)
that represents the largest payload that can be carried. When upper
layer packets exceed these values, the IP includes services that
split each packet into two or more packets that are subsequently
routed through the network. Reassembly of the packets can occur
either within a local network, or more typically can be reassembled
at the receiving host. Timing information is transferred with each IP
packet to permit intermediate and end nodes on a route to identify
and discard stale packets.
With IP providing only a small set of addressing,
fragmentation, and reassembly services, additional route and link
management services are required. For error reporting and fault
diagnosis, the Internet Control Message Protocol (ICMP) is
frequently used.
Packet routing through the Internet is handled through a
variety of techniques. In the simplest case, a system with no routing
services directs all traffic through a single gateway that in turn is
responsible for determining the most appropriate routes. A key
distinction in the definition of routing services is between
autonomous networks attaching to the network through a single
access point, and internal network routing that can involve several
routing choices. These routing protocols are grouped into the
External Gateway Protocols (EGP) for attaching autonomous
networks to the Internet, and Internal Gateway Protocols that
manage more complicated routing decisions within a network.
The EGP is used to exchange routing information
between autonomous systems. The routing lists consist of a list of
sub-networks that can be reached through the reporting gateway.
These reports are limited to only those sub-networks and hosts that
the gateway provides direct service to (its own autonomous
network) and not those destinations made available by the peer
gateways.
For more sophisticated routing services, the Internal
Gateway Protocols actively compute reachability and cost
information to gain access to other systems on the network. Two
general algorithms are used to perform this service, a distance
vector algorithm, and a shortest path first (SPF) algorithm.
In a distance vector based system, each routing node recalculates
and reports cost information to reach the destination nodes, paring
its tree to some predetermined number of hops. The Route
Information Protocol (RIP) is based on the simpler distance vector
algorithm. In an effort to provide additional standardization and a

75

more robust set of services, the Open SPF (OSPF) protocol has
been proposed in a separate set of Requests For Comment (RFC).
Link Services
At the link-level, the Internet protocols need only provide
delivery of completed packets. While reliable service can be
implemented, it is not necessary, and in some cases could actually
impede the performance of TCP/IP based systems with additional
retransmissions. Where reliability is required, TCP based services
are generally used. Standards for exchange of Internet traffic have
been developed for a large number of physical links
including Ethernet, serial lines, Token Ring LANs, ATM, ISDN and
others. The Point To Point protocol is often used to support the
exchange of IP packets between interconnected nodes. In general
the link protocol services include mechanisms to perform the
following:

Intact delivery - all information that is delivered is as intended

by the sending station.

Address binding - services are usually provided to map

physical connections (such as Ethernet addresses, phone
numbers, stations...) with the Internet address. One of the better
known mechanisms for address binding is the Address
Resolution Protocol (ARP) that maps IP addresses to Ethernet
addresses.

Security - some of the link protocols include access

authorization mechanisms. This is particularly important in the
case of dial-in protocols, where some form of protection is often
required to protect critical network resources against
unauthorized use.

For effective communication, the link services should provide

a reasonable level of reliability. While the upper layer protocols
have been designed to operate under a range of error
environments, frequent errors can result in annoying, and
sometimes unpredictable system performance.
Boot Services
Several boot service protocols have been developed to help
new nodes learn their role in a network, and to inform the network
of their presence. In many cases, such as dial-up protocols,
diskless workstations, and embedded systems, a node entering a
TCP/IP network may not have a pre-assigned network address.
Some of the more popular boot protocols include:

76

Reverse Address Resolution Protocol (RARP) - one of the

earlier booting protocols, RARP allows a station that knows its
own physical ethernet address to request an IP address from a
RARP server. This protocol is still in use, with its popularity on a
decline due to the fact that its services are limited to ethernet
equipped devices, and no standard mechanism for defining a
boot file image.

BOOTP - addresses the limitations of RARP, providing address

discovery to systems not containing an Ethernet port, and
provides a mechanism for the BOOTP server to provide the
diskless equipment with a name for the bootstrap code image. It
is up to the client equipment to know how to process the
received boot image name. Most typically, the image is
downloaded through a file transfer protocol such as the Trivial
File Transfer Protocol (TFTP). Also, unlike RARP, BOOTP relies
on UDP and IP for the transfer of its requests. This permits
operation in installations that may include several local subnets
with a single centralized BOOTP server.

The Dynamic Host Configuration Protocol (DHCP) further

extends the services provided by BOOTP to permit the
negotiation and transfer of operating parameters to the booting
client system.

Application Transport Selections

The Internet applications typically use either UDP or TCP,
with the rationale for the use of the different protocols depending on
the nature of the application. Where reliable information with a
specific connection context is required, TCP is the preferred
protocol. Examples of application protocols that use UDP are
Telnet, Rlogin, and the File Transfer Protocol. These application
protocols have been designed to leverage the reliable connectionoriented TCP services with enhancements to support the respective
applications. The reasons for using UDP range from simplicity of
implementation to predictable effect on network operations.
Protocols such as TFTP when combined with UDP; being simple to
implement in constrained code spaces as may be found in diskless
systems. In the case of network management protocols such as
SNMP, UDP can be used without running the risk of piling
additional traffic onto networks that may already be stuck in
congested states.

77

5.4 TCP/IP VERSUS OSI

Application Layer

Application Layer

Presentation Layer
Session Layer
Transport Layer

Transport Layer

Network Layer

Internet Layer

Data Link Layer

Host to Network

Physical Layer

Comparison between OSI and TCP/IP

This
topic
gives
a
brief
comparison
between OSI and TCP/IP protocols with a special focus on the
similarities and on how the protocols from both worlds map to each
other. The adoption of TCP/IP does not conflict with the OSI
standards because the two protocol stacks were developed
concurrently. In some ways, TCP/IP contributed to OSI, and viceversa. Several important differences do exist, though, which arise
from the basic requirements of TCP/IP which are:

A common set of applications

Dynamic routing
Connectionless protocols at the networking level
Universal connectivity
Packet-switching

The main differences between the OSI architecture and

that of TCP/IP relate to the layers above the transport layer
(layer 4) and those at the network layer (layer 3). OSI has both,
the session layer and the presentation layer, whereas TCP/IP
combines both into an application layer. The requirement for a
connectionless protocol also required TCP/IP to combine OSIs
physical layer and data link layer into a network level.
Physical Layer
The physical layer may be Ethernet, SDH-DCC, or some
timeslot of a PDH (Plesiochronous Digital Hierarchy) signal.

78

Either OSI protocols and TCP/IP protocols build on the same

physical layer standards, thus there is no difference between OSI
and TCP/IP in this aspect.
Data Link Layer
The purpose of the data link layer is to provide error free
data transmission even on noisy links. This is achieved by framing
of data and retransmission of every frame until it is acknowledged
from the far end, using flow control mechanisms. Error detection is
done by means of error detection codes.
The data link layer in the OSI world makes use of the Q.921
LapD protocol which must support an information field length of at
least 512 octets according to G.784. LapD is based on HDLC
framing.
In the internet world there is no real data link layer protocol,
but the subnet protocol which has quite many similarities. The
subnet protocol consists of the IMP-IMP protocol which aims to
provide a reliable connection between neighbored IMPs.
For Ethernet based networks e.g. LANs (Local Area
Network), the data link protocol LLC (Logical Link Control) is
equally used in OSI and TCP/IP networks.
Network Layer
The network layer provides routing capabilities between
source and destination system.
OSI uses the CLNS (Connectionless Network Service)
protocols ES-IS for communication of an end system to an
intermediate system and IS-IS for communication between
intermediate systems.
TCP divides messages in datagrams of up to 64k length.
Each datagram consists of a header and a text part. Besides some
other information, the header contains the source and the
destination address of the datagram. IP routes these datagrams
through the network using e.g. the protocol OSPF (Open Shortest
Path First) or RIP (Route Information Protocol) for path calculation
purposes. The service provided by IP is not reliable. Datagrams
may be received in the wrong order or they may even get lost in the
network.
Transport Layer
The transport layer provides a reliable end-to-end
connection between source and destination system on top of the
network layer. It builds an integral part of the whole OSI layering
principle and of the internet protocol.

79

The OSI transport layer protocol (TP4) and the internet

transport protocol (TCP) have many similarities but also some
remarkable differences. Both protocols are built to provide a reliable
connection-oriented end-to-end transport service on top of an
unreliable network service. The network service may lose packets,
store them, deliver them in the wrong order or even duplicate
packets. Both protocols have to be able to deal with the most
severe problems e.g. sub-network stores valid packets and send
them at a later date. TP4 and TCP have connect, transfer and a
disconnect phase. The principles of doing this are also quite similar.
One difference between TP4 and TCP to be mentioned is that TP4
uses nine different TPDU (Transport Protocol Data Unit) types
whereas TCP knows only one. This makes TCP simpler but every
TCP header has to have all possible fields and therefore the TCP
header is at least 20 bytes long whereas the TP4 header takes at
least 5 bytes.
Another difference is the way both protocols react in case of
a call collision. TP4 opens two bi-directional connections between
the TSAPs whereas TCP opens just one connection.
TP4 uses a different flow control mechanism for its
messages; it also provides means for quality of service
measurement.
The differences are given in the table format as under.
Parameter

O.S.I. Model

Expand
the Open
Interconnect
acronym
7
No. of layers

T.C.P./I.P.
System Transmission
Control
Protocol / Internet Protocol
4

Protocols

Good as a model. The The

model
is
just
protocols are not very description of protocols. Not
popular
so good as a model but
protocols are more useful

Orientation

Both connection oriented

and connection less in
the Network Layer Only
connection oriented in
the transport Layer

Only connectionless in the

Network layer
Supports both (connection
oriented
and
connectionless)
in
the
transport layer

80

Services

OSI differentiates clearly Does not clearly distinguish

between
specification the concepts of Service,
and the implementations interface and protocol
O.S.I.
Made
the
distinction between the
following
concepts
explicitly:
(1) Services
(2) Interface
(3) Protocols

Suitability

More general protocols

Only for TCP/IP protocols

Cannot
describe
Blue
tooth

Physical layer Data Link & Physical are Doesnt even mention about
separate
these
Application, TCP/IP does not have
Top
layers Separate
Presentation
and separate
Session
and
merged
session layers
Presentation Layer. It is a
part of Application Layer

81

UNIT 3
Physical Layer

6
TRANSMISSION MEDIUM
Unit Structure
6.1. Transmission Media
6.1.1. Guided Media
6.1.1.1. Twisted Pair
6.1.1.2. Coaxial Cable
6.1.1.3. Fiber Optics
6.2.2. Unguided Media
6.2. Wireless transmission
6.3. Electromagnetic Spectrum
6.4. Radio Transmission
6.5. Microwave transmission
6.6. Infra red waves
6.6.1. Millimeter waves
6.6.2. Applications of millimeter waves
6.7. Light wave transmission

6.1. TRANSMISSION MEDIA:

Any data communication is in need of three components
1) Media
2) Data
3) Transmitter and the receiver
The data generated by the transmitter is carried by the
medium to the receiver. This medium can be classified into two
categories.
1. Guided media
2. Unguided media
6.1.1. Guided media:
Guided Transmission Media uses a "cabling" system that
guides the data signals along a specific path. The data signals are
bound by the "cabling" system. Guided Media is also known as

82

Bound Media. Cabling is meant in a generic sense in the previous

sentences and is not meant to be interpreted as copper wire
cabling only.
Unguided Transmission Media consists of a means for the
data signals to travel but nothing to guide them along a specific
path. The data signals are not bound to a cabling media and as
such are often called Unbound Media.
There 4 basic types of Guided Media:
Open Wire
Twisted Pair
Coaxial Cable
Optical Fiber
6.1.1.1. Twisted pair:
Twisted pair cable consists of a pair of insulated wires
twisted together. It is a cable type used in telecommunication for
very long time. Cable twisting helps to reduce noise pickup from
outside sources and crosstalk on multi-pair cables.
Shielded Twisted Pair Cable is used to eliminate inductive
and capacitive coupling. Twisting cancels out inductive coupling,
while the shield eliminates capacitive coupling. Most applications
for this cable are between equipment, racks and buildings.
Shielding adds usually some attenuation to the cable (compared to
unshielded), but usually not because in the case of balanced
transmission, the complementing signals will effectively cancel out
any shield currents, so shield current losses are negligible.
The noise pickup characteristics of twisted pair cable is
determined by the following cable characteristics: number of twists
per meter (generally more twists per meter gives better
performance), uniform cable construction, capacitance balance
(less capacitance difference to ground, the better), cable diameter
(less are between wires is better) and the amount of shielding
(more shielding, the better).
The wires in Twisted Pair cabling are twisted together in
pairs. Each pair would consist of a wire used for the +ve data signal
and a wire used for the -ve data signal. Any noise that appears on 1
wire of the pair would occur on the other wire. Because the wires
are opposite polarities, they are 180 degrees out of phase (180
degrees - phase definition of opposite polarity). When the noise
appears on both wires, it cancels or nulls itself out at the receiving
end. Twisted Pair cables are most effectively used in systems that
use a balanced line method of transmission: polar line coding
(Manchester Encoding) as opposed to unipolar line coding (TTL
logic).

83

The degree of reduction in noise interference is determined

specifically by the number of turns per foot. Increasing the number
of turns per foot reduces the noise interference. To further improve
noise rejection, a foil or wire braid shield is woven around the
twisted pairs. This "shield" can be woven around individual pairs or
around a multi-pair conductor (several pairs).

Cables with a shield are called Shielded Twisted Pair and

commonly abbreviated STP. Cables without a shield are called
Unshielded Twisted Pair or UTP. Twisting the wires together results
in characteristic impedance for the cable. Typical impedance for
UTP is 100 ohm for Ethernet 10BaseT cable
Twisted pair cable is good for transferring balanced
differential signals. The practice of transmitting signals differentially
dates back to the early days of telegraph and radio. The
advantages of improved signal-to-noise ratio, crosstalk, and ground
bounce that balanced signal transmission are particularly valuable
in wide bandwidth and high fidelity systems. By transmitting signals
along with a 180 degree out-of-phase complement, emissions and
ground currents are theoretically canceled. This eases the
requirements on the ground and shield compared to single ended
transmission and results in improved EMI performance.
The most commonly used form of twisted pair is unshielded
twisted pair (UTP). It is just two insulated wires twisted together.
Any data communication cables and normal telephone cables are
this type. Shielded twisted pair (STP) differs from UTP in that it has
a foil jacket that helps prevent crosstalk and noise from outside
source. In data communications there is a cable type called FTP
(foil shielded pairs) which consists of four twisted pair inside one
common shield (made of aluminum foil).
When cable twisted at constant twist rate over the length of
the cable, a cable with well defined characteristic impedance is
formed. Characteristic impedance of twisted pair is determined by

84

the size and spacing of the conductors and the type of dielectric
used between them. Balanced pair, or twin lines, has a Zo which
depends on the ratio of the wire spacing to wire diameter and the
foregoing remarks still apply. For practical lines, Zo at high
frequencies is very nearly, but not exactly, a pure resistance.
Because the impedance of a cable is actually a function of the
spacing of the conductors, so separating the conductors
significantly changes the cable impedance at that point.
When many twisted pairs are put together to form a multipair cable, individual conductors are twisted into pairs with varying
twists to minimize crosstalk. Specified color combinations to
provide pair identification.
The most commonly used twisted pair cable impedance is
100 ohms. It is widely used for data communications and
telecommunications applications in structured cabling systems. In
most twisted pair cable applications the cable impedance is
between 100 ohms and 150 ohms. When a cable has a long
distance between the conductors, higher impedances are possible.
Typical wire conductor sizes for cables used in telecommunications
26, 24, 22 or 19 AWG.
Here is some common impedance related to twisted pair lines:

100 ohms: This impedance is the standardized impedance to be

used in the twisted pair wiring used in structured wiring systems
standardized EIA/TIA 568 standard. Both unshielded and
shielded "CAT5 and better" cables used on this kind of
applications have 100 ohms impedance (usually at +-15% or
better accuracy). Nowadays the most common LAN standard,
Ethernet, is designed for 100 ohms twisted pair cable. Many
telecommunication twisted pair cables have impedance of
around 100 ohms, and many modern digital communication
system are matched to this impedance. Nowadays practically all
modern in-building twisted pair wiring for telecom applications
has 100 ohms impedance.

110 ohms: 110 ohms shielded twisted pair cable is standardized

as the cable type to be used for digital AES/EBU sound
interface.

120 ohms: 120 ohms shielded cable is generally used for for
RS485 communications in industrial networking. There are
many industrial "control and data" cables which have
impedance of around 120 ohms. Also some telecom cables
(both shielded and unshielded) have impedance of 120 ohms,
and there are digital telecom systems matched to this
impedance also (for example some E1 systems).

85

150 ohms: This was the impedance used in shielded twisted

pair wiring IBM cabling system and Token Ring network. There
are also many shielded "control and data" cables that have
impedance of around 150 ohms in use nowadays. Some
modern microphone cabling (shielded twisted pair) has
impedance of around 150 ohms at high frequencies and you
can sometimes hear 150 ohms impedance mentioned in
analogue audio applications (typical dynamic professional
microphones have impedance of 150-200 ohms usually).

300 ohms: The twin lead wire used in some antenna

applications has impedance of 300 ohms. This is a very low loss
antenna cable type. 300 ohms is generally not used for anything
else than some antenna applications.

600 ohms: 600 ohms is standardized impedance used in

telephone world. The first long telephone air lines (two wires on
the poles separated from each other at some distance) used to
have impedance of around 600 ohms. In practice the modern
telephone cables do not have impedance of 600 ohms, but for
historical reasons this impedance is spoken often and many
telephone equipment are still matched to this impedance. You
can sometimes (quite rarely nowadays) hear 600 ohms
matching also in audio world.

6.1.1.2. Coaxial cable:

Introduction:
A coaxial cable is one that consists of two conductors that
share a common axis. The inner conductor is typically a straight
wire, either solid or stranded and the outer conductor is typically a
shield that might be braided or a foil.
Coaxial Cable consists of 2 conductors. The inner conductor
is held inside an insulator with the other conductor woven around it
providing a shield. An insulating protective coating called a jacket
covers the outer conductor.

The outer shield protects the inner conductor from outside

electrical signals. The distance between the outer conductor
(shield) and inner conductor plus the type of material used for

86

insulating the inner conductor determine the cable properties or

impedance. Typical impedances for coaxial cables are 75 ohms for
Cable TV, 50 ohms for Ethernet Thinnet and Thicknet. The
excellent control of the impedance characteristics of the cable allow
higher data rates to be transferred than Twisted Pair cable.
Coaxial cable is a cable type used to carry radio signals,
video signals, measurement signals and data signals. Coaxial
cables exist because we can't run open-wire line near metallic
objects (such as ducting) or bury it. We trade signal loss for
convenience and flexibility. Coaxial cable consists of an insulated
center conductor which is covered with a shield. The signal is
carried between the cable shield and the center conductor. This
arrangement give quite good shielding against noise from outside
cable, keeps the signal well inside the cable and keeps cable
characteristics stable.
Coaxial cables and systems connected to them are not ideal.
There is always some signal radiating from coaxial cable. Hence,
the outer conductor also functions as a shield to reduce coupling of
the signal into adjacent wiring. More shield coverage means less
radiation of energy (but it does not necessarily mean less signal
attenuation).
Coaxial cables are typically characterized with the
impedance and cable loss. The length has nothing to do with
coaxial cable impedance. Characteristic impedance is determined
by the size and spacing of the conductors and the type of dielectric
used between them. For ordinary coaxial cable used at reasonable
frequency, the characteristic impedance depends on the
dimensions of the inner and outer conductors. The characteristic
impedance of a cable (Zo) is determined by the formula 138 log
b/a, where b represents the inside diameter of the outer conductor
(read: shield or braid), and a represents the outside diameter of the
inner conductor.
Most common coaxial cable impedances in use in various
applications are 50 ohms and 75 ohms. 50 ohms cable is used in
radio transmitter antenna connections, many measurement devices
and in data communications (Ethernet). 75 ohms coaxial cable is
used to carry video signals, TV antenna signals and digital audio
signals. There are also other impedances in use in some special
applications (for example 93 ohms). It is possible to build cables at
other impedances, but those mentioned earlier are the standard
ones that are easy to get. It is usually no point in trying to get
something very little different for some marginal benefit, because
standard cables are easy to get, cheap and generally very good.
Different impedances have different characteristics. For maximum
power handling, somewhere between 30 and 44 Ohms is the

87

optimum. Impedance somewhere around 77 Ohms gives the lowest

loss in a dielectric filled line. 93 Ohms cable gives low capacitance
per foot. It is practically very hard to find any coaxial cables with
impedance much higher than that.
Here is a quick overview of common coaxial cable
impedances and their main uses:

50 ohms: 50 ohms coaxial cable is very widely used with

radio transmitter applications. It is used here because it
matches nicely to many common transmitter antenna types,
can quite easily handle high transmitter power and is
traditionally used in this type of applications (transmitters are
generally matched to 50 ohms impedance). In addition to
this 50 ohm coaxial cable can be found on coaxial Ethernet
networks, electronics laboratory interconnection (foe
example high frequency oscilloscope probe cables) and high
frequency digital applications (for example ECL and PECL
logic matches nicely to 50 ohms cable). Commonly used 50
Ohm constructions include RG-8 and RG-58.

60 Ohms: Europe chose 60 ohms for radio applications

around 1950s. It was used in both transmitting applications
and antenna networks. The use of this cable has been pretty
much phased out, and nowadays RF system in Europe uses
either 50 ohms or 75 ohms cable depending on the
application.

75 ohms: The characteristic impedance 75 ohms is an

international standard, based on optimizing the design of
long distance coaxial cables. 75 ohms video cable is the
coaxial cable type widely used in video, audio and
telecommunications applications. Generally all base band
video applications that use coaxial cable (both analogue and
digital) are matched for 75 ohm impedance cable. Also RF
video signal systems like antenna signal distribution
networks in houses and cable TV systems are built from 75
ohms coaxial cable (those applications use very low loss
cable types). In audio world digital audio (S/PDIF and coaxial
AES/EBU) uses 75 ohms coaxial cable, as well as radio
receiver connections at home and in car. In addition to this
some telecom applications (for example some E1 links) use
75 ohms coaxial cable. 75 Ohms is the telecommunications
standard, because in a dielectric filled line, somewhere
around 77 Ohms gives the lowest loss. For 75 Ohm use
common cables are RG-6, RG-11 and RG-59.

93 Ohms: This is not much used nowadays. 93 ohms was

once used for short runs such as the connection between

88

computers and their monitors because of low capacitance

per foot which would reduce the loading on circuits and allow
longer cable runs. In addition this was used in some digital
communication systems (IBM 3270 terminal networks) and
some early LAN systems.
6.1.1.3. Fiber optics
Optical Fibre
Optical Fibre consists of thin glass fibres that can carry
information at frequencies in the visible light spectrum and beyond.
The typical optical fibre consists of a very narrow strand of glass
called the Core. Around the Core is a concentric layer of glass
called the Cladding. A typical Core diameter is 62.5 microns (1
micron = 10-6 meters). Typically Cladding has a diameter of 125
microns. Coating the cladding is a protective coating consisting of
plastic, it is called the Jacket.

Important characteristic of Fibre Optics is Refraction.

Refraction is the characteristic of a material to either pass or reflect
light. When light passes through a medium, it "bends" as it passes
from one medium to the other. An example of this is when we look
into a pond of water.
If the angle of incidence is small, the light rays are reflected
and do not pass into the water. If the angle of incident is great, light
passes through the media but is bent or refracted.
Optical Fibres work on the principle that the core refracts the
light and the cladding reflects the light. The core refracts the light
and guides the light along its path. The cladding reflects any light
back into the core and stops light from escaping through it.

89

Optical Transmission Modes

There are 3 primary types of transmission modes using optical
fibre.
They are
a) Step Index
b) Grade Index
c) Single Mode

Step Index has a large core the light rays tend to bounce
around, reflecting off the cladding, inside the core. This causes
some rays to take a longer or shorted path through the core. Some
take the direct path with hardly any reflections while others bounce
back and forth taking a longer path. The result is that the light rays
arrive at the receiver at different times. The signal becomes longer
than the original signal. LED light sources are used. Typical Core:
62.5 microns.

Step Index Mode

Grade Index has a gradual change in the Core's Refractive
Index. This causes the light rays to be gradually bent back into the
core path. This is represented by a curved reflective path in the
attached drawing. The result is a better receive signal than Step
Index. LED light sources are used. Typical Core: 62.5 microns.

90

Grade Index Mode

Single Mode has separate distinct Refractive Indexes for the
cladding and core. The light ray passes through the core with
relatively few reflections off the cladding. Single Mode is used for a
single source of light (one color) operation. It requires a laser and
the core is very small: 9 microns.

Single Mode:
When the fiber core is so small that only light ray at 0
incident angle can stably pass through the length of fiber without
much loss, this kind of fiber is called single mode fiber. The basic
requirement for single mode fiber is that the core be small enough
to restrict transmission to a singe mode. This lowest-order mode
can propagate in all fibers with smaller cores (as long as light can
physically enter the fiber).
The most common type of single mode fiber has a core
diameter of 8 to 10 m and is designed for use in the near infrared
(the most common are 1310nm and 1550nm). Please note that the
mode structure depends on the wavelength of the light used, so
that this fiber actually supports a small number of additional modes
at visible wavelengths. Multi mode fiber, by comparison, is
manufactured with core diameters as small as 50um and as large
as hundreds of microns.
The following picture shows the fiber structure of a single
mode fiber.

91

Comparison among the three different models:

6.2. WIRELESS TRANSMISSION:

The wireless transmission is the sending and receiving of the
data packets over the distance without the use of wires. The
wireless network transmission is the ideal for the locations where
the physical mediums like coaxial cables, UPT/STP and fiber optic
is not possible to deploy. The demand of the wireless
communications is increasing exponentially.
The wireless transmission is the sending and receiving of the
data packets over the distance without the use of wires. The
wireless network transmission is the ideal for the locations where
the physical mediums like coaxial cables, UPT/STP and fiber optic
is not possible to deploy. The demand of the wireless
communications is increasing exponentially.
The wireless communication can be performed in a variety of
ways such as wireless Ethernet, GSM, Bluetooth, Infrared, Wi-Fi
and Wi-Max. Similarly the broadband wireless is an emerging

92

wireless technology that allows the simultaneous delivery of the

voice, video and data signals.
All these technologies based on the different standards and
specifications. The wireless communication uses the radio and
electromagnetic waves to transmit the data. Most of the wireless
transmission standards are based on the 802.11 specifications.
Common examples of wireless equipment in use today include:

Cellular phones and pagers -- provide connectivity for

portable and mobile applications, both personal and
business

Global Positioning System (GPS) -- allows drivers of cars

and trucks, captains of boats and ships, and pilots of aircraft
to ascertain their location anywhere on earth

Cordless computer peripherals -- the cordless mouse is a

common example; keyboards and printers can also be linked
to a computer via wireless

Cordless telephone sets -- these are limited-range devices,

not to be confused with cell phones

Home-entertainment-system control boxes -- the VCR

control and the TV channel control are the most common
examples; some hi-fi sound systems and FM broadcast
receivers also use this technology

Remote garage-door openers -- one of the oldest wireless

devices in common use by consumers; usually operates at
radio frequencies

Two-way radios -- this includes Amateur and Citizens Radio

Service, as well as business, marine, and military
communications

Baby monitors -- these devices are simplified radio

transmitter/receiver units with limited range

Satellite television -- allows viewers in almost any location to

select from hundreds of channels

Wireless LANs or local area networks -- provide flexibility

and reliability for business computer users

6.3. ELECTROMAGNETIC SPECTRUM:

The electromagnetic spectrum is the range of all possible
frequencies of electromagnetic radiation. The "electromagnetic
spectrum" of an object is the characteristic distribution of
electromagnetic radiation emitted or absorbed by that particular
object.

93

The electromagnetic spectrum extends from low frequencies

used for modern radio to gamma radiation at the short-wavelength
end, covering wavelengths from thousands of kilometers down to a
fraction of the size of an atom. The long wavelength limit is the size
of the universe itself, while it is thought that the short wavelength
limit is in the vicinity of the Planck length, although in principle the
spectrum is infinite and continuous.
EM waves are typically described by any of the following
three physical properties:
Frequency f,
Wavelength , or
Photon energy E.
Electromagnetic radiation interacts with matter in different
ways in different parts of the spectrum. The types of interaction can
be so different that it seems to be justified to refer to different types
of radiation. At the same time, there is a continuum containing all
these "different kinds" of electromagnetic radiation. Thus we refer
to a spectrum, but divide it up based on the different interactions
with matter.

Region of the
Main interactions with matter
spectrum
Radio

Collective oscillation of charge carriers in bulk

material (plasma oscillation). An example would be
the oscillation of the electrons in an antenna.

Microwave
through
far Plasma oscillation, molecular rotation
infrared
Near infrared

Molecular vibration, plasma oscillation (in metals

only)

Visible

Molecular electron excitation (including pigment

molecules found in the human retina), plasma
oscillations (in metals only)

Ultraviolet

Excitation of molecular and atomic valence

electrons, including ejection of the electrons
(photoelectric effect)

X-rays

Excitation and ejection of core atomic electrons,

Compton scattering (for low atomic numbers)

Gamma rays

94
Energetic ejection of core electrons in heavy
elements, Compton scattering (for all atomic
numbers), excitation of atomic nuclei, including
dissociation of nuclei

Creation of particle-antiparticle pairs. At very high

High
energy energies a single photon can create a shower of
gamma rays
high energy particles and antiparticles upon
interaction with matter.

6.4. RADIO TRANSMISSION:

Radio waves are easy to generate, can travel long
distances, and can penetrate buildings easily, so they are widely
used for communication, both indoors and outdoors. Radio waves
also are omnidirectional, meaning that they travel in all directions
from the source, so the transmitter and receiver do not have to be
carefully aligned physically.
There are two principal ways in which electromagnetic
(radio) energy travels from a transmitting antenna to a receiving
antenna. One way is by GROUND WAVES and the other is by SKY
WAVES. Ground waves are radio waves that travel near the
surface of the Earth (surface and space waves). Sky waves are
radio waves that are reflected back to Earth from the ionosphere.

95

Ground Waves The ground wave is actually composed of two

separate component waves. These are known as the SURFACE
WAVE and the SPACE WAVE. The determining factor in whether a
ground wave component is classified as a space wave or a surface
wave is simple. A surface wave travels along the surface of the
Earth. A space wave travels over the surface.
SURFACE WAVE:
The surface wave reaches the receiving site by traveling
along the surface of the ground as shown in the following figure. A
surface wave can follow the contours of the Earth because of the
process of diffraction. When a surface wave meets an object and
the dimensions of the object do not exceed its wavelength, the
wave tends to curve or bend around the object. The smaller the
object, the more pronounced the diffractive action will be.

As a surface wave passes over the ground, the wave

induces a voltage in the Earth. The induced voltage takes energy
away from the surface wave, thereby weakening, or attenuating,
the wave as it moves away from the transmitting antenna. To
reduce the attenuation, the amount of induced voltage must be
reduced. This is done by using vertically polarized waves that
minimize the extent to which the electric field of the wave is in
contact with the Earth. When a surface wave is horizontally
polarized, the electric field of the wave is parallel with the surface of
the Earth and, therefore, is constantly in contact with it. The wave is
then completely attenuated within a short distance from the
transmitting site. On the other hand, when the surface wave is
vertically polarized, the electric field is vertical to the Earth and
merely dips into and out of the Earth's surface. For this reason,
vertical polarization is vastly superior to horizontal polarization for
surface wave propagation.

96

The attenuation that a surface wave undergoes because of

induced voltage also depends on the electrical properties of the
terrain over which the wave travels. The best type of surface is one
that has good electrical conductivity. The better the conductivity,
the less the attenuation.
SPACE WAVE:
The space wave follows two distinct paths from the
transmitting antenna to the receiving antennaone through the air
directly to the receiving antenna, the other reflected from the
ground to the receiving antenna. The primary path of the space
wave is directly from the transmitting antenna to the receiving
antenna. So, the receiving antenna must be located within the radio
horizon of the transmitting antenna. Because space waves are
refracted slightly, even when propagated through the troposphere,
the radio horizon is actually about one-third farther than the line-ofsight or natural horizon.

Although space waves suffer little ground attenuation, they

nevertheless are susceptible to fading. This is because space
waves actually follow two paths of different lengths (direct path and
ground reflected path) to the receiving site and, therefore, may
arrive in or out of phase. If these two component waves are
received in phase, the result is a reinforced or stronger signal.
Likewise, if they are received out of phase, they tend to cancel one
another, which results in a weak or fading signal.

6.5. MICROWAVE TRANSMISSION:

Microwave transmission also requires line of sight in order to
work properly. In order to allow two way communications two
frequencies are used. However, this does not mean that there has
to be two antennas because the frequencies can be dealt with by
one antenna at both ends.

97

The distance covered by microwave signals is based upon

the height of the antenna. In order to increase this coverage each
antenna has a built-in repeater that regenerates the signal before
passing it on to the next antenna in line. The placement of the
antenna to do this is approximately 25 miles.
Microwave transmission refers to the technology of
transmitting information by the use of the radio waves whose
wavelengths are conveniently measured in small numbers of
centimeters, by using various electronic technologies. These are
called microwaves. This part of the radio spectrum ranges across
frequencies of roughly 1.0 gigahertz (GHz) to 30 GHz. Also by
using the formula = c/f , these correspond to wavelengths from
30 centimeters down to 1.0 cm. [In the above equation, the Greek
letter ( lambda ) is the wavelength in meters; c is the speed of
light in meters per second; and f is the frequency in hertz (Hz).]
In the microwave frequency band, antennas are usually of
convenient sizes and shapes, and also the use of metal
waveguides for carrying the radio power works well. Furthermore,
with the use of the modern solid-state electronics and traveling
wave tube technologies that have been developed since the early
1960s, the electronics used by microwave radio transmission have
been readily used by expert electronics engineers.
Microwave radio transmission is commonly used by
communication systems on the surface of the Earth, in satellite
communications, and in deep space radio communications. Other
parts of the microwave radio band are used for radars, radio
navigation systems, sensor systems, and radio astronomy.
The main drawback of microwave signals is that they can be
affected by weather, especially rain.
Microwave transmission relies on three key elements:
Use

of radio frequency to achieve the transmissions

(operating between 1Ghz to 170Ghz)

Clear line-of-sight with no obstacles in the way

Regular relay stations required due to line of site and cost

considerations
Advantages:
No cables needed
Multiple channels available
Wide bandwidth

98

Disadvantages:
Line-of-sight will be disrupted if any obstacle, such as new

buildings, are in the way

Signal absorption by the atmosphere. Microwaves suffer

from attenuation due to atmospheric conditions.

Towers are expensive to build.

6.6. INFRA RED WAVES:

Infrared light is a form of electromagnetic waves. Infrared
can be visible light or can be in the form of microwaves. In its
visible form, infrared can be seen as red or violet. Visible infrared
waves are very short, measuring about 750 nm in length; longer
infrared waves which are closest to microwaves are about 1mm in
length, about the size of a microbial cell.
While shorter infrared waves can be seen as colors, as
infrared waves get longer they give off radiation in the form of heat.
Infrared waves are considered to be thermal. For instance, the sun
gives off infrared wave lengths, your toaster gives off infrared wave
lengths and even living organisms such as humans, dogs and cats
give off thermal heat in the form of infrared wave lengths.
While most infrared wave lengths give off heat, you are
probably aware of one of the most popular uses of infrared wave
lengths- the TV remote control. Your remote control works via short
infrared wave lengths, the visible kind and don't worry, these short
wave lengths do not give off any heat.
Your TV remote is able to produce visible light waves,
usually red that can be seen and distinguished by sensors in your
TV set. Because infrared waves at the visible level are safe and
easily seen and separated from other light waves, remote controls
are very effective in controlling items.
Another effective use for infrared is the ability to see objects
that give off infrared radiation. For instance, practically every object
gives off thermal heat. Thermal heat is shown as infrared radiation.
For instance, an oven gives off thermal heat, so does the skin of a
human, and even an ice cream sundae has heat which can be seen
via infrared radiation. As an object gets warmer, it gives off more
infrared radiation. A toaster gives off far more radiation than an ice
cube.
6.6.1. Millimeter waves:
The following table is indicating some frequency bands,
exact frequencies and approximate wavelengths.

99

Band

Starts at

Ends at

VHF

30 MHz

300 MHz

10 meters

1 meter

UHF

300 MHz

3 GHz

1 meter

10 cm< /TR>

SHF

3 GHz

30 GHz

10 cm

1 cm

EHF

30 GHz

300 GHz

1 cm

1 mm

Sub Millimeter

300 GHz

Infinity

1 mm

zero

EHF is considered "Millimeter Waves" because the range of

wavelengths is between 1 mm and 1 cm. Above 300 GHz is
considered "Sub-millimeter waves" because the wavelength is
below one millimeter. Frequencies above 1 THz (1000 GHz) are
called "Terahertz frequencies" or "Very long wave infrared"
Various designators and names have been associated with
the wavelengths between 300 GHz and 300 THz. They usually are
called Infrared in one form or another, but as you can see, this
range covers three orders of magnitude - or one thousand fold.
300 THz - or 1 um (one micrometer, or 1000 nano-meters, or
10,000 angstroms) is still infrared, because visual sensitivity begins
around 480 THz or about 625 nm which is a very deep red color.
6.6.2. Applications of millimeter waves:
The millimeter-wave region of the electromagnetic spectrum
is usually considered to be the range of wavelengths from 10
millimeters (0.4 inches) to 1 millimeter (0.04 inches). This means
they are larger than infrared waves or x-rays, for example, but
smaller than radio waves or microwaves. The millimeter-wave
region of the electromagnetic spectrum corresponds to radio band
frequencies of 30 GHz to 300 GHz and is sometimes called the
Extremely High Frequency (EHF) range. The high frequency of
millimeters waves as well as their propagation characteristics (that
is, the ways they change or interact with the atmosphere as they
travel) makes them useful for a variety of applications including
transmitting large amounts of computer data, cellular
communications, and radar.

100

One of the greatest and most important uses of millimeter

waves is in transmitting large amounts of data. Every kind of
wireless communication, such as the radio, cell phone, or satellite,
uses specific range of wavelengths or frequencies. Each
application provider (such as a local television or radio broadcaster)
has a unique channel assignment, so that they can all
communicate at the same time without interfering with each other.
These channels have bandwidths (also measured in either
wavelength or frequency) that must be large enough to pass the
information from the broadcasters transmitter to the user. For
example, a telephone conversation requires only about 6 kHz of
bandwidth, while a TV broadcast, which carries much larger
amounts of information, requires about 6 MHz. (A kilohertz, is one
thousand cycles per second; a megahertz is one million cycles per
second). Increases in the amount of information transmitted require
the use of higher frequencies. This is where millimeter waves come
in. Their high frequency makes them a very efficient way of sending
large amounts of data such as computer data, or many
simultaneous television or voice channels.
Radar is another important use of millimeter waves, which
takes advantage of another important property of millimeter wave
propagation called beam width. Beam width is a measure of how a
transmitted beam spreads out as it gets farther from its point of
origin. In radar, it is desirable to have a beam that stays narrow,
rather than fanning out. Small beam widths are good in radar
because they allow the radar to see small distant objects, much
like a telescope. A carefully designed antenna allows microwaves
to be focused into a narrow beam, just like a magnifying glass
focuses sunlight unfortunately, small beam widths require large
antenna sizes, which can make it difficult to design a good radar set
that will fit, for example, inside a cramped airplane cockpit.

6.7. LIGHT WAVE TRANSMISSION:

Unguided optical signaling has been in use for centuries.
Coherent optical signaling using lasers is inherently unidirectional,
so each building needs its own laser and its own photo detector.
This scheme offers very high bandwidth ad very low cost. It is also
relatively easy install.

101

UNIT 4
Data Link Layer

7
DATA LINK LAYER
Unit Structure
7.1. Design Issues
7.1.1. Reliable Delivery:
7.1.2. Best Effort:
7.1.3. Acknowledged Delivery:
7.1.4. Framing
7.1.5. Length Count:
7.1.6. Bit Stuffing:
7.1.7. Character stuffing:
7.1.8. Encoding Violations:
7.1.9.Error Control
7.2. Error correction and detection
7.2.1. General strategy:
7.2.2. Error-correcting codes :
7.2.3. Hamming Code (1 bit error correction)
7.2.4. Error-detecting codes
7.2.5. Modulo 2 arithmetic
7.2.6. Error detection with CRC

7.1. DESIGN ISSUES:

The goal of the data link layer is to provide reliable, efficient
communication between adjacent machines connected by a single
communication channel. Specifically:
1. Group the physical layer bit stream into units called frames.
Note that frames are nothing more than ``packets'' or
``messages''. By convention, we'll use the term ``frames''
when discussing DLL packets.
2. Sender checksums the frame and sends checksum together
with data. The checksum allows the receiver to determine
when a frame has been damaged in transit.

102
3. Receiver recomputes the checksum and compares it with
the received value. If they differ, an error has occurred and
the frame is discarded.
4. Perhaps return a positive or negative acknowledgment to the
sender. A positive acknowledgment indicate the frame was
received without errors, while a negative acknowledgment
indicates the opposite.
5. Flow control. Prevent a fast sender from overwhelming a
slower receiver. For example, a supercomputer can easily
generate data faster than a PC can consume it.
6. In general, provide service to the network layer. The network
layer wants to be able to send packets to its neighbors
without worrying about the details of getting it there in one
piece.

At least, the above is what the OSI reference model

suggests. As we will see later, not everyone agrees that the data
link layer should perform all these tasks.
Design Issues
If we don't follow the OSI reference model as gospel, we can
imagine providing several alternative service semantics:
7.1.1. Reliable Delivery:
Frames are delivered to the receiver reliably and in the same
order as generated by the sender.
Connection state keeps track of sending order and which
frames require retransmission. For example, receiver state includes
which frames have been received, which ones have not, etc.
7.1.2. Best Effort:
The receiver does not return acknowledgments to the
sender, so the sender has no way of knowing if a frame has been
successfully delivered.
When would such a service be appropriate?
1. When higher layers can recover from errors with little loss in
performance. That is, when errors are so infrequent that there
is little to be gained by the data link layer performing the
recovery. It is just as easy to have higher layers deal with
occasional lost packet.
2. For real-time applications requiring ``better never than late''
semantics. Old data may be worse than no data. For example,
should an airplane bother calculating the proper wing flap angle
using old altitude and wind speed data when newer data is
already available?

103

7.1.3. Acknowledged Delivery:

The receiver returns an acknowledgment frame to the
sender indicating that a data frame was properly received. This sits
somewhere between the other two in that the sender keeps
connection state, but may not necessarily retransmit
unacknowledged frames. Likewise, the receiver may hand received
packets to higher layers in the order in which the arrive, regardless
of the original sending order.
Typically, each frame is assigned a unique sequence
number, which the receiver returns in an acknowledgment frame to
indicate which frame the ACK refers to. The sender must retransmit
unacknowledged (e.g., lost or damaged) frames.
7.1.4. Framing
The DLL translates the physical layer's raw bit stream into
discrete units (messages) called frames. How can the receiver
detect frame boundaries? That is, how can the receiver recognize
the start and end of a frame?
7.1.5. Length Count:
Make the first field in the frame's header be the length of the
frame. That way the receiver knows how big the current frame is
and can determine where the next frame ends.
Disadvantage: Receiver loses synchronization when bits
become garbled. If the bits in the count become corrupted during
transmission, the receiver will think that the frame contains fewer
(or more) bits than it actually does. Although checksum will detect
the incorrect frames, the receiver will have difficulty resynchronizing
to the start of a new frame. This technique is not used anymore,
since better techniques are available.
7.1.6. Bit Stuffing:
Use reserved bit patterns to indicate the start and end of a
frame. For instance, use the 4-bit sequence of 0111 to delimit
consecutive frames. A frame consists of everything between two
delimiters.
Problem: What happens if the reserved delimiter happens to
appear in the frame itself? If we don't remove it from the data, the
receiver will think that the incoming frame is actually two smaller
frames!
Solution: Use bit stuffing. Within the frame, replace every
occurrence of two consecutive 1's with 110. E.g., append a zero bit
after each pair of 1's in the data. This prevents 3 consecutive 1's
from ever appearing in the frame.

104

Likewise, the receiver converts two consecutive 1's followed

by a 0 into two 1's, but recognizes the 0111 sequence as the end of
the frame.
Example: The frame ``1011101'' would be transmitted over the
physical layer as ``0111101101010111''.
Note: When using bit stuffing, locating the start/end of a frame is
easy, even when frames are damaged. The receiver simply scans
arriving data for the reserved patterns. Moreover, the receiver will
resynchronize quickly with the sender as to where frames begin
and end, even when bits in the frame get garbled.
The main disadvantage with bit stuffing is the insertion of
additional bits into the data stream, wasting bandwidth. How much
expansion? The precise amount depends on the frequency in which
the reserved patterns appear as user data.
7.1.7. Character stuffing:
Same idea as bit-stuffing, but operates on bytes instead of bits.
Use reserved characters to indicate the start and end of a
frame. For instance, use the two-character sequence DLE STX
(Data-Link Escape, Start of TeXt) to signal the beginning of a
frame, and the sequence DLE ETX (End of TeXt) to flag the frame's
end.
Problem: What happens if the two-character sequence DLE ETX
happens to appear in the frame itself?
Solution: Use character stuffing; within the frame, replace every
occurrence of DLE with the two-character sequence DLE DLE. The
receiver reverses the processes, replacing every occurrence of
DLE DLE with a single DLE.
Example: If the frame contained ``A B DLE D E DLE'', the
characters transmitted over the channel would be ``DLE STX A B
DLE DLE D E DLE DLE DLE ETX''.
Disadvantage: character is the smallest unit that can be operated
on; not all architectures are byte oriented.
7.1.8. Encoding Violations:
Send an signal that doesn't conform to any legal bit
representation. In Manchester encoding, for instance, 1-bits are
represented by a high-low sequence, and 0-bits by low-high
sequences. The start/end of a frame could be represented by the
signal low-low or high-high.

105

The advantage of encoding violations is that no extra

bandwidth is required as in bit-stuffing. The IEEE 802.4 standard
uses this approach.
Finally, some systems use a combination of these techniques.
IEEE 802.3, for instance, has both a length field and special frame
start and frame end patterns.
7.1.9.Error Control
Error control is concerned with insuring that all frames are
eventually delivered (possibly in order) to a destination. How?
Three items are required.
Acknowledgements:
Typically, reliable delivery is achieved using the
``acknowledgments with retransmission'' paradigm, whereby the
receiver returns a special acknowledgment (ACK) frame to the
sender indicating the correct receipt of a frame.
In some systems, the receiver also returns a negative
acknowledgment (NACK) for incorrectly-received frames. This is
nothing more than a hint to the sender so that it can retransmit a
frame right away without waiting for a timer to expire.
Timers:
One problem that simple ACK/NACK schemes fail to
address is recovering from a frame that is lost, and as a result, fails
to solicit an ACK or NACK. What happens if an ACK or NACK
becomes lost?
Retransmission timers are used to resend frames that don't
produce an ACK. When sending a frame, schedule a timer to expire
at some time after the ACK should have been returned. If the timer
goes off, retransmit the frame.
Sequence Numbers:
Retransmissions introduce the possibility of duplicate
frames. To suppress duplicates, add sequence numbers to each
frame, so that a receiver can distinguish between new frames and
old copies.
Flow Control
Flow control deals with throttling the speed of the sender to
match that of the receiver. Usually, this is a dynamic process, as
the receiving speed depends on such changing factors as the load,
and availability of buffer space.

106

One solution is to have the receiver extend credits to the

sender. For each credit, the sender may send one frame. Thus, the
receiver controls the transmission rate by handing out credits.
Link Management
In some cases, the data link layer service must be ``opened''
before use:

The data link layer uses open operations for allocating buffer
space, control blocks, agreeing on the maximum message
size, etc.

Synchronize and initialize send and receive sequence

numbers with its peer at the other end of the communications
channel.

7.2. ERROR CORRECTION AND DETECTION:

All error-detection and correction methods only work below a
certain error rate .
If we allow any number of errors in data bits and in check
bits, then no error-detection (or correction) method can guarantee
to work, since any valid pattern can be transformed into any other
valid pattern.
All methods of error-detection and correction only work if we
assume the number of bits changed by error is below some
threshold. If all bits can be changed, no error detection method can
work even in theory. All methods only work below a certain error
rate. Above that rate, the line is simply not usable.
7.2.1. General strategy:
Coding scheme so that a small no. of errors in this block
won't change one legal pattern into another legal pattern:

Frame or codeword length n = m (data) + r (redundant or

check bits).

Any data section (length m) is valid (we allow any 0,1 bit
string).

Not every codeword (length n) is valid.

Make it so that:

(no. of valid codewords) is a very small subset of (all

possible
0,1
bit
strings
of
length
n)
so very unlikely that even large no. of errors will transform it
into a valid codeword.

107

Price to pay: Lots of extra check bits (high r).

Obviously this works up to some error rate - won't work if no.

of errors is large enough (e.g. = n).

Error-check says "I will work if less than p errors in this

block"

If errors still getting through: Reduce block size, so will get less
error per block.

Reduce m. Reduce the amount of info you transmit before

doing error-checking. This can vastly reduce the probability
of multiple errors per block.

e.g. Say we have average 1 error per 1000. Transmit blocks

of 10000. Average 10 errors each.

Transmit blocks of 10. Average 1 error per 100 blocks.

Almost never 2 errors in a block.

7.2.2. Error-correcting codes :

Frame or codeword length n = m (data) + r (redundant or
check bits).
All 2m patterns are legal.
Not all 2n patterns are legal.
Basic idea: If illegal pattern, find the legal pattern closest to it. That
might be the original data (before errors corrupted it).
Given two bit strings, XOR gives you the number of bits that are
different. This is the Hamming distance.
If two codeword are Hamming distance d apart, it will take d one-bit
errors to convert one into the other.
1. To detect (but not correct) up to d errors per length n, you need
a coding scheme where code words are at least (d+1) apart in
Hamming distance. Then d errors can't change into another
legal code, so we know there's been an error.
2. To correct d errors, need code words (2d+1) apart. Then even
with d errors, bit string will be d away from original and (d+1)
away from nearest legal code. Still closest to original. Original
can be reconstructed.
Error-detection example: Parity bit
Appended to data so that no. of 1 bits is even (or odd).
Codeword distance 2.
Can detect (but not correct) 1 error.
Can't detect 2 errors.

108

Error-correction example: Sparse codeword

Let's say only 4 valid codeword, 10 bits:
0000000000
0000011111
1111100000
1111111111
Minimum distance 5.
Can detect and correct 1,2 errors.
Can detect but not correct 3,4 errors.
Can't detect 5 errors.
Note: Can detect some (even most) 5 bit errors.
Just can't guarantee to detect all 5 bit errors.
e.g. Encode every 2 bits this way.
Need 5 times the bandwidth to send same amount of data.
But can communicate even if almost every other bit is an error (4
out of 10).
Theoretical limit of 1-bit error-correction
Detect and correct all 1 errors.
Need distance 3.
We need to have 2m legal messages.
If change 1 bit, must get illegal (and an illegal which is 1 bit away
from this message, but not 1 bit away from any other legal
message).
So each of the 2m must have n illegal codeword at distance 1 from
it (systematically change each bit). These are my illegal, can't
overlap with the illegal that are 1 bit away from other patterns.
Each message needs (n+1) patterns reserved for it.
(n+1) 2m <= 2n
(n+1) <= 2n-m
(m+r+1) <= 2r
For large r, this is always true.
i.e. This is putting a limit on how small r can be.
e.g. Let m=64. Then we need:
r+65 <= 2r
Remember powers of 2.
i.e. r >= 7
What block size?
It scales well. Let m=1000. then r=10.
Question is, will 1000 bits only have 1 error?
e.g. Could send 1 M bits, need only 20 check bits to error-correct 1
bit error! But if there are 2 errors the system fails
.
If errors getting through: Reduce m until almost never get more
than 1 error per block.

109

7.2.3. Hamming Code (1 bit error correction)

Achieves the theoretical limit for minimum number of check bits to
do 1-bit error-correction.
Bits of codeword are numbered: bit 1, bit 2, ..., bit n.
Check bits are inserted at positions 1,2,4,8,.. (all powers of 2).
The rest are the m data bits.
Each check bit checks (as parity bit) a number of data bits.
Each check bit checks a different collection of data bits.
Check bits only check data, not other check bits.
Hamming Codes used in:
Wireless comms, e.g. fixed wireless broadband. High error rate.
Need correction not detection.
Any number can be written as sum of powers of 2
First note every number can be written in base 2 as a sum of
powers of 2 multiplied by 0 or 1.
i.e. As a simple sum of powers of 2.
Number is sum of these:
Number:
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

x
x

x
x

x
x

x
x

x
x

x
x

x
x

x
x

x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x

x
x

x
x

x
x
x

x
x

x
x
x
x
x
x

x
x
x
x
x
x
x
x
x
x

16

110

26
27
28
29
30
31
...

x
x

x
x

x
x

x
x
x
x

x
x
x
x
x
x

x
x
x
x
x
x

Scheme for check bits

Now here is our scheme for which bits each check bit checks:
Checked by check bit:
1
2
4
8
16
Bit:
1 (not applicable - this is a check bit)
2 (n/a)
3
x
x
4 (n/a)
5
x
x
6
x
x
7
x
x
x
8 (n/a)
9
x
x
10
x
x
11
x
x
x
12
x
x
13
x
x
x
14
x
x
x
15
x
x
x
x
16 (n/a)
17
x
x
18
x
x
19
x
x
x
20
x
x
21
x
x
x
22
x
x
x
23
x
x
x
x
24
x
x
25
x
x
x
26
x
x
x
27
x
x
x
x
28
x
x
x
29
x
x
x
x
30
x
x
x
x
31
x
x
x
x
x
32 (n/a)
...
Check bit records odd or even parity of all the bits it covers, so any
one-bit error in the data will lead to error in the check bit.

111

Assume one-bit error:

If any data bit bad, then multiple check bits will be bad (never just
one check bit).

Calculating the Hamming Code (check bits do even parity here)

How it works
21 (as sum of powers of 2) =
Bit 21 is checked by check bits

1 + 4 +
1, 4 and

16
16.

No other bit is checked by exactly these 3 check bits.

If assume one-bit error, then if exactly these 3 check bits are bad,
then we know that data bit 21 was bad and no other.
Assume one-bit error:
1. Error in a data bit:
Will cause multiple errors in check bits. Will cause errors in
exactly the check bits that correspond to the powers of 2 that
the bit number can be written as a sum of.
2. Error in a check bit:
Will affect nothing except that check bit. i.e. One bad check bit
(not multiple bad check bits as above).
7.2.4. Error-detecting codes
Parity bit for 1 bit error detection
Parity bit can detect 1 error. Won't detect 2. Will detect 3,
won't detect 4, etc.
If large block has 1 parity bit and is badly damaged, the odds
of detecting this are only 0.5.
Parity bit for n bit burst error detection
Each block is considered as matrix,
Parity bit calculated for each column.

width

n,

height

k.

Last row of parity bits appended: (parity bit for col 1, col 2, ..., col n)
Transmit n(k+1) block row by row.
1. Any burst of length up to n in the data bits will leave at most
1 error in each col.
Can be detected.
2. If burst is in the parity bits row, they will be wrong and we
will detect there has been an error.
Note: Don't know where error was (this is detection not
correction). Will ask for re-transmit (don't know that data bits
were actually ok).

112

For longer bursts, damaging the whole block:

Prob. of any given damaged column having correct parity by
chance = 1/2
Prob. of all columns having correct parity by chance = (1/2)n
Reasonable chance we'll detect it.
(If every parity bit in last line ok, it is prob. because there
was no error, rather than by chance.)
Isolated errors
Isolated errors more difficult:
Any 2-bit error, where errors come at time t and t+n, will not
be detected.
Polynomial codes for error detection
Also
called
CRC
(Cyclic
Data is sent with a checksum.

Redundancy

Check)

When arrives, checksum is recalculated. Should match the

one that was sent.
Bitstring represents polynomial.
e.g. 110001 represents:
1 . x5 + 1 . x4 + 0 . x3 + 0 . x2 + 0 . x1 + 1 . x0
= x5 + x4 + x0
The order of a polynomial is the power of the highest nonzero coefficient. This is polynomial of order 5.
Special case: We don't allow bit string = all zeros.
Easy to use framing or stuffing to make framed-and-stuffed
transmission never all-zero,while still allowing payload within
it to be all-zero.
7.2.5. Modulo 2 arithmetic
We are going to define a particular field (or here), in fact the
smallest field there is, with only 2 members.
We define addition and subtraction as modulo 2 with no
carries or borrows.
This means addition = subtraction = XOR.
Here are the rules for addition:

113

0+0=0
0+1=1
1+0=1
1+1=0
Multiplication:
0*0=0
0*1=0
1*0=0
1*1=1
Subtraction: if 1+1=0, then 0-1=1, hence:
0-0=0
0-1=1
1-0=1
1-1=0
Long division is as normal, except the subtraction is modulo 2.
Example
No carry or borrow:
011 + (or minus)
110
--101
Consider the polynomials:
x + 1 + x2 + x
------------x2 + 2x + 1
= x2 + 1
We're saying the polynomial arithmetic is modulo 2 as well, so that:
2 xk = 0 for all k.
7.2.6. Error detection with CRC
Consider a message 110010 represented by the polynomial M(x) =
x5 + x4 + x
Consider a generating polynomial G(x) = x3 + x2 + 1 (1101)
This is used to generate a 3 bit CRC = C(x) to be appended to
M(x).
Note this G(x) is prime.
Steps:
1. Multiply M(x) by x3 (highest power in G(x)). i.e. Add 3 zeros.
110010000
2. Divide the result by G(x). The remainder = C(x).
1101 long division into 110010000 (with subtraction mod 2)
= 100100 remainder 100
Special case: This won't work if bit string = all zeros. We don't
allow such an M(x).

114

But M(x) bit string = 1 will work, for example. Can divide 1101
into 1000.
If: x div y gives remainder c
that means: x = n y + c
Hence (x-c) = n y
(x-c) div y gives remainder 0
Here (x-c) = (x+c)
Hence (x+c) div y gives remainder 0
110010000 + 100 should give remainder 0.
3. Transmit 110010000 + 100
To be precise, transmit: T(x) = x3M(x) + C(x)
= 110010100
4. Receiver end: Receive T(x). Divide by G(x), should have
remainder 0.
Note if G(x) has order n - highest power is xn,
then G(x) will cover (n+1) bits
and the remainder will cover n bits.
i.e. Add n bits to message.

115

8
DATA LINK LAYER PROTOCOLS
Unit Structure
8.1. Elementary data link protocols
8.1.1. An unrestricted simplex protocol
8.1.2. A simplex stop-and-wait protocol
8.1.3. A simplex protocol for a noisy channel

8.1. ELEMENTARY DATA LINK PROTOCOLS

Assumptions:

The physical layer, data link layer, and network layer are
independent processes.

The network layer contacts the data link layer by generating

proper events.
There exist suitable library procedures for the data link layer
to delivery a packet, and to fetch a packet.
The data link layer provides a reliable, connection-oriented
service to the network layer.

The physical layer computes/checks checksums in

outgoing/incoming frames, and contacts the data link layer
by generating proper events.
There exist suitable library procedures for the data link layer
to send a frame ( ), and to fetch a frame ( ).
#define MAX_PKT 1024 /* determines packet size in bytes */
typedef enum {false, true} boolean; /* boolean type */
typedef unsigned int seq_nr; /* sequence or ack numbers */
typedef struct {unsigned char data[MAX_PKT];} packet; /*
packet def. */
typedef enum {data, ack, nak} frame_kind; /* frame_kind
definition */
typedef struct {
/* frames are transported in this layer */
frame_kind kind;
/* what kind of a frame is it ? */
seq_nr seq;
/* sequence number */

116

seq_nr
packet
} frame;

ack;
info;

/* acknowledgement number */
/* the network layer packet */

/* Wait for an event to happen; return its type in event. */

void wait_for_event(event_type *event);
/* Fetch/pass a packet from/to the network layer */
void from_network_layer(packet *p);
void to_network_layer(packet *r);
/* Fetch/pass an inbound/outbound frame from/to the
physical layer. */
void from_physical_layer(frame *r);
void to_physical_layer(frame *s);
/* Start/stop the clock running and enable/disable the timeout
event */
void start_timer(seq_nr k);
void stop_timer(seq_nr k);
/* Start/stop an auxiliary timer and enable/disable the
ack_timeout event */
void start_ack_timer(void);
void stop_ack_timer(void);
/* Allow/disallow the network
network_layer_ready event */
void enable_network_layer(void);
void disable_network_layer(void);

layer

to

cause

/* Macro inc is expanded in-line: Increment k circularly */

#define inc(k) if(k < MAX_SEQ) k = k + 1; else k = 0
8.1.1. An unrestricted simplex protocol
Assumptions:
Data transmission in one direction only.
Channel is error free.
The receiver is able to process incoming data infinitely
fast.
/* Protocol 1 (utopia) provides for data transmission in one
direction only, from the sender to receiver. The communication
channel is assumed to be error free, and the receiver is assumed
to be able to process all the input infinitely fast. Consequently, the
sender just sits in a loop pumping data out onto the line as fast as
it can */

117

typedef enum {frame_arrival} event_type;

#include "protocol.h"
void sender1(void)
{
frame s;
packet buffer;

/* buffer for an outbound frame */

/* buffer for an outbound packet */

while (true) {
from_network_layer(&buffer);/* get something to send */
s.info = buffer; /* copy it into s for transmission */
to_physical_layer(&s); /* send it on its way */
}
}
void receiver1(void)
{
frame r;
event_type event /* filled in by wait, but not used here */
while(true) {
wait_for_event(&event); /* only possiblity is frame_arrival */
from_physical_layer(&r); /* go get the inbound frame */
to_network_layer(&r.info); /* pass the data to the network
layer */
}
8.1.2. A simplex stop-and-wait protocol
Assumptions:
Data transmission in one direction only.
Channel is error free.
How to prevent the sender from flooding the receiver with data ?
A general solution:

After finishing the process of an incoming frame, the receiver

sends a dummy frame back to the sender.

Only when the sender has got the acknowledgement (a dummy

frame) from the receiver, does the sender transmit another
frame.

118

The above strategy is called stop-and-wait.

Data traffic is still simplex, but frames do travel in both
directions.
The communication channel needs to be capable of
bidirectional information transfer (a half-duplex physical channel
suffices here).
/* Protocol 2 (stop-and-wait) also provides for a one-directional flow
of data from sender to receiver. The communication channel is
once agian assumed to be error free. However, the receiver has
only a finite buffer capacity and a finite processing speed, so the
protocol must explicitly prevent the sender from flooding the
receiver with data faster than it can be handled. */
typedef enum {frame_arrival} event_type;
#include "protocol.h"
void sender2(void)
{
frame s; /* buffer for an outbound frame */
packet buffer; /* buffer for an outbound packet */
event_type event; /* frame_arrival is the only possiblity */
while (true) {
from_network_layer(&buffer);/* get something to send */
s.info = buffer; /* copy it into s for transmission */
to_physical_layer(&s); /* send it on its way */
wait_for_event(&event); /* do not proceed until given the go
ahead */

119

}
}
void receiver2(void)
{
frame r, s; /* buffers for frames */
event_type event /* filled in by wait, but not used here */
while(true) {
wait_for_event(&event);

/* only possiblity is frame_arrival */

from_physical_layer(&r); /* go get the inbound frame */

to_network_layer(&r.info); /* pass the data to the network layer */
to_physical_layer(&s); /* send a dummy frame to awaken
sender */
}
8.1.3. A simplex protocol for a noisy channel
Assumptions:
Data transmission in one direction only.
Channel is NOT error free, but a damaged frame can be
detected by the receiver hardware by computing the
checksum
.
A scheme using timer and acknowledgement:
The sender starts a timer after sending a frame.
The receiver sends back an acknowledgement only when
the incoming frame were correctly received.
The sender will retransmit the frame if the timer expired
before receiving an acknowledgement.

120

What is the fatal flaw in the above scheme ?

The fatal flaw in the above mentioned scheme is the Loss of
an acknowledgement duplicated frame. To distinguish a frame
being seen for the first time from a retransmission by using a
sequence number in the header of each frame.
What is the minimum number of bits needed for the sequence
number ?
A 1-bit sequence number (0 or 1) suffices here.
/*Protocol 3 (par) */
#define MAX_SEQ 1

/* must be 1 for protocol 3 */

typedef enum {frame_arrival, cksum_err, timeout} event_type;

#include "protocol.h"
void sender3(void) {
seq_nr next_frame_to_send;
frame */
frame s;
packet buffer;

/* seq number of next outgoing

/* buffer for an outbound frame */

/* buffer for an outbound packet */

event_type event;

/* frame_arrival is the only possiblity */

next_frame_to_send = 0;
numbers */

/* initialize outbound sequence

from_network_layer(&buffer); /* fetch first packet */

while (true) {
s.info = buffer;

/* construct a frame for transmission */

s.seq = next_frame_to_send; /* insert sequence number in frame

*/
to_physical_layer(&s);
start_timer(s.seq);

/* send it on its way */

/* if answer takes too long, time out */

wait_for_event(&event);

/* frame_arrival, cksum_err, timeout */

if(event == frame_arrival) {
from_network_layer(&buffer);/* get the next one to send */
inc(next_frame_to_send); /* invert next_frame_to_send */
}
}
}

121

void receiver3(void) {
seq_nr frame_expected;
frame r, s;

/* buffers for frames */

event_type event;

/* filled in by wait, but not used here */

frame_expected = 0;
while(true) {
wait_for_event(&event);

/* frame_arrival, cksum_err */

if(event == frame_arrival) { /* a valid frame has arrived */

from_physical_layer(&r); /* go get the inbound frame */
if(r.seq == frame_expected){
to_network_layer(&r.info);/*pass the data to the network
layer*/
inc(frame_expected); /* next time expect the other seq nr */
}
to_physical_layer(&s); /* none of the fields are used */
}
}
}

122

9
SLIDING WINDOW PROTOCOLS
Unit Structure
9.1. SLIDING WINDOW PROTOCOLS
9.1.1 A One-Bit Sliding Window Protocol
9.1.2 A Protocol Using Go Back N
9.1.3. A Protocol Using Selective Repeat
9.2. HDLC
9.2.1. HDLC STATIONS AND CONFIGURATIONS
9.2.2. Stations
9.2.3. HDLC Operational Modes
9.2.4. HDLC Non-Operational Modes
9.2.5. HDLC Frame Structure
9.2.6. HDLC COMMANDS AND RESPONSES

9.1. SLIDING WINDOW PROTOCOLS

In the previous protocols, data frames were transmitted in
one direction only. In most practical situations, there is a need for
transmitting data in both directions. One way of achieving fullduplex data transmission is to have two separate communication
channels and use each one for simplex data traffic (in different
directions).
If this is done, we have two separate physical circuits, each
with a forward channel (for data) and a reverse channel (for
acknowledgements). In both cases the bandwidth of the reverse
channel is almost entirely wasted. In effect, the user is paying for
two circuits but using only the capacity of one.
A better idea is to use the same circuit for data in both
directions. After all, in protocols 2 and 3 it was already being used
to transmit frames both ways, and the reverse channel has the
same capacity as the forward channel. In this model the data
frames from A to B are intermixed with the acknowledgement
frames from A to B. By looking at the kind field in the header of an
incoming frame, the receiver can tell whether the frame is data or
acknowledgement.

123

Although interleaving data and control frames on the same

circuit is an improvement over having two separate physical
circuits, yet another improvement is possible. When a data frame
arrives, instead of immediately sending a separate control frame,
the receiver restrains itself and waits until the network layer passes
it the next packet. The acknowledgement is attached to the
outgoing data frame (using the ack field in the frame header). In
effect, the acknowledgement gets a free ride on the next outgoing
data frame. The technique of temporarily delaying outgoing
acknowledgements so that they can be hooked onto the next
outgoing data frame is known as piggybacking.
The principal advantage of using piggybacking over having
distinct acknowledgement frames is a better use of the available
channel bandwidth. The ack field in the frame header costs only a
few bits, whereas a separate frame would need a header, the
acknowledgement, and a checksum. In addition, fewer frames sent
means fewer frame arrival interrupts, and perhaps fewer buffers
in the receiver, depending on how the receivers software is
organized. In the next protocol to be examined, the piggyback field
costs only 1 bit in the frame header. It rarely costs more than a few
bits.
However, piggybacking introduces a complication not
present with separate acknowledgements. How long should the
data link layer wait for a packet onto which to piggyback the
acknowledgement? If the data link layer waits longer than the
senders timeout period, the frame will be retransmitted, defeating
the whole purpose of having acknowledgements. If the data link
layer were an oracle and could foretell the future, it would know
when the next network layer packet was going to come in and could
decide either to wait for it or send a separate acknowledgement
immediately, depending on how long the projected wait was going
to be. Of course, the data link layer cannot foretell the future, so it
must resort to some ad hoc scheme, such as waiting a fixed
number of milliseconds. If a new packet arrives quickly, the
acknowledgement is piggybacked onto it; otherwise, if no new
packet has arrived by the end of this time period, the data link layer
just sends a separate acknowledgement frame.
The next three protocols are bidirectional protocols that
belong to a class called sliding window protocols. The three differ
among themselves in terms of efficiency, complexity, and buffer
requirements, as discussed later. In these, as in all sliding window
protocols, each outbound frame contains a sequence number,
ranging from 0 up to some maximum. The maximum is usually 2n
1 so the sequence number fits exactly in an n-bit field. The stopand-wait sliding window protocol uses n = 1, restricting the
sequence numbers to 0 and 1, but more sophisticated versions can
use arbitrary n.

124

The essence of all sliding window protocols is that at any

instant of time, the sender maintains a set of sequence numbers
corresponding to frames it is permitted to send. These frames are
said to fall within the sending window. Similarly, the receiver also
maintains a receiving window corresponding to the set of frames it
is permitted to accept. The senders window and the receivers
window need not have the same lower and upper limits or even
have the same size. In some protocols they are fixed in size, but in
others they can grow or shrink over the course of time as frames
are sent and received.
Although these protocols give the data link layer more
freedom about the order in which it may send and receive frames,
we have definitely not dropped the requirement that the protocol
must deliver packets to the destination network layer in the same
order they were passed to the data link layer on the sending
machine.
Nor have we changed the requirement that the physical
communication channel is wire-like, that is, it must deliver all
frames in the order sent.
The sequence numbers within the senders window
represent frames that have been sent or can be sent but are as yet
not acknowledged. Whenever a new packet arrives from the
network layer, it is given the next highest sequence number, and
the upper edge of the window is advanced by one. When an
acknowledgement comes in, the lower edge is advanced by one. In
this way the window continuously maintains a list of
unacknowledged frames.
Since frames currently within the senders window may
ultimately be lost or damaged in transit, the sender must keep all
these frames in its memory for possible retransmission. Thus, if the
maximum window size is n, the sender needs n buffers to hold the
unacknowledged frames. If the window ever grows to its maximum
size, the sending data link layer must forcibly shut off the network
layer until another buffer becomes free.The receiving data link
layers window corresponds to the frames it may accept. Any frame
falling outside the window is discarded without comment. When a
frame whose sequence number is equal to the lower edge of the
window is received, it is passed to the network layer, an
acknowledgement is generated, and the window is rotated by one.
Unlike the senders window, the receivers window always remains
at its initial size. Note that a window size of 1 means that the

125

(a) Initially. (b) After the first frame has been sent. (c) After the first
frame has been received. (d) After the first acknowledgement has
been received. data link layer only accepts frames in order, but for
larger windows this is not so. The network layer, in contrast, is
always fed data in the proper order, regardless of the data link
layers window size.
The figure shows an example with a maximum window size
of 1. Initially, no frames are outstanding, so the lower and upper
edges of the senders window are equal, but as time goes on, the
situation progresses as shown.
9.1.1 A One-Bit Sliding Window Protocol
Before tackling the general case, let us first examine a
sliding window protocol with a maximum window size of 1. Such a
protocol uses stop-and-wait since the sender transmits a frame and
waits for its acknowledgement before sending the next one.
Like the others, it starts out by defining some variables.
Next3frame3to3send tells which frame the sender is trying to send.
Similarly, frame3expected tells which frame the receiver is
expecting. In both cases, 0 and 1 are the only possibilities.
Under normal circumstances, one of the two data link layers
goes first and transmits the first frame. In other words, only one of
the data link layer programs should contain the to3physical3layer
and start3timer procedure calls outside the main loop

126

/* Protocol 4 (sliding window) is bidirectional. */

#define MAX3SEQ 1 /* must be 1 for protocol 4 */
typedef
enum
event3type;

{frame3arrival,

cksum3err,

timeout}

#include "protocol.h"
void protocol4 (void)
{
seq3nr next3frame3to3send; /* 0 or 1 only */
seq3nr frame3expected; /* 0 or 1 only */
frame r, s; /* scratch variables */
packet buffer; /* current packet being sent */
event3type event;
next3frame3to3send = 0; /* next frame on the outbound
stream */
frame3expected = 0; /* frame expected next */
from3network3layer(&buffer); /* fetch a packet from the
network layer */
s.info = buffer; /* prepare to send the initial frame */
s.seq = next3frame3to3send; /* insert sequence number into
frame */
s.ack = 1 frame3expected; /* piggybacked ack */
to3physical3layer(&s); /* transmit the frame */
start3timer(s.seq); /* start the timer running */
while (true) {
wait3for3event(&event); /* frame3arrival, cksum3err, or
timeout */
if (event == frame3arrival) { /* a frame has arrived
undamaged. */
from3physical3layer(&r); /* go get it */
if (r.seq == frame3expected) { /* handle inbound frame
stream. */
to3network3layer(&r.info); /* pass packet to network layer */
inc(frame3expected); /* invert seq number expected next */
}
if (r.ack == next3frame3to3send) { /* handle outbound frame
stream. */
stop3timer(r.ack); /* turn the timer off */

127

from3network3layer(&buffer); /* fetch new pkt from network

layer */
inc(next3frame3to3send);
number */

/*

invert

senders

sequence

}
}
s.info = buffer; /* construct outbound frame */
s.seq = next3frame3to3send; /* insert sequence number into
it */
s.ack = 1 frame3expected; /* seq number of last received
frame */
to3physical3layer(&s); /* transmit a frame */
start3timer(s.seq); /* start the timer running */
}
}
The starting machine fetches the first packet from its network
layer, builds a frame from it, and sends it. When this (or any) frame
arrives, the receiving data link layer checks to see if it is a
duplicate, just as in protocol 3. If the frame is the one expected, it is
passed to the network layer and the receivers window is slid up.
The acknowledgement field contains the number of the last
frame received without error. If this number agrees with the
sequence number of the frame the sender is trying to send, the
sender knows it is done with the frame stored in buffer and can
fetch the next packet from its network layer. If the sequence
number disagrees, it must continue trying to send the same frame.
Whenever a frame is received, a frame is also sent back.
Now let us examine protocol 4 to see how resilient it is to
pathological scenarios. Assume that computer A is trying to send its
frame 0 to computer B and that B is trying to send its frame 0 to A.
Suppose that A sends a frame to B, but As timeout interval is a
little too short. Consequently, A may time out repeatedly, sending a
series of identical frames, all with seq 0 and ack 1.
When the first valid frame arrives at computer B, it will be
accepted and frame3expected will be set to 1. All the subsequent
frames will be rejected because B is now expecting frames with
sequence number 1, not 0. Furthermore, since all the duplicates
have ack 1 and B is still waiting for an acknowledgement of 0, B
will not fetch a new packet from its network layer.

128

After every rejected duplicate comes in, B sends A a frame

containing seq 0 and ack 0. Eventually, one of these arrives
correctly at A, causing A to begin sending the next packet. No
combination of lost frames or premature timeouts can cause the
protocol to deliver duplicate packets to either network layer, to skip
a packet, or to deadlock.
However, a peculiar situation arises if both sides
simultaneously send an initial packet. This synchronization difficulty
is illustrated by the following figure. In part (a), the normal operation
of the protocol is shown. In (b) the peculiarity is illustrated.
If B waits for As first frame before sending one of its own,
the sequence is as shown in (a), and every frame is accepted.
However, if A and B simultaneously initiate communication, their
first frames cross, and the data link layers then get into situation
(b). In (a) each frame arrival brings a new packet for the network
layer; there are no duplicates. In (b) half of the frames contain
duplicates, even though there are no transmission errors. Similar
situations can occur as a result of premature timeouts, even when
one side clearly starts first. In fact, if multiple premature timeouts
occur, frames may be sent three or more times.

9.1.2 A Protocol Using Go Back N

Until now we have made the tacit assumption that the
transmission time required for a frame to arrive at the receiver plus
the transmission time for the acknowledgement to come back is
negligible. Sometimes this assumption is clearly false. In these
situations the long round-trip time can have important implications
for the efficiency of the bandwidth utilization. As an example,
consider a 50-kbps satellite channel with a 500-msec round-trip
propagation delay. Let us imagine trying to use protocol 4 to send
1000-bit frames via the satellite. At t = 0 the sender starts sending

129

the first frame. At t = 20 msec the frame has been completely sent.
Not until t = 270 msec has the frame fully arrived at the receiver,
and not until t = 520 msec has the acknowledgement arrived back
at the sender, under the best of circumstances (no waiting in the
receiver and a short acknowledgement frame).
This means that the sender was blocked during 500/520 or
96 percent of the time. In other words, only 4 percent of the
available bandwidth was used. Clearly, the combination of a long
transit time, high bandwidth, and short frame length is disastrous in
terms of efficiency.
The problem described above can be viewed as a
consequence of the rule requiring a sender to wait for an
acknowledgement before sending another frame. If we relax that
restriction, much better efficiency can be achieved. Basically, the
solution lies in allowing the sender to transmit up to w frames
before blocking, instead of just 1. With an appropriate choice of w
the sender will be able to continuously transmit frames for a time
equal to the round-trip transit time without filling up the window. In
the example above, w should be at least 26. The sender begins
sending frame 0 as before. By the time it has finished sending 26
frames, at t = 520, the acknowledgement for frame 0 will have just
arrived. Thereafter, acknowledgements arrive every 20 msec, so
the sender always gets permission to continue just when it needs it.
At all times, 25 or 26 unacknowledged frames are outstanding. Put
in other terms, the senders maximum window size is 26.
The need for a large window on the sending side occurs
whenever the product of bandwidth round-trip-delay is large. If the
bandwidth is high, even for a moderate delay, the sender will
exhaust its window quickly unless it has a large window. If the delay
is high (e.g., on a geostationary satellite channel), the sender will
exhaust its window even for a moderate bandwidth. The product of
these two factors basically tells what the capacity of the pipe is, and
the sender needs the ability to fill it without stopping in order to
operate at peak efficiency.
This technique is known as pipelining. If the channel
capacity is b bits/sec, the frame size l bits, and the round-trip
propagation time R sec, the time required to transmit a single frame
is l /b sec. After the last bit of a data frame has been sent, there is a
delay of R /2 before that bit arrives at the receiver and another
delay of at least R /2 for the acknowledgement to come back, for a
total delay of R. In stop-and-wait the line is busy for l /b and idle for
R, giving line utilization = l /(l + bR) If l < bR, the efficiency will be
less than 50 percent. Since there is always a nonzero delay for the
acknowledgement to propagate back, pipelining can, in principle,
be used to keep the line busy during this interval, but if the interval
is small, the additional complexity is not worth the trouble.

130

Pipelining frames over an unreliable communication channel

raises some serious issues. First, what happens if a frame in the
middle of a long stream is damaged or lost? Large numbers of
succeeding frames will arrive at the receiver before the sender
even finds out that anything is wrong. When a damaged frame
arrives at the receiver, it obviously should be discarded, but what
should the receiver do with all the correct frames following it?
Remember that the receiving data link layer is obligated to hand
packets to the network layer in sequence. In the following figure, we
see the effects of pipelining on error recovery. We will now examine
it in some detail.

Two basic approaches are available for dealing with errors in

the presence of pipelining. One way, called go back n, is for the
receiver simply to discard all subsequent frames, sending no
acknowledgements for the discarded frames. This strategy
corresponds to a receive window of size 1. In other words, the data
link layer refuses to accept any frame except the next one it must
give to the network layer. If the senders window fills up before the
timer runs out, the pipeline will begin to empty.
Eventually, the sender will time out and retransmit all
unacknowledged frames in order, starting with the damaged or lost
one. This approach can waste a lot of bandwidth if the error rate is
high.
In Fig (a) we see go back n for the case in which the
receivers window is large. Frames 0 and 1 are correctly received
and acknowledged. Frame 2, however, is damaged or lost. The
sender, unaware of this problem, continues to send frames until the

131

timer for frame 2 expires. Then it backs up to frame 2 and starts all
over with it, sending 2, 3, 4, etc. all over again.
The other general strategy for handling errors when frames
are pipelined is called selective repeat. When it is used, a bad
frame that is received is discarded, but good frames received after
it are buffered. When the sender times out, only the oldest
unacknowledged frame is retransmitted. If that frame arrives
correctly, the receiver can deliver to the network layer, in sequence,
all the frames it has buffered. Selective repeat is often combined
with having the receiver send a negative acknowledgement (NAK)
when it detects an error, for example, when it receives a checksum
error or a frame out of sequence. NAKs stimulate retransmission
before the corresponding timer expires and thus improve
performance.
In Fig. (b), frames 0 and 1 are again correctly received and
acknowledged and frame 2 is lost. When frame 3 arrives at the
receiver, the data link layer there notices that is has missed a
frame, so it sends back a NAK for 2 but buffers 3. When frames 4
and 5 arrive, they, too, are buffered by the data link layer instead of
being passed to the network layer. Eventually, the NAK 2 gets back
to the sender, which immediately resends frame 2. When that
arrives, the data link layer now has 2, 3, 4, and 5 and can pass all
of them to the network layer in the correct protocol 5 (go back n)
allows multiple outstanding frames.
The sender may transmit up to MAX3SEQ frames without
waiting for an ack. In addition, unlike in the previous protocols, the
network layer is not assumed to have a new packet all the time.
Instead, the network layer causes a network3layer3ready event
when there is a packet to send.
*/ #define MAX3SEQ 7 /* should be 2n 1 */
typedef
enum
{frame3arrival,
network3layer3ready} event3type;

cksum3err,

timeout,

#include "protocol.h"
static boolean between(seq3nr a, seq3nr b, seq3nr c)
{
/* Return true if a <=b < c circularly; false otherwise. */
if (((a <= b) && (b < c)) || ((c < a) && (a <= b)) || ((b < c) &&
(c < a)))
return(true);
else
return(false);

132

}
static
void
send3data(seq3nr
frame3expected, packet buffer[ ])

frame3nr,

seq3nr

{
/* Construct and send a data frame. */
frame s; /* scratch variable */
s.info = buffer[frame3nr]; /* insert packet into frame */
s.seq = frame3nr; /* insert sequence number into frame */
s.ack = (frame3expected + MAX3SEQ) % (MAX3SEQ + 1);/*
piggyback ack */
to3physical3layer(&s); /* transmit the frame */
start3timer(frame3nr); /* start the timer running */
}
void protocol5(void)
{
seq3nr next3frame3to3send; /* MAX3SEQ > 1; used for
outbound stream */
seq3nr
ack3expected;
unacknowledged */

/*

oldest

frame

as

yet

seq3nr frame3expected; /* next frame expected on inbound

stream */
frame r; /* scratch variable */
packet buffer[MAX3SEQ + 1]; /* buffers for the outbound
stream */
seq3nr nbuffered; /* # output buffers currently in use */
seq3nr i; /* used to index into the buffer array */
event3type event;
enable3network3layer();
events */

/*

allow

network3layer3ready

ack3expected = 0; /* next ack expected inbound */

next3frame3to3send = 0; /* next frame going out */
frame3expected = 0; /* number of frame expected inbound */
nbuffered = 0; /* initially no packets are buffered */
220 THE DATA LINK LAYER CHAP. 3
while (true) {

133

wait3for3event(&event); /* four possibilities: see event3type

above */
switch(event) {
case network3layer3ready: /* the network layer has a packet
to send */
/* Accept, save, and transmit a new frame. */
from3network3layer(&buffer[next3frame3to3send]); /* fetch
new packet */
nbuffered = nbuffered + 1; /* expand the senders window */
send3data(next3frame3to3send, frame3expected, buffer);/*
transmit the frame */
inc(next3frame3to3send); /* advance senders upper window
edge */
break;
case frame3arrival: /* a data or control frame has arrived */
from3physical3layer(&r); /* get incoming frame from physical
layer */
if (r.seq == frame3expected) {
/* Frames are accepted only in order. */
to3network3layer(&r.info); /* pass packet to network layer */
inc(frame3expected); /* advance lower edge of receivers
window */
}
/* Ack n implies n 1, n 2, etc. Check for this. */
while (between(ack3expected, r.ack, next3frame3to3send)) {
/* Handle piggybacked ack. */
nbuffered = nbuffered 1; /* one frame fewer buffered */
stop3timer(ack3expected); /* frame arrived intact; stop timer
*/
inc(ack3expected); /* contract senders window */
}
break;
case cksum3err: break; /* just ignore bad frames */
case timeout: /* trouble; retransmit all outstanding frames */
next3frame3to3send = ack3expected; /* start retransmitting
here */
for (i = 1; i <= nbuffered; i++) {

134

send3data(next3frame3to3send, frame3expected, buffer);/*

resend 1 frame */
inc(next3frame3to3send); /* prepare to send the next one */
}
}
if (nbuffered < MAX3SEQ)
enable3network3layer();
else
disable3network3layer();
}
}
order. It can also acknowledge all frames up to and including
5, as shown in the figure. If the NAK should get lost,
eventually the sender will time out for frame 2 and send it
(and only it) of its own accord, but that may be a quite a
while later. In effect, the NAK speeds up the retransmission
of one specific frame. Selective repeat corresponds to a
receiver window larger than 1. Any frame within the window
may be accepted and buffered until all the preceding ones
have been passed to the network layer.
This approach can require large amounts of data link layer
memory if the window is large. These two alternative approaches
are trade-offs between bandwidth and data link layer buffer space.
Depending on which resource is scarcer, one or the other can be
used. The above figure shows a pipelining protocol in which the
receiving data link layer only accepts frames in order; frames
following an error are discarded.
In this protocol, for the first time we have dropped the
assumption that the network layer always has an infinite supply of
packets to send. When the network layer has a packet it wants to
send, it can cause a network3layer3ready event to happen.
However, to enforce the flow control rule of no more than
MAX3SEQ unacknowledged frames outstanding at any time, the
data link layer must be able to keep the network layer from
bothering it with more work. The library procedures
enable3network3layer and disable3network3layer do this job.
Note that a maximum of MAX3SEQ frames and not
MAX3SEQ + 1 frames may be outstanding at any instant, even
though there are MAX3SEQ + 1 distinct sequence numbers: 0, 1, 2,
. . . , MAX3SEQ. To see why this restriction is required, consider
the following scenario with MAX3SEQ = 7.

135

1. The sender sends frames 0 through 7.

2. A piggybacked acknowledgement for frame 7 eventually comes
back to the sender.
3. The sender sends another eight frames, again with sequence
numbers 0 through 7.
4. Now another piggybacked acknowledgement for frame 7 comes
in.
The question is this: Did all eight frames belonging to the
second batch arrive successfully, or did all eight get lost (counting
discards following an error as lost)? In both cases the receiver
would be sending frame 7 as the acknowledgement. The sender
has no way of telling. For this reason the maximum number of
outstanding frames must be restricted to MAX3SEQ.
Although protocol 5 does not buffer the frames arriving after
an error, it does not escape the problem of buffering altogether.
Since a sender may have to retransmit all the unacknowledged
frames at a future time, it must hang on to all transmitted frames
until it knows for sure that they have been accepted by the receiver.
When an acknowledgement comes in for frame n, frames n 1, n
2, and so on are also automatically acknowledged. This property is
especially important when some of the previous acknowledgementbearing frames were lost or garbled. Whenever any
acknowledgement comes in, the data link layer checks to see if any
buffers can now be released. If buffers can be released (i.e., there
is some room available in the window), a previously blocked
network layer can now be allowed to cause more
network3layer3ready events.
For this protocol, we assume that there is always reverse
traffic on which to piggyback acknowledgements. If there is not, no
acknowledgements can be sent. Protocol 4 does not need this
assumption since it sends back one frame every time it receives a
frame, even if it has just already sent that frame. In the next
protocol we will solve the problem of one-way traffic in an elegant
way.
Because protocol 5 has multiple outstanding frames, it
logically needs multiple timers, one per outstanding frame. Each
frame times out independently of all the other ones. All of these
timers can easily be simulated in software, using a single hardware
clock that causes interrupts periodically. The pending timeouts form
a linked list, with each node of the list telling the number of clock
ticks until the timer expires, the frame being timed, and a pointer to
the next node.

136

As an illustration of how the timers could be implemented,

consider the example of the above figure(a). Assume that the clock
ticks once every 100 msec. Initially, the real time is 10:00:00.0;
three timeouts are pending, at 10:00:00.5, 10:00:01.3, and
10:00:01.9. Every time the hardware clock ticks, the real time is
updated and the tick counter at the head of the list is decremented.
When the tick counter becomes zero, a timeout is caused and the
node is removed from the list, as shown in Fig. (b). Although this
organization requires the list to be scanned when start3timer or
stop3timer is called, it does not require much work per tick.
In protocol 5, both of these routines have been given a
parameter, indicating which frame is to be timed.
9.1.3. A Protocol Using Selective Repeat
Protocol 5 works well if errors are rare, but if the line is poor,
it wastes a lot of bandwidth on retransmitted frames. An alternative
strategy for handling errors is to allow the receiver to accept and
buffer the frames following a damaged or lost one. Such a protocol
does not discard frames merely because an earlier frame was
damaged or lost.
In this protocol, both sender and receiver maintain a window
of acceptable sequence numbers. The senders window size starts
out at 0 and grows to some predefined maximum, MAX3SEQ. The
receivers window, in contrast, is always fixed in size and equal to
MAX3SEQ. The receiver has a buffer reserved for each sequence
number within its fixed window. Associated with each buffer is a bit
(arrived ) telling whether the buffer is full or empty. Whenever a
frame arrives, its sequence number is checked by the function
between to see if it falls within the window. If so and if it has not
already been received, it is accepted and stored.
This action is taken without regard to whether or not it
contains the next packet expected by the network layer. Of course,

137

it must be kept within the data link layer and not passed to the
network layer until all the lower-numbered frames have already
been delivered to the network layer in the correct order. A protocol
using this algorithm is given in the above mentioned figure.
Non sequential receive introduces certain problems not
present in protocols in which frames are only accepted in order. We
can illustrate the trouble most easily with an example. Suppose that
we have a 3-bit sequence number, so that the sender is permitted
to transmit up to seven frames before being required to wait for an
acknowledgement. Initially, the senders and receivers windows
are as shown in the following figure (a).

The sender now transmits frames 0 through 6. The

receivers window allows it to accept any frame with sequence
number between 0 and 6 inclusive. All seven frames arrive
correctly, so the receiver acknowledges them and advances its
window to allow receipt of 7, 0, 1, 2, 3, 4, or 5, as shown in Fig. (b).
All seven buffers are marked empty.
It is at this point that disaster strikes in the form of a lightning
bolt hitting the telephone pole and wiping out all the
acknowledgements. The sender eventually times out and
retransmits frame 0. When this frame arrives at the receiver, a
check is made to see if it falls within the receivers window.
Unfortunately, in Fig. (b) Frame 0 is within the new window, so it
will be accepted. The receiver sends a piggybacked
acknowledgement for frame 6, since 0 through 6 have been
received.
The sender is happy to learn that all its transmitted frames
did actually arrive correctly, so it advances its window and
immediately sends frames 7, 0, 1, 2, 3, 4, and 5. Frame 7 will be
accepted by the receiver and its packet will be passed directly to

138

the network layer. Immediately thereafter, the receiving data link

layer checks to see if it has a valid frame 0 already, discovers that it
does, and passes the embedded packet to the network layer.
Consequently, the network layer gets Protocol 6 (selective repeat),
accepts frames out of order but passes packets to the network
layer in order. Associated with each outstanding frame is a timer.
When the timer expires, only that frame is retransmitted, not all the
outstanding frames, as in protocol 5 an incorrect packet and the
protocol fail.
*/#define MAX3SEQ 7 /* should be 2n 1 */
#define NR3BUFS ((MAX3SEQ + 1)/2)
typedef
enum
{frame3arrival,
cksum3err,
network3layer3ready, ack3timeout} event3type;

timeout,

#include "protocol.h"
boolean no3nak = true; /* no nak has been sent yet */
seq3nr oldest3frame = MAX3SEQ + 1; /* initial value is only
for the simulator */
static boolean between(seq3nr a, seq3nr b, seq3nr c)
{
/* Same as between in protocol5, but shorter and more
obscure. */
return ((a <= b) && (b < c)) || ((c < a) && (a <= b)) || ((b < c)
&& (c < a));
}
static void send3frame(frame3kind fk, seq3nr frame3nr,
seq3nr frame3expected, packet buffer[ ])
{
/* Construct and send a data, ack, or nak frame. */
frame s; /* scratch variable */
s.kind = fk; /* kind == data, ack, or nak */
if (fk == data) s.info = buffer[frame3nr % NR3BUFS];
s.seq = frame3nr; /* only meaningful for data frames */
s.ack = (frame3expected + MAX3SEQ) % (MAX3SEQ + 1);
if (fk == nak) no3nak = false; /* one nak per frame, please */
to3physical3layer(&s); /* transmit the frame */
if (fk == data) start3timer(frame3nr % NR3BUFS);
stop3ack3timer(); /* no need for separate ack frame */
}

139

void protocol6(void)
{
seq3nr ack3expected; /* lower edge of senders window */
seq3nr next3frame3to3send; /* upper edge of senders
window + 1 */
seq3nr frame3expected; /* lower edge of receivers window
*/
seq3nr too3far; /* upper edge of receivers window + 1 */
int i; /* index into buffer pool */
frame r; /* scratch variable */
packet out3buf[NR3BUFS]; /* buffers for the outbound
stream */
packet in3buf[NR3BUFS]; /* buffers for the inbound stream */
boolean arrived[NR3BUFS]; /* inbound bit map */
seq3nr nbuffered; /* how many output buffers currently used
*/
event3type event;
enable3network3layer(); /* initialize */
ack3expected = 0; /* next ack expected on the inbound
stream */
next3frame3to3send = 0; /* number of next outgoing frame */
frame3expected = 0;
too3far = NR3BUFS;
nbuffered = 0; /* initially no packets are buffered */
for (i = 0; i < NR3BUFS; i++) arrived[i] = false;
SEC. 3.4 SLIDING WINDOW PROTOCOLS 225
while (true) {
wait3for3event(&event); /* five possibilities: see event3type
above */
switch(event) {
case network3layer3ready: /* accept, save, and transmit a
new frame */
nbuffered = nbuffered + 1; /* expand the window */
from3network3layer(&out3buf[next3frame3to3send
NR3BUFS]); /* fetch new packet */
send3frame(data, next3frame3to3send,
out3buf);/* transmit the frame */

frame3expected,

140

inc(next3frame3to3send); /* advance upper window edge */

break;
case frame3arrival: /* a data or control frame has arrived */
from3physical3layer(&r); /* fetch incoming frame from
physical layer */
if (r.kind == data) {
/* An undamaged frame has arrived. */
if ((r.seq != frame3expected) && no3nak)
send3frame(nak,
start3ack3timer();

0,

frame3expected,

out3buf);

else

if
(between(frame3expected,
r.seq,
(arrived[r.seq%NR3BUFS] == false)) {

too3far)

&&

/* Frames may be accepted in any order. */

arrived[r.seq % NR3BUFS] = true; /* mark buffer as full */
in3buf[r.seq % NR3BUFS] = r.info; /* insert data into buffer */
while (arrived[frame3expected % NR3BUFS]) {
/* Pass frames and advance window. */
to3network3layer(&in3buf[frame3expected % NR3BUFS]);
no3nak = true;
arrived[frame3expected % NR3BUFS] = false;
inc(frame3expected); /* advance lower edge of receivers
window */
inc(too3far); /* advance upper edge of receivers window */
start3ack3timer(); /* to see if a separate ack is needed */
}
}
}
if((r.kind==nak)
&&
between(ack3expected,(r.ack+1)%(MAX3SEQ+1),next3fram
e3to3send))
send3frame(data, (r.ack+1)
frame3expected, out3buf);

(MAX3SEQ

1),

while (between(ack3expected, r.ack, next3frame3to3send)) {

nbuffered = nbuffered 1; /* handle piggybacked ack */
stop3timer(ack3expected % NR3BUFS); /* frame arrived
intact */

141

inc(ack3expected); /* advance lower edge of senders

window */
}
break;
case cksum3err:
if (no3nak) send3frame(nak, 0, frame3expected, out3buf); /*
damaged frame */
break;
case timeout:
send3frame(data, oldest3frame, frame3expected, out3buf);
/* we timed out */
break;
case ack3timeout:
send3frame(ack,0,frame3expected, out3buf); /* ack timer
expired; send ack */
}
if (nbuffered < NR3BUFS) enable3network3layer(); else
disable3network3layer();
}
}
The essence of the problem is that after the receiver
advanced its window, the new range of valid sequence numbers
overlapped the old one. Consequently, the following batch of
frames might be either duplicates (if all the acknowledgements
were lost) or new ones (if all the acknowledgements were
received). The poor receiver has no way of distinguishing these two
cases.
The way out of this dilemma lies in making sure that after the
receiver has advanced its window, there is no overlap with the
original window. To ensure that there is no overlap, the maximum
window size should be at most half the range of the sequence
numbers, as is done in Fig. (c) and Fig. (d). For example, if 4 bits
are used for sequence numbers, these will range from 0 to 15.
Only eight unacknowledged frames should be outstanding at
any instant. That way, if the receiver has just accepted frames 0
through 7 and advanced its window to permit acceptance of frames
8 through 15, it can unambiguously tell if subsequent frames are
retransmissions (0 through 7) or new ones (8 through 15). In
general, the window size for protocol 6 will be (MAX3SEQ + 1)/2.
Thus, for 3- bit sequence numbers, the window size is four.

142

An interesting question is: How many buffers must the

receiver have? Under no conditions will it ever accept frames
whose sequence numbers are below the lower edge of the window
or frames whose sequence numbers are above the upper edge of
the window. Consequently, the number of buffers needed is equal
to the window size, not to the range of sequence numbers. In the
above example of a 4- bit sequence number, eight buffers,
numbered 0 through 7, are needed. When frame i arrives, it is put
in buffer i mod 8. Notice that although i and (i + 8) mod 8 are
competing for the same buffer, they are never within the window
at the same time, because that would imply a window size of at
least 9.
For the same reason, the number of timers needed is equal
to the number of buffers, not to the size of the sequence space.
Effectively, a timer is associated with each buffer. When the timer
runs out, the contents of the buffer are retransmitted.
In protocol 5, there is an implicit assumption that the channel
is heavily loaded. When a frame arrives, no acknowledgement is
sent immediately. Instead, the acknowledgement is piggybacked
onto the next outgoing data frame. If the reverse traffic is light, the
acknowledgement will be held up for a long period of time. If there
is a lot of traffic in one direction and no traffic in the other direction,
only MAX3SEQ packets are sent, and then the protocol blocks,
which is why we had to assume there was always some reverse
traffic.
In protocol 6 this problem is fixed. After an in-sequence data
frame arrives, an auxiliary timer is started by start3ack3timer. If no
reverse traffic has presented itself before this timer expires, a
separate acknowledgement frame is sent. An interrupt due to the
auxiliary timer is called an ack3timeout event. With this
arrangement, one-directional traffic flow is now possible because
the lack of reverse data frames onto which acknowledgements can
be piggybacked is no longer an obstacle. Only one auxiliary timer
exists, and if start3ack3timer is called while the timer is running, it is
reset to a full acknowledgement timeout interval. It is essential that
the timeout associated with the auxiliary timer be appreciably
shorter than the timer used for timing out data frames. This
condition is required to make sure a correctly received frame is
acknowledged early enough that the frames retransmission timer
does not expire and retransmit the frame. Protocol 6 uses a more
efficient strategy than protocol 5 for dealing with errors. Whenever
the receiver has reason to suspect that an error has occurred, it
sends a negative acknowledgement (NAK) frame back to the
sender. Such a frame is a request for retransmission of the frame
specified in the NAK. There are two cases when the receiver
should be suspicious: a damaged frame has arrived or a frame

143

other than the expected one arrived (potential lost frame). To avoid
making
Multiple requests for retransmission of the same lost frame,
the receiver should keep track of whether a NAK has already been
sent for a given frame. The variable no3nak in protocol 6 is true if
no NAK has been sent yet for frame3expected. If the NAK gets
mangled or lost, no real harm is done, since the senders will
eventually time out and retransmit the missing frame anyway. If the
wrong frame arrives after a NAK has been sent and lost, no3nak
will be true and the auxiliary timer will be started. When it expires,
an ACK will be sent to resynchronize the sender to the receivers
current status.
In some situations, the time required for a frame to
propagate to the destination, be processed there, and have the
acknowledgement come back is (nearly) constant. In these
situations, the sender can adjust its timer to be just slightly larger
than the normal time interval expected between sending a frame
and receiving its acknowledgement. However, if this time is highly
variable, the sender is faced with the choice of either setting the
interval to a small value (or risking unnecessary retransmissions),
or setting it to a large value (and going idle for a long period after
an error).
Both choices waste bandwidth. If the reverse traffic is
sporadic, the time before acknowledgement will be irregular, being
shorter when there is reverse traffic and longer when there is not.
Variable processing time within the receiver can also be a problem
here. In general, whenever the standard deviation of the
acknowledgement interval is small compared to the interval itself,
the timer can be set tight and NAKs are not useful. Otherwise the
timer must be set loose, to avoid unnecessary retransmissions,
but NAKs can appreciably speed up retransmission of lost or
damaged frames.
Closely related to the matter of time outs and NAKs is the
question of determining which frame caused a timeout. In protocol
5, it is always ack3expected, because it is always the oldest. In
protocol 6, there is no trivial way to determine who timed out.
Suppose that frames 0 through 4 have been transmitted, meaning
that the list of outstanding frames is 01234, in order from oldest to
youngest. Now imagine that 0 times out, 5 (a new frame) is
transmitted, 1 times out, 2 times out, and 6 (another new frame) is
transmitted. At this point the list of outstanding frames is 3405126,
from oldest to youngest. If all inbound traffic (i.e.,
acknowledgement- bearing frames) is lost for a while, the seven
outstanding frames will time out in that order.

144

To keep the example from getting even more complicated

than it already is, we have not shown the timer administration.
Instead, we just assume that the variable oldest3frame is set upon
timeout to indicate which frame timed out.

9.2. HDLC
High-Level Data Link Control, also know as HDLC, is a bit
oriented, switched and non-switched protocol. It is a data link
control protocol, and falls within layer 2, the Data Link Layer, of the
Open Systems Interface(OSI) model as shown in the following
figure.

Figure 1
HDLC is a protocol developed by the International
Organization for Standardization (ISO). It falls under the ISO
standards ISO 3309 and ISO 4335. It has found itself being used
throughout the world. It has been so widely implemented because it
supports both half duplex and full duplex communication lines, point
to point(peer to peer) and multi-point networks, and switched or
non-switched channels. The procedures outlined in HDLC are
designed to permit synchronous, code-transparent data
transmission. Other benefits of HDLC are that the control
information is always in the same position, and specific bit patterns
used for control differ dramatically from those in representing data,
which reduces the chance of errors.
It has also led to many subsets. Two subsets widely in use
are Synchronous Data Link Control(SDLC) and Link Access
Procedure-Balanced (LAP-B).

145

This technical overview will be concerned with the following aspects

of HDLC:

Stations and Configurations

Operational Modes
Non-Operational Modes
Frame Structure
Commands and Responses
HDLC Subsets(SDLC and LAPB)

9.2.1. HDLC STATIONS AND CONFIGURATIONS

HDLC specifies the following three types of stations for data link
control:
Primary Station
Secondary Station
Combined Station
PRIMARY STATION
Within a network using HDLC as it's data link protocol, if a
configuration is used in which there is a primary station, it is used
as the controlling station on the link. It has the responsibility of
controlling all other stations on the link(usually secondary stations).
Despite this important aspect of being on the link, the primary
station is also responsible for the organization of data flow on the
link. It also takes care of error recovery at the data link level(layer 2
of the OSI model).
SECONDARY STATION
If the data link protocol being used is HDLC, and a primary
station is present, a secondary station must also be present on the
data link. The secondary station is under the control of the primary
station. It has no ability, or direct responsibility for controlling the
link. It is only activated when requested by the primary station. It
only responds to the primary station. The secondary station's
frames are called responses. It can only send response frames
when requested by the primary station.
COMBINED STATION
A combined station is a combination of a primary and
secondary station. On the link, all combined stations are able to
send and receive commands and responses without any
permission from any other stations on the link. Each combined
station is in full control of itself, and does not rely on any other
stations on the link. No other stations can control any combined
station.

146

9.2.2. Stations:
HDLC also defines three types of configurations for the three
types of stations:

Unbalanced Configuration
Balanced Configuration
Symmetrical Configuration

UNBALANCED CONFIGURATION
The unbalanced configuration in an HDLC link consists of a
primary station and one or more secondary stations. The
unbalanced occurs because one stations controls the other
stations. In a unbalanced configurations, any of the following can
be used:

Full - Duplex or Half - Duplex operation

Point to Point or Multi-point networks

An example of an unbalanced configuration can be found below

in figure 2.a
BALANCED CONFIGURATION
The balanced configuration in an HDLC link consists of two
or more combined stations. Each of the stations have equal and
complimentary responsibility compared to each other. Balanced
configurations can used only the following:
Full - Duplex or Half - Duplex operation
Point to Point networks
An example of a balanced configuration can be found below in
figure 2.b
Figure 2.a An unbalanced configuration

Figure 2.b A balanced configuration

147

SYMMETRICAL CONFIGURATION
This third type of configuration is not widely in use today. It
consists of two independent point to point, unbalanced station
configurations. In this configurations, each station has a primary
and secondary status. Each station is logically considered as two
stations.
9.2.3. HDLC Operational Modes
HDLC offers three different modes of operation. These three
modes of operations are:
Normal Response Mode(NRM)
Asynchronous Response Mode(ARM)
Asynchronous Balanced Mode(ABM)
Normal Response Mode
This is the mode in which the primary station initiates
transfers to the secondary station. The secondary station can only
transmit a response when, and only when, it is instructed to do so
by the primary station. In other words, the secondary station must
receive explicit permission from the primary station to transfer a
response. After receiving permission from the primary station, the
secondary station initiates it's transmission. This transmission from
the secondary station to the primary station may be much more
than just an acknowledgment of a frame. It may in fact be more
than one information frame. Once the last frame is transmitted by
the secondary station, it must wait once again from explicit
permission to transfer anything, from the primary station. Normal
Response Mode is only used within an unbalanced configuration.
Asynchronous Response Mode
In this mode, the primary station doesn't initiate transfers to
the secondary station. In fact, the secondary station does not have
to wait to receive explicit permission from the primary station to
transfer any frames. The frames may be more than just
acknowledgment frames. They may contain data, or control
information regarding the status of the secondary station. This
mode can reduce overhead on the link, as no frames need to be

148

transferred in order to give the secondary station permission to

initiate a transfer. However some limitations do exist. Due to the
fact that this mode is Asynchronous, the secondary station must
wait until it detects and idle channel before it can transfer any
frames. This is when the ARM link is operating at half-duplex. If the
ARM link is operating at full-duplex, the secondary station can
transmit at any time. In this mode, the primary station still retains
responsibility for error recovery, link setup, and link disconnection.
Asynchronous Balanced Mode
This mode uses combined stations. There is no need for
permission on the part of any station in this mode. This is because
combined stations do not require any sort of instructions to perform
any task on the link.
Normal Response Mode is used most frequently in multipoint lines, where the primary station controls the link.
Asynchronous Response Mode is better for point to point links, as it
reduces overhead. Asynchronous Balanced Mode is not used
widely today.
The "asynchronous" in both ARM and ABM does not refer to
the format of the data on the link. It refers to the fact that any given
station can transfer frames without explicit permission or instruction
from any other station.
9.2.4. HDLC Non-Operational Modes
HDLC also defines three non-operational modes. These three nonoperational modes are:
Normal Disconnected Mode(NDM)
Asynchronous Disconnected Mode(ADM)
Initialization Mode(IM)
The two disconnected modes(NDM and ADM) differ from the
operational modes in that the secondary station is logically
disconnected from the link(note the secondary station is not
physically disconnected from the link). The IM mode is different
from the operations modes in that the secondary station's data link
control program is in need of regeneration or it is in need of an
exchange of parameters to be used in an operational mode.
9.2.5. HDLC Frame Structure
HDLC uses the term "frame" to indicate an entity of data (or
a protocol data unit) transmitted from one station to another. Figure
below is a graphical representation of a HDLC frame with an
information field.

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An HDLC frame with an information field.

Field Name
Flag Field( F )
Address Field( A )
Control Field( C )
Information Field( I )
Frame Check Sequence( FCS )
Closing Flag Field( F )

Size(in bits)
8 bits
8 bits
8 or 16 bits
Variable; Not used in some
frames
16 or 32 bits
8 bits

THE FLAG FIELD

Every frame on the link must begin and end with a flag
sequence field(F). Stations attached to the data link must
continually listen for a flag sequence. The flag sequence is an octet
looking like 01111110. Flags are continuously transmitted on the
link between frames to keep the link active. Two other bit
sequences are used in HDLC as signals for the stations on the link.
These two bit sequences are:

Seven 1's, but less than 15 signal an abort signal. The

stations on the link know there is a problem on the link.

15 or more 1's indicate that the channel is in an idle state.

The time between the transmissions of actual frames is called

the interframe time fill. The interframe time fill is accomplished by
transmitting continuous flags between frames. The flags may be in
8 bit multiples.
HDLC is a code-transparent protocol. It does not rely on a
specific code for interpretation of line control. This means that if a
bit at position N in an octet has a specific meaning, regardless of
the other bits in the same octet. If an octet has a bit sequence of
01111110, but is not a flag field, HLDC uses a technique called bitstuffing to differentiate this bit sequence from a flag field. Once the
transmitter detects that it is sending 5 consecutive 1's, in inserts a 0
bit to prevent a "phony" flag.
At the receiving end, the receiving station inspects the incoming
frame. If it detects 5 consecutive 1's it looks at the next bit. If it is a
0, it pulls it out. If it is a 1, it looks at the 8th bit. If the 8th bit is a 0, it
knows an abort or idle signal has been sent. It then proceeds to
inspect the following bits to determine appropriate action. This is
the manner in which HDLC achieves code-transparency. HDLC is

150

not concerned with any specific bit code inside the data stream. It is
only concerned with keeping flags unique.
THE ADDRESS FIELD
The address field (A) identifies the primary or secondary
stations involvement in the frame transmission or reception. Each
station on the link has a unique address. In an unbalanced
configuration, the A field in both commands and responses refers to
the secondary station. In a balanced configuration, the command
frame contains the destination station address and the response
frame has the sending station's address.
THE CONTROL FIELD
HDLC uses the control field(C) to determine how to control
the communications process. This field contains the commands,
responses and sequences numbers used to maintain the data flow
accountability of the link, defines the functions of the frame and
initiates the logic to control the movement of traffic between
sending and receiving stations. There three control field formats:
Information Transfer Format
The frame is used to transmit end-user data between two devices.

Supervisory Format
The control field performs control functions such as
acknowledgment of frames, requests for re-transmission, and
requests for temporary suspension of frames being transmitted. Its
use depends on the operational mode being used.

Unnumbered Format
This control field format is also used for control purposes. It
is used to perform link initialization, link disconnection and other link
control functions.

THE POLL/FINAL BIT(P/F)

The 5th bit position in the control field is called the poll/final
bit, or p/f bit. It can only be recognized when it is set to 1. If it is set
to 0, it is ignored. The poll/final bit is used to provide dialogue
between the primary station and secondary station. The primary
station uses P=1 to acquire a status response from the secondary
station. The P bit signifies a poll. The secondary station responds to
the P bit by transmitting a data or status frame to the primary
station with the P/F bit set to F=1. The F bit can also be used to
signal the end of a transmission from the secondary station under
Normal Response Mode.
THE INFORMATION FIELD
This field is not always in a HDLC frame. It is only present
when the Information Transfer Format is being used in the control

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field. The information field contains the actually data the sender is
transmitting to the receiver.
THE FRAME CHECK SEQUENCE FIELD
This field contains a 16 bit, or 32 bit cyclic redundancy
check. It is used for error detection.
9.2.6. HDLC COMMANDS AND RESPONSES
The set of commands and responses in HDLC is
summarized in table 1.
INFORMATION TRANSFER FORMAT COMMAND AND
RESPONSE
The functions of the information command and response is
to transfer sequentially numbered frames, each containing an
information field, across the data link.
SUPERVISORY FORMAT COMMANDS AND RESPONSES
Supervisory(S) commands and responses are used to perform
numbered supervisory functions such as acknowledgment, polling,
temporary suspension of information transfer, or error recovery.
Frames with the S format control field cannot contain an information
field. A primary station may use the S format command frame with
the P bit set to 1 to request a response from a secondary station
regarding its status. Supervisory Format commands and responses
are as follows:

Receive Ready (RR) is used by the primary or secondary

station to indicate that it is ready to receive an information
frame and/or acknowledge previously received frames.

Receive Not Ready (RNR) is used to indicate that the

primary or secondary station is not ready to receive any
information frames or acknowledgments.

Reject (REJ) is used to request the retransmission of

frames.

Selective Reject (SREJ) is used by a station to request

retransmission of specific frames. An SREJ must be
transmitted for each erroneous frame; each frame is treated
as a separate error. Only one SREJ can remain outstanding
on the link at any one time.

UNNUMBERED FORMAT COMMANDS RESPONSES

The unnumbered format commands and responses are used
to extend the number of data link control functions. The
unnumbered format frames have 5 modifier bits which allow for up
to 32 additional commands and 32 additional response functions.

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Below, 13 command functions, and 8 response functions are

described.

Set Normal Response Mode(SNRM) places the secondary

station into NRM. NRM does not allow the secondary station
to send any unsolicited frames. Hence the primary station
has control of the link.

Set Asynchronous Response Mode (SARM) allows a

secondary station to transmit frames without a poll from the
primary station.

Set Asynchronous Balanced Mode (SABM) sets the

operational mode of the link to ABM.

Disconnect(DISC) places the secondary station in to a

disconnected mode.

Set Normal Response Mode Extended (SNRME) increases

the size of the control field to 2 octets instead of one in NRM.
This is used for extended sequencing. The same applies for
SARME and SABME.

Set Initialization Mode (SIM) is used to cause the secondary

station to initiate a station-specific procedure(s) to initialize
its data link level control functions.

Unnumbered Poll (UP) polls a station without regard to

sequencing or acknowledgment.

Unnumbered Information (UI) is used to send information to

a secondary station.

Exchange Identification (XID) is used to cause the

secondary station to identify itself and provide the primary
station identifications characteristics of itself.

Reset (RSET) is used to reset the receive state variable in

the addressed station.

Test (TEST) is used to cause the addressed secondary

station to respond with a TEST response at the first
response opportunity. It performs a basic test of the data link
control.

Unnumbered Acknowledgment (UA) is used by the

secondary station to acknowledge the receipt and
acceptance of an SNRM, SARM, SABM, SNRME, SARME,
SABME, RSET, SIM, or DISC commands.

Disconnected Mode (DM) is transmitted from a secondary

station to indicate it is in disconnected mode(non-operational
mode.)

Request Initialization Mode (RIM) is a request from a

secondary station for initialization to a primary station. Once

153

the secondary station sends RIM, it can only respond to SIM,

DSIC, TEST or XID commands.

Request Disconnect (RD) is sent by the secondary station to

inform the primary station that it wishes to disconnect from
the link and go into a non-operational mode(NDM or ADM).

Frame Reject (FRMR) is used by the secondary station in an

operation mode to report that a condition has occurred in
transmission of a frame and retransmission of the frame will
not correct the condition.

TABLE 1 HDLC Commands and Responses

Information Transfer

Information Transfer

Format Commands

Format Responses

I - Information

I - Information

Supervisory Format

Supervisory Format

Commands

Responses

RR - Receive ready

RR - Receive ready

RNR - Receive not ready

RNR - Receive not ready

REJ - Reject

REJ - Reject

SREJ - Selective reject

SREJ - Selective reject

Unnumbered Format

Unnumbered Format

Commands

Commands

SNRM - Set Normal Response Mode

UA
Unnumbered
Acknowledgment

SARM - Set Asynchronous Response

DM - Disconnected Mode
Mode
SABM - Set Asynchronous Balanced RIM - Request Initialization
Mode
Mode
DISC - Disconnect

RD - Request Disconnect

SNRME - Set Normal Response UI

Mode Extended
Information
SARME
Set
Asynchronous XID
Response Mode Extended
Identification

Unnumbered
Exchange

SABME
Set
Asynchronous
FRMR - Frame Reject
Balanced Mode Extended
SIM - Set Initialization Mode
UP - Unnumbered Poll

TEST - Test

154

UI - Unnumbered Information
XID - Exchange identification
RSET - Reset
TEST - Test
HDLC SUBSETS
Many other data link protocols have been derived from
HDLC. However, some of them reach beyond the scope of HDLC.
Two other popular offsets of HDLC are Synchronous Data Link
Control (SDLC), and Link Access Protocol, Balanced(LAP-B).
SDLC is used and developed by IBM. It is used in a variety of
terminal to computer applications. It is also part of IBM's SNA
communication architecture. LAP-B was developed by the ITU-T. It
is derived mainly from the asynchronous response mode (ARM) of
HDLC. It is commonly used for attaching devices to packetswitched networks.

155

10
THE MEDIUM ACCESS SUB LAYER
Under this unit, we are going to discuss the importance of the
medium access sub layer and the protocols support the
functionalities. Following Protocols are going to be discussed:
Unit Structure
10.1 Multiple Access Protocols
10.1.1ALOHA (Pure, slotted, reservation)
10.2 Carrier Sense Multiple Access Protocols (CSMA)
Collision free Protocols
IEEE Standard 802.3, 802.4, 802.5, 802.6
10.3 High speed LANs FDDI
10.4 Satellite Networks Polling, ALOHA, FDMA, TDMA, CDMA
10.5 Categories of satellites GEO, MEO, LEO

10.1 MULTIPLE ACCESS PROTOCOLS

In telecommunications and computer networks, a channel
access
method or multiple
access
method allows
several terminals connected to the same multi-point transmission
medium to transmit over it and to share its capacity. Examples of
shared physical media are wireless networks, bus networks, ring
networks, hub networks and half-duplex point-to-point links.
A
channel-access
scheme
is
based
on
a multiplexing method that allows several data streams or signals to
share the same communication channel or physical medium.
Multiplexing is in this context provided by the physical layer. Note
that multiplexing also may be used in full-duplex point-topoint communication between nodes in a switched network, which
should not be considered as multiple access.
A channel-access scheme is also based on a multiple
access protocol and control mechanism, also known as media
access control (MAC). This protocol deals with issues such as
addressing, assigning multiplex channels to different users, and
avoiding collisions. The MAC-layer is a sub-layer in Layer 2 (Data
Link Layer) of the OSI model and a component of the Link Layer of
the TCP/IP model.
Let us see the protocols that support multiple access:

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10.1.1 ALOHA:
Aloha, also called the Aloha method, refers to a simple
communications scheme in which each source (transmitter) in a
network sends data whenever there is a frame to send. If the frame
successfully reaches the destination (receiver), the next frame is
sent. If the frame fails to be received at the destination, it is sent
again. This protocol was originally developed at the University of
Hawaii for use with satellite communication systems in the Pacific.
In a wireless broadcast system or a half-duplex two-way link,
Aloha works perfectly. But as networks become more complex, for
example in an Ethernet system involving multiple sources and
destinations in which data travels many paths at once, trouble
occurs because data frames collide (conflict). The heavier the
communications volume, the worse the collision problems
become. The result is degradation of system efficiency, because
when two frames collide, the data contained in both frames is lost.
To minimize the number of collisions, thereby optimizing
network efficiency and increasing the number of subscribers that
can use a given network, a scheme called slotted Aloha was
developed. This system employs signals called beacons that are
sent at precise intervals and tell each source when the channel is
clear to send a frame. Further improvement can be realized by a
more sophisticated protocol called Carrier Sense Multiple Access
with Collision Detection (CSMA).
History about ALOHA:
In 1070s, Norman Abranson and his colleagues at the
University of Hawaii devised a new and elegant method to solve the
channel allocation problem. Many researchers have extended their
work since then. Although Abranson's work, called the Aloha
System, used ground-based radio broadcasting, the basic idea is
applicable to any system in which uncoordinated users are
completing for the use of a single shared channel.
The two several of ALOHA are:
PURE ALOHA
SLOTTED ALOHA
Pure Aloha:

Very simple one.

Send the packet. In case of collision try to resend it.

157

Analyzing the Aloha Protocol:

Goal: quantitative understanding of performance of Aloha
protocol
Supports fixed length Packets.
Packet transmission time is unit of time.
Throughput S: number Packets successfully (without
collision) transmitted per unit time.
Offered load G: number Packet transmissions attempted per
unit time.
o note: S<G, but S depends on G
Poisson model: probability of k Packet transmission attempts in t
time units:
Prob[k trans in t] = ((Gt)**k )(e**(-Gt))/(k!)
capacity of multiple access protocol: maximum value of S
over all values of G
Focus on a given attempted packet transmission

158

Pure Aloha throughput

Note: maximum throughput is 18% of physical channel

capacity you buy 1 Mb link, throughput will never be more
than 180Kb!
Slotted Aloha:
It works as synchronous system where time divided into
slots.
The slot size equals fixed packet transmission time.
When Packet is ready for transmission, wait until start
of next slot.
Thus, packets overlap completely or not at all.

Slotted Aloha performance:

S = G*prob[no other transmissions overlap]
= G*prob[0 other attempted transmissions]
= G*prob[0 other arrivals in previous slot]
= Ge**(-G)

159

Slotted Aloha Throughput:

Conclusion about the performance of Aloha: Aloha is inefficient

(and rude!): doesn't listen before talking!

10.2 CARRIER SENSE MULTIPLE ACCESS: CSMA

Carrier
Sense
Multiple
Access (CSMA)
is
a probabilistic Media Access Control (MAC) protocol in which a
node verifies the absence of other traffic before transmitting on a
shared transmission medium, such as an electrical bus, or a band
of the electromagnetic spectrum.
"Carrier
Sense"
describes
the
fact
that
a transmitter uses feedback from a receiver that detects a carrier
wave before trying to send. That is, it tries to detect the presence of
an encoded signal from another station before attempting to
transmit. If a carrier is sensed, the station waits for the transmission
in progress to finish before initiating its own transmission.
"Multiple Access" describes the fact that multiple stations
send and receive on the medium. Transmissions by one node are
generally received by all other stations using the medium.
In our analysis the access methods to control multichannel
system and the data multichannel system is based on slotted
ALOHA protocol. Both control and data channels use the same
time reference which we call cycle. We define as cycle, the time
interval that includes onetime unit for control packet transmission
followed by a data packet transmission period. Thus the cycle time
duration is T=L+1 time units. The stations are synchronized for the
transmission on the control and data packet during a cycle. A
station generating or retransmitting a data packet, waits the
beginning of the next cycle, selects randomly one of the v
wavelengths

160

c1,...,
and sends a control packet over the
cm control
channel at the first time unit of the cycle. The control packet is
consisting of the transmitter address, the receiver address and the
dk, of the data channel. Immediately after
wavelength,
transmission of the control packet the data packet is transmitted
over

dk wavelength data channel.

Types of CSMA
1-persistent CSMA
When the sender (station) is ready to transmit data, it checks
if the physical medium is busy. If so, it senses the medium
continually until it becomes idle, and then it transmits a piece of
data (a frame). In case of a collision, the sender waits for
a random period of time and attempts to transmit again.
p-persistent CSMA
When the sender is ready to send data, it checks continually
if the medium is busy. If the medium becomes idle, the sender
transmits a frame with a probability p. If the station chooses not to
transmit (the probability of this event is 1-p), the sender waits until
the next available time slot and transmits again with the same
probability p. This process repeats until the frame is sent or some
other sender stops transmitting. In the latter case the sender
monitors the channel, and when idle, transmits with a probability p,
and so on.
o-persistent CSMA
Each station is assigned a transmission order by a
supervisor station. When medium goes idle, stations wait for their
time slot in accordance with their assigned transmission order. The
station assigned to transmit first transmits immediately. The station
assigned to transmit second waits one time slot (but by that time
the first station has already started transmitting). Stations monitor
the medium for transmissions from other stations and update their
assigned order with each detected transmission (i.e. they move one
position closer to the front of the queue).
Protocol modifications/variations:
Carrier
Sense
Multiple
Access
With
Collision
Detection (CSMA/CD) is a modification of CSMA. CSMA/CD is
used to improve CSMA performance by terminating transmission as
soon as a collision is detected, and reducing the probability of a
second collision on retry.

161

Carrier
Sense
Multiple
Access
with
Collision
Avoidance (CSMA/CA) is a modification of CSMA. Collision
avoidance is used to improve the performance of CSMA by
attempting to be less "greedy" on the channel. If the channel is
sensed busy before transmission then the transmission is deferred
for a "random" interval. This reduces the probability of collisions on
the channel.

10.3 HIGH SPEED LANS (FDDI)

Function and Frame Format of FDDI
Fiber Distributed-Data Interface (FDDI) :
FDDI (Fiber-Distributed Data Interface) is a standard for data
transmission on fiber optic lines in that can extend in range up to
200 km (124 miles). The FDDI protocol is based on the token ring
protocol. In addition to being large geographically, an FDDI local
area network can support thousands of users.
An FDDI network contains two token rings, one for possible backup
in case the primary ring fails. The primary ring offers up to 100
Mbps capacity. If the secondary ring is not needed for backup, it
can also carry data, extending capacity to 200 Mbps. The single
ring can extend the maximum distance; a dual ring can extend 100
km (62 miles).
FDDI is a product of American National Standards Committee X3T9 and conforms to the open system interconnect (OSI) model of
functional layering. It can be used to interconnect LANs using other
protocols. FDDI-II is a version of FDDI that adds the capability to
add circuit-switched service to the network so that voice signals can
also be handled. Work is underway to connect FDDI networks to
the developing Synchronous Optical Network.
Function of FDDI
Background
The Fiber Distributed Data Interface (FDDI) specifies a 100-Mbps
token-passing, dual-ring LAN using fiber-optic cable. FDDI is
frequently used as high-speed backbone technology because of its
support for high bandwidth and greater distances than copper. It
should be noted that relatively recently, a related copper
specification, called Copper Distributed Data Interface (CDDI) has
emerged to provide 100-Mbps service over copper. CDDI is the
implementation of FDDI protocols over twisted-pair copper wire.
This chapter focuses mainly on FDDI specifications and operations,
but it also provides a high-level overview of CDDI.

162

FDDI uses a dual-ring architecture with traffic on each ring flowing

in opposite directions (called counter-rotating). The dual-rings
consist of a primary and a secondary ring. During normal operation,
the primary ring is used for data transmission, and the secondary
ring remains idle. The primary purpose of the dual rings, as will be
discussed in detail later in this chapter, is to provide superior
reliability and robustness. Figure 1 shows the counter-rotating
primary and secondary FDDI rings.
Figure 1: FDDI uses counter-rotating primary and secondary
rings.

FDDI Specifications
FDDI specifies the physical and media-access portions of the OSI
reference model. FDDI is not actually a single specification, but it is
a collection of four separate specifications each with a specific
function. Combined, these specifications have the capability to
provide high-speed connectivity between upper-layer protocols
such as TCP/IP and IPX, and media such as fiber-optic cabling.
FDDI's four specifications are the Media Access Control (MAC),
Physical Layer Protocol (PHY), Physical-Medium Dependent
(PMD), and Station Management (SMT). The MAC specification
defines how the medium is accessed, including frame format, token
handling, addressing, algorithms for calculating cyclic redundancy
check (CRC) value, and error-recovery mechanisms. The PHY
specification defines data encoding/decoding procedures, clocking
requirements, and framing, among other functions. The PMD
specification defines the characteristics of the transmission
medium, including fiber-optic links, power levels, bit-error rates,
optical components, and connectors. The SMT specification defines
FDDI station configuration, ring configuration, and ring control
features, including station insertion and removal, initialization, fault
isolation and recovery, scheduling, and statistics collection.
FDDI is similar to IEEE 802.3 Ethernet and IEEE 802.5 Token Ring
in its relationship with the OSI model. Its primary purpose is to

163

provide connectivity between upper OSI layers of common

protocols and the media used to connect network devices. Figure 3
illustrates the four FDDI specifications and their relationship to each
other and to the IEEE-defined Logical-Link Control (LLC) sublayer.
The LLC sublayer is a component of Layer 2, the MAC layer, of the
OSI reference model.
Figure 2: FDDI specifications map to the OSI hierarchical
model.

FDDI Station-Attachment Types

One of the unique characteristics of FDDI is that multiple
ways actually exist by which to connect FDDI devices. FDDI
defines three types of devices: single-attachment station (SAS),
dual-attachment station (DAS), and a concentrator.
An SAS attaches to only one ring (the primary) through a
concentrator. One of the primary advantages of connecting devices
with SAS attachments is that the devices will not have any effect on
the FDDI ring if they are disconnected or powered off.
Concentrators will be discussed in more detail in the following
discussion.
Each FDDI DAS has two ports, designated A and B. These
ports connect the DAS to the dual FDDI ring. Therefore, each port
provides a connection for both the primary and the secondary ring.
As you will see in the next section, devices using DAS connections
will affect the ring if they are disconnected or powered off. Figure 3
shows FDDI DAS A and B ports with attachments to the primary
and secondary rings.

164

Figure 3: FDDI DAS ports attach to the primary and secondary

rings.

An FDDI concentrator (also called a dual-attachment

concentrator [DAC]) is the building block of an FDDI network. It
attaches directly to both the primary and secondary rings and
ensures that the failure or power-down of any SAS does not bring
down the ring. This is particularly useful when PCs, or similar
devices that are frequently powered on and off, connect to the ring.
Figure 4 shows the ring attachments of an FDDI SAS, DAS, and
concentrator.
TOP
Figure 4: A concentrator attaches to both the primary and
secondary rings.

FDDI Fault Tolerance

FDDI provides a number of fault-tolerant features. In particular,
FDDI's dual-ring environment, the implementation of the optical
bypass switch, and dual-homing support make FDDI a resilient
media technology.
Dual Ring
FDDI's primary fault-tolerant feature is the dual ring. If a station on
the dual ring fails or is powered down, or if the cable is damaged,
the dual ring is automatically wrapped (doubled back onto itself) into

165

a single ring. When the ring is wrapped, the dual-ring topology

becomes a single-ring topology. Data continues to be transmitted on
the FDDI ring without performance impact during the wrap condition.
Figure 5 and Figure 6 illustrate the effect of a ring wrapping in FDDI.
Figure 5: A ring recovers from a station failure by wrapping.

Figure 6: A ring also wraps to withstand a cable failure.

When a single station fails, as shown in Figure 5, devices on

either side of the failed (or powered down) station wrap, forming a
single ring. Network operation continues for the remaining stations

166

on the ring. When a cable failure occurs, as shown in Figure 6,

devices on either side of the cable fault wrap. Network operation
continues for all stations.
It should be noted that FDDI truly provides fault-tolerance
against a single failure only. When two or more failures occur, the
FDDI ring segments into two or more independent rings that are
unable to communicate with each other.
Optical Bypass Switch
An optical bypass switch provides continuous dual-ring
operation if a device on the dual ring fails. This is used both to
prevent ring segmentation and to eliminate failed stations from the
ring. The optical bypass switch performs this function through the
use of optical mirrors that pass light from the ring directly to the DAS
device during normal operation. In the event of a failure of the DAS
device, such as a power-off, the optical bypass switch will pass the
light through itself by using internal mirrors and thereby maintain the
ring's integrity. The benefit of this capability is that the ring will not
enter a wrapped condition in the event of a device failure. Figure 7
shows the functionality of an optical bypass switch in an FDDI
network.
Figure 7: The optical bypass switch uses internal mirrors to
maintain a network.

Dual Homing
Critical devices, such as routers or mainframe hosts, can
use a fault-tolerant technique called dual homing to provide
additional redundancy and to help guarantee operation. In dual-

167

homing situations, the critical device is attached to two

concentrators. Figure 8 shows a dual-homed configuration for
devices such as file servers and routers.
Figure 8: A dual-homed configuration guarantees operation.

One pair of concentrator links is declared the active link; the

other pair is declared passive. The passive link stays in back-up
mode until the primary link (or the concentrator to which it is
attached) is determined to have failed. When this occurs, the
passive link automatically activates.
FDDI Frame Format
The FDDI frame format is similar to the format of a Token
Ring frame. This is one of the areas where FDDI borrows heavily
from earlier LAN technologies, such as Token Ring. FDDI frames
can be as large as 4,500 bytes. Figure 9 shows the frame format of
an FDDI data frame and token.
Figure 9: The FDDI frame is similar to that of a Token Ring
frame.

FDDI Frame Fields

The following descriptions summarize the FDDI data frame and
token fields illustrated in Figure 9.
Preamble---A unique sequence that prepares each station for an
upcoming frame.

168

Start Delimiter---Indicates the beginning of a frame by employing a

signaling pattern that differentiates it from the rest of the frame.
Frame Control---Indicates the size of the address fields and whether
the frame contains asynchronous or synchronous data, among other
control information.
Destination Address---Contains a unicast (singular), multicast
(group), or broadcast (every station) address. As with Ethernet and
Token Ring addresses, FDDI destination addresses are 6 bytes
long.
Source Address---Identifies the single station that sent the frame. As
with Ethernet and Token Ring addresses, FDDI source addresses
are 6 bytes long.
Data---Contains either information destined for an upper-layer
protocol or control information.
Frame Check Sequence (FCS)---Filed by the source station with a
calculated cyclic redundancy check value dependent on frame
contents (as with Token Ring and Ethernet). The destination
address recalculates the value to determine whether the frame was
damaged in transit. If so, the frame is discarded.
End Delimiter---Contains unique symbols, which cannot be data
symbols, that indicate the end of the frame.
Frame Status---Allows the source station to determine whether an
error occurred and whether the frame was recognized and copied
by a receiving station.
FDDI Frame Format
FDDI Frame
Frame Control (FC): 8 bits
has bit format CLFFZZZZ
C indicates synchronous or asynchronous frame
L indicates use of 16 or 48 bit addresses
FF indicates whether it is a LLC, MAC control or reserved frame
in a control frame ZZZZ indicates the type of control
Destination Address (DA): 16 or 48 bits
specifies station for which the frame is intended
Source Address (SA): 16 or 48 bits
specifies station that sent the frame

169

Here is what the FDDI frame format looks like:

FDDI Frame Format

PA - Preamble 16 symbols
SD - Start Delimiter 2 symbols
FC - Frame Control 2 symbols
DA - Destination Address 4 or 12 symbols
SA - Source Address 4 or 12 symbols
FCS - Frame Check Sequence 8 symbols, covers the FC, DA, SA
and Information
ED - End Delimiter 1 or 2 symbols
FS - Frame Status 3 symbols Token is just the PA, SD, FC and ED
Preamble
The Token owner as a minimum of transmits the preamble
16 symbols of Idle. Physical Layers of the subsequent repeating
stations can change the length of the Idle pattern according to the
Physical Layer requirements. Therefore, each repeating station
may see a variable length preamble from the original preamble.
Tokens will be recognized as long as its preamble length is greater
than zero. If a valid token is received and cannot be processed
(repeated), due to expiration of ring timing or latency constraints the
station will issue a new token to be put on the ring.
A given MAC implementation is not required to be capable of
copying frames received with less than 12 symbols of preamble;
Nevertheless, with such frames, it cannot be correctly repeated.
Since the preamble cannot be repeated, the rest of the frame
will not be repeated as well.
Starting Delimiter
This field of the frame denodes the start of the frame. It can
only have symbols 'J' and 'K'. These symbols will not be used
anywhere else but in the starting delimiter of a token or a frame.
Frame Control
Frame Control field descibes what type of data it is carrying
inthe INFO field. Here are the most common values that are
allowed in the FC field:

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40:

Void Frame.

41,4F: Station
Management
(SMT) Frame.
C2,C3
MAC Frame.
:
50,51: LLC Frame.
60:

Implementor Frame.

70:

Reserved Frame.

Please note that the list here are only the most common values
that can be formed by a 48 bit addressed synchronous data frames.
Destination Address
Destination Address field contains 12 symbols that identifies
the station that is receiving this particular frame. When FDDI is first
setup, each station is given a unique address that identifies
themselves from the others. When a frame passed by the station,
the station will compare its address against the DA field of the
frame. If it is a match, station then copies the frame into its buffer
area waiting to be processed. There is not restriction on the number
of stations that a frame can reach at a time. If the first bit of the DA
field
is
set
to
'1',
then
the
address
is
called
a group or global address. If the first bit is '0', then the address is
calledindividual address. As the name suggests, a frame with
a global address setting can be sent to multiple stations on the
network. If the frame is intended for everyone on the network, the
address bits will be set to all 1's. Therefore, a global address
contains all 'F' symbols. There are also two different ways of
administer these addresses. One's called local and the other's
calleduniversal. The second bit of the address field determine
whether or not the address is locally or universally administered. If
the second bit is '1' then it is locally administered address. If the
second bit is a '0', then it is universally administered adress.A locally
administer address are addresses that havebeen assigned by the
network administrator and a universally administered addresses are
pre-assigned by the manufacturer's OUI.
Source Address
A Source Address identifies the station that created the
frame. This field is used for remove frames from the ring. Each time
a frame is sent, it travels around the ring, visiting each station,and
eventually (hopefully) comes back to the station that originally sent
that frame. If the address of a station matches the SA field inthe
frame, the station will strip the frame off the ring. Each stationis
responsible for removing its own frame from the ring.

171

Information Field
INFO field is the heart and soul of the frame. Every
components of the frame is designed around this field; Who to send
it to, where's this coming from, how it is received and so on.The
type of information in the INFO field can be found by looking in the
FC field of the frame. For example:'50'(hex) denodes a LLC frame.
So, the INFO field will have a LLC header followed by other upper
layer headers. For example SNAP, ARP, IP, TCP, SNMP,
etc.'41'(hex or '4F'(hex) denode s SMT (Station Management)
frame. Therefore, a SMT header will appear in the INFO field.
Frame Check Sequence
Frame Check Sequence field is used to check or verify the
traversingframe for any bit errors. FCS information is generated by
the stationthat sends the frame, using the bits in FC, DA, SA, INFO,
and FCSfields. To verify if there are any bit errors in the frame,
FDDI uses 8 symbols (32 bits) CRC (Cyclic Redundancy Check) to
ensure the transmission of a frame on the ring.
End Delimiter
As the name suggests, the end delimiter denodes the end of
the frame. The ending delimiter consist of a 'T' symbol. This 'T'
symbols indicates that the frame is complete or ended. Any data
sequence that does not end with this 'T' symbol is not considered to
be a frame.
Frame Status
Frame Status (FS) contains 3 indicators that dictates the
condition of the frame. Each indicator can have two values: Set ('S')
or Reset ('R'). The indicators could possibly be corrupted. In this
case, the indicators is neither 'S' nor 'R'. All frame are initially set to
'R'.Three types of indicators are as follows:Error (E):This indicator is
set if a station determines an error for that frame. Might be a CRC
failiure or other causes. If a frame has its E indicator set, then, that
frame is discarded by the first station that encounters the
frame.Acknowledge(A): Sometime this indicator is called 'address
recognized'. This indicator is set whenever a frame in properly
received; meaning the frame has reached its destination address.
Copy (C): This indicator is set whenever a station is able to copy the
received frame into its buffer section. Thus, Copy and Acknowledge
indicators are usually set at the same time. But, sometimes when a
station is receiving too many frames and cannot copy all the
incoming frames. If this happens, it would re-transmit the frame with
indicator 'A' set indicator 'C' left on reset.

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Communications, Protocols and Polling on Distributed SatelliteLocal Networks

Distributed local area networks can be organized in many
different fashions. Some of the approaches used for network
configurations are:

Star network--Each device is connected separately to a

central controlling point in the network.

Bus network (or multidrop)--Places all the devices in the

network together on a single shared line.

Ring network (or loop)--Where each device is connected to

each other in a closed circular fashion, providing two
pathways around the ring, going in either direction. Breaking
the ring at one spot would not affect the networks
functionally.

A feasible approach in providing a satellite network protocol

would be a slotted Aloha protocol technique. To describe briefly its
approach, one should know that the following must be employed:

Establish a synchronized time interval over a satellite

channel, according to the time to transmit the length of the
largest packet message.

Broadcast a packet only at the beginning of this discretetime interval, for example every 20 milliseconds.

Provide a round-robin polling approach, with the ability to

reprogram the order of poll and the priority.

The packer itself would contain a hello/message/goodbye

structure. Collisions occasionally occur due to quarter-second (250
ms) delays in transmissions. Uplinks would listen to their own
messages and compare with that was transmitted; if a collision has
occurred, then it would retry the transmission when its time slice
comes up again.
"Packer narrowcasting would be employed, which implies that
the packet contains source and destination addresses, as well as a
repetition counter for repeat transmits of the same packets.
"Capture effect" could also be used, where different uplinks
would broadcast signals at different power levels, thereby providing
a pseudo-priority basis for resolving collision conflicts.
In other words, stronger signals to the satellite provide a higher
priority by increasing the probability that its packet would get
through. If the highest priority makes it through the satellite
transponder successfully, then you have one less uplink packet to
retransmit in the event of a collision.
In a local area network, polling performs a request for status
in a round-robin fashion, over a twisted-wire pair cable. Each poll

173

expects a response, within a specified time frame, form the device.

In order that future requirements be accommodated, the current
polling module being used for projects has been designed to allow
for the polling of SA buses (or, in fact, any type bus interface-able
through a DEC-compatible interface board, RS-232C, RS-422 and
others) in any order, as well as poll the devices on a bus in any
order.
Satellite Networks-ALOHA
Aloha Satellites offers an array of competitive
communications services including bulk basic analog video
packages, bulk basic digital video packages, premium video
programming services, access to hundreds of additional a-la-carte
digital video services, local network broadcast channels, pay-perview video programming, HDTV, interactive TV guide, CD quality
audio programming, broadband high-speed internet and access to
Voice-over-IP (VoIP). The possible combinations of services are
endless.
There are many factors that must be considered prior to
determining the right package for your situation including but not
limited to property size, property type (apartment, condo, hotel,
etc.) construction type (high-rise or garden style), number of
outlets, type and condition of existing wiring, etc.). Then conduct an
in-depth site analysis to gather critical site data that will be used as
a basis to estimate system build-out costs and determine the
economic feasibility of the proposed system.
While private cable operators adopts and delivers one size
fits all" approach to your commercial business or property, Aloha
Satellites, adopts and delivers the approach to your business not as
a number but as an individual entity with its own distinct individual
needs. The effort is taken to deliver a solution that is custom fit to
your application .Thus; Aloha Satellites will deliver the most
competitive combination of quality products, service and price.
Satellite delivered digital video services are enjoyed by
more than 30 million subscribers daily, more than any single cable
TV company or telephone company. Although private cable
operators may not like to admit it, their video services are also
delivered to their headed via satellite. The difference is in the
delivery of the video signals. In Aloha Satellites, video signals are
delivered directly from the satellite to your business or property.
After receiving and processing the satellite video signals, the cable
TV company must then send these signals through a distribution
network consisting of hundreds of miles of overhead and
underground cable plant, thousands of active and passive
electronic devices, thousands of connectors, dozens of power
supplies and multiple power grids before finally arriving at your
business or property. Outages or compromised service may occur

174

at anytime and anywhere in this maze as a result of faulty active or

passive devices, loose connectors, water damage, cut cables or
fiber, power outages, automobile accidents, rodents, equipment not
properly balanced, corrosion, acts of God, and so on. Thus the
delivery system of Aloha Satellites is more reliable than others.
Furthermore, our commercial delivery systems are designed
and built to be even more robust and reliable than our single-family
resident installations. Utilization of more efficient satellite dishes
with one dish dedicated to each satellite in use, Heavy-duty
mounting hardware and auto-leveling amplifiers provide consistent
and unwavering signal strength to professionally designed delivery
network located at your business or property. Thus troubleshooting
steps are simpler to handle.
Satellite Networks-FDMA
Frequency Division Multiple Access or FDMA is a channel
access method used in multiple-access protocols as a
channelization protocol. FDMA gives users an individual allocation
of one or several frequency bands, or channels. It is particularly
commonplace in satellite communication. FDMA, like other Multiple
Access systems, coordinates access between multiple users.
Alternatives include TDMA, CDMA, or SDMA. These protocols are
utilized differently, at different levels of the theoretical OSI model.
Disadvantage:
Crosstalk may cause interference among frequencies and disrupt
the transmission.
Features
In FDMA all users share the satellite simultaneously but each
user transmits at single frequency.
FDMA can be used with both analog and digital signal.
FDMA requires high-performing filters in the radio hardware, in
contrast to TDMA and CDMA.
FDMA is not vulnerable to the timing problems that TDMA has.
Since a predetermined frequency band is available for the entire
period of communication, stream data (a continuous flow of
data that may not be packetized) can easily be used with
FDMA.
Due to the frequency filtering, FDMA is not sensitive to near-far
problem which is pronounced for CDMA.
Each user transmits and receives at different frequencies as
each user gets a unique frequency slot

175

There are two main techniques:

1. Multi-channel per-carrier (MCPC)
With multiple
channels
per
carrier (MCPC),
several
subcarriers are combined into a single bitstream before being
modulated onto a carrier transmitted from a single location to one
or more remote sites. This uses time-division multiplexing (TDM). It
is a heteronym of sorts, as it was the only way radio networks were
transmitted ("piggybacked" on television networks) until SCPC.
FDMA is distinct from frequency division duplexing (FDD).
While FDMA allows multiple users simultaneous access to a
transmission system, FDD refers to how the radio channel is
shared between the uplink and downlink (for instance, the traffic
going back and forth between a mobile-phone and a mobile phone
base station). Frequency-division multiplexing (FDM) is also distinct
from FDMA. FDM is a physical layer technique that combines and
transmits low-bandwidth channels through a high-bandwidth
channel. FDMA, on the other hand, is an access method in the data
link layer.
FDMA also supports demand assignment in addition to fixed
assignment. Demand assignment allows all users apparently
continuous access of the radio spectrum by assigning carrier
frequencies on a temporary basis using a statistical assignment
process. The first FDMA demand-assignment system for satellite
was developed by COMSAT for use on the Intelsatseries
IVA and V satellites.
In digital radio and digital television, an ensemble or other
multiplex or multichannel stations can be considered MCPC,
though the term is generally only applied to satellites.
The major disadvantage of MCPC is that all of the signals
must be sent to a single place first, and then combined for
retransmission a major reason for using SCPC instead.
In telecommunications and computernetworks, multiplexing (al
so known as muxing) is a method by which multiple analog
message signals or digital data streams are combined into one
signal over a shared medium. The aim is to share an expensive
resource.
For
example,
in
telecommunications,
several telephone calls may be carried using one wire.
Multiplexing originated in telegraphy, and is now widely applied
in communications.
The multiplexed signal is transmitted over a communication
channel, which may be a physical transmission medium. The

176
multiplexing divides the capacity of the low-level communication
channel into several higher-level logical channels, one for each
message signal or data stream to be transferred. A reverse
process, known as demultiplexing, can extract the original
channels on the receiver side.
A device that performs the multiplexing is called
a multiplexer (MUX), and a device that performs the reverse
process is called a demultiplexer (DEMUX).
Inverse multiplexing (IMUX) has the opposite aim as
multiplexing, namely to break one data stream into several
streams, transfer them simultaneously over several
communication channels, and recreate the original data stream

2. Single- Channel per-carrier (SCPC)

Single channel per carrier (SCPC) refers to using a
single signal at a given frequency and bandwidth. Most often, this is
used on broadcast satellites to indicate that radio stations are
not multiplexed as subcarriers onto a single video carrier, but
instead independently share a transponder. It may also be used on
other communications satellites, or occasionally on nonsatellite transmissions.
In an SCPC system, satellite bandwidth is dedicated to a single
source. This makes sense if it is being used for something
like satellite radio, which broadcasts continuously. Another very
common application is voice, where a small amount of fixed
bandwidth is required. However, it does not make sense for burst
transmissions like satellite internet access or telemetry, since a

177

customer would have to pay for the satellite bandwidth even when
they were not using it.
Where
multiple-access
is
concerned,
SCPC
is
essentially FDMA. Some applications use SCPC instead of TDMA,
because they require guaranteed, unrestricted bandwidth. As
satellite TDMA technology improves however, the applications for
SCPC are becoming more limited.
Advantages:
simple and reliable technology
low-cost equipment
any bandwidth (up to a full transponder)
usually 64 kbit/s to 50 Mbit/s
easy to add additional receive sites (earth stations)
Disadvantages

inefficient use of satellite bandwidth for burst transmissions,

typically encountered with packet data transmission

usually requires on-site control

When used in remote locations, the transmitting dish must be

protected.

A dish which is moved out of alignment can result in fines as

high as $1,100 per minute (as of 2003) from the satellite
operator.

Satellite Networks-TDMA
When you require efficient satellite bandwidth utilization for
multiple sites with infrequent or low usage requirements, TDMA
technologies provide low cost, highly effective solutions perfect
for Satellite Internet applications.

178

OVERVIEW :
No other technology is quite as suited to the bursty nature of a
good deal of IP traffic as TDMA. Many sites can share bandwidth
and timeslots allocated dynamically to enhance bandwidth
utilization. TDMA networks are highly flexible, extendable and
bandwidth efficient. Ideal for applications that are not constantly
resource intensive, then we have to create TDMA VSAT satellite
networks that share network capacity on-demand
KEY FEATURES
This network is available in point-to-multipoint and fully meshed
configurations.
TDMA networks offer the following benefits:
Low cost Internet access
Dynamic, demand-assigned bandwidth allocation
Cost-effective, flexible and expandable network architecture
Reliability and quality of service guaranteed by SLA
One stop solution for network design, implementation and
support
Centralized management.
KEY APPLICATIONS
You should consider an TDMA VSAT satellite network for the
following:
Low cost, multi-site connectivity
Satellite Internet
VoIP
Content distribution

179

Satellite Networks-CDMA
The CDMA signal provides excellent data and voice
capacity through the satellite phone network of 48 satellites. The
CDMA signal is the foundation for 3G communication services
worldwide. CDMA converts speech signal into digital format and
then transmits it from the Satellite phone up to the satellite systems
and down to the ground station. Every call over the satellite network
has its own unique code which distinguishes it from the other calls
sharing the airwaves at the same time. The CDMA signal is
without interference, cross talk or static. CDMA was introduced
in 1995 and soon become the fastest growing wireless technology
Key features of satellite phone CDMA:
Unique forward and reverse links
Direct sequence spread spectrum
Seamless soft handoff
Universal frequency reuse
Multi-path propagation for diversity
Variable rate transmission
Introduction to Global Satellite Systems
Several different types of global satellite communications
systems are in various stages of development. Each system either
planned or existing, has a unique configuration optimized to
support a unique business plan based on the services offered and
the markets targeted.
In the last few years more than 60 global systems have been
proposed to meet the growing demand for international
communications services. More are being planned and these are in
addition to a large number of new regional systems.
Some of the global systems intend to provide global phone
service, filling in where ground-based wireless systems leave off or
providing seamless connectivity between different systems.
Others intend to provide global data connectivity, either for lowcost short message applications such as equipment monitoring, or
for high-speed Internet access anywhere in the world.
The global phone systems will target two very different markets.
The first is the international business user, who wants the ability to
use a single mobile wireless phone anywhere in the world. This is
impossible today on terrestrial systems because mobile phone
standards are different from region to region. The second market is
unserved and underserved communities where mobile and even
basic telecommunications services are unavailable.

180

Because global and regional satellite systems are relatively new

in non-military communications, these market approaches still are
untested and it is likely that economics, user acceptance rates,
technical difficulties and other factors will cause adjustments in the
business plans of many of these systems.
The Types of Satellite Systems
The design of a satellite system is closely tied to the
market it is intended to serve and the type of
communications services it is intended to offer. There are
four general system designs, which are differentiated by
the type of orbit in which the satellites operate:
Geostationary Orbit (GEO),
Low-earth Orbit(LEO),
Medium-earth Orbit (MEO), and
Highly Elliptical Orbit (HEO).
Each of these has various strengths and weaknesses in its ability to
provide particular communications services.
Outside of the well-defined GEO universe, the differences
between these systems are often not absolute and the acronyms
applied to a system can be confusing and sometimes misleading.
Several systems, for example, are variously described as LEOs
and MEOs. Constantly evolving technology along with newly
developing markets and service definitions combine to blur the
lines between one satellite system and another.
The definitions below are meant to describe the general
characteristics of GEOs, MEOs, LEOs and HEOs. Although
examples of commercial systems employing these satellites are
given, keep in mind that each system has unique characteristics
that may not match precisely the general descriptions. The same
caution should be applied to ascribing a particular satellite type's
limitations to any one commercial system, since each uses several
strategies for minimizing or overcoming the limitations inherent in
satellite designs. For example, some systems may employ more
than one type of satellite.
GEOSTATIONARY (GEO)
GEO systems orbit the Earth at a
fixed distance of 35,786 kilometers
(22,300 miles). The satellite's
speed at this altitude matches that
of the Earth's rotation, thereby
keeping the satellite stationary over
a particular spot on the Earth.
Examples of GEO systems include
INTELSAT,
Inmarsat,
and
PanAmSat.

181

Geostationary satellites orbit the Earth above the equator and

cover one third of the Earth's surface at a time. The majority of
communications satellites are GEOs and these systems will
continue to provide the bulk of the communications satellite
capacity for many years to come.
GEOs support voice, data, and video services, most often
providing fixed services to a particular region. For example,
GEO satellites provide back-up voice capacity for the majority of
the U.S. long distance telephone companies and carry the bulk of
nation-wide television broadcasts, which commonly are distributed
via from a central point to affiliate stations throughout the country.
Until recently, the large antennae and power requirements for
GEO systems limited their effectiveness for small-terminal and
mobile services. However, newer high-powered GEO satellites
using clusters of concentrated "spot beams" can operate with
smaller terrestrial terminals than ever before and can support some
mobile applications. GEO satellite coverage typically degrades
beyond 20 degrees North Latitude and 20 degrees South Latitude.
GEO systems have a proven track record of reliability and
operational predictability not yet possible for the more sophisticated
orbital designs now being deployed. GEO systems are also less
complicated to maintain because their fixed location in the sky
requires relatively little tracking capability in ground equipment. In
addition, their high orbital altitude allows GEOs to remain in orbit
longer than systems operating closer to Earth. These
characteristics, along with their high bandwidth capacity, may
provide a cost advantage over other system types.
However, their more distant orbit also requires relatively large
terrestrial antennae and high-powered equipment and are subject
to transmission delays. In addition, since only a few large satellites
carry the load for the entire system, a GEO satellite loss is
somewhat more consequential than for the systems described
below.
Summary of GEO Pros and Cons
PRO: GEO systems have significantly greater available
bandwidth than the LEO and MEO systems described
below. This permits them to provide two-way data, voice and
broadband services that may be unpractical for other types
of systems.

PRO: Because of their capacity and configuration, GEOs are

often more cost-effective for carrying high-volume traffic,
especially over long-term contract arrangements. For
example, excess capacity on GEO systems often is reserved

182

in the form of leased circuits for use as a backup to other

communications methods.

CON: GEO systems, like all other satellite systems, require

line-of-sight communication paths between terrestrial
antennae and the satellites. But, because GEO systems
have fewer satellites and these are in a fixed location over
the Earth, the opportunities for line of sight communication
are fewer than for systems in which the satellites "travel"
across the sky. This is a significant disadvantage of GEO
systems as compared to LEO and MEO systems, especially
for mobile applications and in urban areas where tall
buildings and other structures may block line-of-sight
communication for hand-held mobile terminals.

CON: Some users have expressed concern with the

transmission delays associated with GEO systems,
particularly for high-speed data. However, sophisticated
echo cancellation and other technologies have permitted
GEOs to be used successfully for both voice and high-speed
data applications.
LOW-EARTH ORBIT (LEO)
LEO systems fly about 1,000
kilometers
above
the
Earth
(between 400 miles and 1,600
miles) and, unlike GEOs, travel
across the sky. A typical LEO
satellite takes less than two hours
to orbit the Earth, which means that
a single satellite is "in view" of
ground equipment for a only a few
minutes. As a consequence, if a
transmission takes more than the
few minutes that any one satellite is
in view, a LEO system must "hand
off" between satellites in order to
complete the transmission. In
general, this can be accomplished
by constantly relaying signals
between the satellite and various
ground
stations,
or
by
communicating
between
the
satellites themselves using "intersatellite links."

In addition, LEO systems are designed to have more than one

satellite in view from any spot on Earth at any given time,
minimizing the possibility that the network will loose the

183

transmission. Because of the fast-flying satellites, LEO systems

must incorporate sophisticated tracking and switching equipment to
maintain consistent service coverage. The need for complex
tracking schemes is minimized, but not obviated, in LEO systems
designed to handle only short-burst transmissions.
The advantage of the LEO system is that the satellites'
proximity to the ground enables them to transmit signals with no or
very little delay, unlike GEO systems. In addition, because the
signals to and from the satellites need to travel a relatively short
distance, LEOs can operate with much smaller user equipment
(e.g., antennae) than can systems using a higher orbit. In addition,
a system of LEO satellites is designed to maximize the ability of
ground equipment to "see" a satellite at any time, which can
overcome the difficulties caused by obstructions such as trees and
buildings.
There are two types of LEO systems, Big LEOs and Little
LEOs, each describing the relative mass of the satellites used as
well as their service characteristics.
Little LEO satellites are very small, often weighing no more
than a human being, and use very little bandwidth for
communications. Their size and bandwidth usage limits the amount
of traffic the system can carry at any given time. However, such
systems often employ mechanisms to maximize capacity, such as
frequency reuse schemes and load delay tactics.
Little LEO systems support services that require short
messaging and occasional low-bandwidth data transport, such as
paging, fleet tracking and remote monitoring of stationary monitors
for everything from tracking geo-platonic movements to checking
on vending machine status. The low bandwidth usage may allow a
LEO system to provide more cost effective service for occasionaluse applications than systems that maximize their value based on
bulk usage. Examples of Little LEO systems include Orbcomm,
Final Analysis and Leo One.
Big LEO systems are designed to carry voice traffic as well as
data. They are the technology behind "satellite phones" or "global
mobile personal communications system" (GMPCS) services now
being developed and launched.
Most Big LEO systems also will offer mobile data services and
some system operators intend to offer semi-fixed voice and data
services to areas that have little or no terrestrial telephony
infrastructure. Smaller Big LEO constellations also are planned to
serve limited regions of the globe. Examples of Big LEO systems
include Iridium, Globalstar and the regional Constellation and ECO8 systems.

184

An emerging third category of LEO systems is the so-called

"super LEOs" or "mega LEOs," which will handle broadband
data. The proposed Teledesic and Skybridge systems are
examples of essentially Big LEO systems optimized for packetswitched data rather than voice. These systems share the same
advantages and drawbacks of other LEOs and intend to operate
with inter-satellite links to minimize transmission times and avoid
dropped signals.
Summary of LEO Pros and Cons
PRO: The transmission delay associated with LEO systems
is the lowest of all of the systems.

CON: The small coverage area of a LEO satellite means that

a LEO system must coordinate the flight paths and
communications hand-offs a large number of satellites at
once, making the LEOs dependent on highly complex and
sophisticated control and switching systems.

PRO: Because of the relatively small size of the satellites

deployed and the smaller size of the ground equipment
required, the Little LEO systems are expected to cost less to
implement than the other satellite systems discussed here.

CON: LEO satellites have a shorter life span than other

systems mentioned here. There are two reasons for this:
first, the lower LEO orbit is more subject to the gravitational
pull of the Earth and second, the frequent transmission rates
necessary in LEO systems mean that LEO satellites
generally have a shorter battery life than others.
MEDIUM EARTH ORBIT (MEO)
MEO systems operate at about
10,000 kilometers (between 1,500
and 6,500 miles) above the Earth,
which is lower than the GEO orbit
and higher than most LEO orbits.
The MEO orbit is a compromise
between the LEO and GEO orbits.
Compared to LEOs, the more
distant
orbit
requires
fewer
satellites to provide coverage than
LEOs because each satellite may
be in view of any particular location
for several hours. Compared to
GEOs,
MEOs
can
operate
effectively with smaller, mobile
equipment and with less latency
(signal delay).

185

Although MEO satellites are in view

longer than LEOs, they may not
always be at an optimal elevation.
To combat this difficulty, MEO
systems often feature significant
coverage overlap from satellite to
satellite, this in turn requires more
sophisticated
tracking
and
switching schemes than GEOs.
Typically, MEO constellations have
10 to 17 satellites distributed over
two or three orbital planes. Most
planned MEO systems will offer
phone services similar to the Big
LEOs. In fact, before the MEO
designation came into wide use,
MEO systems were considered Big
LEOs. Examples of MEO systems
include
ICO
Global
Communications and the proposed
Orblink from Orbital Sciences.
Summary of MEO Pros and Cons

PRO: MEO systems will require far fewer satellites than

LEOs, reducing overall system complexity and cost, while
still requiring fewer technological fixes to eliminate signal
delay than GEOs.

CON: MEO satellites, like LEOs, have a much shorter life

expectancy than GEOs, requiring more frequent launches to
maintain the system over time.

PRO: MEO systems's larger capacity relative to LEOs may

enable them to be more flexible in meeting shifting market
demand for either voice or data services.

CON: MEO systems, as well as some Big LEOs, targeted at

the voice communications market may have a disadvantage
when compared with cellular and other terrestrial wireless
networks. A satellite signal is inherently weaker and is more
subject to interference than those of terrestrial systems, thus
requiring a larger antenna than a traditional mobile phone.
By contrast, the trend in the mobile phone market is toward
smaller and smaller phones.

HIGHLY ELLIPTICAL ORBIT (HEO)

HEO systems operate differently than LEOs, MEOs or GEOs. As
the name implies, the satellites orbit the Earth in an elliptical path
rather than the circular paths of LEOs and GEOs. The HEO path
typically is not centered on the Earth, as LEOs, MEOs and GEOs

186

are. This orbit causes the satellite to move around the Earth faster
when it is traveling close to the Earth and slower the farther away it
gets. In addition, the satellites beam covers more of the Earth from
farther away, as shown in the illustration.
The orbits are designed to
maximize the amount of time each
satellite spends in view of
populated areas. Therefore, unlike
most LEOs, HEO systems do not
offer continuous coverage over
outlying
geographic
regions,
especially near the south pole.
Several of the proposed global
communications satellite systems
actually are hybrids of the four
varieties reviewed above. For
example, all of the proposed HEO
communications
systems
are
hybrids, most often including a
GEO or MEO satellite orbital plane
around the equator to ensure
maximum coverage in the densely
populated zone between 40
degrees North Latitude and 40
degrees South Latitude. Examples
of HEO systems include Ellipso and
the proposed Pentriad.
Summary of HEO Pros and Cons
PRO: The HEO orbital design maximizes the satellites' time
spent over populated areas, thus requiring fewer satellites than
LEOs and providing superior line-of-sight in comparison to most
LEOs or GEOs.

CON: Coverage of a typical HEO system is not as complete as

other orbital designs, although they will provide good coverage
over most population centers.

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11
THE NETWORK LAYER

Unit Structure
11.1. Introduction
11.2. Network Layer Design issues
11.3. Routing Algorithms
11.3.1. Adaptive & Non Adaptive
11.3.2. The Optimality Principle & Sink Tree
11.4. Shortest Path routing
11.5. Flooding
11.6. Distance vector routing
11.7. Link state routing
11.8. Broadcast routing
11.9. Multicast routing
11.10. Internetworking

11.1. INTRODUCTION - THE NETWORK LAYER

The Network Layer deals with end to end transmission of

data, unlike data link layer where the responsibility is node to
node delivery.
The source and the destination usually have many
intermediate nodes connecting them. To transmit the data
from the sender to the receiver involves routing through
these nodes(routers) taking into consideration the various
network conditions like congestion, the shortest path to the
receiver, etc.

11.2. NETWORK LAYER DESIGN ISSUES

Following are the issues faced by network designers. These

are related to the services provided to the transport layer and
internal subnet design:

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1. Store-and-Forward Packet Switching

The sender and receiver may be connected by many

intermediate nodes like routers. It is the routers that connect
the user to the carriers network.

When the sender has data to send it sends it in the form of

packets to the nearest router where it is stored until the
complete packet has arrived so that it can be checked for
errors.

This packet is then forwarded to the next router where the

same process is repeated.

The packet is stored & forwarded at every router until it

reaches its destination.

Here every router may be similar in terms of construction,

software and design but the concern here is the algorithm
that runs on every router that may complicate the process.

2. Services Provided to the Transport Layer

The network layer provides services to the Transport layer. It

is designed to achieve the following goals:
1. The services should be independent of the router
technology.
2. The transport layer should be shielded from the number,
type, and topology of the routers present.
3. The network addresses made available to the transport
layer should use a uniform numbering plan, even across
LANs and WANs.

With the above goals there are two ways to implement

network layer services: Connectionless service &
Connection oriented service

The Internet is an example of a connectionless network layer

while the ATM networks have a connection oriented network
layer.

Both approaches
disadvantages.

have

their

own

advantages

and

3. Implementation of Connectionless Service

A connectionless service is where the user simply groups

the data together into a unit and sends it to the network
assuming that the network will work out a way to carry the
data to the intended receiver.

189

There is no reliability in connectionless service that the data

will reach the receiver.

A letter dropped in the mail box is an example of

connectionless service. The sender cannot be sure that the
receiver will receive the message but can only hope for it.

The network layer implements connectionless service using

independent data packets called datagrams.

With Datagrams the routes from source to destination are

not worked out in advance.

Every data packet that is sent may be routed independently

which means packets belonging to a piece of data may
arrive at the receiver from different routes and out of order.

At every router the decision is made as to which router will

be the next node to transmit the datagram.

With datagrams there is more work for the routers but it is a

robust way to deal with network failures and congestion.

The other advantage of using datagram approach is that the

routers need not maintain the information about routes in its
tables specific to packets being sent.

4. Implementation of Connection-Oriented Service

A connection oriented service is where the user is given a

reliable (dedicated) end to end connection to the destination.

To communicate the sender has to establish a connection

with the receiver initially and only then can send the data.

The connection exists for the duration of data transfer.

A telephone call is an example of Connection oriented

service.

The network layer implements connection oriented service

by establishing connections called virtual circuits.

The mechanism of virtual circuits is to choose only one route

from source to destination to send the data.

When the circuit (connection) is established, it is used for

sending all the data.

When there is no data to be sent the circuit is terminated.

With Virtual circuits, every router needs to maintain a table of

routes.

Every packet has a virtual circuit number and uses circuit

establish, data transfer and tear down phase as explained in
virtual circuit networks in the previous chapters.

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11.3. ROUTING ALGORITHMS

The main function of the network layer is routing packets

from the source to destination.

The algorithms that choose the routes and the data

structures that they use are a major area of network layer
design.

The Routing algorithm is a part of the network layer

software. It is responsible for deciding which output line an
incoming packet should be transmitted on.

Certain properties that are desirable in a routing algorithm

are : correctness, simplicity, robustness, stability, fairness,
and optimality.

11.3.1. Types of Routing Algorithms

They are of two types:
1. Non-adaptive Algorithms
2. Adaptive Algorithms
1. Non-adaptive Algorithms
The choice of which route to be selected is planned in
advance.
It does not take into account any kind of metric,
measurements or estimates about traffic and topology.
They are also called Static Routing.
2. Adaptive Algorithms
The choice of which route to be taken is calculated at
runtime.
The routing decision can be changed if there are any
changes in the topology or traffic.
It takes into account several metrics such as distance,
number of hops, estimated transit time, etc.
They are also called Dynamic Routing.
11.3.2. The Optimality Principle

The Optimality Principle is a general statement about

optimal routes without any concern about the network
topology or traffic.
It states that if router J is on the optimal path from router I to
router K, then the optimal path from J to K also falls along
the same route.

191

To explain this, call the part of the route from I to J as r1 and

the rest of the route r2.
If a route better than r2 existed from J to K, it could be
concatenated with r1 to improve the route from I to K,
contradicting our statement that r1r2 is optimal.

Sink tree
From the optimality principle, we can see that the set of
optimal routes from all sources to a given destination form a
tree rooted at the destination.
Such a tree is called a sink tree and is shown in the diagram
below, where the distance metric is the number of hops.
Since a sink tree is a tree that does not contain any loops, so
each packet will be delivered within a finite and bounded
number of hops.

Figure : A Subnet

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Figure : A sink tree for a router

Static Routing Algorithms
Some examples of Static algorithms are:
1. Shortest Path routing
2. Flooding

11.4. SHORTEST PATH ROUTING

This algorithm is based on the simplest and most widely

used principle.

A graph of subnet is built, where each node represents a

router and each arc represents a communication link.

This algorithm simply finds the shortest path between the

routers so that we can choose it as path.

The shortest path could be found out by counting the

number of hops or by measuring the geographical distance
in kilometers.

Other metrics besides hops and physical distance are also

possible. For example, each arc could be labeled with the
mean queuing and transmission delay and find the shortest
path as the fastest path rather than the path with the fewest
arcs or kilometers.

The labels on the arcs can be computed as distance, traffic,

mean queue length, cost of communication, measured delay
etc.

193

The algorithm weighs various parameters and computes the

shortest path, based on any combination of criteria as
stated.

Examples of Shortest Path Algorithms are : Dijkstra

Algorithm, Bellman Ford Algorithm.

11.5. FLOODING

In Flooding every incoming packet is sent out on every

outgoing line except the one it arrived on.

The main disadvantage is that Flooding results in vast

numbers of duplicate packets, almost an infinite number
unless some measures are taken to damp the process.
1. Using a hop count: A hop count may be included in the
header of every packet, which could be used to suppress
onwards transmission of packets after the number of
hops is exceeds the network diameter.
2. Keep a track of the flooded packets:

This is done to avoid sending the packets multiple

times.

This can be achieved by having the source router

put a sequence number in each packet it receives
from its hosts.

Each router maintains a list of routers and

sequence numbers which contains the sequence
numbers originating from that router.

If an incoming packet is on the list, it is not

flooded.

3. Selective Flooding:

This is a more practical approach to flooding.

In this approach, every incoming packet is not sent

on every outgoing line, instead it is sent only on
those lines which are approximately going in the
right direction.

Applications of Flooding

It does not have many practical applications

But it is used in military purposes like flooding a large

number of routers to blow them up.

In distributed database applications it may be used to

update all the databases concurrently.

194

Dynamic Routing Algorithms

The disadvantages of static routing algorithms described

above is that they do not take the current network load into
account.

Following are two Dynamic Routing algorithms

1. Distance vector routing
2. Link state routing

11.6. DISTANCE VECTOR ROUTING

These algorithms operate by having each router maintain a

table (i.e, a vector) giving the best known distance to each
destination and which line to use to get there.

These tables are updated by exchanging information with

the neighbors.

It is also known as :
1. Distributed Bellman-Ford routing algorithm
2. Ford-Fulkerson algorithm

In distance vector routing, each router maintains a routing

table that is indexed by, and containing one entry for, each
router in the subnet.

This entry contains two parts:

1. First, the preferred outgoing line to use for that
destination and
2. Second, an estimate of the time or distance to that
destination.

The router is assumed to know the ''distance'' to each of its

neighbors.

In Distance Vector Routing, a router tells its neighbors its

distance to every other router in the network.

11.7.LINK STATE ROUTING

The idea behind link state routing is simple and can be stated as
five parts.
Each router must do the following:
1. Discover its neighbors and learn their network addresses.
2. Measure the delay or cost to each of its neighbors.
3. Construct a packet telling all it has just learned.

195

4. Send this packet to all other routers.

5. Compute the shortest path to every other router.

11.8. BROADCAST ROUTING

Some applications requires to send messages to multiple or

all hosts. This is achieved by using Broadcast Routing.
The following techniques could be used:
1. Flooding
As discussed above
2. Multi-destination Routing

Every packet contains a list of destinations.

When a packet arrives at a router, it is checked for all the

destinations to determine the set of output lines that can be
used to reach the destination.

The router creates new copies of the packet one for each
output line and each packet contains only those destinations
which could be reached on those output lines. (i.e. the
number of destination addresses is filtered out)

After a few hops each packet will contain only one address
like a normal packet.

3. Spanning Tree
This approach uses the Sink tree for the router that initiates
the broadcast.
Spanning tree is a subset of the subnet that contains all the
routers but contains no loops.
Using this approach the router can broadcast the incoming
packet on all the spanning tree lines except the one it
arrived on.
This approach makes excellent use of bandwidth and
generates the minimum number of packets necessary to get
the job done.
It is mandatory for the routers to know the spanning tree.
4. Reverse Path Forwarding
This algorithm tries to approximate the behavior of spanning
tree approach when the routers have no information about
the spanning tree.

196

Mechanism :
When a broadcasted packet is received by a router, it
checks whether the same line is used to broadcast packets
to the source. Hence the packet has itself followed the best
available path.
In case the broadcast packet arrives at a line other than the
one used to send data to the source the packet is
discarded.
Advantages of this approach
1. It is easy to implement and is efficient.
2. The routers do not need to know the spanning tree.
3. There is no overhead involved in maintaining the
destination list.
4. No mechanism is required to stop the process (damping
like hop counter) as is required in flooding.

11.9.MULTICAST ROUTING

Broadcast routing has a disadvantage.

Ex. It can be used to inform 1000 users on a million node

network. But this will be inefficient as most of the users will not
be interested in the broadcasted message. Also it poses a
threat of revealing the message to users who are not authorized
to see it.

Sending a message to a group of nodes in a large size network

is called multicasting and the routing algorithms used are
called Multicast Routing Algorithms.

Multicasting requires Group Management.

It involves methods to create and destroy groups, and to allow

processes to join and leave groups.

It is necessary for the router to know which host belongs to

which groups. When a process joins a particular group the
router informs its host about this fact.

Changes in group membership may be communicated either by

host to the router or could be queried by the routers to the
hosts.

Each router has to compute a spanning tree that comprises of

all the routers in the network.

When a router receives a multicast packet destined to a group,

it will first examine the spanning tree and prune it to remove the
output lines that do not lead to hosts that are member to the
group.

197

Various ways are possible to prune the spanning tree.

I.

With Link state routing, the routing has information of

the complete topology, including the information on hosts
and their groups. The pruning begins from the end of the
path to the root removing the routers that are not needed
for transmission.

II.

Distance Vector Routing uses Reverse path forwarding

to prune the spanning tree.

11.10. INTERNETWORKING

We cannot always make an assumption that the network

being used contains homogeneous elements using same
protocols in every element.

The internet today is a network of networks joining together

many LAN, MAN & WANS with a wide variety of protocols
being used in every network.

The following issues may arise when we try to connect two

networks together
I.

The existing network operating on a particular technology

and protocol obviously has a large customer base. It
would be very difficult to migrate users from one network
to another.

II.

As the cost of computers and setting up of networks has

become cheaper the decision as to which kind of network
is to be set up is not taken by top management but the
department heads. This may lead to two departments of
the same company having Unix and MAC machines
running on TCP/IP & AppleTalk respectively having to be
connected together. If the top management would have
taken a decision it would have been uniform for all the
departments saving the trouble of discrepancies between
the two types that arises when exchanging data.

III.

As technology keeps on changing new protocols and

networks keep evolving.

198

I.

Difference between networks

Two networks can differ in many ways as summarized below:

No Criteria

Description

Service
Offered

Service offered by the network could be

connection oriented or connectionless

Protocol

The network could operate on totally

different set of protocol suites ex. IP, SNA,
ATM, MPLS, APPLETALK, etc.

Addressing

The type of addressing used could also

differ. Ex. Flat vs Hierarchical addressing

Multicasting

Some networks may use Multicasting or

broadcasting others may not.

Packet Size

Every network has its maximum packet size

defined.

Quality
Service

Error Handling The networks may use error handling

mechanisms which may be Reliable,
ordered or unordered.

Flow Control

Various mechanism to achieve Flow Control

are available. Ex. Sliding Window,

Congestion
Control

The networks may use open loop or closed

loop congestion control techniques.

10

Security

One or more security constraints can be

implemented like encryption.

II.

of Different networks may have or not any

mechanisms to achieve quality of service
(present or not)

A packet sent from one network to another may have to face the
issues listed above before it reaches the destination.

Connecting different networks

I.

Networks can be connected by devices that operate at

physical layer, data link layer, network layer & application
layer.

II.

In the physical layer, networks can be connected by

repeaters or hubs, which move the bits from one network to
another. These are analog devices and they just regenerate
signals.

199

III.

In the data link layer, networks can be connected by bridges

and switches which accept frames, examine the MAC
addresses, and then forward the frames to a different
network.

IV.

In the network layer, networks can be connected by routers.

In case the two networks have a different network layer the
router may translate the packet from source to destination
network format. Such a router handling multiple protocols is
called multiprotocol router.

V.

At the transport layer, transport gateways form an interface

between transport connections. ex. A transport gateway
facilitates the flow of packets from TCP network to SNA.

VI.

At the application layer, application gateways translate

message semantics. Ex. Application gateways for email
messages.

Connectionless Internetworking

I.

The other alternative to using concatenated virtual circuits is

connectionless internetworking i.e. Datagram Approach.

II.

In this approach the network layer allows the transport layer to

simply inject packets into the network nothing else.

III.

The routing decision is taking at every router through which

the packet passes.

IV.

Disadvantages of this approach are:

a. There is no guarantee that packets will arrive at the
destination and in order.
b. Since packets are simply injected into the network without
any consideration of the intermediate networks, their
protocol and addressing schemes it would be difficult to
route such packets whose addressing is unknown. A
solution to this problem is to have a standard format for
packets that will be known to every router. Ex. IP

Tunneling

I.

The concept of tunneling is used when the source and

destination networks work on same protocol but the
intermediate network connecting those works on different
protocol.

II.

Ex. Source A and Destination B operate on TCP/IP on Ethernet

and connected by an ATM network. When A wants to send a
packet containing the address of Destination B, it puts the IP
packet in an Ethernet frame and sends it to the router. The
router removes the IP packet from the Ethernet frame puts it in

200

its Packet format and sends it forward. When the packet is

handed over at the destination router it removes the IP packet
puts it in a Ethernet frame and sends it to the destination B.

Fragmentation

I.

Each network imposes some maximum size on its packets.

The problem appears when a large packet is sent to a network
whose maximum packet size is too small.

II.

The solution to the problem is to allow gateways to break up

packets into fragments, sending each fragment as a separate
internet packet.

III.

The problem to fragmentation is combining the fragments into

the original packet. There are various approaches to this
problem. First, the fragments can be recombined at the
gateway and then send the packet to the destination. Second,
the fragments need not be combined at the gateway but
directly by the destination.
Third, when the packets are being fragmented use such a
smaller size that it can pass through every network.

References & Further Reading

Computer Networks Andrew Tannenbaum

201

12
IP PROTOCOL

Unit Structure
12.1 Introduction Network layer in the internet
12.2. IP Protocol IPv4
12.2.1. IP addresses
12.2.2. Address Space
12.2.3. Notation
12.2.4. Classful Addressing
12.2.5. Netid & Hostid
12.2.6. Subnetting
12.2.7.CIDR
12.2.8. NAT
12.3. Protocols
12.3.1. ICMP
12.3.2. IGMP
12.3.3. ARP
12.3.4. RARP, BOOTP, DHCP
12.4. IPv6

12.1. NETWORK LAYER IN THE INTERNET

he internet is a network of networks. Actually at the network
layer the internet is a collection of Autonomous Systems that are
interconnected. The internet has no structure but it has several
backbones that are made of high bandwidth lines and high speed
routers. At the network layer the internet is a packet switched
network. It used the datagram approach for switching which is
connectionless. The reason for the internet to use datagram
approach (connectionless) is that it is made of so many
heterogeneous networks that it is impossible to make a connection
from source to destination without knowing the nature of networks
in advance.
The whole Internet is held together by the network layer
protocol, IP (Internet Protocol)

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12.2. IP PROTOCOL IPV4

Packets in the IPv4 format are called datagram. An IP
datagram consists of a header part and a text part. The header has
a 20-byte fixed part and a variable length optional part. It is
transmitted in big-endian order: from left to right, with the high-order
bit of the Version field going first.

Figure: The IPv4 (Internet Protocol) header

The description of the fields shown in the diagram is as
follows:
No Field Name

Description

Version

Keeps track of the version of the protocol

the datagram belongs to (IPV4 or IPv6)

IHL

Used to indicate the length of the Header.

Minimum value is 5 Maximum value 15

Type
service

Total length

It includes everything in the datagramboth

header and data. The maximum length is
65,535 bytes

Identification

Used to allow the destination host to identify

which datagram a newly arrived fragment
belongs to. All the fragments of a datagram
contain the same Identification value

of Used to distinguish
classes of service

between

different

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DF

1 bit field. It stands for Don't Fragment.

Signals the routers not to fragment the
datagram because the destination is
incapable of putting the pieces back
together again

MF

MF stands for More Fragments. All

fragments except the last one have this bit
set. It is needed to know when all fragments
of a datagram have arrived.

Fragment
offset

Used to determine the position of the

fragment in the current datagram.

Time to live

It is a counter used to limit packet lifetimes.

It must be decremented on each hop. When
it hits zero, the packet is discarded and a
warning packet is sent back to the source
host.

10

Header
checksum

It verifies Header for errors.

11

Source
address

IP address of the source

12

Destination
address

IP address of the destination

13

Options

The options are variable length. Originally,

five options were defined:
1. Security : specifies how secret the
datagram is
2. Strict source routing : Gives complete
path to be followed
3. Loose source routing : Gives a list of
routers not to be missed
4. Record route: Makes each router
append its IP address
5. Timestamp: Makes each router
append
its
IP
address
and
timestamp

12.2.1. IP addresses

Every host and router on the Internet has an IP address,

which encodes its network number and host number.

The combination is unique: in principle, no two machines on

the Internet have the same IP address.

An IPv4 address is 32 bits long

204

They are used in the Source address and Destination

address fields of IP packets.

An IP address does not refer to a host but it refers to a

network interface.

12.2.2. Address Space

An address space is the total number of addresses used by

the protocol. If a protocol uses N bits to define an address,
the address space is 2N because each bit can have two
different values (0 or 1) and N bits can have 2N values.

IPv4 uses 32-bit addresses, which means that the address

space is 232 or 4,294,967,296 (more than 4 billion).

12.2.3.Notations

There are two notations to show an IPv4 address:

1. Binary notation
The IPv4 address is displayed as 32 bits.
ex. 11000001 10000011 00011011 11111111
2. Dotted decimal notation
To make the IPv4 address easier to read, Internet
addresses are usually written in decimal form with a decimal
point (dot) separating the bytes.
Each byte (octet) is 8 bits hence each number in dotteddecimal notation is a value ranging from 0 to 255.
Ex. 129.11.11.239

12.2.4. Classful addressing

In classful addressing, the address space is divided into five
classes: A, B, C, D,and E.

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Figure: Classful addressing : IPv4

12.2.5. Netid and Hostid
In classful addressing, an IP address in class A, B, or C is
divided into netid and hostid.
These parts are of varying lengths, depending on the class
of the address as shown above.
Information on the Number of networks and host in each
class is given below:

The IP address 0.0.0.0 is used by hosts when they are being

booted.

All addresses of the form 127.xx.yy.zz are reserved for

loopback testing, they are processed locally and treated as
incoming packets.

12.2.6. Subnetting

It allows a network to be split into several parts for internal

use but still act like a single network to the outside world.

206

To implement subnetting, the router needs a subnet mask

that indicates the split between network + subnet number
and host. Ex. 255.255.252.0/22. A/22 to indicate that the
subnet mask is 22 bits long.

Consider a class B address with 14 bits for the network

number and 16 bits for the host number where some bits are
taken away from the host number to create a subnet
number.

Fig: A Class B network subnetted into 64 subnets.

If 6 bits from the host Id are taken for subnet then available
bits are :
14 bits for network + 6 bits for subnet + 10 bits for host

With 6 bits for subnet the number of possible subnets is 26

which is 64.

With 10 bits for host the number of possible host are 210
which is 1022 (0 & 1 are not available)

12.2.7. CIDR
A class B address is far too large for most organizations and a
class C network, with 256 addresses is too small.This leads to
granting Class B address to organizations who do not require all
the address in the address space wasting most of it.
This is resulting in depletion of Address space.
A solution is CIDR (Classless InterDomain The basic idea behind
CIDR, is to allocate the remaining IP addresses in variable-sized
blocks, without regard to the classes.
Ex. If a site needs, say, 2000 addresses, it is given a block of 2048
addresses on a 2048-byte boundary. Routing.

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12.2.8. NAT (Network Address Translation)

The scarcity of network addresses in IPv4 led to the

development of IPv6.

IPv6 uses a 128 bit address, hence it has 2128 addresses in

its address space which is larger than 232 addresses
provided by IPv4.

Transition from IPv4 to IPv6 is slowly occurring, but will take

years to complete, because of legacy hardware and its
incompatibility to process IPv6 address.

NAT (Network Address Translation) was used to speed up

the transition process

The only rule is that no packets containing these addresses

may appear on the Internet itself. The three reserved ranges
are:
10.0.0.0 10.255.255.255/8 (16,777,216 hosts)
172.16.0.0 172.31.255.255/12 (1,048,576 hosts)
192.168.0.0 192.168.255.255/16 (65,536 hosts)

Operation:
Within the Organization, every computer has a unique
address of the form 10.x.y.z. However, when a packet
leaves the organization, it passes through a NAT box that
converts the internal IP source address, 10.x.y.z, to the
organizations true IP address, 198.60.42.12 for example.

12.3. PROTOCOLS
BOOTP, DHCP

ICMP,

IGMP,

ARP,

RARP,

Apart from IP the network layer in the Internet has the following
protocols: ICMP, ARP, RARP, BOOTP, and DHCP
12.3.1. The Internet Control Message Protocol (ICMP)

It reports the occurrences of unexpected events to source.

The types of messages are as follows:
No Message Type
1

DESTINATION
UNREACHABLE

Description
It is used when a router cannot
locate the destination or when a
packet with the DF bit cannot be
delivered to a network which allows
smaller packet size.

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TIME EXCEEDED

It sent when a packet is dropped

because its hop count has reached
zero suggesting that there may be
congestion in the network or the
timer value is set too low.

PARAMETER
PROBLEM

It indicates that an illegal value has

been detected in a header field.

SOURCE QUENCH

It is used to signal a fast sending

source to slow down the rate of
pumping packets into the network.

REDIRECT

It is used when a router notices that

a packet seems to be routed wrong.
It is used to inform the source about
this.

ECHO

It is used to get the status of a

machine : dead or alive

ECHO REPLY

Upon receiving and ECHO message

the destination is expected to send
an ECHO REPLY message if its
alive

TIMESTAMP
REQUEST

Same
as
TIMESTAMP

TIMESTAMP REPLY

Same as ECHO REPLY but arrival

time of the message and the
departure time of the reply are
recorded in the reply

ECHO,

but

with

12.3.2. Internet Group Management Protocol (IGMP)

The Internet Group Management Protocol (IGMP) is one of

the protocols that is involved in multicasting. Multicasting is
where some processes sometimes need to send the same

message to a large number of receivers simultaneously

IGMP is not a multicasting routing protocol; it is a protocol

that manages group
membership.

The IGMP protocol gives the multicast routers information

about the membership status of hosts (routers) connected to
the network.

IGMP helps the multicast router create and update this list of
groups in the network.

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IGMP Messages
It has three types of messages:
1. The query
There are two types of query messages: general and special
a. General Query: used to learn which groups have members
on an attached network.
b. Special Query: It is a group specific query used to learn if a
particular group has any members on an attached network.
2.

The membership report

A membership report message is sent by a host whenever it
joins a multicast group, and when responding to Membership
Queries sent by an IGMP router that is functioning as a Querier.

3. The leave report.

This message is sent when a host leaves a multicast group.
This message is sent to the 'all-routers' multicast address of
224.0.0.2. The router then sends out a special query to the
network to verify if the last member of a group has left.
12.3.3. ARPThe Address Resolution Protocol

The machines knowing their IP address cannot simply start

sending data to other machines. The IP addresses have to
be mapped onto data link layer addresses (MAC addresses)
since the data link layer does not understand the 32 bit IP
address.

The MAC address is a 48-bit Ethernet address imprinted on

the Network Interface card by the manufacturer.

ARP is the means by which an IP address is translated into

a physical MAC address. This is done using a broadcast
request to all hosts on the network.

By using ARP, a packet destined for a logical IP address is

delivered to a computer with a Network Interface Card (NIC)
with a specific hardware address.

12.3.4 RARP, BOOTP, and DHCP

ARP is used for mapping logical to physical address.
There are two occasions in which a host knows its physical
address, but needs to know its

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logical address. They are:

1. A diskless station is just booted. The station can find its
physical address by checking
its interface, but it does not know its IP address.
2. An organization does not have enough IP addresses to
assign to each station; it needs
to assign IP addresses on demand. The station can send its
physical address and ask for a short time lease.
RARP (Reverse Address Resolution Protocol)

Reverse Address Resolution Protocol (RARP) defines how a

48 bit MAC address is translated into a 32 bit host IP
address.

The RARP protocol was created to establish a dynamic or

automated method of obtaining the IP address from a given
MAC address.

When a computer wants to find its logical address using

physical address an RARP request is created and
broadcasted on the local network.

Another machine on the local network that knows all the IP

addresses will respond with

a RARP reply. The requesting machine must be running a

RARP client program; the responding machine must be
running a RARP server program.

RARP has disadvantage. With broadcasting, it can send the

request only to the machines in the local network. This
means that if an administrator has several networks, it needs
to assign a RARP server for each network.

BOOTP (Bootstrap Protocol)

The Bootstrap Protocol (BOOTP) is a client/server protocol

designed to translate physical address to logical address.

In other words, it is a network protocol used by a network

client to obtain an IP address from a server.

BOOTP is an application layer protocol. The client and the

server may be on the same network or on different networks.

BOOTP messages are encapsulated in a UDP packet, and

the UDP packet itself is encapsulated in an IP packet. The
client simply uses all 0s as the source address and all 1s as
the destination address.

The BOOTP request is broadcast because the client does

not know the IP address of the server.

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DHCP (Dynamic Host Configuration Protocol)

BOOTP is not a dynamic configuration protocol.

When a client requests its IP address, the BOOTP server

consults a table that matches the physical address of the
client with its IP address. There is a mapping that exists
between the physical and logical address that is
predetermined. This approach is static.

The disadvantage is that if a host needs to temporarily move

to another network the mapping between physical and
logical address that is stored in a table needs to be manually
changed.

DHCP provides static and dynamic address allocation that

can be manual or automatic

Static Address Allocation:

Here DHCP acts as BOOTP. A DHCP server has a
database that statically binds physical addresses to IP
addresses.

Dynamic Address Allocation:

DHCP has a second database with a pool of available IP
addresses. This second database makes DHCP dynamic.
When a DHCP client requests a temporary IP address, the
DHCP server goes to the pool of unused IP addresses and
assigns an IP address for a negotiable period of time.

The dynamic aspect of DHCP is needed when a host moves

from network to network. DHCP provides temporary IP
addresses for a limited time. The addresses assigned from
the pool are temporary addresses.

12.4. IPV6

IPv6 is an answer to the shortcomings of IPv4.

It is the other name given to SIPP (Simple Internet Protocol Plus)
The main features of IPv6 are:
1. Larger Address Base of 2128 compared to IPv4s 232.
2. Simplification of the header. It contains only seven fields
versus 13 in IPv4. This allows routers to process packets
faster and thus improve throughput and delay.

212

3. Better support for options.

4. Provision to implement security.
5. Improved Quality of Service.
IPv6 Header

The description of the fields shown in the diagram is as

follows:
No Field
Name

Description

Version

Value is 6 for IPv6 and 4 for IPV4

Traffic
class

It is used to differentiate between packets with

different real-time delivery requirements.

Flow label

This field is also still experimental. It is

supposed to allow a source and destination
establish a pseudo connection that has specific
properties and requirements.

Payload
length

Used to indicate the number of bytes that will

follow the header.

Next
header

There are six additional extension headers

(optional). This field indicates which of the six
extension headers follows the main one.

Hop limit

It is a counter used to limit packet lifetimes. . It

must be decremented on each hop. When it
hits zero, the packet is discarded and a warning
packet is sent back to the source host.

213

Source
address
and
Destination
address

Both are 16 byte addresses.

They are written as eight groups of four
hexadecimal digits with colons between the
groups, like this:
8000:0000:0000:0000:0123:4567:89AB:CDEF

References & Further Reading:

1. Computer Networks Andrew Tannenbaum
2. Data communication & Networking Standards Behrouz
Forouzan

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13
TRANSPORT LAYER
Unit Structure
13.1. Introduction
13.2. Elements of Transport protocols
13.2.1 .Addressing
13. 2 .2. Establishing a connection
13.2.3. Releasing a connection
13.2.4: Timer-based connection management
13.2.4: Timer-based connection management
13.2.5. Flow control and buffering
13.2.6. Multiplexing
13.2.7. Crash recovery
13.3. The TCP service model
13.3.1. TCP segment header
13.3.1.1. TCP Header Format
13.4. UDP
13.4.1. Format
13.4.2. Fields
13.5. Congestion control
13.5.1.Congestion prevention

13.1. INTRODUCTION:
The first three layers of the OSI Reference Modelthe
physical layer, data link layer and network layerare very
important layers for understanding how networks function. The
physical layer moves bits over wires; the data link layer moves
frames on a network; the network layer moves datagrams on an
internet work. Taken as a whole, they are the parts of a protocol
stack that are responsible for the actual nuts and bolts of getting
data from one place to another.
Immediately above these we have the fourth layer of the OSI
Reference Model: the transport layer, called the host-to-host
transport layer in the TCP/IP model. This layer is interesting in that

215

it resides in the very architectural center of the model. Accordingly,

it represents an important transition point between the hardwareassociated layers below it that do the grunt work, and the layers
above that are more software-oriented and abstract.

13.2. ELEMENTS OF TRANSPORT PROTOCOLS:

Transport protocols resemble the data link protocols: error
control, sequencing, and flow control.
There are major dissimilarities between the environments in
which the two protocols operate.

In the data link layer, it is not necessary for a router to

specify which router it wants to talk to.
In the transport layer, explicit addressing of destination is
required.

Initial connection setup is much more complicated in

transport layer.

The potential existence of storage capacity in the subnet

requires special transport protocols.

Buffering and flow control are needed in both layers, but the
presence of a large and dynamically varying number of
connections in the transport layer may require a different
approach than the data link layer approach (e.g., sliding
window buffer management).

13.2.1 .Addressing
How to specify the transport users?
The method normally used is to define transport addresses to
which processes can listen for connection requests:

In Internet, these end points are (IP address, local port)

pairs.

In ATM networks, they are AAL-SAPs.

We will use the neutral term TSAP (Transport Service Access

Point).
A possible connection scenario:

A time-of-day server process on machine attaches itself to

TSAP 122 to wait for an incoming call.

A process on machine wants to find out the time-of-day, so it

issues a CONNECT request specifying TASP 6 as the
source and TSAP 122 as the destination.

216

The transport entity on selects an NSAP on its machine (if it

has more than one) and on the destination machine, and
sets up a network connection (e.g., virtual circuit) between
them (with a connectionless subnet, establishing this
network layer connection would not be done). Using this
network connection, it can talk to the transport entity on.

The first thing the transport entity on says to its peer on

is:``Good morning. I would like to establish a transport
connection between my TSAP 6 and your TSAP 122. What
do you say ?''

The transport entity on then asks the time-of-day server at

TSAP 122 if it is willing to accept a new connection. If it
agrees, the transport connection is established.

How does the user process on know that the time-of-day

server is attached to TSAP 122 ?
Scheme 1: Stable TSAP addresses for long life servers.
What happens if user processes want to talk to other user
processes that only exist for a short time and do not have a TSAP
address that is known in advance?
Scheme 2: Initial connection protocol used by UNIX hosts on
the Internet.

Each machine that wishes to offer service to remote users

has a special process server that acts as a proxy for lessheavily used servers.

Whenever the process server is idle, it listens to a set of

ports at the same time, waiting for a TCP connection
request.

Potential users of any service must begin by doing a

CONNECT request, specifying the TSAP address (TCP port)
of the service they want. If no server is waiting for them, they
get a connection to the process server, as shown Fig

(a).

After it gets the incoming request, the process server

spawns off the requested server, allowing it to inherit the
existing connection with the user.

The new server then does the requested work, while the
process server goes back to listening for new requests, as
shown Fig.

-(b).

How to deal with situations in which services exist

independently of the process server? E.g., a file server.

217

Scheme 3: name server or directory server.

To find the TSAP address corresponding to a given service

name, a user sets up a connection to the name server
(which listens to a well-known TSAP).

The user then sends a message specifying the service

name, and the name server sends back the TSAP address.

Then the user releases the connection with the name server
and establishes a new one with the desired service.

In this model, when a new service is created, it must register

itself with the name server.
How does the local transport entity know on which machine a TSAP
is located ?
More specifically, how does the transport entity know which
NSAP to use to set up a network connection to the remote transport
entity that manages the TSAP requested ?
The answer depends on the structure of TSAP addresses.
Hierarchical TSAP addresses:
address
<galaxy><star><planet><country><network><host><port>

TSAP = <NSAP><PORT>
Flat address space: using a name server to map TSAP into
NSAP.
13. 2 .2. Establishing a connection
The problem with establishing a connection occurs when the
subnet can lose, store, and duplicate packets.
Consider the following scenario:

A user establishes a connection with a bank,

sends messages telling the bank to transfer a large amount

of money to the account of a not entirely trustworthy person,

and then release the connection.

What happens if each packet in the above process is

duplicated and stored in the subnet ?
After the connection has been released, all the packets pop
out of the subnet and arrive at the destination in order, asking the
bank to establish a new connection, transfer money (again), and
release the connection. The bank has no way of telling that these
are duplicates.
How to deal with the problem of delayed duplicated and
establish connections in a reliable way?

218

Method 1: use throwaway TSAP addresses.

Each time a TSAP address is needed, a new, unique

address is generated, typically based on the current time.

When a connection is released, the addresses are discarded

forever.

This strategy makes the process server model impossible.

Method 2:

Each connection is assigned a connection identifier (i.e., a

sequence number incremented for each connection
established), chosen by the initiating party, and put in each
TPDU, including the one requesting the connection.

After each connection is released, each transport entity

could update a table (of indefinite size!) listing obsolete
connections as (peer transport entity, connection identifier)
pair.

Whenever a connection request came in, it could be

checked against the table, to see if it belonged to a
previously released connection.

What happens if a machine crashes and loses its memory?

If we can ensure that no packet lives longer than some known time,
the problem becomes somewhat more manageable.
What we need is a mechanism to kill off very old packets that are
still wandering about.
1. Restricted subnet design. Any method preventing packets
from looping.
2. Putting a hop counter in each packet.
3. Time stamping each packet.
In practice, we will need to guarantee not only that a packet is
dead, but also that all acknowledgements to it are also dead.
Method 3: (due to Tomlinson)
Let be some small multiple of the true maximum packet
lifetime. is protocol-dependent. If we wait a time after a packet has
been sent, we can be sure that all traces of it are gone.
To get around the problem of a machine losing all memory of
where it was after a crash, Tomlinson proposed to equip each host
with a time of day clock.

Each clock takes the form of a binary counter that

increments itself at uniform intervals.

219

The number of bits in the counter must equal or exceed the

number of bits in the sequence numbers.

The clock survives the host crashes.

The clocks at different hosts need not be synchronized.

The basic idea is to ensure that two identically numbered

TPDUs are never outstanding at the same time.
How to number TPDUs?
When a connection is set up, the low-order bits of the clock
are used as the initial sequence number (also bits). So each
connection starts numbering its TPDUs with a different sequence
number.
The sequence space should be so large (e.g., bits) that by
the time sequence numbers wrap around, old TPDUs with the
same sequence number are long gone.
Once both transport entities have agreed (how?) on the
initial sequence number, any sliding window protocol can be used
for data flow control.
What to do when a host comes back after a crash?
Solution 1: keep idle for sec to let all old TPDUs die off. In a
complex internet work may be too large.
Solution 2: introduce a new restriction (forbidden region) on the
use of sequence numbers.
Suppose, and the clock tick once per second.
It is required that a sequence number should not be used if it has
the potential of being used as an initial sequence number within a
time.
What's the problem with this solution?

Data transmission rate should not be faster than the clock

rate, otherwise sequence numbers would fall in the forbidden
region.
This argues for a short clock tick.

If data rate is less than the clock rate, sequence numbers

may fall into the forbidden region from the left (above).
Therefore, before sending any TPDU, the transport entity
must check to see if it is about to enter the forbidden region,
and if so, either delay the TPDU for time or resynchronize
the sequence numbers.

The clock based method only solves the delayed duplicate problem
for data TPDUs (after the connection has been established).

220

Since control TPDUs (e.g., connection setup TPDUs) may also be

delayed, there is a potential problem in getting both sides to agree
on the initial sequence number.
The three-way handshake establishment protocol:
13.2.3. Releasing a connection
Asymmetric release is abrupt and may result in data loss.
One way to avoid data loss is to use symmetric release, in which
each direction is released independently of the other one.
A more sophisticated release protocol is required to avoid data
loss.
says:``I am done. Are you done too ?''
If responds:``I am done too. Goodbye.''
This way does not always work.
The two-army problem:

A white army is encamped in a valley.

On both of the surrounding hillsides are blue armies.

The white army is larger than either of the blue armies alone,
but together they are larger than the white army.

If either blue army attacks by itself, it will be defeated, but if

the two blue armies attack simultaneously, they will be
victorious.

The communication medium between the two blue armies is

to send messengers on foot down into the valley, where they
might be captured and the message lost.

The question is, does a protocol exist that allows the blue armies to
win ?
The answer is there is NO such protocol exists.
Just substitute ``disconnect'' for ``attack''. If neither side is
prepared to disconnect until it is convinced that the other side is
prepared to disconnect too, the disconnection will never happen.
In practice, one is usually prepared to take more risks when
releasing connections than attacking white armies, so the situation
is not entirely hopeless.
Three-way handshake combined with timers
In theory, this protocol can fail if the initial DR and
retransmissions are all lost. The sender will give up and delete the
connection, while the other side knows nothing at all about the
attempts to disconnect and is still fully active. This situation results
in a half-open connection.

221

One way to kill off half-open connections: If no TPSUs have

arrived for a certain number of seconds, the connection is
automatically disconnected.
13.2.4: Timer-based connection management
The heart of the scheme:

When a sender wishes to send a stream of TPDUs to a

receiver, it creates a connection record internally and starts
a timer for it.

The first TPDU contains a 1-bit flag DRF (Data Run Flag).
When a TPDU with DRF flag set arrives, the receiver creates
a connection record and starts a timer for it.

If there is no TPDU sent or received for some time, the

connection record timer will expire and connection record is
deleted.

The connection record timer intervals for sender and receiver

are different and carefully chosen so that receiver will always time
out and delete its connection record well before the sender.
When any TPDU is sent, a retransmission timer is started. If
after retransmissions, there is still no acknowledgement, the sender
gives up. This give-up time plays an important role in the protocol.
If the first arrived TPDU does not have the DRF flag set, it is
discarded.
After a connection record is created, if an incoming TPDU is
in order, it is passed to the transport user; otherwise it may be
buffered.
An acknowledgement is always sent but it does not imply
that all the previous TPDUs have been received unless a flag ARF
(Acknowledgement Run Flag) is set.
A simple case of how this protocol works:

A sequence of TPDUs is sent and all are received in order

and acknowledged.

When the sender gets the acknowledgement of the final

TPDU (with ARF flag set), it stops all the retransmission
timers.

If no more data to send, the receiver's connection record

times out first and then the sender's does too.

222

No explicit establishment or release TPDUs is needed.

What happens if the TPDU bearing the DRF flag is lost?
The sender will time out and retransmit until it is acknowledged or
the give-up timer expires.
Consider a situation: a stream of TPDUs is sent and
correctly received, but some of the acknowledgements are lost.
Subsequent retransmissions are also lost, so the receiver's
connection record times out and is deleted.
How to prevent an old duplicate of the TPDU with the DRF
flag from appearing at the receiver and triggering a new connection
record?
The trick is to make the receiver's connection record timer
much longer than the sender's give-up timer plus the maximum
TPDU lifetime.
What happens if the transport user sends a burst of TPDUs
and all acknowledged, then it gets around to sending a new burst of
TPDUs?
One of three situations must hold:
1. Both sender and receiver still have their connection records
The next TPDU will carry a DRF flag and will start a new run;
it will be numbered one higher than the previous TPDU (using the
existing connection record).
The receiver will accept it (using the existing connection record).
2. The sender has its connection record but the receiver does
not
The next TPDU will carry a DRF flag and will start a new run;
it will be numbered one higher than the previous TPDU (using the
existing connection record).
The receiver will create a create a new connection record and
regard it as the start of a new run.
3. Both connection records have been deleted
The sender will create a new connection record and the next TPDU
will not be numbered in sequence with the previous ones.
The receiver will create a new connection record and regard it as
the start of a new run (it has lost its memory anyway).
One situation has been carefully avoided that the receiver knows
(by existing connection record) which TPDU to expect but the
sender does not know which one to send.

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This protocol has an interesting mixture of connectionless and

connection-oriented properties:

For transmitting a minimum of two TPDUs (for queryresponse application), it is as efficient as a connectionless
protocol.

For transmitting a sequence of TPDUs, they are guaranteed

to be delivered in order like a connection-oriented protocol.

Connections are released automatically.

13.2.5. Flow control and buffering

How connections are managed while they are in use?
For flow control, a sliding window is needed on each
connection to keep a fast transmitter from overrunning a slow
receiver (the same as the data link layer).
Since a host may have numerous connections, it is
impractical to implement the same data link buffering strategy
(using dedicated buffers for each line).
The sender should always buffer outgoing TPDUs until they
are acknowledged.
The receiver may not dedicate specific buffers to specific
connections. Instead, a single buffer pool may be maintained for all
connections. When a TPDU comes in, if there is a free buffer
available, the TPDU is accepted, otherwise it is discarded.
However, for high-bandwidth traffic (e.g., file transfers), it is
better if the receiver dedicate a full window of buffers, to allow the
data to flow at maximum speed.
How large the buffer size should be ?
As the traffic pattern changes, the transport protocol should
allow a sending host to request buffer space at the other end.
Alternatively, the receiver could tell the sender ``I have reserved
buffers for you.''
A general way to manage dynamic buffer allocation is to
decouple the buffering from the acknowledgements.
Dynamic buffer management a variable-sized window.

Initially, the sender requests a certain number of buffers,

based on its perceived needs.

The receiver then grants as many of these as it can afford.

Every time the sender transmits a TPDU, it must decrement

its allocation, stopping altogether when the allocation
reaches zero.

224

The
receiver
then
separately
piggybacks
both
acknowledgements and buffer allocations onto reverse
traffic.

To prevent deadlock caused by loss of control TPDUs, each

host should periodically send control TPDUs giving the
acknowledgement and buffer status on each connection.
The sender's window size could be dynamically adjusted not
only by the availability of the buffers at the receiver side, but also by
the capacity and traffic of the subnet: the biger the subnet's carrying
capacity and the lighter the traffic, the larger the sender's window
(assuming buffer availability is no longer a problem).
13.2.6. Multiplexing
The reasons for multiplexing:

To share the price of a virtual circuit connection: mapping

multiple transport connections to a single network
connection (upward multiplexing).

To provide a high bandwidth: mapping a single transport

connection to multiple network connections (downward
multiplexing).

13.2.7. Crash recovery

In case of a router crash, the two transport entities must
exchange information after the crash to determine which TPDUs
were received and which were not. The crash can be recovered by
retransmitting the lost ones.
It is very difficult to recover from a host crash.
Suppose that the sender is sending a long file to the receiver
using a simple stop-and-wait protocol. Part way through the
transmission the receiver crashes.
When the receiver comes back up, it might send a broadcast
TPDU to all other hosts, requesting the other hosts to inform it of
the status of all open connections before the crash.
The sender can be in one of two states: one TPDU
outstanding, , or no TPDUs outstanding, .
What happens if the sender retransmits only if it is in?
Think about the situation when the receiver first sends an
ACK and then perform the write (to the output stream), but crash
occurs in the middle (lost TPDU).
How about reversing the order of sending ACK and
performing the write?
It does not help (duplicated TPDU).

225

No matter how the sender and receiver are programmed,

there are always situations where the protocol fails to recover
properly.
13.3. The TCP service model:
TCP service is obtained by both the sender and receiver
creating end points, called sockets. Each socket has a socket
number consisting of the IP address of the host and a 16-bit
number local to that host, called a port. A port is the TCP name for
a TSAP. For TCP service to be obtained, a connection must be
explicitly established between a socket on the sending machine
and a socket on the receiving machine.
A socket may be used for multiple connections at the same
time. In other words, two or more connections may terminate at the
same socket. Connections are identified by the socket identifiers at
both ends, that is, (Socket 1, Socket 2). No virtual circuit numbers
or other identifiers are used.
Port numbers below 1024 are called well-known ports and
are reserved for standard services. All TCP connections are full
duplex and point-to-point. Full duplex means that traffic can go in
both directions at the same time. Point-to-point means that each
connection has exactly two end points. TCP does not support
multicasting or broadcasting.
A TCP connection is a byte stream not a message stream.
Message boundaries are not preserved end to end. For example, if
the sending process does four 512 byte writes to a TCP stream,
these data may be delivered to the receiving process as four 512byte chunks, two 1024-byte chunks, one 2048-byte chunks or some
other way. There is no way for the receiver to detect the unit in
which the data were written.
When an application passes data to TCP, TCP may send it
immediately or buffer it , at its discretion. For example, suppose a
user is logged in to a remote machine, After a command line has
been finished and the carriage return typed, it is essential that the
line be shipped off to the remote machine immediately and not
buffered until the next line comes in. To force data out, applications
can use the PUSH flag, which tells TCP not to delay the
transmission.
This trick sometimes works, it sometimes fails since not all
implementations o TCP pass the PUSH flag to the application on
the receiving side. One last feature of the TCP service that is worth
mentioning here is urgent data. The end of the urgent data is
marked so the application knows when it is over. The start of the
urgent data is not marked. It is up to the application to figure that

226

out. This scheme basically provides a crude signaling mechanism

and leaves everything else up to the application.
13.3.1. TCP segment header:
TCP segments are sent as internet datagrams. The Internet
Protocol header carries several information fields, including the
source and destination host addresses. A TCP header follows the
internet header, supplying information specific to the TCP protocol.
This division allows for the existence of host level protocols other
than TCP.
13.3.1.1. TCP Header Format
0123
01234567890123456789012345678901
+++++++++++++++++++++++++++++++++
|SourcePort|DestinationPort|
+++++++++++++++++++++++++++++++++
|SequenceNumber|
+++++++++++++++++++++++++++++++++
|AcknowledgmentNumber|
+++++++++++++++++++++++++++++++++
|Data||U|A|P|R|S|F||
|Offset|Reserved|R|C|S|S|Y|I|Window|
|||G|K|H|T|N|N||
+++++++++++++++++++++++++++++++++
|Checksum|UrgentPointer|
+++++++++++++++++++++++++++++++++
|Options|Padding|
+++++++++++++++++++++++++++++++++
|data|
+++++++++++++++++++++++++++++++++
TCP Header Format
Source Port: 16 bits indicates the source port number.
Destination Port: 16 bits indicates the destination port number.
Sequence Number: 32 bits

227

The sequence number of the first data octet in this segment

(except when SYN is present). If SYN is present the sequence
number is the initial sequence number (ISN) and the first data octet
is ISN+1.
Acknowledgment Number: 32 bits
If the ACK control bit is set this field contains the value of the
next sequence number the sender of the segment is expecting to
receive. Once a connection is established this is always sent.
Data Offset: 4 bits
The number of 32 bit words in the TCP Header. This indicates
where the data begins. The TCP header (even one including
options) is an integral number of 32 bits long.
Reserved: 6 bits,

Reserved for future use. Must be zero.

Control Bits: 6 bits (from left to right):

URG: Urgent Pointer field significant
ACK: Acknowledgment field significant
PSH: Push Function
RST: Reset the connection
SYN: Synchronize sequence numbers
FIN: No more data from sender
Window: 16 bits
The number of data octets beginning with the one
indicated in the acknowledgment field which the sender of this
segment is willing to accept.
Checksum: 16 bits
The checksum field is the 16 bit one's complement of the
one's complement sum of all 16 bit words in the header and text. If
a segment contains an odd number of header and text octets to be
check summed, the last octet is padded on the right with zeros to
form a 16 bit word for checksum purposes. The pad is not
transmitted as part of the segment.
While computing the
checksum, the checksum field itself is replaced with zeros.
The checksum also covers a 96 bit pseudo header
conceptually prefixed to the TCP header. This pseudo header
contains the Source Address, the Destination Address, the
Protocol, and TCP length. This gives the TCP protection against
misrouted segments. This information is carried in the Internet
Protocol and is transferred across the TCP/Network interface in the
arguments or results of calls by the TCP on the IP.

228
+--------+--------+--------+--------+
|
Source Address
|
+--------+--------+--------+--------+
|
Destination Address
|
+--------+--------+--------+--------+
| zero | PTCL | TCP Length |
+--------+--------+--------+--------+

The TCP Length is the TCP header length plus the data length
in octets (this is not an explicitly transmitted quantity, but is
computed), and it does not count the 12 octets of the pseudo
header.
Urgent Pointer: 16 bits
This field communicates the current value of the urgent pointer
as a positive offset from the sequence number in this segment.
The urgent pointer points to the sequence number of the octet
following the urgent data. This field is only be interpreted in
segments with the URG control bit set.
Options: variable
Options may occupy space at the end of the TCP header and are
a multiple of 8 bits in length. All options are included in the
checksum. An option may begin on any octet boundary. There are
two cases for the format of an option:
Case 1: A single octet of option-kind.
Case 2: An octet of option-kind, an octet of option-length, and the
actual option-data octets.
The option-length counts the two octets of option-kind and
option-length as well as the option-data octets. Note that the list of
options may be shorter than the data offset field might imply. The
content of the header beyond the End-of-Option option must be
header padding (i.e., zero).
A TCP must implement all options. Currently defined options
include (kind indicated in octal):
Kind Length Meaning
---- ------ ------0
End of option list.
1
No-Operation.
2
4
Maximum Segment Size.

229

Specific Option Definitions

End of Option List
+--------+
|00000000|
+--------+
Kind=0
This option code indicates the end of the option list. This
might not coincide with the end of the TCP header according to the
Data Offset field. This is used at the end of all options, not the end
of each option, and need only be used if the end of the options
would not otherwise coincide with the end of the TCP header.
No-Operation
+--------+
|00000001|
+--------+
Kind=1
This option code may be used between options, for example,
to align the beginning of a subsequent option on a word boundary.
There is no guarantee that senders will use this option, so receivers
must be prepared to process options even if they do not begin on a
word boundary.
Maximum Segment Size
+--------+--------+---------+--------+
|00000010|00000100| max seg size |
+--------+--------+---------+--------+
Kind=2 Length=4
Maximum Segment Size Option Data: 16 bits
If this option is present, then it communicates the maximum
receive segment size at the TCP which sends this segment. This
field must only be sent in the initial connection request (i.e., in
segments with the SYN control bit set). If this option is not used,
any segment size is allowed.
Padding: variable
The TCP header padding is used to ensure that the TCP header
ends and data begins on a 32 bit boundary. The padding is
composed of zeros.

13.4. UDP:
This User Datagram Protocol (UDP) is defined to make
available a datagram
mode of packet-switched
computer

230

communication in the environment of an interconnected set of

computer networks.
This protocol assumes that the Internet
Protocol (IP) is used as the underlying protocol.
This protocol provides a procedure
for application
programs to send messages to other programs with a minimum
of protocol mechanism. The protocol is transaction oriented, and
delivery and duplicate protection are not guaranteed. Applications
requiring ordered reliable delivery of streams of data should use the
Transmission Control Protocol (TCP).
13.4.1. Format:
0
7 8 15 16 23 24 31
+--------+--------+--------+--------+
| Source
| Destination |
|
Port
|
Port
|
+--------+--------+--------+--------+
|
|
|
| Length
| Checksum |
+--------+--------+--------+--------+
|
|
data octets ...
+---------------- ...
User Datagram Header Format
13.4.2. Fields:
Source Port is an optional field, when meaningful, it
indicates the port of the sending process, and may be assumed to
be the port to which a reply should be addressed in the absence of
any other information. If not used, a value of zero is inserted.
Fields Destination Port has a meaning within the context of
a particular Internet destination address. Length is the length in
octets of this user datagram including this header and the data.
(This means the minimum value of the length is eight.)
Checksum is the 16-bit one's complement of the one's
complement sum of a pseudo header of information from the IP
header, the UDP header, and the data, padded with zero octets
at the end (if necessary) to make a multiple of two octets.
The pseudo header conceptually prefixed to the UDP
header contains the source address, the destination address, the
protocol, and the UDP length. This information gives protection
against misrouted datagrams. This checksum procedure is the
same as is used in TCP.

231
0
7 8 15 16 23 24 31
+--------+--------+--------+--------+
|
Source address
|
+--------+--------+--------+--------+
|
Destination address
|
+--------+--------+--------+--------+
| zero |protocol| UDP length |
+--------+--------+--------+--------+

If the computed checksum is zero, it is transmitted as all

ones (the equivalent in one's complement arithmetic). An all zero
transmitted checksum value means that the transmitter generated
no checksum (for debugging or for higher level protocols that don't
care).
User Interface
A user interface should allow the creation of new receive
ports, receive operations on the receive ports that return the data
octets and an indication of source port and source address, and an
operation that allows a datagram to be sent, specifying the data,
source and destination ports and addresses to be sent.

13.5. CONGESTION CONTROL:

When the load to any network is more than it can handle,
the congestion is increasing. Although the network layer tries to
manage congestion, most of the heavy lifting is done by TCP
because the real solution to congestion is to slow down the data
rate.
The first step in managing congestion is detecting it. In the
olden days, detecting congestion was difficult. A timeout caused by
a lost packet could have been caused by either
(A) Noise on a transmission line or
(B) Packet discards at a congested router.
Nowadays, packet loss due to transmission errors is
relatively rare because most long-haul trunks are fiber.
Consequently, most transmission timeouts on the Internet are due
to congestion.
13.5.1. Congestion prevention:
When a connection is established, a suitable window size
has to be chosen. The receiver can specify a window based on its
buffer size. If the sender sticks to this window size, problems will
not occur due to buffer overflow at the receiving end, but they may
occur due to internal congestion within the network.

232

Solutions:
1. The first solution is to realize that two potential problems exist
network capacity and receiver capacity which needs to be dealt
with separately. To avoid the same each sender maintains two
windows.
a) The window the receiver has granted
b) The congestion window.

Each reflects the number of bytes the sender may transmit. The
number of bytes that may be sent is the minimum of the two
windows. Thus, the effective window is the minimum of what the
sender and the receiver thinks as the maximum capacity
2) When a connection is established, the sender initializes the
congestion window to the size of the maximum segment in use
on the connection. It then sends one maximum segment. IF this
segment is acknowledged before the timer goes off, it adds one
segments worth of bytes to the congestion window to make it
two maximum size segments and sends two segments. As each
of these segments is acknowledged, the congestion window is
increased by one maximum segment size. When the congestion
window is n segments, if all n are acknowledged on time, the
congestion window is increased by the byte count
corresponding to n segments.
3) The congestion window keeps growing exponentially until either
a timeout occurs or the receivers window is reached.
4) The idea behind is that if bursts of size 1024,2048 and 4096
bytes work fine but a burst of 8192 bytes gives a timeout, the
congestion window should be set to 4096 to avoid congestion.
As long as the congestion window remains at 4096, no bursts
longer than that will be sent. This algorithm is called slow start.
5) Another way of implementing congestion control algorithm is by
using third parameter, the threshold, initially 64KB, in addition to
the receiver and congestion windows. When timeout occurs, the
threshold is set to half of the current congestion window, and
the congestion window is reset to one maximum segment. Slow
start is then used to determine what the network can handle,
except that exponential growth stops when the threshold is hit.
6) From that point on, successful transmissions grow the
congestion window linearly instead of one per segment.

233

14
THE APPLICATION LAYER
In this Unit, we are going to discuss in detail about the following
services.

Unit Structure
14.1 WWW,
14.2 HTTP,
14.3 DNS,
14.4 SNMP,
14.5 FTP,
14.6 Remote logging/Telnet and
14.7 E-mail.

14.1. THE WORLD WIDE WEB(WWW)

The Web came to us in 1994 (commercially) and allowed for
everyone to work on the Internet, even though many had no idea
what they were working on. The browser became the interface, a
simpletouse interface, and this was the start of the
commercialization of the Web. This is when corporate money
became involved. However, the idea started out way back in 1981
with a program called Enquire, developed by Tim BernersLee.
A program known as Mosaic was released in November
1993 as freeware written by the cofounder of NetScape, Marc
Andreeson, at the U.S. National Center for Supercomputer
Applications (NCSA). Mosaic allowed text and graphics on the
same Web page and was the basis for NetScapes Navigator
browser and Microsofts Internet Explorer.
First and foremost, the Web allows anyone, especially
nontechnical people, instant access to an infinite amount of
information. You can get stock reports, information from a library,
order a book, reserve airline tickets, page someone, find that long
lost friend through the yellow pages, order a data line for your
house, check your credit card statement, check on the availability of
that oneandonly car, provide computerbased training, or attend
a private (video and audio) meeting. And yes, you can send an
email.

234

Unlike other online services such as CompuServe, Prodigy,

and America Online (at the time), anyone can create a Web page
as wellnot too hard to do, the language to create a Web page is
pretty much English. Millions of ideas are available, and there is a
pulldown menu in the browser that allows you to see the source
code (the basic instructions that tell the Web server how to format a
page) of any Web page.
By 1995, companies known as Internet Service Providers
(ISPs) were advertising their ability to put you on the Web for a low
price of $19.95. In fact, today, most professional ISPs give you
space on their servers (a small amount, but enough to get started)
for you to create your Web page, at no charge! Point and click to
access any information that you would like; you do not have to
know an operating system to move around the Web. No other
cyberspace provider has the rich simplicity of the browser.
One click and you can be on a server in Japan, video
conference to California, send an email to your friend in England, or
plan a vacation to Breckenridge, Colorado. Other online providers
had information, but it was the simplicity and combination of text
and still pictures on the same page that catapulted the Web into
every home. Virtually anything that you want to check on, you can
do on the Web and you do not have to remember IP addresses,
directory commands for DOS and Unix, file compression, executing
the TAR command, printing to a postscript printer, and so on.
Simply stated, the Web allows everyone access to network data
with a simple click of the mouse.
On the application front, more and more applications are
being written towards (or have embedded) the most common
Internet interface: a browser. A browser allows the Internet to be
accessed graphically using icons and pictures and a special text
language known as Hypertext Markup Language, or HTML. For
platform independence in writing applications for the Web, the Java
language was created.
What is the downfall of the Internet? No, connectivity is
generally not the problem. ISPs can be a problem, but even they
are manageable. The biggest problem with the Internet is its
biggest asset: information. You may find yourself scratching your
head while traveling the Internet. Anyone can create content and
post it, so there is a lot of old information on the Internet. Web
pages are not kept up. Web pages are not written correctly and
contain too many slowloading graphics. Many links that are
embedded in other Web pages no longer exist. Information is
posted without having validity checks. Remember, no one entity
owns the Internet or the Web application.

235

Some companies with Web pages are no longer around. All

Web pages are not created equal; some take an eternity to write to
your browser, while others take a minimal amount of time. Also, all
ISPs are not created equal. An ISP is your connection to the
Internet. Test out your ISP for service and connectivity.
Search engines bring back many undesired Web pages
which require advanced searching techniques. Be careful when
scrutinizing the Internet. Make sure the data is reputable (i.e., can
be verified). The Internet really introduced us to the concept of
trying something for free. Another concept that the Internet was not
used for was known as shareware, where the free samples of
applications range from severely crippled (lacking many of the full
version features such as printing abilities) to the fullblown version
of the software. The Web combined the two concepts, and the
marketing concept really took hold when the Internet came into the
business world. Every business sponsoring a Web page will give
you something if you purchase somethinga very old concept
brought to life again via the Internet.
Most of us try a free sample before purchasing. This is still
known as shareware, and payment is expected, which leads to
another big problem for the Internet: How and when do you charge
for something? Most users expect to surf the Internet, pick up what
they want for free, and then sign off. Sorry dears, we dont live in a
free world, and eventually you must pay. Unfortunately, there are
those out there who continue to download software and not pay for
it. If this continues, shareware will not be available, and you will end
up with a payfirst, trylater attitude.
Another problem of the Internet is the spread of viruses.
Protect your workstation with some type of antiviral software before
downloading anything from the Internet. Most protection schemes
are dynamic in that they are constantly checking for viruses even
during an email download or a file transfer. Here is where the other
online providers do have an advantage. Private online providers
such as America Online and CompuServe make every effort to test
uploaded software and generally do not allow for content to be
written to their servers. You will find those services more protected
and watched over than the Internet.

14.2 HTTP
Introduction:
HTTP defines how messages are formatted and transmitted,
and what actions Web servers and browsers should take in
response to various commands. For example, when you enter
a URL in your browser, this actually sends an HTTP command to
the Web server directing it to fetch and transmit the requested Web

236

page. The other main standard that controls how the World Wide
Web works is HTML, which covers how Web pages are formatted
and displayed.
HTTP is called a stateless protocol because each command
is executed independently, without any knowledge of the
commands that came before it. This is the main reason that it is
difficult to implement Web sites that react intelligently to user input.
This shortcoming of HTTP is being addressed in a number of new
technologies, including ActiveX, Java, JavaScript and cookies.
S-HTTP is an extension to the HTTP protocol to support
sending data securely over the World Wide Web. S-HTTP was
developed by Enterprise Integration Technologies (EIT), which was
acquired
by
Verifone,
Inc.
in
1995.
Not
all Web
browsers and servers support S-HTTP.
Another technology for transmitting secure communications
over the World Wide Web -- Secure Sockets Layer (SSL) -- is more
prevalent.
However, SSL and S-HTTP have very different designs and
goals so it is possible to use the two protocols together. Whereas
SSL is designed to establish a secure connection between two
computers, S-HTTP is designed to send individual messages
securely. Both protocols have been submitted to the Internet
Engineering Task Force (IETF) for approval as a standard.
The Hypertext Transfer Protocol (HTTP) is a networking
protocol for distributed, collaborative, hypermedia information
systems. HTTP is the foundation of data communication for
the World Wide Web. The standards development of HTTP has
been coordinated by the Internet Engineering Task Force (IETF)
and the World Wide Web Consortium (W3C), culminating in the
publication of a series of Requests for Comments (RFCs), most
notably RFC 2616 (June 1999), which defines HTTP/1.1, the
version of HTTP in common use.
Technical overview:
HTTP functions as a request-response protocol in the clientserver computing model. In HTTP, a web browser, for example,
acts as a client, while an application running on a
computer hosting a web site functions as a server. The client
submits an HTTP request message to the server. The server, which
stores content, or provides resources, such as HTML files, or
performs other functions on behalf of the client, returns a response
message to the client. A response contains completion status
information about the request and may contain any content
requested by the client in its message body.

237

A client is often referred to as a user agent (UA). As well as

web browsers, web crawlers are another common user agent.
These include the indexing software used by search
providers. Voice browsers are another less common but important
class of user agent.
The HTTP protocol is designed to permit intermediate
network elements to improve or enable communications between
clients and servers. High-traffic websites often benefit from web
cache servers that deliver content on behalf of the original, socalled origin server to improve response time. HTTP proxy
servers at network boundaries facilitate communication when
clients without a globally routable address are located in private
networks by relaying the requests and responses between clients
and servers.
HTTP is an Application Layer protocol designed within the
framework of the Internet Protocol Suite. The protocol definitions
presume a reliable Transport Layer protocol for host-to-host data
transfer.[2] The Transmission Control Protocol (TCP) is the
dominant protocol in use for this purpose. However, HTTP has
found application even with unreliable protocols, such as the User
Datagram Protocol (UDP) in methods such as the Simple Service
Discovery Protocol (SSDP).
HTTP Resources are identified and located on the network
by Uniform
Resource
Identifiers (URIs)or,
more
specifically, Uniform
Resource
Locators (URLs)using
the http or https
URI.
URIs
and
the Hypertext
Markup
Language (HTML), form a system of inter-linked resources,
called hypertext documents, on the Internet.
The original version of HTTP (HTTP/1.0) was revised in
HTTP/1.1. HTTP/1.0 uses a separate connection to the same
server for every request-response transaction, while HTTP/1.1 can
reuse a connection multiple times, to download, for instance,
images for a just delivered page. Hence HTTP/1.1 communications
experience less latency as the establishment of TCP connections
presents considerable overhead.
HTTP session:
An HTTP session is a sequence of network requestresponse transactions. An HTTP client initiates a request. It
establishes a Transmission Control Protocol (TCP) connection to a
particular port on a host (typically port 80). An HTTP server
listening on that port waits for a client's request message. Upon
receiving the request, the server sends back a status line, such as
"HTTP/1.1 200 OK", and a message of its own, the body of which is
perhaps the requested resource, an error message, or some other
information.

238

Request message:
The request message consists of the following:
Request line, such as GET /images/logo.png HTTP/1.1, which
requests a resource called /images/logo.png from server
Headers, such as Accept-Language: en
An empty line

An optional message body:

The request line and headers must all end with <CR><LF>
(that is, a carriage return followed by a line feed). The empty line
must consist of only <CR><LF> and no other whitespace. Although
<CR><LF> is required <LF> alone is also accepted by most
servers In the HTTP/1.1 protocol, all headers except Host are
optional. A request line containing only the path name is accepted
by servers to maintain compatibility with HTTP clients before the
HTTP/1.0 specification in RFC1945
Request methods:
An HTTP request made using telnet. The request, response
headers and response body are highlighted. HTTP defines nine
methods (sometimes referred to as "verbs") indicating the desired
action to be performed on the identified resource. What this
resource represents, whether pre-existing data or data that is
generated dynamically, depends on the implementation of the
server. Often, the resource corresponds to a file or the output of an
executable residing on the server.
1. HEAD- Asks for the response identical to the one that would
correspond to a GET request, but without the response body.
This is useful for retrieving meta-information written in response
headers, without having to transport the entire content.

2. GET- Requests a representation of the specified resource.

Requests using GET (and a few other HTTP methods)
"SHOULD NOT have the significance of taking an action other
than retrieval". The W3C has published guidance principles on
this distinction, saying, "Web application design should be
informed by the above principles, but also by the relevant
limitations."

3. POST- Submits data to be processed (e.g., from an HTML

form) to the identified resource. The data is included in the body
of the request. This may result in the creation of a new resource
or the updates of existing resources or both.
4.

PUT- Uploads a representation of the specified resource.

5.

DELETE- Deletes the specified resource.

6.

239
TRACE- Echoes back the received request, so that a client
can see what (if any) changes or additions have been made by
intermediate servers.

7. OPTIONS- Returns the HTTP methods that the server supports

for specified URL. This can be used to check the functionality of
a web server by requesting '*' instead of a specific resource.
8. CONNECT - Converts the request connection to a
transparent TCP/IP tunnel, usually to facilitate SSL-encrypted
communication (HTTPS) through an unencrypted HTTP proxy.
9. PATCH- Is used to apply partial modifications to a resource.
HTTP servers are required to implement at least GET and
HEAD methods and, whenever possible, also the OPTIONS
method.

Safe methods:
Some methods (for example, HEAD, GET, OPTIONS and
TRACE) are defined as safe, which means they are intended only
for information retrieval and should not change the state of the
server. In other words, they should not have side effects, beyond
relatively harmless effects such as logging, caching and the serving
of banner advertisements or incrementing a web counter. Making
arbitrary GET requests without regard to the context of the
application's state should therefore be considered safe.

By contrast, methods such as POST, PUT and DELETE are

intended for actions that may cause side effects either on the
server, or external side effects such as transactions or transmission
of email. Such methods are therefore not usually used by
conforming web robots or web crawlers; some that do not conform
tend to make requests without regard to context or consequences.

Despite the prescribed safety of GET requests, in practice

their handling by the server is not technically limited in any way.
Therefore, careless or deliberate programming can cause nontrivial changes on the server. This is discouraged, because it can
cause problems for Web caching, search engines and other
automated agents, which can make unintended changes on the
server.

Furthermore, methods such as TRACE, TRACK and

DEBUG are considered potentially 'unsafe' by some security
professionals, because they can be used by attackers to gather
information or bypass security controls during attacks. Security
software tools such as Tenable Nessus and Microsoft URLScan
report on the presence of these methods as being security issues.

240

Idempotent methods and web applications:

Methods PUT and DELETE are defined to be idempotent,
meaning that multiple identical requests should have the same
effect as a single request. Methods GET, HEAD, OPTIONS and
TRACE, being prescribed as safe, should also be idempotent, as
HTTP is a stateless protocol.

In contrast, the POST method is not necessarily idempotent,

and therefore sending an identical POST request multiple times
may further affect state or cause further side effects (such
as financial transactions). In some cases this may be desirable, but
in other cases this could be due to an accident, such as when a
user does not realize that their action will result in sending another
request, or they did not receive adequate feedback that their first
request was successful. While web browsers may show alert dialog
boxes to warn users in some cases where reloading a page may
re-submit a POST request, it is generally up to the web application
to handle cases where a POST request should not be submitted
more than once.

Note that whether a method is idempotent is not enforced by

the protocol or web server. It is perfectly possible to write a web
application in which (for example) a database insert or other nonidempotent action is triggered by a GET or other request. Ignoring
this recommendation, however, may result in undesirable
consequences, if a user agent assumes that repeating the same
request is safe when it isn't.

Status codes:
In HTTP/1.0 and since, the first line of the HTTP response is
called the status line and includes a numeric status code (such as
"404") and a textual reason phrase (such as "Not Found"). The way
the user agent handles the response primarily depends on the code
and secondarily on the response headers. Custom status codes
can be used since, if the user agent encounters a code it does not
recognize, it can use the first digit of the code to determine the
general class of the response. Also, the standard reason
phrases are only recommendations and can be replaced with "local
equivalents" at the web developer's discretion. If the status code
indicated a problem, the user agent might display the reason
phrase to the user to provide further information about the nature of
the problem. The standard also allows the user agent to attempt to
interpret the reason phrase, though this might be unwise since the
standard explicitly specifies that status codes are machine-readable
and reason phrases are human-readable.

Persistent connections:
In HTTP/0.9 and 1.0, the connection is closed after a single
request/response pair. In HTTP/1.1 a keep-alive-mechanism was

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introduced, where a connection could be reused for more than one

request. Such persistent connections reduce request latency
perceptibly, because the client does not need to re-negotiate the
TCP connection after the first request has been sent. Version 1.1 of
the protocol made bandwidth optimization improvements to
HTTP/1.0. For example, HTTP/1.1 introduced chunked transfer
encoding to allow content on persistent connections to be
streamed, rather than buffered. HTTP pipelining further reduces lag
time, allowing clients to send multiple requests before a previous
response has been received to the first one. Another improvement
to the protocol was byte serving, which is when a server transmits
just the portion of a resource explicitly requested by a client.

HTTP session state:

HTTP is a stateless protocol. A stateless protocol does not
require the server to retain information or status about each user for
the duration of multiple requests. For example, when a web server
is required to customize the content of a web page for a user,
the web application may have to track the user's progress from
page to page. A common solution is the use of HTTP cookies.
Other methods include server side sessions, hidden variables
(when the current page is a form), and URL-rewriting using URIencoded parameters,
e.g., /index.php?session_id=some_unique_session_code.
Secure HTTP:
There are three methods of establishing a secure HTTP
connection: HTTP Secure, Secure Hypertext Transfer Protocol and
the HTTP/1.1 Upgrade header. Browser support for the latter two
is, however, nearly non-existent,[citation needed] so HTTP Secure is the
dominant method of establishing a secure HTTP connection.

Example session:
Below is a sample conversation between an HTTP client and
an HTTP server running on www.example.com, port 80.

Client request
GET /index.html HTTP/1.1
Host: www.example.com
A client request (consisting in this case of the request line
and only one header) is followed by a blank line, so that the
request ends with a double newline, each in the form of
a carriage return followed by a line feed. The "Host" header
distinguishes between various DNS names sharing a
single IP address, allowing name-based virtual hosting. While
optional in HTTP/1.0, it is mandatory in HTTP/1.1.

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Server response:

HTTP/1.1 200 OK
Date: Mon, 23 May 2005 22:38:34 GMT
Server: Apache/1.3.3.7 (Unix) (Red-Hat/Linux)
Last-Modified: Wed, 08 Jan 2003 23:11:55 GMT
Etag: "3f80f-1b6-3e1cb03b"
Accept-Ranges: bytes
Content-Length: 438
Connection: close
Content-Type: text/html; charset=UTF-8

A server response is followed by a blank line and text of the

requested page. The ETag (entity tag) header is used to determine
if a cached version of the requested resource is identical to the
current version of the resource on the server. ContentType specifies the Internet media type of the data conveyed by the
http message, while Content-Length indicates its length in bytes.
The HTTP/1.1 web server publishes its ability to respond to
requests for certain byte ranges of the document by setting the
header Accept-Ranges: bytes. This is useful, if the client needs to
have only certain portions of a resource sent by the server, which is
called byte serving. When Connection: close is sent in a header, it
means that the web server will close the TCP connection
immediately after the transfer of this response.
Most of the header lines are optional. When ContentLength is missing the length is determined with other ways.
Chunked transfer encoding uses a chunk size of 0 to mark the end
of the content. Identity encoding without Content-Length reads
content until the socket is closed.
A Content-Encoding like gzip can be used to reduce the
amount of data.

14.3. DOMAIN NAME SERVICE (DNS)

There are millions of hosts on the Internet today
representing even more millions of users. Most users have no idea
what the underlying protocols are doing, nor do they care. But most
of them would if they had to memorize IP addresses and determine
other functions such as mail.
Actually, most would be frustrated by the numbering system
and the Internet would not be as popular as it is. When the Internet

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was young, an early method of mapping the 32-bit address to a

hostname required downloading a file maintained by (at the time)
the Network Information Center (NIC). It was a single file (hosts.txt)
that contained a simple mapping of Internet addresses to
hostnames. This file was usually contained in the /etc subdirectory
on a workstation and various TCP/IP applications could access the
information in this file. Not having this file meant that a user had to
type in the 32-bit address for connectivity to a remote host.
Secondly, population of the Internet was becoming very
diverse and more autonomous. In the 1980s the Internet was
known as the ARPAnet (now shut down) and the hosts were
primarily time shared. More and more connections to the Internet
were sites that had LANs installed and connected to these LANs
were mainframe and minicomputers or even personal computers.
These sites were administering their own names and addresses in
the hosts.txt file, but had to wait for the NIC to change hosts.txt to
make changes visible to the Internet at large.
Lastly, with the additions of more sites to the Internet, the
applications on the Internet were getting more sophisticated and
creating a need for a general-purpose name service.
After many experimental RFCs, the global name system for
the Internet became known as the Domain Name System (DNS).
DNS is comprised of three components:
a name server,
a database, and
a name resolver.

Name servers make information available to the resolvers.

The information the name servers contain is IP addresses, aliases,
mail information, and so forth. The resolvers usually reside on
users workstations and are embedded in the applications of TCP
such as TELNET and FTP. They are not separate programs. The
name server is a separate program and resides anywhere on a
network answering queries from the resolvers. The domain servers
each maintain a portion of the hierarchical database under separate
administrative authority and control. Redundancy is obtained by
transferring data between cooperating servers (primary masters
and secondary masters).
DNS Structure:
The Domain Name Space is very much like a file system on
Unix or DOS. It starts with a root and branches attach from this root
to give an endless array of paths. Each branch in the file system is
given a directory name, whereas in DNS it is called a label. Each
label can be 63 characters in length, but most are far less than that.
This means that each text word between the dots can be 63

244

characters in length, with the total domain name (all the labels)
limited to 255 bytes in overall length assuming a screen line length
of 80 characters this is just 3 screen lines.
The IP protocol mandates the use of IP addresses. Any user
may use this address to connect to any service on the network;
however, for a user to remember the addresses of the entire
network servers on the network are an impossible task. Users are
more likely to remember names than they are to remember
numbers. For those familiar with database environments, the
domain name server are simply a database (consisting of
information such as names and IP addresses, and much more) to
which any station on the network can make queries using the
domain name resolver.
The domain name system is not necessarily complex, but it
is involved. It is based on a hierarchical structure. The domain
name is simply that: a name assigned to a domain. For example,
isi.edu, cisco.com, and 3Com.com represent the domain name at
those companies or educational institutions.
DNS Components:
DNS does much more than the name-to-address translation.
It also allows for the following components.
Domain Name Space and resource records
Name servers
Resolvers
The Domain Name Space and resource records:
This is the database of grouped names and addresses that
are strictly formatted using a tree-structured name space and data
associated with the names. The domain system consists of
separate sets of local information called zones. The database is
divided up into sections called zones, which are distributed among
the name servers.
While name servers can have several optional functions and
sources of data, the essential task of a name server is to answer
queries using data in its zones. Conceptually, each node and leaf of
the domain name space tree names a set of information, and query
operations are attempts to extract specific types of information from
a particular set. A query names the domain name of interest and
describes the type of resource information that is desired.
Name servers:
These are workstations that contain a database of
information about hosts in zones. This information can be about
well-known services, mail exchanger, or host information. A name
server may cache structure or set information about any part of the

245

domain tree, but in general, a particular name server has complete

information about a subset of the domain space, and pointers to
other name servers that can be used to lead to information from
any part of the domain tree. Name servers know the parts of the
domain tree for which they have complete information; a name
server is said to be an authority for these parts of the name space.
Authoritative information is organized into units called zones,
and these zones can be automatically distributed to the name
servers that provide redundant service for the data in a zone. The
name server must periodically refresh its zones from master copies
in local files or foreign name servers.
Resolvers:
These are programs that generally reside on users
workstations and send requests over the network to servers on
behalf of the users. Resolvers must be able to access at least one
name server and use that name servers information to answer a
query directly, or pursue the query using referrals to other name
servers.
When a DNS server responds to a resolver, the requester
attempts a connection to the host using the IP address and not the
name. The preceding example could have used only part of a
name: host. This is known as a relative name. It is part of a larger
name known as the absolute name. The absolute name for the
preceding example could be host.research.Naugle.com. This name
would be in the domain name server. Most resolvers will step
through a preconfigured list of suffixes (in order of configured
input), append it to the name, and attempt a lookup when the full
DNS (absolute) name is not specified.
Domain Structure:
DNS is hierarchical in structure, as shown previously. A domain is a
sub-tree of the domain name space. The advantage of this
structure is that at the bottom, the network administrator can assign
the names. From the root, the assigned top-level domains (TLD)
are as follows:
GOV Government body.
EDU Educational body.
COM Commercial entity.
MIL Military.
ORG Any other organization not previously listed.
CON- Any country using the ISO standard 3166 for names of
countries As stated in RFC 1591, the IANA is not in the
business of what is and what is not a country.
Therefore, it is up to ISO to determine who is on that list.
Now lets look at the generalized format for a domain name.

246

Going down the tree, we can pick out a domain name, such
as research.Naugle.com. This would signify the Research
department (which is a sub-domain of domain Naugle.com) at
Naugle Enterprises, which is defined as a commercial entity of the
Internet. Naugle.com can be a node in the domain acting as a
name server, or there may be different name servers for
Naugle.com.
A user at workstation 148.1.1.2 types in the TELNET
command and the domain name of host1.research.Naugle.com.
This workstation must have the domain name resolver installed on
it. This program would send out the translation request to a domain
name server to resolve the hostname-to-IP address. If the
hostname is found, the domain name server would return the IP
address to the workstation. If the name is not found, the server may
search for the name elsewhere and return the information to the
requesting workstation, or return the address of a name server that
the workstation (if able) can query to get more information.
A domain contains all hosts whose domain names are within
a certain domain. A domain name is a sequence of labels
separated by dots. A domain is a sub-domain of another domain if it
is contained within that domain. This relationship can be tested by
seeing if the sub-domains name ends with the containing domains
name. For example, research.Naugle.com is a sub-domain of
Naugle.com. Naugle.com is a sub-domain of .com, and (root).
There are special servers on the Internet that provide
guidance to all name servers.
These are known as root name servers and, as of this
writing, there are nine of them. They do not contain all information
about every host on the Internet, but they do provide direction as to
where domains are located (the IP address of the name server for
the uppermost domain a server is requesting). The root name
server is the starting point to find any domain on the Internet. If
access to the root servers ceased, transmission over the Internet
would eventually come to a halt.

14.4. SIMPLE NETWORK MANAGEMENT PROTOCOL

(SNMP)
Network management is divided into five categories:
Account management
Fault management
Security
Configuration management
Performance

247

Account management: Gathers information on which users or

departments are employing which network services.
Fault management: Includes troubleshooting, finding, and
correcting failed or damaged components, monitoring equipment
for early problem indicators, and tracking down distributed
problems.
Security: Includes authorization, access control, data encrypting,
and management of encrypting keys.
Configuration management: Tracks hardware and software
information. Included with this are administration tasks, such as
day-to-day monitoring and maintenance of the current physical and
logical state of the network, as well as recognition and registrations
of applications and services on the network.
Performance: The monitoring of traffic on the network.
Elements of SNMP:
There are several elements that comprise SNMP and they all must
work together in order for SNMP to operate. They are
Management Server
Management Clients
Agent and
MIB
Management server: The network station that runs the
management application to monitor or control the management
clients.
Management clients: The network station that contains the agent
(a software component), which enables the management server to
control and monitor them.
The agent can be located in any directly attached network
device such as router, a PC, a switch, etc. SNMP is a
Request/Response protocol that allows for the exchange of
information between the server and an agent. This protocol does
not define the items that can be managed.
MIB: The Management Information Base is a collection of objects
that contain information that will be utilized by a network
management server. It contains all of this information under an
entity known as object. Similar objects are placed together to form
groups. In other words, the MIB is a database. It is a collection of
objects formed into groups, each of which contains information that
will be given based on a request from a management station.

248

SNMP Manager:
An SNMP manager is a software application that queries the
agents for information, or sets information on the client agent. The
returned information is then stored in a database to be manipulated
by other application software that is not defined by SNMP. The
information gathered can be used to display graphs of how many
bytes of information are transmitted out a port, how many errors
have occurred, and so forth. SNMP simply sets or gathers
information in a node. Therefore, the server will be comprised of
two things:
Management applications:
Applications that can receive and process the information
gathered by the SNMP manager. These applications are the ones
that have some type of user interface to allow the network manager
to manipulate the SNMP protocol; for example, set the SNMP node
that it would like to talk to, send that node information, get
information from that node, and so on.
Databases:
The information that is stored in the database is from the
configuration, performance, and audit data of the agents. There are
multiple databases on the server: the MIB database, the Network
Element database, and the Management Application databases
(Topology database, History Log, Monitor Logs). All of this runs on
top of SNMP. It is not necessary for SNMP to operate, but it does
allow for the human factor to fit in.
Agent:
Agents are simple elements that have access to a networks
elements (router, switch, PC, etc.) MIB. Agents are the interface
from the network management server to the client MIB. They
perform server-requested functions. When a server requests
information from a client, it will build its SNMP request and send it,
unicast, to the client. The agent receives this request, processes it,
retrieves or sets the information in the MIB of the client, and
generates some type of response to the server. Usually, agents
only transmit information when requested by a server.
However, there is one instance in which an agent will
transmit unwanted information.
It is known as a trap. There are certain things on a network
station that may force it to immediately notify the server. Some of
these traps are defined by the RFC. Things such as cold/warm start
and authentication failure are traps that are sent to the server. Most
agent applications today permit the use of user-defined traps. This
means that the network administrator of an SNMP compliant device
can configure the router to send traps to the server when certain

249

conditions are met. For example, a router may send a trap to the
server when its memory buffers constantly overflow or when too
many ICMP redirects have been sent.
Another type of agent is known as the proxy agent. This allows
one station to become an agent for another network station that
does not support SNMP. Basically, proxy agents server acts as
translators between servers and non-SNMP capable clients (for
security, limited resources, etc.).
Management Information Base (MIB):
The MIB is a collection of objects that contain specific
information that together form a group. You can think of a MIB as a
database that contains certain information that was either preset
(during configuration of the node) or was gathered by the agent and
placed into the MIB. Simply stated, the MIB is a database that
contains information about the client that is currently placed on it.
The structure of management information is defined in RFC 1155
and defines the format of the MIB objects. This includes the
following:
Collection of objects that contain specific information that
together form a group.
Structure of Management Information is specified in RFC 1155.
The objects contain the following:
Syntax
Access
Status
Description
Index
DefVal
Value notation
Syntax (required): It is the abstract notation for the object type.
This defines the data type that models the object.
Access (required): It defines the minimal level of support required
for the object types. It must be one of read-only, read-write, writeonly, or not accessible.
Status (required): It denotes the status of the MIB entry. It can be
mandatory, optional, obsolete, or deprecated (removed).
Description (Optional): It is a text description of the object type.
Index-Present only if the object type corresponds to a row in a
table.
DefVal (Optional): It defines a default value that may be assigned
to the object when a new instance is created by an agent.
Value Notation- The name of the object, which is an Object
Identifier.

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Example of a MIB Entry:

Object:
IfOperStatus {ifEntry 8}
Syntax:
INTEGER {
up (1) ready to pass packets
down(2),
testing (3) in some test mode
}
Definition:
The current operational state of the interface. The testing (3) state
indicates that no operational packets can be passed.
Access:
Read-only.
Status:
Mandatory.
SNMP is the protocol that is used between a manager and a
client. SNMP uses a series of SNMP commands and protocol data
units (PDUs) to send and receive management information. SNMP
was eventually to be migrated to the OSI management scheme.
Therefore an encoding scheme known as Abstract Syntax Notation,
or ASN.1, was used. Only the INTEGER, OCTET, STRING,
OBJECT IDENTIFIER, NULL, SEQUENCE, AND SEQUENCE OF
are used. SNMP uses UDP as its transport layer. The following are
the SNMP protocol data unit (PDU Packet) types:
GetRequest- Requests an agent to return attribute values for a list
of managed objects.
GetNextRequest- Used to traverse a table of objects. Since the
object attributes are stored in lexicographical order, the result of the
previous GetNextRequest can be used as an argument in a
subsequent GetNextRequest. In this way, a manager can go
through a variable-length table until it has extracted all the
information for the same types of objects.
GetResponse- Returns attribute values for the selected objects or
error indications for such conditions as invalid object name or
nonexistent object.
SetRequest - Used to change the attribute values of selected
objects.
Trap- Used by the agent. Traps are used to report certain error
conditions and changes of state to the managing process. The

251

conditions are cold-start, warm-start, link-up, link-down, EGP

neighbor loss (not much use for this one anymore), and
authentication failure.
SNMP provides for a simple authentication process between
the client and the server. This is known as the community string
and it must match between a client and the server. This string is
embedded in the protocol packet and if either side has a different
entry, the received SNMP packet is discarded. This community
string is manually configured on the server and the client. The
problem is that it is not encrypted in any way when it is transmitted.
Any protocol analyzer that is on the same link as this packet can
see the community string name.
SNMP Encapsulation:
The community string is a simple password protection
mechanism. Most are set to public for read access and private
for read-write access. This field is established at set up time. The
variable binding indicates which groups or which objects in the
groups are being requested for information.

14.5. FILE TRANSFER PROTOCOL (FTP)

TELNET provides users with the ability to act as a local
terminal even though users are not directly attached to the host.
One other TCP/IP application that provides network services for
users on a network is a file transfer protocol. With TCP/IP, there
are three popular types of file access protocols in use:
FTP,
Trivial File Transfer Protocol (TFTP), and
Network File System (NFS).

This FTP protocol provides for files to be transferred reliably

across the network under the complete control of the user. FTP is
transaction based. Every command is replied to using a number
scheme similar to the SMTP protocol.
FTP is very robust. The FTP protocol actually uses two port
assignments (and therefore two connections): 20 and 21.
Remember that most connections between two network stations
are made via one source port and one destination port. A network
station wanting a connection to a remote network station must
connect to two ports on the destination station in order for FTP to
work. Port 20 is used for the initial setup of the connection and as
the control connection. No data passes over this circuit except for
control information. Port 21 is used for user data (the file to be
transferred) to pass over the connection.

252

Similar to the TELNET arguments, simply typing FTP

<domain name or IP address> will establish the connection. The
command line should then read FTP> (this depends on your
application). With the advent of Windows and Windows-like
operating systems, FTP now has a GUI interface in order to take
some of the harshness out of the protocol.
After the connection is established, the server process
awaits a command from the client. To transfer a file from the server
to the client, the user types get <a name of a file>, which is
transmitted over to the remote network station. With this, a second
connection is established between the server and client FTP
process. It is known as the data connection. Now we have two
connections, but only during the file transfer process.
Once the file is transferred, the data connection port is
closed. This is the well-known (or assigned) FTP data port. From a
users standpoint, to establish a connection between itself and a
remote station, the command is similar to TELNET: FTP <domain
name or IP address>. A user could also type in FTP and wait for
the FTP prompt. At the prompt, the user would use the OPEN
command to establish the connection.
Commands of FTP:
The following are the available commands in FTP. There are
a lot of commands listed but, in reality, only a few are used. They
are:
Open- Opens a connection to a remote resource and
creates a connection between two hosts.
Close- Closes a connection to a remote resource. Thus
terminates a connection between two hosts.
bye- End this FTP session.
Binary- Indicate that the file transfer will be a file of binary
type (i.e., executable file, Lotus file, etc.).
get -Get a file from the remote resource; get <filename>
mget- <multiple files,wildcards included>.
put -Puts a file to the remote resource; put <filename>
mput- <multiple files,wildcards included>.
Cd- Change directory on the remote device.
Lcd- to change the directory on the local end.
Dir- Get a directory listing on the remote device.
Ldir- to get a directory listing on the local end.
hash Display hash marks on the screen to indicate a file is
being transferred.

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A Sample FTP Data Transfer:

Once the connection is established, file transfer actually
occurs over the data port. If a user wants to establish an FTP
connection between 148.1.1.2 and an FTP server process on
148.1.1.19, the following sequence of events take place on a DOS
PC (for other operating systems, the prompt would change, but the
commands are all the same in every FTP implementation):
C> FTP or FTP <domain name or IP address>
If multiple files are needed, the user can use the commands MGET
or MPUT, which stands for Multiple GET and Multiple PUT,
respectively. If the file we want is a binary file (a spreadsheet and
an application are examples of binary files), the user has to type in
the keyword binary at the FTP prompt. This indicates to the FTP
program that the file to be transferred is a binary file. Any of the
commands may be entered at the FTP prompt. The protocol is
transaction based and the numbers preceding each line are for the
node to interpret the next command.
C:\WINDOWS>ftp
ftp> open mnauglepc
Connected to mnauglepc.
220 mnauglepc FTP service (NEWT v4.01) ready for new
user.
User (mnauglepc:(none)): mnaugle
331 mnaugle, please enter your password.
Password:
230 User mnaugle logged in.
ftp> pwd
257 c:\ is the current directory.
ftp> lcd
Local directory now C:\WINDOWS
ftp> get autoexec.bat autoexec.002
200 PORT command successful.
150 Opening ASCII mode data connection for
autoexec.bat.
226 File transfer complete.
1911 bytes received in 0.00 seconds (1911000.00
Kbytes/sec)
ftp> bye
221 Goodbye.

14.6. REMOTE LOGGING/TELNET

The TELNET connection simply allows a terminal service
over the TCP/IP network as if the terminal were directly connected.
Remember that computers and terminals were connected by a
cable and the terminals were directly attached to the host
computer. The TELNET service provides a terminal service for the

254

network. It allows for any terminal to attach to any computer over

the network. It can emulate many different types of terminals,
depending on the manufacturer of the TELNET program The
advantage to the TELNET program is that a user may log on to any
host on the TCP/IP internet (provided security options are allowed).
Sessions are set up over the TCP/IP network.
The TELNET protocol uses TCP as its transport. The user
starts the TELNET protocol at his or her workstation, usually by
typing TELNET <domain name or IP address>. The TELNET
application may be started with or without an argument. The
argument allows a simpler procedure to be invoked so that the
TELNET process will automatically try to connect to the host
signified by the argument statement. The TELNET application
starts and attempts to establish a connection to the remote device.
If an argument is not supplied, the TELNET application waits for the
user to issue an OPEN command connection using the DNS or an
IP address.
Options of TELNET:
Each side of the connection requests or tells its partner the
options it wants or can do.
Options are formatted in:
WILL or WONT <option>
DO or DONT <option>
Negotiates options such that symmetry can be set up
between two stations.
Options include:
Ability to echo
Terminal type
Setting line mode so that groups of characters can be sent
The TELNET program is extensible through the use of
options. Each side of the connection requests or tells the remote
end of the connection which of these options it can support and
which one the remote end should support. This provides for
symmetry. The TELNET protocol was written so that it would work
on a variety of operating systems. Therefore, before a connection is
made to the remote device, the TELNET protocol has some work to
do in order to synchronize the connection with the remote device.
For example, the DOS operating system for personal
computers requires that a CR-LF (carriage return-line feed) be used
to terminate a line of text. Other systems such as Unix require a
line of text to be terminated with an LF. Another example is the
echoing of characters. Upon connection attempt, the TELNET
protocol will negotiate with the remote device as to who will do the
echoing of typed characters to the initiator of a connection. During
the connection attempt between a source and destination station,

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the two stations will communicate options. These options indicate

how each end of the connections will respond on the TELNET
connection. These options include:
1. The ability to change from 7-bit text to 8-bit binary
2. Allowing one side or the other to echo characters
3. Specifying a terminal type
4. Requesting the status of a TELNET option from the remote
connection
5. Setting a timing mark to synchronize two ends of a
connection
6. The ability to terminate a record with an EOR code
7. Setting line mode so that strings of characters may be sent
instead of a Character-at-a-time transmit
8. Stopping the go-ahead signal after data
The options are negotiated between the two network stations
in the following manner:
Request Response
WILL <option> DO or DONT <option>
For example, WILL ECHO from station A is requesting that station
A provide the echoing of characters. The response will either be
DO ECHO, meaning the remote end agrees, or DONT ECHO,
meaning the remote end will not allow station A to echo. Agreement
between the two TELNET ends communicated for a DO <option>
will be responded to with a WILL <option> or WONT <option>.
Either side of the connection can provide the command or the
response. One side provides services in exactly the same manner
as the other side.

14.7. E-MAIL
Today it is well known as Electronic Mail, or email. RFCs
821, 822, 974 are handling this protocol. Email still cannot transport
packages and other items. Email is very fast and guarantees
delivery. Three protocols are used for todays email:
SMTPoperates over TCP
POPoperates over TCP
DNSoperates over UDP
SMTP allows for the sending/receiving of email.
POP allows us to intermittently retrieve email.
DNS makes it simple.
RFC 822 defines the structure for the message, and RFC
821 specifies the protocol that is used to exchange the mail

256

between two network stations. It truly is amazing how old the

original mail protocol is, and it is still in use today. So we have
email to send to one another, completely bypassing the postal
system.
There are some who call the postal system snail mail.
Many people today still immensely enjoy receiving a handwritten
letter from a family member, friend, or a business correspondence
through the postal system.
Email does have many, many advantages and one of the top
advantages is speed. The biggest disadvantage is lack of emotion.
Like everything else, email has its place, but it is not 100 percent of
the pastry; it is merely another form of communication. In order to
send and receive mail between users, there are actually two
protocols (possibly three) that are used:
SMTP: Used for the actual transport of mail between two entities
(mail servers).
POP (Post Office Protocol): A protocol that allows single users to
collect their mail on one server.
DNS: Used to identify the mail hosts for a domain or hostname.
Mail can be sent and received using only SMTP, but the
other protocol involvement makes it much easier to use and is more
efficient. This is a protocol that allows users to transmit messages
(Mail) between other users. It is one of the most widely used
applications of the TCP/IP protocol.
Simple Mail Transfer Protocol (SMTP)
Functions of SMTP:
The protocol is relatively simple. A message will be created,
properly addressed, and sent from a local application to the SMTP
application, which will store the message. The server will then
check (at periodic intervals) to see if there are any messages to
deliver. If there are, the mail server will try to deliver the message. If
the intended recipient is not available at the time of delivery, the
mail server will try again later. The mail server will try a few times to
deliver the message and, if it cannot, will either delete the message
or return it to the sender. The address has the general format of
local-part @ domain-name. By this, you should recognize the
domain name format. For example, an address at the SMTP
header could be [email protected]. This would
indicate that the message is addressed to a user named Matt in the
domain of engineering.naugle.com. When DNS is used to look up
the mail handler for Matt, it will have some sort of entry like:
engineering.naugle.co IN MX 10

257

NT1mail_server.engineering.naugle.com. From this, the

name will be looked up and the mail will be delivered to that host.
There are two entities to this system, the sender SMTP and
the receiver SMTP that are used to transport mail between two
systems. The sender SMTP will establish communications with a
receiver SMTP. Attachments are allowed with Internet email but not
directly with the protocol used in SMTP (send mail protocol).
Email applications convert using a variety of protocols like
MIME (Multipurpose Internet Mail Extensions). SMTP (or more
specific, send mail) can only handle text. Therefore, most email
applications convert an attachment to text before sending. A
common type is MIME. At the receiver, the email application
converts the attachment back to its original format.
SMTP Flow:
The SMTP design is based on the following model of
communication:
Once you have filled out the header and body section of your
mail message, the sender SMTP establishes two-way
communication to a receiver SMTP. The receiver SMTP may be
either the ultimate destination or a transient stop on the way to the
final destination. Commands are sent to the receiver by the sender
SMTP and SMTP replies are sent from the receiver SMTP to the
sender SMTP in response to each of the commands.
Once two-way communication has been established, a
series of commands (of which you can see operate using some
mail applications) are issued.
The sender SMTP will send a HELLO (HELO) command
identifying who it is using its domain name to the receiver.
The receiver acknowledges this with a reply using its domain
name. Next, the server issues a MAIL command to the receiver. In
this will be the identification of the person (place, or thing) sending
the mail. The receiver acknowledges this with an OK.
The sender SMTP then sends a RCPT command to the
receiver, using the intended receiver name as an argument. Each
recipient in the list is sent to the receiver one at a time, and each
time the receiver acknowledges with an OK for those recipients that
it knows about. For those that it does not know about (different
domain name), it will send back a different reply that it is forwarding
the message on.

258

For any intended recipients received from the SMTP sender

for which it has no account, the receiver will reply to the sender that
no such user(s) exists.
After the intended recipients have been ACKd or NACKd,
the SMTP sender sends the DATA command and the SMTP
receiver will OK this and indicate what the end of message identifier
should be.
Once this is received (the ending identifier), the SMTP
receiver will reply with an OK. Notice that all data is received, the
ending identifier is received, and then a reply message is sent by
the receiver.
If everything went okay, the sender ends the connection with
a QUIT command. The SMTP receiver will reply indicating that the
communication channel is closed. So the minimum commands that
a receiver must support are
HELO,
MAIL,
RCPT,
DATA,
RSET,
NOOP, and QUIT.

Depending on the mail program that you use, the transaction

between a recipient and sender of mail has been the same since
RFC 821 was written. The interface allows you to complete the mail
message, filling in the header (addresses and subject) and the
body (text) of the letter. When you press the Send button, the
following transaction takes place. Some mail programs actually
place the mail commands and state numbers on display while the
transaction is taking place. It should be noted here that sending
mail is immediate. It may get queued for a small length of time on
different routers, and transient mail servers, but not for long. This is
for the transport of mail.
Most electronic mail today is sent via SMTP and will reside
on your mail server host until you retrieve it using POP. Today,
retrieving your mail does not mean that you have to run the SMTP
protocol. A server host will accept mail messages directed to you
on your behalf. Then you can sign on any time you want and
retrieve your mail.
DNS Interaction for Mail:
A record known as the MX record in DNS identifies a mail
exchanger for the purpose of identifying hosts for recipients. A mail
exchanger is hosts that will either process or forward mail for the
domain name. Processing means that the host will deliver it the

259

host to which it is addressed or hand it off to another transport,

such as UUCP or BITNET.
Forwarding means that the host will forward the message on
to the final destination or to another mail exchanger closer to the
destination. There can be multiple entries for a mail exchanger in a
DNS. Each MX entry will have a precedence number beside it and
this signals the sender which mail host it should try first. If the
precedence value is equal among MX records, then the sender will
randomly pick one from the list. Once the mail sender has
successfully delivered the mail to one of the MX hosts, its job is
done. It is the job of the MX host to make sure it is forwarded on to
its final destination. If there are no MX records for a domain name,
it is up to the mailer application as to what happens next. Some will
try to deliver it to the IP address of the mail destination.
Post Office Protocol (POP)
The original mail program RFC 821 (which is the one in use
today) was set up to send messages directly to a user logged in to
a terminal, as well as store these messages to a mailbox. The
commands allowed for the receiver to determine if the user was
logged on to a terminal (not a PC), if they were accepting
messages, and if they were not, are there a mailbox to deliver
some mail to. There were no message attachments and messages
were sent and received in 7-bit ASCII (8th bit was set to 0);
therefore, this would not allow for binary messages to be sent (i.e.,
no attachments). In fact, the original message was not to exceed
1000 characters (however, implementations that could go beyond
this barrier were strongly encouraged to do so). So, to operate mail,
the host must be operational (able to receive) all the time.
Today, terminals do exist, but more commonly, personal
computers have taken their place. Therefore, the final recipient will
be the personal computer. The personal computer will have both
SMTP and POP. Even though a personal computer will retrieve its
mail via POP, it will still use the SMTP functions to send its mail.
Since SMTP expects to be able to deliver mail immediately, this
would mean that all users would have to have their personal
computers on 100 percent of the time in order to accept mail.
Second, to receive and read your mail, you must log on to a
specific host. To operate a mail server generally requires that the
mail server is available for a majority of the time, has the ability to
store many mail messages, and is able to fully run SMTP and
accept mail from an SMTP sender. While this may have been
feasible for situations like terminal-to-host connectivity, it is not
feasible for situations that we have today; namely, personal
computers and mobile workers. SMTP is a very robust transactionoriented protocol and requires the statements previously discussed
to operate fully.

260

SMTP is set up to send and receive mail by hosts that are up

full time. No rules for those hosts that is intermittent on the LAN.
POP emulates you as a host on the network. It receives SMTP mail
for you to retrieve later. POP accounts are set up for you by an ISP
or your company.POP retrieves your mail and downloads it to your
personal computer when you sign on to your POP account. What
we need is the ability for SMTP to operate (drop off the mail, like a
PO Box at the post office), and then another protocol to download
to our personal computers (we drop by the post office and retrieve
our mail from the post office box.). POP is the protocol to allow for
this. Mail can be delivered to a drop-off point and POP allows us to
log in and retrieve our mail.
When you sign up with an Internet Service Provider, a POP
account
is
assigned
to
you;
for
example,
[email protected]. You use this when configuring your
mail program. Also, when sending mail you must give the SMTP
server name to the configuration program as well. The protocol of
POP3 is not used for sending mail.
Operations of POP:
POP3 should be viewed only to retrieve your mail from the
mail drop-off point. Sending mail is a different story. Your personal
computer still has the ability to establish a TCP connection to a
relay host (intermediate mail host) to send mail. Therefore, you
should consider your host as having the ability to be an SMTP
sender, and the SMTP protocol explained earlier applies. However,
to retrieve your mail, POP3 comes into play. The client (your PC
with a mail application such as Eudora), once established with
TCP/IP on its network, builds a connection to the POP3 server. The
POP3 server configuration is built during the installation of your
mail program on the PC. The connection between your PC and the
POP3 server is a TCP connection on TCP port 110. Similar to
SMTP, once the connection is established, the server will respond
with a greeting like POP3 server ready. The POP3 protocol then
enters the authentication state. During this phase, you must identify
yourself with a username and password. The RFC does not
indicate which authentication mechanism you should use. The most
common is the simple username/password combination. However,
other options are available, such as Kerberos and APOP.
Once you have been authenticated, the POP3 server puts
an exclusive lock on your mailbox, ensuring that no other
transactions take place on the messages while you are retrieving
your mail. The server now enters the transaction state in which
each of the messages in your mailbox is assigned a number. This
allows your client POP to indicate how many messages are in your
mailbox.

261

Each message can be retrieved one at a time or all can be

retrieved. Furthermore, you can instruct your client POP to delete
messages as they are retrieved. This can be good and bad. It
would be nice to hold on to your messages as a backup on the
server, but this requires disk space that can be depleted quickly.
From here, you retrieve your messages and, depending on
how you configured you PC mail program, the messages are
marked for deletion after your session. After you retrieve your
messages, your mail program will send the QUIT command, which
closes the POP3 session down. Then the UPDATE process begins
on the server, which is housekeeping work on the server (deleting
messages, etc.).
From here, you can read your messages locally on your PC.
You are now disconnected from the POP3 server and you can
manipulate the messages locally. There are many other options
available for POP3 which may or may not be implemented;
however, from a users point of view, they are not noticed.
SMTP, DNS, and POP Topology:
For example, mail is sent from your PC to Js PC. In order to
accomplish this, the send mail (SMTP) program is established to
the SMTP server on your ISP. A DNS lookup is accomplished using
the root DNS server to find the domain of the intended recipient. A
call is made to recipients DNS to find the mail server (which could
be the same server as the DNS). Once the mail server is found (its
IP address is found), mail is sent to that server. The POP function
delivers it to your mail box on that mail server so that when Js PC
retrieves mail; your mail message will be waiting.

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15
THE APPLICATION LAYER AND ITS
SECURITY
In this Unit, we are going to discuss in detail about the following
options available to secure the application layer.

Unit Structure
14.8 Cryptography
14.9 Symmetric key and asymmetric key cryptography,
14.10 DES algorithm,
14.11 RSA algorithm,
14.12 Security services
14.13 Message and entity.

15.1. CRYPTOGRAPHY
History of Cryptography:

It is existed long before the ubiquity of computers.

Julius Caesar (100-44 BC) used a simple substitution with the

normal alphabet (just shifting the letters a fixed amount) in
government communications.

Cryptography, the science of encrypting and decrypting

information, dates as far back as 1900 BC.

Thomas Jefferson, invented a wheel cipher in the 1790's,

It was used extensively during both the world wars.

Cipher machines were created to encrypt messages by the

Nazis called by the allies as Enigma.

They were used by bootleggers in the 1930s for liquor

smuggling.

In 1970s, Dr. Horst Feistel established the precursor to todays

Data Encryption Standard (DES) with his family of ciphers,
while working at IBMs Watson Research Laboratory.

Also in 1976, two contemporaries of Feistel, Whitfield Diffie and

Martin Hellman first introduced the idea of public key
cryptography.

263

1977, Rivest, Shamir and Adleman introduced to the world their

RSA cipher, applicable to public key cryptography and digital
signatures.

Zimmerman released his first version of Pretty Good Privacy

(PGP) in 1991 as a freeware product, which uses the IDEA
algorithm.

Need of cryptography/Reason for its existence:

(1) Secrecy: Only intended receiver understands the message.
(2) Authentication: sender and receiver need to confirm each
others identity.
(3) Message Integrity: Ensure that their communication has not
been altered, either maliciously or by accident during
transmission.
Terms frequently used in Cryptography:
Cryptology: Originated for the Greek krypts logos, meaning
``hidden word''.
Plaintext: The message to be encrypted.
Key: It is the object used to encrypt the plaintext.
Ciphertext: It is the encrypted text.
Encryption: The process of converting plaintext into Ciphertext
using an appropriate key.
Decryption: The process of converting Ciphertext into plaintext
using a appropriate key.
Cryptography: IT is the art or science of keeping communication
classified.
Cryptographers: People who indulge in cryptography are known
as cryptographers.
Cryptanalysis: The art or science of decrypting a Ciphertext
without knowing the authorized key is known as cryptanalysis.
Cryptanalysts: People who indulge in cryptanalysis. Could be
ethical or fraudsters.
Cipher: The method of decryption and encryption is generally
known as cipher.
PURPOSE AND APPLICATION OF CRYPTOGRAPHY:
a) Secure Communication:
Secure communication is the most straightforward use of
cryptography. To prevent eavesdropping

264

War time communication.

Business transactions.

b) Identification and Authentication:

Identification and authentication are two widely used applications
of cryptography. Identification is the process of verifying someone's
or something's identity.
c) Secret Sharing:
Another application of cryptography, is secret sharing, allows the
trust of a secret to be distributed among a group of people.
d) Electronic Commerce:
Over the past few years there has been a growing amount of
business conducted over the Internet - this form of business is
called electronic commerce or e-commerce.
E.g.: Encrypted Credit Card Number
e) Certification:
Certification is a scheme by which trusted agents such as
certifying authorities guarantee for unknown agents, such as users.
The trusted agents issue vouchers called certificates which each
have some inherent meaning.
It was developed to make
identification and authentication possible on a large scale
f) Key Recovery:
Key recovery is a technology that allows a key to be revealed
under certain circumstances without the owner of the key revealing
it.
E.g.: accidental erasure, fraudster, terrorism.
g) Remote Access:
Secure remote access is another important application of
cryptography. The basic system of passwords certainly gives a
level of security for secure access, but it may not be enough in
some cases.
h) Cell Phones:
Used in cellular phones as a means of authentication; especially
if phone is lost. This prevents people from stealing cellular phone
numbers and access codes. Or to prevent eavesdropping of phone
calls using voice encryption.
i) Access Control:
Cryptography is also used to regulate access to satellite and
cable TV. Cable TV is set up so people can watch only the
channels they pay for.

265

Principles of Cryptography:
(1) Symmetric (secret key):
An identical key is used for encryption and decryption
Strength of algorithm is determined by the size of the key,
longer the key more difficult it is to crack.
Key length is expressed in bits.
Typical key sizes vary between 48bits and 448 bits.
Set of possible keys for a cipher is called key space.
For 40-bit key there are 240 possible keys.
For 128-bit key there are 2128 possible keys.
Each additional bit added to the key length doubles the
security.
To crack the key the hacker has to use brute-force (try all
the possible keys till a key works is found).
Super Computer can crack a 56-bit key in 24 hours.
It will take 272 times longer to crack a 128-bit key (Longer
than the age of the universe).
Primitive Ciphers:
Caesar Cipher is a method in which each letter shifted in the
plaintext n places. Mono-alphabetic Cipher is a method in which
any letter can be substituted for any other letter
Advantages of primitive ciphers:
Relatively simple and significantly faster than the rest.
Used in an environment where single authority manages the
keys.
Used in environments where secure secret key distribution can
take place
Disadvantages:

Key management (generation, transmission and storage of

keys) may be a problem.

People could repudiate sent messages claiming the receiver

had compromised the key

Third party involvement may be required for authentication of

key. Database with keys of all

Types of Symmetric Ciphers:

(1) Stream cipher:

Each bit or byte is encrypted or decrypted individually

Simple substitution ciphers

Used for a single message

266

(2) Block cipher:

A block cipher is a type of symmetric-key encryption algorithm
that transforms a fixed-length block of plaintext data into a block of
cipher text data of the same length

Encrypt data one bit or one byte at a time

Used if data is a constant stream of information

Iterated block cipher is when ciphering is repeatedly done

(2) Asymmetric (public key):

In asymmetric, different keys (public and private) for encryption
and decryption used. Encryption is done by public key and sent
across. Decryption is done by private keys:

A sends an encrypted message using a public key

B receives the message and decrypts it using a private key.

Anybody can send B a message but only B who knows his

private key can open the message.

Public-key cryptography is not meant to replace secret-key

cryptography, but rather to supplement it, to make it more secure
Advantages:

The need for the sender and receiver to share keys is

eliminated, no private key is ever shared

Is the fundamental of digital signatures that cannot be

repudiated.

Disadvantages:

A disadvantage of using public-key cryptography for

encryption is speed.

It is problematic to get the key pair generated for the

encryption.

Vulnerable to man-in-the-middle attack.

15.2 INTRODUCTION TO BASIC ENCRYPTION AND

DECRYPTION:
The term 'Cryptography' means the concept of encryption and
decryption together. Cryptography is the technique in which the
original 'plain text' message is 'encrypted' i.e. converted into a
coded form called 'cipher text' at the sender's end, which is then
transmitted to the receiver. The receiver then 'decrypts' i.e.
converts the 'cipher text' back into the 'plain text' to get the original
message back.

267

Cryptography is also called as an art or technique to achieve

secure communication between the communicating parties by
encoding the messages between them such that no third party can
gain anything useful out of interception.
Various techniques are utilized for this purpose of cryptography.
Broadly these techniques fall into two categories.
(1) Symmetric key cryptography: In which the 'key' element
used, is the 'same' for both encryption as well as decryption
and
(2) Asymmetric key cryptography: In which the 'key' element
used, is different for both encryption as well as decryption.
(a) Symmetric key cryptography is also known as 'private or
secret key cryptography'; Whereas Asymmetric key
cryptography is also known as 'public key cryptography'.
SYMMETRIC- KEY CRYPTOGRAPHY
We can divide all the cryptography algorithms in the world
into two groups: symmetric-key (sometimes called secret-key)
cryptography algorithms and public-key (sometimes called
asymmetric) cryptography algorithms.
In symmetric-key cryptography, the same key is used by
both parties. The sender uses this key and an encryption algorithm
to encrypt data; the receiver uses the same key and the
corresponding decryption algorithm to decrypt the data

In symmetric-key cryptography, the same key is used by the

sender (for encryption) and the receiver (for decryption). The key is
shared.

268

In symmetric-key cryptography, the algorithm used for decryption

is the inverse of the algorithm used for encryption. This means that
if the encryption algorithm uses a combination of addition and
multiplication, the decryption algorithm uses a combination of
division and subtraction.
Note that the symmetric-key cryptography algorithms are so
named because the same key can be used in both directions.
In symmetric-key cryptography, the same key is used in both
directions.
Symmetric-key algorithms are efficient; it takes less time to
encrypt a message using a symmetric-key algorithm than it takes to
encrypt using a public-key algorithm. The reason is that the key is
usually smaller. For this reason, symmetric-key algorithms are used
to encrypt and decrypt long messages.
Symmetric-key
Messages:

Cryptography

is

often

used

for

Long

Disadvantages of symmetric key:

A symmetric-key algorithm has two major disadvantages.
(1) Each pair of users must have a unique symmetric key.
This means that if N people in the world want to use this
method, there needs to be N(N - 1)/2 symmetric keys.
For example, for 1 thousand people to communicate, 1000 *
999 /2 = 4, 99, 500 (4 lakhs 99 thousand and five hundred
symmetric keys are needed. The distribution of the keys
between two parties can be difficult.
(2) The sender needs to exchange the key to the receiver. It may
be hijacked in between!

15.3. DES (DATA ENCRYPTION STANDARD) CIPHER

ALGORITHM
DES CIPHER:
It is a 16-round Feistel cipher with block size of 64 bits. DES
stands for Data Encryption Standard. IBM developed DES in 1974
in response to a federal government public invitation for data
encryption algorithms. In 1977, DES was published as a federal
standard, FIPS PUB 46.
Algorithm:
Step 1: 64 bit plain text blocks is handed over to the initial
permutation (IP) function.
Step 2: IP is performed on the plain text.

269

Step 3: IP produces 2 halves; say LPT and RPT, both of 32 bit

each.
Step 4: Performs 16 rounds of encryption process each with its
own key.
Rounds are defined as follows in the algorithm:
4a: Key transformation
4b: Expansion Permutation (EP)
4c: S-Box Substitution
4d: P-Box Permutation
4e: XOR and Swap.
Step 5: LPT and RPT are rejoined finally and a Final
Permutation (FP) is performed on the combined block.
Step 6: The result of this process produces 64-bit cipher text.
Diagrammatical Representation:
Plain Text (64 Bit)

IP

LPT

RPT

16 Rounds

FP

Cipher Text

Explanation of the Algorithm:

IP Initial Permutation:
Comparing the IP table performs IP. It happens only once, and it
happens before the first round. It suggests how the transposition in
IP should proceed, as shown in the IP table.
After this IP, 64 bit plain text is divided into 2 halves normal LPT
and RPT, 08 32 bits each.
Rounds:
In the rounds, step 1 is key transformation.

270

That is achieved by:

(a) Shifting the key position by considering the Round Table.
(b) Compare the Compression Table to get the sub key of 48
bits.
Step 2: is Expansion Permutation (EP):
In this step, the 32-bit RPT is expanded to 48 bits as it of key
length. The process is shown as under:
The 32-bit text is divided into 8 blocks of 4 bits each.
Then by adding 2 bits extra that is the first bit of the block 1 is the
last bit of the block 8 and the last bit of the block 8 is the first bit of
the 7th block the 48-bit text is obtained.
Diagram for the same is as below:
Input Block 1 (4 bits)

Output Block 1 (6 bits)

Input Block 2 (4 bits)

10

11

Output Block 2 (6 bits)

Input Block 8 (4 bits)

12

43

29

30

31

32

44

45

46

47

Output Block 8 (6 bits)

After this expansion it will be compared with the Expansion

Permutation Table.
Step 3: in Round is S-Box Substitution:
(1) This step reduces 48 bits RPT into 32 bits because LPT is of 32
bits.
(2) It accepts 48 bits, does some XOR logic and gives 32 bits.
(a) The 48 bits key (Result of Step 1) and the 48 bits of RPT
(Result of Step 2) will be XOR and the output will be 48 bits
Input block and that will be given as the input for the S-Box
Substitution.
(b) The 48-bit block text will be divided into 8 blocks of 6 bits
each.
(c) Decimal equivalent of the first and last bit in a block
denotes the row number and decimal equivalent of the bit
2, 3, 4 and 5 denotes the column number of the S-Box
Substitution table.

48

271

(d) Check the value and take the binary equivalent of the
number.
(e) The result is 4-bit binary number.
(02) 0010 - coloum number

11 - Row Number (03)

Compare 3rd Row 2nd Coloum in SBox-1
0

Binary
Equivalent

(f) For example if the 6-bit number is 100101 then the first and
last bit is 11 and the decimal equivalent of the number is 3.
The remaining bits are 0010 and the decimal equivalent of
the number is 2. If it is the first block of input, then check
the 3rd row 2nd column value in the Sbox-1 substitution
table. It is given as 1 in the table. Binary equivalent of 1 is
0001.
(g) The input 100101 of 6-bit is now reduced to 0001 after SBox Substitution.
Step 4: in Round is P-Box Permutation:
In this step, the output of S-Box, that is 32 bits are permuted
using a p-box. This mechanism involves simple permutation that is
replacement of each bit with another bit as specified in the p-Box
table, without any expansion or compression. This is called as PBox Permutation. The P-Box is shown below.
16 7 20 21 29 12 28 17 1 15 23 26 5 18 31 10
2 8 24 14 32 27 3 9 19 13 30 6 22 11 4 25
For example, a 16 in the first block indicates that the bit at
position 16 moves to bit at position 1 in the output.
Step 5: is XOR and Swap:
The untouched LPT, which is of 32 bits, is XORed with the
resultant RPT that is with the output produced by P-Box
permutation. The result of this XOR operation becomes the new
right half. The old right half becomes the new left half in the process
of swapping. This is shown below.

272
Original 64 bit Plain Text Block

32 bit Left Plain Text Block

32 bit Right Plain Text Block

(1) Key Transformation

(not involved directly)
(2) Expansion permutation
(3) S-box Substitution
(4) P-box Substitution
XOR
32 bit Left Plain Text Block

32 bit Right Plain Text Block

Next Round

Final Permutation (FP):

At the end of 16 rounds, the Final Permutation is performed only
once. This is a simple transposition based on the Final Permutation
Table. The output of the Final permutation is the 64-bit encrypted
block.
KEY DISTRIBUTION:
Every process of encryption and decryption is necessarily
associated with a 'key'- the combination used for encryption
and/or decryption, and an algorithm i.e. the rules or steps used
for both encryption and decryption. The requirement of 'same'
key as in case of 'symmetric' key cryptography leads to a
common problem called 'problem of key distribution', i.e. how
the two parties should agree upon a 'common' key that has to
be used for the process. This is as described below.
Problem of Key Distribution in Symmetric Key Cryptography:
As in case of symmetric key cryptography, the key that has to
be used for both encryption and decryption should be the 'same'
this leads to a problem that how the two parties requiring secure
communication can 'agree' or 'decide' upon a common key,
without letting any third person know about it? There can be
many ways in which the two parties will try to communicate
assuming it is secure, but it may not be so. e.g. even if they
exchange letters, seal envelopes into locked boxes, talk over
open media for the common key, or send the key along with the
locked boxes, whatever may be the means used, it turns out to
be practically non-viable or difficult to implement.

273

That is to say, there are very much chances of intercepting

the communication between two parties if any of these methods are
used. This is called the 'problem of key distribution'.
In order to come out of this problem, one good solution was
given by two scientists jointly known as 'Diffie-Hellman key
exchange algorithm'.
ASYMMETRIC KEY CRYPTOGRAPHY:
THE CONCEPT OF PUBLIC KEY AND PRIVATE KEY:
The Asymmetric key cryptography is also known as a 'public key
cryptography', which uses a key-pair rather than a single key. The
importance of this scheme is that only one key-pair is required to
securely communicate between any numbers of other parties.
(Unlike the huge number of keys that we've seen with earlier
method.) Hence, one problem is overcome right away. One of
these two keys is called public key (which can be announced to the
world) and another is private key (obviously to be kept with
oneself). This is to be followed by everyone who wants to
communicate securely.
The working of public and private keys:
Asymmetric key cryptography (using public and private keys)
works as under:
Consider the scenario, X wants to send a message to Y, without
having to worry about its security.
(1) Then X and Y should each have a private key and a public key.
(a) X should keep its private key secret.
(b) Y should keep its private key secret.
(c) X should inform Y about its public key.
(d) Y should inform X about its public key
(Both now have their own set of keys ready.)
(2) When X wants to send message to Y, X encrypts with Y's
public key (as it is known to everyone)
(3) X then sends this message to Y.
(4) Then, Y decrypts this message using his own private key
(known only to Y)
[This ensures in this case, that the message can be
encrypted & sent by anyone, but can only be decrypted by Y.
Hence, any interception will not result in knowing the sensitive
information as key is only with Y.]

274
Similarly, on the other side, if Y wants to send the message to
X, reverse method is performed.

(5) Y encrypts the message using X's public key and sends this to
X.
(6) On receiving the message, X can further decrypt it using his
own private key.
The basis of this working lies in the assumption of large prime
number with only two factors. If one of the factors is used for
encryption process, only the other factor shall be used for
decryption.
The best example of an asymmetric key cryptography algorithm
is the famous RSA algorithm (developed by Rivest, Shamir and
Adleman at MIT in 1978, based on the framework setup by Diffie &
Hellman earlier).
In public-key cryptography, there are two keys: a private key and a
public key. The receiver keeps the private key. The public key is
announced to the public.
Imagine Alice, as shown in Figure wants to send a message to
Bob. Alice uses the public key to encrypt the message. When Bob
receives the message, the private key is used to decrypt the
message.

In public-key encryption/decryption, the public key that is used

for encryption is different from the private key that is used for
decryption.
The public key is available to the public; the private key is
available only to an individual.

275

Public-Key Encryption/Decryption has Two Advantages:

First, it removes the restriction of a shared symmetric key
between two entities (e.g., persons) that need to communicate with
each other. A shared symmetric key is shared by the two parties
and cannot be used when one of them wants to communicate with
a third party. In public-key encryption! Decryption, each entity
creates a pair of keys; the private one is kept, and the public one is
distributed. Each entity is independent, and the pair of keys created
can be used to communicate with any other entity.
The second advantage is that the number of keys needed is
reduced tremendously.
In this system, for I thousand users to communicate, only 1
thousand pairs of keys i.e. 2000 keys are needed, not 4,99,500, as
was the case in symmetric-key cryptography.
Public-Key Cryptography also has Two Disadvantages:
The biggest disadvantage is the complexity of the algorithm. If
we want the method to be effective, the algorithm needs large
numbers. Calculating the cipher text from plaintext using the long
keys takes a lot of time. That is the main reason that public-key
cryptography is not recommended for large amounts of text.
Public-Key Algorithms are more efficient for Short Messages.
The second disadvantage of the public-key method is that the
association between an entity and its public key must be verified. If
Alice sends her public key via an email to Bob, then Bob must be
sure that the public key really belongs to Alice and nobody else.
One point needs to re-mention that if your private key were made
public you would Get Bankrupted in no time!

15.4. RSA ALGORITHM:

The algorithm to show the working of asymmetric key
cryptography is as follows:
(1) Generate two large random primes, p and q, of approximately
equal size
(2) Calculate N = PXQ
(3) Select the public key that is the encryption key E such that it is
not a factor of (p-1) (q-1).
(4) Select the private key that is the decryption key D such that the
following equation is true: (DXE) mod (P-1) X (Q-1)=1
(5) For encryption, calculate the cipher text CT as CT=PTE mod N.
(6) Send CT as the cipher text to the receiver.
(7) For decryption, calculate the plain text PT as PT=CTD mod N.

276

A Very Simple Example of RSA Encryption:

This is an extremely simple example using numbers you can
work out on a pocket calculator (those of you over the age of 35
can probably even do it by hand).
(1) Select primes p=11, q=3.
(2) n = pq = 11.3 = 33 phi = (p-1)(q-1) = 10.2 = 20
(3) Choose e=3 Check gcd(e, p-1) = gcd(3, 10) = 1 (i.e. 3 and 10
have no common factors except 1), and check gcd(e, q-1) =
gcd(3, 2) = 1therefore gcd(e, phi) = gcd(e, (p-1)(q-1)) = gcd(3,
20) = 1
(4) Compute d such that ed = 1 (mod phi) i.e. compute d = e-1 mod
phi = 3-1 mod 20 i.e. find a value for d such that phi divides (ed1)
i.e.
find
d
such
that
20
divides
3d-1.
Simple testing (d = 1, 2,...) gives d = 7 Check: ed-1 = 3.7 - 1 =
20, which is divisible by phi.
(5) Public key = (n, e) = (33, 3) Private key = (n, d) = (33, 7).
This is actually the smallest possible value for the modulus n for
which the RSA algorithm works.
Now say we want to encrypt the message m = 7, c = me mod n =
73 mod 33 = 343 mod 33 = 13. Hence the cipher text c = 13.
To check decryption we compute m' = cd mod n = 137 mod 33 =
7. Note that we don't have to calculate the full value of 13 to the
power 7 here. We can make use of the fact that a = bc mod n = (b
mod n).(c mod n) mod n so we can break down a potentially large
number into its components and combine the results of easier,
smaller calculations to calculate the final value.
One-way of calculating m' is as follows: m' = 13 7 mod 33 =
13
mod 33 = 133.133.13 mod 33 = (133 mod 33). (133 mod
33).(13 mod 33) mod 33 = (2197 mod 33).(2197 mod 33).(13 mod
33) mod 33 = 19.19.13 mod 33 = 4693 mod 33 = 7.
(3+3+1)

15.5.

PRINCIPLES
SERVICES:

OF

SECURITY/SECURITY

Generally the security issues can be classified into the following

categories.
(1) Confidentiality
(2) Authenticity
(3) Availability
(4) Auditability
(5) Access Control
(6) Integrity
(7) Non-repudiability

277

Security

Confidentiality

Authenticity

Integrity

These three are the basic levels of issues, which will lead to the
further loopholes.
Confidentiality:
Basically the threats can be in the area of network or in the area
of application. Mainly the insiders who are having full access with
the computer system create the application levels of threats. This
can be easily detected can be avoided by using suitable
mechanisms. Even though the application level threats are easy to
detect, this is also creating high level of problems to the system.
The network levels of attacks are dangerous because of the
major business transactions that are happening through the
Internet. This is maintaining the actual secrecy of the message. The
message that is traveling through the network should not be
opened by any of the third parties who are not related with the
transaction.
Nowadays majority of the bank transactions are happening
through the network. So that confidentiality issue is creating lot of
problems related with network, software and data.
The confidentiality related issues could be belonging to any one
of the following categories:
(1) IP Spoofing
(2) Packet sniffing
(3) Alteration of message
(4) Modification of message
(5) Man-in-middle
(6) Brute force attack
(7) Password cracking
By using any of the above-mentioned methods an user can enter
into others message and can create problem related to the secrecy
of the message. The intension of the user may be viewing the
message without making many changes to the hacked message.

278

Normally in banking system the people used to receive their

bank balance-using network. In this kind of situation any hacker
who knows the IP address can get these information about others
account balance.
In some situation people may hack the message and forward it
to some unknown person, which will create confusion between the
original sender and the receiver. This will also lead to the problem
related with integrity.
A

Secret

Loss of Confidentiality
Authenticity:
This can be defined as an identity for a user to assure that the
message is coming from the right person. This is also an another
important issue along with confidentiality which may lead to the
further security threats. This can be assured by any of the following
factors:
(1) Something you have (like tokens, credit card, passport etc).
(2) Something you know (like PIN numbers, account number
etc).
(3) Something you are (like fingerprints, signatures etc).
Generally with the computer system passwords are the very
simple authentication mechanism, which help the system to
authenticate a particular person. The people can use one-time
passwords and key technology to assure authenticity during
message transaction.
Various issues related to authenticity includes.
(1) Stealing password
(2) Fake login screen
(3) Information leakage Etc.

279

I am User A

Absence of Authenticity
Fabrication is possible in the absence of proper authentication
mechanisms.
Availability:
This can be defined as keeping the right information or resources
available to the right person at the right time. This can happen
either with the data or with the hardware resources. This will stop
the person from accessing various resources by flooding the
network.
There is a complexity with the availability of the resources and
data. Because it can be identified as a issue only when the
following conditions are existing in the system.
(1) The resources are completely available up to the users
expectation.
(2) The content is present in a usable format.
(3) The access rights are used in a proper way.
The actual problem related with availability can be identified only
when the above-mentioned things are assured before the problem
identification. This is a very serious issue, which will totally stop the
process and may lead the user to an idle condition without allowing
him to proceed with the further process.
The main problem related with the availability is DOS attack and
DDOS attacks. Flooding the network path by sending continuous
packets, which will create a heavy traffic in the network, does this.
This stops the right people accessing right information at the right
time.

280

Attack on Availability
Access Control:
This is also an issue, which is dealing with the hardware
resources, software and data. This is helping the operating system
to allow access to a particular resource or data only to an
authorized person. In this way it is interrelated with the authenticity
and availability.
Because the authenticated users will be allotted with certain
kinds of rights like Read, Write, Read/Write, Owner etc. These
rights will be maintained by the operating system in a tabular format
or in a linked list format. First the users authenticity has to be
verified and then the authentic users rights will be verified against
the table.
USERS/FILES
USER1
USER2
USER3

FILE1
RW
O
-

FILE2
RW
OR

FILE3
W
W
OW

The attacks related to authenticity and availability can also

create the problem related with access control.
Attacks related to access control are as follows:
(1) Intrusion
(2) DDOS
(3) Interference
(4) Inference Etc.
The issues related with authenticity can be resolved by using
hash algorithms.
Non-repudiability:
This is another issue, which is related with authenticity and
integrity. Repudiability means refusing. This is an issue, which is
actually created by the sender who is participating in the
transaction. After sending a message a sender can refuse that he
was not sending that message. This is done intentionally to create

281

problems at the receivers side, which creates confusion to the

receiver.
This can be done from either side. It may also be from the
receiver side. The receiver can deny after receiving the message
that he doesnt receive any message. Non-repudiation does not
allow the sender of the message to refute the claim of not sending
that message.
The non-repudiability related issues can happen in any of the
following three ways.
(1) Proof of origin
(2) Proof of receipt
(3) Proof of content
This can be assured by using digital signatures along with the
hash algorithms. If the proper authenticity and integrity is achieved
then the problems related with non-repudiability can be minimized.
All above-mentioned issues are the basic issues of network
security. Apart from these various other threats like natural
disasters, attacks, software modifications are also creating
problems with networks. But majority of the attacks are coming
under the basic issues of the network.
Ideal Route of the Message
A

Transfer $
100 to D

Actual Route
of the message

Transfer $
1000 to C

Loss of Integrity
Wherever the problems are available accordingly solutions are
also present. It is the responsibility of the user to categorize the
problem and identify the suitable solution.
Generally the solutions can be categorized as follows.
(a) Security Issues
(b) Security Objectives
(c) Security Techniques

282

Security Technique
Security
Objective
of Encryption
Confidentiality Privacy
message
Authentication Origin Verification Digital Signatures,
Challenge-response,
Passwords, and
Biometric devices
Proof of origin, Bi-directional hashing ,
Nonreceipt
and Digital signatures,
repudiation
contents
Transaction Certificates,
Time stamps and
Confirmation services
Limiting entry to Firewalls, Passwords and
Access
authorized users Biometric devices
controls

Security Issue

15.6. MESSAGE AND ENTITIES OF APPLICATION

LAYER
Message
Message Types
HTTP messages consist of requests from client to server
and responses from server to client.
HTTP-message = Request | Response ; HTTP/1.1 messages
Request and Response messages use the generic message
format of RFC 822 [9] for transferring entities (the payload of the
message). Both types of message consist of a start-line, zero or
more header fields (also known as "headers"), an empty line (i.e., a
line with nothing preceding the CRLF) indicating the end of the
header fields, and possibly a message-body.
generic-message = start-line
*(message-header CRLF)
CRLF
[ message-body ]
start-line
= Request-Line | Status-Line
In the interest of robustness, servers SHOULD ignore any
empty line(s) received where a Request-Line is expected. In other
words, if the server is reading the protocol stream at the beginning
of a message and receives a CRLF first, it should ignore the CRLF.
Certain buggy HTTP/1.0 client implementations generate
extra CRLF's after a POST request. To restate what is explicitly
forbidden by the BNF, an HTTP/1.1 client MUST NOT preface or
follow a request with an extra CRLF.

283

Message Headers
HTTP header fields, which include general-header
(section 4.5), request-header (section 5.3), response-header
(section 6.2), and entity-header (section 7.1) fields, follow the same
generic format as that given in Section 3.1 of RFC 822 [9]. Each
header field consists of a name followed by a colon (":") and the
field value. Field names are case-insensitive. The field value MAY
be preceded by any amount of LWS, though a single SP is
preferred. Header fields can be extended over multiple lines by
preceding each extra line with at least one SP or HT. Applications
ought to follow "common form", where one is known or indicated,
when generating HTTP constructs, since there might exist some
implementations that fail to accept anything beyond the common
forms.
message-header = field-name ":" [ field-value ]
field-name = token
field-value = *( field-content | LWS )
field-content = <the OCTETs making up the field-value
and consisting of either *TEXT or combinations
of token, separators, and quoted-string>
The field-content does not include any leading or trailing
LWS: linear white space occurring before the first non-whitespace
character of the field-value or after the last non-whitespace
character of the field-value. Such leading or trailing LWS MAY be
removed without changing the semantics of the field value. Any
LWS that occurs between field-content MAY be replaced with a
single SP before interpreting the field value or forwarding the
message downstream.
The order in which header fields with differing field names
are received is not significant. However, it is "good practice" to
send general-header fields first, followed by request-header or
response- header fields, and ending with the entity-header fields.
Multiple message-header fields with the same field-name
MAY be present in a message if and only if the entire field-value for
that header field is defined as a comma-separated list [i.e.,
#(values)]. It MUST be possible to combine the multiple header
fields into one "field-name: field-value" pair, without changing the
semantics of the message, by appending each subsequent fieldvalue to the first, each separated by a comma. The order in which
header fields with the same field-name are received is therefore
significant to the interpretation of the combined field value, and thus
a proxy MUST NOT change the order of these field values when a
message is forwarded.

284

Message Body
The message-body (if any) of an HTTP message is used to
carry the entity-body associated with the request or response. The
message-body differs from the entity-body only when a transfercoding has been applied, as indicated by the Transfer-Encoding
header field (section 14.41).
message-body = entity-body
| <entity-body encoded as per Transfer-Encoding>
Transfer-Encoding MUST be used to indicate any transfercodings applied by an application to ensure safe and proper
transfer of the message. Transfer-Encoding is a property of the
message, not of the entity, and thus MAY be added or removed by
any application along the request/response chain.
The rules for when a message-body is allowed in a
message differ for requests and responses.
The presence of a message-body in a request is signaled by
the inclusion of a Content-Length or Transfer-Encoding header field
in the request's message-headers. A message-body MUST NOT be
included in a request if the specification of the request method does
not allow sending an entity-body in requests. A server SHOULD
read and forward a message-body on any request; if the request
method does not include defined semantics for an entity-body, then
the message-body SHOULD be ignored when handling the request.
For response messages, whether or not a message-body is
included with a message is dependent on both the request method
and the response status code. All responses to the HEAD request
method MUST NOT include a message-body, even though the
presence of entity- header fields might lead one to believe they do.
All 1xx (informational), 204 (no content), and 304 (not modified)
responses MUST NOT include a message-body. All other
responses do include a message-body, although it MAY be of zero
length.
Message Length
The transfer-length of a message is the length of the
message-body as it appears in the message; that is, after any
transfer-codings have been applied. When a message-body is
included with a message, the transfer-length of that body is
determined by one of the following (in order of precedence):
1.Any response message which "MUST NOT" include a messagebody (such as the 1xx, 204, and 304 responses and any response
to a HEAD request) is always terminated by the first empty line

285

after the header fields, regardless of the entity-header fields

present in the message.
2. If a Transfer-Encoding header field (section 14.41) is present and
has any value other than "identity", then the transfer-length is
defined by use of the "chunked" transfer-coding, unless the
message is terminated by closing the connection.
3. If a Content-Length header field (section 14.13) is present, its
decimal value in OCTETs represents both the entity-length and the
transfer-length. The Content-Length header field MUST NOT be
sent if these two lengths are different (i.e., if a Transfer-Encoding
header field is present). If a message is received with both a
Transfer-Encoding header field and a Content-Length header field,
the latter MUST be ignored.
4. If the message uses the media type "multipart/byteranges", and
the transfer-length is not otherwise specified, then this selfdelimiting media type defines the transfer-length. This media type
MUST NOT be used unless the sender knows that the recipient can
parse it; the presence in a request of a Range header with multiple
byte- range specifiers from a 1.1 client implies that the client can
parse multipart/byteranges responses.
A range header might be forwarded by a 1.0 proxy that
does not understand multipart/byte ranges; in this case the server
MUST delimit the message using methods defined in items 1, 3 or
5 of this section.
5. By the server closing the connection. (Closing the connection
cannot be used to indicate the end of a request body, since that
would leave no possibility for the server to send back a response.)
For compatibility with HTTP/1.0 applications, HTTP/1.1 requests
containing a message-body MUST include a valid Content-Length
header field unless the server is known to be HTTP/1.1 compliant.
If a request contains a message-body and a Content-Length is not
given, the server SHOULD respond with 400 (bad request) if it
cannot determine the length of the message, or with 411 (length
required) if it wishes to insist on receiving a valid Content-Length.
All HTTP/1.1 applications that receive entities MUST accept
the "chunked" transfer-coding (section 3.6), thus allowing this
mechanism to be used for messages when the message length
cannot be determined in advance.
Messages MUST NOT include both a Content-Length
header field and a non-identity transfer-coding. If the message does
include a non- identity transfer-coding, the Content-Length MUST
be ignored.

286

When a Content-Length is given in a message where a

message-body is allowed, its field value MUST exactly match the
number of OCTETs in the message-body. HTTP/1.1 user agents
MUST notify the user when an invalid length is received and
detected.
General Header Fields
There are a few header fields which have general
applicability for both request and response messages, but which do
not apply to the entity being transferred. These header fields apply
only to the message being transmitted.
general-header = Cache-Control
| Connection
;
| Date
;
| Pragma
;
| Trailer
;
| Transfer-Encoding
;
| Upgrade
;
| Via
;
| Warning
;

General-header field names can be extended reliably only in

combination with a change in the protocol version. However, new or
experimental header fields may be given the semantics of general
header fields if all parties in the communication recognize them to
be general-header fields. Unrecognized header fields are treated as
entity-header fields.