DOCSIS Basics

Abstract
A DOCSIS network provides bidirectional transfer of internet-protocol traffic
between a cable modem termination system, or headend, and cable modems
over the existing coaxial or hybrid-fiber/coax cable systems. This network
utilizes many complex technologies to achieve internet data transfer including
RF digital modulation, networking techniques, protocol and MPEG
technologies. DOCSIS downstream and upstream RF transmission channels
use QPSK and QAM modulation formats, which incorporate vector
modulation and demodulation. The data transfer employs several networking
datagrams to transport downstream data including DHCP, TFTP, SNMP, IP
addressing, and MPEG protocols. DOCSIS incorporates control and
monitoring of cable modems through protocol technology using MAC
commands. This paper provides insight into how several technologies are
combined to form DOCSIS.

1
 Agenda
• DOCSIS Background
• DOCSIS Technology
• Network Operation
• Conclusion

Page 2

2
 The Communication World
Internet

Home
ISP Last
POP Mile

The Regional Central

World Office Local
Office Last
Exchange
Local Mile
Loop

Small
Large Business
Business Local
Exchange
Last Last-Mile Technologies
Last DSL
Foot Last
Mile LMDS
Mile MMDS
Cell
Base Cellular
Station CATV

Page 3

Today's communication world is a complex network of different transport

technologies: satellite, fiber, radio frequency (RF), microwave, twisted pair,
and coax. Broadband fiber trunks support communications between the
regional and central offices and in the local loop. However, "last-mile"
communications is restricted to narrowband twisted-pair cables. Until fiber is
installed in the last mile, other technologies are expanding the bandwidth
(BW): digital subscriber line (DSL), local multi-point distribution system
(LMDS), multi-point multi-channel distribution system (MMDS), cellular
phone, and cable television (CATV) systems. Through internet protocol (IP),
digital cable modems utilize the CATV infrastructure to supply high-speed
data service to the home and office.

3
 Broadband Access Services
• Merging communications industries: phone, video, internet,
e-mail, data
• Cable-to-home/business provides conduit for multiple services
• Broadband vendors provide high-speed, two-way data access
equipment
• Off-the-shelf cable modems are available in North America and
Europe

Page 4

The need for broadband communications in the last mile is being driven by the
demand for more information and services at faster speeds. A trend is to merge
individual services (phone, video, internet, e-mail, and data) into one
broadband service supplied by RF cables to the home and office. Broadband-
access vendors are providing high-speed, two-way data equipment for service-
provider headends and user personal computers (PC). Off-the-shelf cable
modems (CM) are currently available in North America, Europe, and other
countries.

4
 Digital Cable Modem Evolution

• Internet growth created need for faster data transfer

– 50-100 times improvement over 56 kbps phone-line
modems
– Use of existing infrastructure -- broadband CATV plants
– Service for millions of subscribers

• Early cable-system designs provided interim solutions

– Proprietary cable modems and headend equipment
– No standard and no interoperability

Page 5

Internet growth was a key influence in driving the need for faster data transfer.
Digital cable modems provide 50-100 higher data rates over the 56 kbps
phone-line modems. Data delivery is supplied by existing CATV plants, which
are broadband infrastructures accessible to millions of subscribers.
Early cable-system designs provided interim data delivery solutions that relied
on proprietary CMs and headend equipment. Unfortunately, this equipment
was not based on an industry standard, so CMs were not interoperable -- could
not operate in different cable systems.

5
 DOCSIS 1.0 Standard Defined
Multimedia Cable Network System Partners (MCNS)
• Addressed need for interoperability
• Developed the data-over-cable-service interface
specification (DOCSIS) version 1.0
DOCSIS Radio Frequency Interface (RFI)
• Published in 1997
• Defines interface specifications for CMs and CMTS
headend equipment
• Provides basis for open non-proprietary, multi-vendor cable
systems

Page 6

The Multimedia Cable Network System Partners (MCNS) group addressed the
interoperability issue, and the result was the data-over-cable-service interface
specification (DOCSIS) version 1.0. The DOCSIS radio-frequency-interface
(RFI) specification version 1.0 was published in 1997, and it provided the
basis for open non-proprietary, multi-vendor cable systems. This document
defines all the interface specifications needed for developing high-speed data-
over-cable systems, which include DOCSIS CMs and the cable-modem
termination systems (CMTS). CMTS equipment is located at the headend,
which is the distribution source for last-mile communication.

6
 PICS List 1.0 Developed
Protocol Implementation Conformance Statements (PICS)
• Industry selected all “must”, “must not”, “should”, and “should
not” statements in the RFI and other documents
• PICS document version 1.0 defines CM/CMTS characteristics
needed to meet DOCSIS requirements
• PICS example for CM transmitter power:
“CmPhTx.72 QPSK transmit level: Range: 8 dBmV to 58
dBmV”

Page 7

Because the RFI is a very large (~800 pages) document, a more efficient
method of determining compliance was needed, so the cable industry created a
simplified checklist that is easier to use. The checklist includes hundreds of
protocol implementation conformance statements (PICS) -- all the "must",
"must not", "should", and "should not" statements in the RFI and other
documents. With the PICS document version 1.0, vendors can more easily
determine if CM and CMTS designs meet all of the requirements for DOCSIS
certification. For example, the following PICS specifies the CM transmitter
power level:
CmPhTx.72 QPSK transmit level: Range: 8 dBmV to 58 dBmV

7
 ATP 1.0 Developed

Acceptance Test Plan (ATP)

• Addresses test methods for PICS requirements
• Joint effort of industry vendors and CableLabs -- 1998
publication for version 1.0
• Defines DOCSIS test procedures: PHY, MAC, MP (PHY/MAC),
BPI, Eth, and OSS
• CableLabs administers CM certification and CMTS qualification

Page 8

Because the PICS list does not include specific testing for RFI conformance,
the DOCSIS acceptance test plan (ATP) version 1.0 was developed to address
testing. The ATP was completed in 1998 as a joint effort of industry vendors
and Cable Television Laboratories, or CableLabs (a non-profit research
organization for the cable industry). It includes over fifty performance
verification tests grouped into several DOCSIS categories: physical (PHY),
media access control (MAC), MAC and PHY (MP) interaction, baseline
privacy interface (BPI), ethernet (Eth), and operation support system (OSS).
CableLabs administers CM certification and CMTS qualification for North
America several times a year. CM certification provides customers with
assurance that products from any vendor conform to the DOCSIS standard.
CMTS qualification provides the same product assurance to cable operators,
but CMTSs may have additional operational features that are not covered by
the DOCSIS standard.

8
 DOCSIS Background
RFI, PICS, ATP
CableLabs
760 Staff
DOCSIS
RFI PICS!!!
DOCSIS Visiting
DOCSIS
ATP 346 Engineers
PICS
Pages!!!
DOCSIS
OSSI

VENDORS
DOCSIS
BPI
CMCI
NSI

Page 9

This diagram shows the progression of the DOCSIS 1.0 documents developed
by the cable industry: RFI to PICS to ATP. Over 700 PICS were extracted
from the DOCSIS documents: RFI, OSS interface (OSSI), BPI, CM to
customer-premise-equipment interface (CMCI), and network-side interface
(NSI). The PICS were included in the ATP recommendations for testing.
Although the ATP defines what to test, it does not necessarily describe
practical test solutions. For example, many tests could not be performed
without specialize test equipment that did not exist when the ATP was written.
Devising practical test techniques is one of the challenges of DOCSIS testing.
(DOCSIS testing techniques is covered by the “DOCSIS Testing Challenges”
paper.)

9
 DOCSIS Versions
DOCSIS 1.0
• North American standard
• CableLabs certifications throughout 2000 & 2001
DOCSIS 1.1
• Backward compatible to 1.0
• CableLabs certifications in 2001
• Adds voice-over-IP (VoIP) infrastructure
• Adds quality of service (QoS)
• Makes BPI more robust (BPI+)
Euro-DOCSIS
• European standard -- similar to North American
• Different DS channel BW and US/DS frequencies
• tComLabs certifications in 2001

Page 10

CableLabs has scheduled certification waves throughout 2000 and 2001 for the
initial DOCSIS 1.0 version for North America. CM and CMTS products
designed to the upgraded DOCSIS 1.1 version are being certified in 2001.
DOCSIS 1.1 is backward compatible with DOCSIS 1.0, and it adds voice-
over-IP (VoIP) infrastructure and quality-of-service (QoS) requirements and
makes BPI more robust -- enhanced BPI is called BPI+. DOCSIS for Europe,
or Euro-DOCSIS, is similar to the North American standard, except for a
wider downstream (DS) channel BW (8 MHz instead of 6 MHz) and different
upstream (US) and DS frequencies. Certification waves are currently being
administered by tComLabs in Europe.

10
 DOCSIS Testing Goals

• Product quality and DOCSIS conformance

• Passing CableLabs or tComLabs DOCSIS testing waves
– CM certification
– CMTS qualification

• Being prepared with test data and product confidence is key

to success -- thorough DV testing
• Fast time to market

Page 11

Cable modem certification is desirable for vendors because it provides product

quality assurance and DOCSIS proof of conformance for retail customers.
CableLabs administers DOCSIS testing in certification waves held several
times annually in the USA; tComLabs holds similar evaluations in Europe.
CMTS qualification provides the same product assurance to cable operators
and service providers. The key to successfully passing certification or
qualification is being prepared with product test data and design confidence,
which is acquired with thorough design-verification (DV) testing to the
DOCSIS PICS list. Being prepared can speed the certification/qualification
process and result in fast time to market for DOCSIS products.

11
 Agenda
• DOCSIS Background
> DOCSIS Technology
• Network Operation
• Conclusion

Page 12

12
 DOCSIS Service
Phone

Server
Cable Modem
PC
HFC
Internet CMTS

Cable Modem
Server PC

• Transfer bidirectional data traffic between service provider’s

headend (CMTS) and customer’s cable modem
• CATV tree-and-branch infrastructure provides data conduit:
fiber and coax cables with amplifiers -- hybrid-fiber/coax (HFC)
• Wide BW and fast data rate for DS
• Allocated BW and lower data rate for US
Page 13

The DOCSIS service transfers ethernet (used by most systems) or

asynchronous transfer mode (ATM) traffic over coaxial or hybrid-fiber/coax
(HFC) cable bidirectionally between the service provider’s headend and the
cable modem at customer locations. The service is supported on a CATV
network with a tree-and-branch architecture.
The DOCSIS system is composed of DS and US paths. The DS is the
connection from the CMTS, located at the cable-plant headend, to the CM
located in the subscriber’s home or business. This path is a wide-BW, high-
data-rate connection. The US connection is the path from the subscriber back
to the CMTS. This path is lower bandwidth and uses lower data rates than the
DS.

13
 DOCSIS CM-CMTS Communication
Diagram

CMTS (Headend) Cable Modem

Downstream Tx Up Downstream Rx
64/256QAM 64/256 QAM
BW: 6 MHz
Cnvtr.
BW: 6 MHz
Freq: 88-860 MHz CMCI
NSI Dpx Dpx
Freq: 88 - 860 MHz
100 10
Base-T Upstream Tx Base-T
Upstream Rx QPSK & 16QAM
QPSK & 16QAM BW: 0.2-3.2 MHz
BW: 0.2-3.2 MHz HFC Freq: 5-42 MHz
Freq: 5-42 MHz Network

Page 14

This general block diagram for DOCSIS data communication shows the
CMTS and CM connected together through the HFC infrastructure.
For access to the internet and other data communication, the CMTS is
connected also to the external network through the NSI, a 100Base-T
connection. Inside the CMTS, a DS transmitter generates modulated RF
signals for the CM, and an US receiver in the CM receives the signals. Some
CMTSs require an external upconverter that converts the DS frequency to the
DOCSIS frequency range. The DS and US signals are combined with an
external diplexer and routed into the HFC network.
The CM has an internal diplexer that splits the cable signal path between the
DS receiver and the US transmitter. The external CMCI is a 10Base-T data
port that connects to the customer-premise equipment (CPE) such as a PC.

14
 Cable Modem Diagram

Power
Amp PHY CMCI
10Base-T
Chip Transcvr
Ethernet
Upstream Clk/Data (CPE)
5-42 MHz Gain
HFC Cntrl Microcntrlr
MAC
Diplexer w/ Ehernet
Chip
Downstream MAC
RF
88-860 MHz
In/Out Clk/Data

RF SAW Down PHY

Tuner Filter Conversion Chip

Page 15

This diagram provides more CM detail. A diplexer splits the RF signal path
into DS and US. The DS signal is sent to an RF tuner that performs a
conversion to an intermediate frequency (IF), typically around 45 MHz. The IF
is converted to a frequency needed by the PHY chip input. The PHY chip
converts the DS signal into a data stream for the MAC chip. The MAC chip
strips off the MAC messages leaving the data, which is repackaged for
ethernet communication and sent out the CPE port.
An RF tuner is not required in the US path because the frequency range is
narrow, compared to the DS, and the signal can be processed by the US PHY
chip. (The PHY and MAC functions will be combined into one chip because of
an industry trend for higher integration.)

15
 DOCSIS Technology
• Physical layer -- RF modulation, demodulation, transmission
• Network interfacing
– NSI (ethernet and ATM)
– CMCI for CPE (ethernet)

• Network management -- OSSI

• Data formats -- MPEG and packets
• Testing for DOCSIS conformance

Page 16

The DOCSIS RFI describes a system that can transmit data over an existing
CATV network at rates significantly faster than telephone modems. The
system builds on several key technologies:
• RF digital-modulation/demodulation and transmission for the physical layer
• Network interfacing technology such as ethernet (data-link technology that
transfers bit frames between network interfaces) and ATM for the NSI layer
and ethernet for the CMCI layer
• System network management for the OSSI layer
• Data formatting such as Motion Picture Experts Group (MPEG) framing for
DS and and data packets for US
Each technology is optimized for the CATV environment and provides easy
access for subscribers using existing computer and networking technology.
DOCSIS conformance is shown by testing the technology implemented in the
CM and CMTS. Physical-layer conformance involves testing analog and
digital RF signals that travel between the CMTS and CM. Tests include
measuring RF signal-power level, frequency range, modulation accuracy, and
spurious-signal level. For MAC conformance, the messaging protocol between
the CMTS and CM is verified. Tests include verifying management messages
that travel between the CMTS and CM. MP tests verify interactions between
the physical and MAC layers. Tests include verifying the frequencies of the
RF signals in relationship to the MAC management messages transmitted.

16
 Downstream Protocol Stack

Cable Modem Termination System Cable Modem(s)

Internet Protocol Internet Protocol

Forwarding LLC LLC Transparent

OSI OSI
Bridging
Data Link BPI Security BPI Security Data Link
Layer Layer
Cable MAC Cable MAC
OSI Transmission Transmission OSI
Physical Convergence Convergence Physical
Layer DS PMD DS PMD Layer

HFC 10Base-T CMCI

NSI 100Base-T
100 Mbps 10 Mbps
30-43 Mbps CPE
LAN/PC

Page 17

The DS protocol-stack diagram shows how the different technologies interact and are
layered together. (A similar US protocol stack reverses the signal path, but the
functions are similar to the DS.) The protocol functions follow:
• Open system interconnection (OSI) -- the CMTS NSI port receives external network
data (about 100 Mbps rate) through the OSI physical and data-link layers.
• IP -- assigns internet addresses to the CMTS and CM. Data is forwarded by bridging
(send to a specific location) or routing (send to multiple locations).
• Logical link control (LLC) -- identifies data source and destination points (CMTS
and CM addresses) per IEEE 802.2 specification.
• BPI -- encrypts data for secure transmission between CMTS and CM.
• Cable MAC -- provides CM with information on how and when to communicate.
(For the US path, the CM sends its own messages to the CMTS.)
• Transmission convergence -- common video and data receiver for DS MPEG data.
(This is not used in the US.)
• DS physical media dependent (PMD) sub-layer -- provides CMTS RF modulation,
amplification, coding, and transmission. The CM DS PMD provides frequency tuning
and demodulation.
The HFC network sends the data (30-43 Mbps) to the CM, which reverses the protocol
order and sends the data (up to 10 Mbps) through the CMCI to the CPE, which can be
a PC or local-area network (LAN).

17
 DOCSIS Downstream Characteristics
CM
Network Interface
CM
100Base-T
HFC
to CMTS
Network CM
Internet
Servers
CM

• RF signal from CMTS to all CMs

• Frequency range: 88-860 MHz (North America)
or 108-862 MHz (Europe)
• Bandwidth: 6 MHz (North America)
or 8 MHz (Europe)
• Modulation: 64QAM or 256QAM
• Data rate: 30-43 Mbps
• Continuous MPEG-2 data stream

Page 18

The CMTS transmits digitally-modulated RF signals downstream to the CMs

in the 88-to-860 MHz frequency range with a 6 MHz channel BW for North
American systems (108-862 MHz range and 8 MHz BW for Europe). The data
information is vector-modulated onto the carrier with a quadrature-amplitude
modulation (QAM) format. The cable operator can select either 64QAM or
256QAM (64 states or 256 states respectively), depending on the QoS
provided. The 256QAM signals provides faster data rates of 43 Mbps
compared to 30 Mbps for 64QAM. A continuous data stream of 30 or 43 Mbps
in MPEG-2 format is received by all CMs connected to the CMTS. (For
DOCSIS DS signal conditioning, the RFI references the ITU.J83-B
specification.)

18
 DOCSIS DS 64QAM Constellation

• High-density data in 89441A

MPEG-2 format

• EVM determines
signal quality

Page 19

The 64QAM (constellation shown in the diagram) and 264QAM signals are
high-density symbol formats that are susceptible to noise and distortion
interference. The high-density formats are needed to transmit high-density data
such as digitized and compressed video, voice or messaging, and digital data.
The data information is contained in a packetized transport stream defined in
the MPEG-2 specification for network delivery.
Signal quality can be determined with error-vector magnitude (EVM)
measurements, which can be correlated with signal-to-noise ratio (SNR). Test
equipment such as a vector signal analyzer (VSA) perform EVM
measurements. Other signal-quality measurements are in- and quadrature-
phase (IQ) skew, phase offset, cross talk, amplitude imbalance, and others. If
the CM or CMTS fails any of these measurements, the EVM will be affected
also. Because EVM measures the combined effect of many modulation
problems, it provides a single measurement for DOCSIS signal quality. As an
example, a 64QAM signal with 1.8% EVM will meet DOCSIS performance
criteria.
The VSA calculates SNR from an EVR measurement, and two examples
follow:
• 64QAM signal with SNR = 24.5 dB, EVM = 3.67%
• 256QAM signal with SNR = 31.0 dB, EVM = 1.61%

19
 DOCSIS DS QAM Channel Spectrum
89441A
• DS channel
is always on

• Nyquist filter for

adjacent channel
interference

Page 20

This diagram shows a typical frequency spectrum for a 6 MHz DS channel in

which the signal is always on (as opposed to the burst characteristics of US
signals). The DS spectrum is shaped with Nyquist filtering to prevent
interference with adjacent channels. The in-band frequency response,
including ripple and slope, must be within ±0.3 dB for the CM to accurately
demodulate the QAM signals. (The US signal-burst flatness must be within
±0.5 dB for accurate CMTS demodulation.)

20
 DOCSIS Upstream Characteristics
CM
Network Interface
100Base-T CM
to HFC
CMTS
Internet Network CM
Servers
CM

• RF signal from CM to CMTS

• Frequency range: 5-42 MHz (North America)
or 5-65 MHz (Europe)
• Bandwidth 0.2 to 3.2 MHz in 5 Steps
• Symbol rates: 160, 320, 640, 1280, 2560 Ksym/sec
• Modulation: QPSK or 16QAM
• Bursted transmission in variable timeslots controlled by CMTS
Page 21

The CM transmits a US signal that is a time-division multiple-access (TDMA),

or bursted, format in the 5-42 MHz frequency range for North America (5-65
MHz for Europe). The US bandwidth is narrower than the DS, and it varies
from 200 kHz to 3.2 MHz in five steps. The US BW setting is determined by
the CMTS, and it is based upon the QoS selection made by the cable operator.
The allowable modulation formats are quadrature phase-shift keying (QPSK)
and 16QAM, which are much less affected by noise and distortion than the DS
64QAM and 256QAM formats.

21
 DOCSIS US QPSK Constellation

89441A

Good signal quality in noisy environment

Page 22

The US modulation within a signal burst is either 16QAM or QPSK, which is

shown in the diagram. The QPSK constellation has only four possible states,
one in each quadrant, so good signal quality can be maintained even in the
presence of high noise. Bit error rate (BER) is a measure of signal quality, and
it can be empirically correlated with EVM. The EVM should be no greater
than 2.3% for 16QAM signals and 3.2% for QPSK.

22
 Upstream Data Bursts

Burst Types Contended Purpose IUC Individually Typical

or Granted Specified Burst Time

Request Bandwidth C Ask for data 1 Yes 0.1 ms

bandwidth

Initial Maintenance C Calibrate CM 3 Yes 0.2 ms

(Initial Ranging) Tx to CMTS Rx

Station Maintenance G Calibrate CM 4 Yes 0.2 ms

(Periodic Ranging) Tx to CMTS Rx

Short Data G Convey data 5 Yes 1 ms

& messages

Long Data G Convey data 6 Yes 2.5 ms

& messages

Page 23

US signals are transmitted in one of five different burst types as shown in the
table with typical burst times. (A sixth burst type, data request, is not currently
used.) Burst-type combinations define the CM burst profile, and the interval
usage code (IUC) designates the burst type (one of six). The CMTS defines the
burst profile with the US channel-descriptor (UCD) message sent to the CM.
Each burst type can be individually specified, and each has a specific purpose.
The burst types are request bandwidth, initial maintenance (or initial ranging),
station maintenance (or periodic ranging), short data, and long data.
The BW-request burst provides information to the CMTS about how much
bandwidth the CM needs to send its data US. The initial-maintenance and
station-maintenance bursts provide a means for calibrating the CM transmitter
with the CMTS receiver for frequency, power, and timing. Initial maintenance
is used only during the CM boot-up process, but station maintenance is used
after the CM has registered with the CMTS. Short-data and long-data bursts
transfer management messages and data in the US to the CMTS.
The US is divided into time slots (TS), and these are segmented into “mini-
slots”, which are defined as either “contented” or “granted” TSs. Any CM can
send request messages to the CMTS during a contended TS. If more than one
CM attempts transmission during the same TS, the CMTS will not receive
either one. This causes both CMs to go into a “back-off” mode, and the CMs
will attempt retransmission later. After the CMTS receives a CM request, it
assigns a granted TSs to that specific CMs for data and MAC transfer US.

23
 System Data Characteristics
Modulation Symbol Rate Bandwidth
Downstream 64QAM 5.056941 Msym/s 6 MHz
256QAM 5.360537 Msym/s 6 MHz
(Europe only) 64QAM 6.952 Msym/s 8 MHz
(Europe only) 256QAM 6.952 Msym/s 8 MHz

Upstream QPSK 160 Ksym/s 200 kHz

QPSK 320 Ksym/s 400 kHz
QPSK 640 Ksym/s 800 kHz
QPSK 1280 Ksym/s 1600 kHz
QPSK 2560 Ksym/s 3200 kHz

Upstream 16QAM 160 Ksym/s 200 kHz

16QAM 320 Ksym/s 400 kHz
16QAM 640 Ksym/s 800 kHz
16QAM 1280 Ksym/s 1600 kHz
16QAM 2560 Ksym/s 3200 kHz

Page 24

This table summarizes the DS and US characteristics for signal modulation,

data symbol rate, and channel bandwidth that is derived from symbol rate. The
cable operator determines symbol rate, which is based on the CM loading
(number of CMs on the cable network). (Symbol rate selection is one
parameter for the system QoS.) The data rate can be determined from the
symbol rate and the bits per symbol -- two bits for QPSK, four bits for
16QAM, six bits for 64QAM, and eight bits for 256QAM. For example, the
data rate is 320 Kbps for the lowest QPSK symbol rate; the 256QAM data rate
is about 43 Mbps

24
 Agenda
• DOCSIS Background
• DOCSIS Technology
> Network Operation
• Summary

Page 25

25
 CMTS and CM Communications
MAC Message Control
CMTS

NSI
CM CM CM CM
100Base-T
CPE
10Base-T

Internet PC PC PC PC

Communication Starts with CM Initialization

• Scan DS for DOCSIS channel
• Send REG-REQ to CMTS
• SID establishes connection

Page 26

Communication between the CMTS and CM provides a link between the

internet and the CPE. The CMTS has a 100Base-T ethernet connection to the
internet network, and the CM has a 10Base-T ethernet connection to the
customer’s computer port. The CMTS-NSI port also can accept ATM data,
and the CM can provide a universal serial bus (USB) or a peripheral-
component interconnect (PCI).
In the DOCSIS system, the CMTS and CM relationship is master-slave, where
the CMTS is the master.The CMTS broadcasts simultaneously to all the cable
modems connected to its DS path. The individual CM must first register with
the CMTS before it can communicate and send data. The MAC layer contains
the protocol to accomplish this communication.
During its initialization process (this will be discussed in detail later), the CM
progresses through a series of steps needed to establish a service identification
(SID) for communication with the CMTS. The process starts by the CM
scanning the DS frequency band for a valid DOCSIS channel. After it finds a
channel, the CM sends a registration request (REG-REQ) message in the US to
the CMTS.

26
 MAC Messages Manage, Control,
and Synchronize CMs
• MAC messages for CM and CMTS
– DS messages embedded in MPEG-2 frames
– US messages embedded in packets

• SYNC establishes CM timing

• UCD establishes CM channel and burst characteristics
– Frequency, symbol rate, burst profile

• MAP allocates US time slots (BW)

Page 27

MAC messages manage, control, and synchronize all the CMs in the network.
They are embedded in the DS MPEG-2 frames and US data packets.
The CMTS periodically transmits a synchronize (SYNC) message to the CMs
so that a receiving CM can verify its timing is synchronized correctly for US
access.
To control the CM US configuration, the CMTS transmits a UCD, which
describes the channel and burst characteristics that the CM must use to
communicate US. When the CM receives the UCD, it extracts parameters such
as channel frequency, symbol rate, and burst profile.
To control US transmission timing, the CMTS transmits MAP messages that
map the time allocations on the US channel. The CM reads a MAP and locates
contended and granted time slots to determine when a transmission is
acceptable.

27
 DOCSIS MPEG-2 Frame
Typ DOCSIS MPEG Hdr w/o Ptr

47 1F FE 1x

4 bytes 1 byte 183 bytes

MPEG Hdr Ptr Payload

MPEG_Frame 80:
471FFE1C 00c20000 30f2cf01 e02f0000 010c2238 4e5a0c00 1e000003 01030001
04020000 7fd69200 7fd57a02 030208ff fc400000 01c01401 18d8b3ff ffffffff
ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff
ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff
ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff
ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff ffffffff

Page 28

The diagram shows a DOCSIS MPEG-2 frame of 188 bytes, which starts with
a 4-byte header as shown in the data table. The CMTS inserts a specific packet
identifier (PID) into the header that identifies the MPEG-2 data as a DOCSIS
data stream -- the DOCSIS PID is “1ffe”.
Following the header is an optional one-byte pointer. One use for the pointer is
referencing MAC messages that extend over multiple MPEG frames. Unused
pointer locations are filled with data.
The data payload is 183 bytes long (184 without the pointer). If the data does
not need the entire payload capacity, stuff bytes (binary ones or the hex “f”
series shown in the table) fill the reminder payload locations.
The MAC messages within the MPEG frames (and US bursts) have the
following sequential-data structure: preamble, MAC header, ethernet header,
IP header, payload data unit (PDU), and cyclical-redundancy code (CRC). (For
a MAC message data-structure diagram, see page 12 of the “DOCSIS Testing
Challenges” paper.)

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 Downstream Data Flow
Scrambled
Downstream
CMTS PHY Layer
Sync Conv. &
Reed Convolutional Trellis
Solomon Interleaving 0 Scrambling Symbol
Block 0 Encoding
FEC Encode

MPEG 2 Reed Solomon Time-interleaved IQ Symbol

TC Frames Blocks Bytes Values
RS Sync Trailer
(Trellis
Sequence)

PMD Layer HFC Network

RRC Filter Carrier Transmission Carrier IQ Generation
Sym. Recover Demodulation Modulation RRC Filtering

IQ Symbol
Values Scrambled Time-interleaved Reed Solomon
(Trellis Downstream Bytes Blocks
Sequence)
MPEG 2
Recover Sync, Reed Solomon TC Frames
Timing, Vertibi Descramble & De-interleave Block FEC &
Decoding & Read RS Sync MPEG Sync
Error Trailer Convert
Correction

Timing Synchronization
CM PHY Layer

Page 29

The diagram shows the DS data flow (per ITU.J83-B) from the CMTS PHY
layer to the CM PHY layer as follows:
• Raw data in the MPEG-2 transmission-convergence (TC) frames are
segmented into seven-bit-symbol groups and encoded with Reed Solomon
(RS) forward error correction (FEC) to reduce data loss.
• The symbol blocks are interleaved with one-of-five interleaver modes
(variable latency) to further reduce possible data loss in transmission. A sync
trailer is added.
• To prevent repetitive zeros or ones, scrambling data avoids continuous-wave
(CW) transmission.
• Symbols are mapped from the data, trellis encoded (to further reduce data
loss), raised-root cosine (RRC) filtered, and modulated onto the carrier.
• The RF carrier is transmitter over the HFC network and demodulated by the
CM. RRC filtering recovers the symbols.
• Through reverse protocol steps, the CM recovers the MPEG-2 frames.

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 Upstream Data Flow
Scrambled Scrambled
CM PHY Layer Upstream Upstream

Separate Data
into FEC Encode Burst Align & Symbol
Codeword (Codewords) Scrambling 0 Mapping
Blocks 0

Information Reed Solomon

Packet Blocks Blocks
Data In Preamble IQ Symbol
Values

PMD Layer HFC Network

RRC Filter Carrier Transmission Carrier IQ Generation
Sym. Recover Demodulation Modulation RRC Filtering

IQ Symbol
Values Scrambled Reed Solomon Information
Downstream Blocks Blocks
Packet
Data Out

Detect and Reed

Preamble Sync,
Descramble Solomon Construct
Recovery FEC Packets

Timing
CMTS PHY Layer

Page 30

The US data flow is packet data, which has a less complex structure compared
to the DS MPEG-2 data. The data flow sequence follows:
• The packets are separated into codeword blocks depending on burst-signal
type, and these are FEC encoded and scrambled. (If scrambling is not needed,
it can be disabled.)
• The data and preamble are combined.
• Symbols are mapped from data, RCC filtered, and modulated onto the
carrier.
• The RF carrier is transmitter over the HFC network and demodulated by the
CMTS. RRS filtering recovers the symbols.
• Through reverse protocol steps, the CMTS recovers the packet data.

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 Network Services

Dynamic Host Command Protocol (DHCP)

• Internet protocol for configuring computers that use TCP/IP
• Automatically assigns IP addresses to CMs and user PCs
Trivial File Transfer Protocol (TFTP)
• UDP-based protocol designed to support non-interactive file transfers
• Used to upgrade or configure cable modems
Time of Day (TOD)
• Provides time-synchronization information to CMs
• Timing for administrative purposes

Page 31

DOCSIS network services are provided by application software packages that

are part of the CMTS or loaded onto a separate computer at the headend. The
software-application descriptions follow:
• Dynamic-host-command protocol (DHCP) configures computers for
transmission-control protocol and IP (TCP/IP), and it automatically assigns IP
addresses to CMs and user PCs.
• Trivial-file-transfer protocol (TFTP) is a user datagram protocol (UDP) that
supports non-interactive file transfers such as configuring or upgrading CMs.
• Time-of-day (TOD) server provides CMs with time synchronization
periodically or by CM request. This timing is for administrative purposes and
is not used for system operation; instead, system time stamping is provided by
the DS SYNC message.

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 Simple Network Management
Protocol (SNMP)
• Protocol for internet network-management services
– Exchanges network information through messages (PDU)
• Accesses and controls management information base (MIB)
• CMTS/CM have standardized MIBs
– Hundreds of MIBs control CM-CMTS operation
– Public and private MIBs

• Public MIBs in DOCSIS DS channel table

1) docsIfDownChannelId.10 = 1
2) docsIfDownChannelFrequency.10 = 93000000 hertz
3) docsIfDownChannelWidth.10 = 6000000 hertz
4) docsIfDownChannelModulation.10 = qam64(3)
5) docsIfDownChannelInterleave.10 = taps32Increment4(5)
6) docsIfDownChannelPower.10 = 50.0 dBmV

Page 32

The simple network management protocol (SNMP) allows CMs and CMTSs to
send and recognize network management messages that are exchanged through
PDU messages. The SNMP provides access to and control of the management
information base (MIB), which is a data base that defines CM and CMTS
operation. Hundreds of MIBs control CMTS-CM operation in a way that is
similar to general-purpose-interface-bus (GP-IB) computer commands
controlling test equipment.
Public MIBs are defined by the DOCSIS standard; private MIBs are specific
for each CM or CMTS vendor. For, example private MIBs can disable DS
modulation or adjust the CMTS receiver power.
The DOCSIS DS channel table shown lists some public MIBs examples:
1) CMTS is set to channel #1
2) DS channel #1 frequency is 93 MHz
3) DS bandwidth is 6 MHz
4) DS modulation is 64QAM
5) DS interleaving is defined
6) DS power level is 50 dBmV

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 CM Initialization Process
Network Layer Management MAC Layer Protocol

Scan for DS Establish IP

Channel Connectivity Register with
CMTS
CM Sync & SYNC IP Complete
Internal Msg. Received Registration
Complete
Transfer Config.
Scan UCD and Parameters
MAP Messages
Baseline Privacy
Transfer NO ?
UCD & MAP Complete
Received
Initialize
MAC Layer Establish Baseline Privacy
Protocol Perform Time of Day
Ranging & Adj.

Privacy
Initialized
Ranging Time of Day Set
Adj. Complete
OPERATIONAL

Page 33

When the CM is powered on, it must establish contact with the headend before
it can gain network access. This diagram shows the CM initialization steps
needed for CM operation.
• The CM scans the DS for a valid DOCSIS signal with 64QAM or 256QAM.
This is the most time consuming initialization step, which can take up to five
minutes if the CM is not on a channel.
• The CM demodulates the DOCSIS signal and looks for a SYNC message.
• Then, the CM looks for the UCD, which tells the CM how to set up a burst
profile (frequency, modulation, and burst parameters). The CM also looks for
MAP messages, which list the granted and contended TSs for US
communication.
• The first US burst that the CM sends is the initial maintenance, and the
CMTS responds with the range-response (RGN-RSP) message for frequency,
power, and timing settings.
• After the CM receives an IP address, it receives network configuration
parameters, such as QoS and BPI, through the TFTP configuration file. The
CMTS sends these in the configuration file.
• After TOD is established, the CM has all information needed to register with
the CMTS.
• The final task is to determine BPI for DS and US data encryption. If BPI is
enabled, the CMTS sends a key to the CM. The CM is now operational.

33
 Conclusion

• DOCSIS technology is driven by broadband-internet demand

• CM and CMTS time to market is business challenge
• Passing certification starts with effective DV testing
• DOCSIS combines complex technologies
– Digital RF modulation techniques
– Protocol techniques
– Network techniques

Page 34

The DOCSIS technology is being installed to support the high demand for
broadband-internet service. The industry is moving fast to supply this
technology, and fast time to market is a challenge for CM and CMTS vendors
in a highly competitive business climate. Passing CM certification or CMTS
qualification starts with effective DV and pre-certification testing.
DOCSIS is a complex technology composed of many technical disciplines that
overlay the different protocol layers. The physical layer includes RF digital
modulation for which specialized test equipment (such as a VSA) is needed to
evaluate signal quality.
The MAC layer determines how CM-CMTS communication occurs in a cable
network. The DOCSIS high-density data traffic must coexist with potentially
interfering TV channels and system noise ingress.
The higher protocol layers (such as OSSI, NSI, and CMCI) manage the end-to-
end communications that give customers the high-speed internet service
provided by DOCSIS.

34
Reference Material
Digital Basics for Cable Television
Jeffery Thomas and Francis Edgington
ISBN 0-13-743915-6
Practical Programming in Tcl and Tk
Brent Welch
ISBN 0-13-022028-0
Measuring Phase Noise with 89410A and 89440A Vector Signal
Analyzer
Literature number 5091-7193E
Product Note 8944A-2
Digital modulation in communications systems- an introduction
Literature number 5965-7160E
Application Note 1298

Page 35

35
DOCSIS Information

E1371A DOCSIS Test System

Product Overview #5988-1245EN

Agilent Web Site for DOCSIS

http://www.agilent.com/comms/DOCSIS

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Industry Web Sites
CableLabs
http://www.cablelabs.com
Society of Cable Telecommunications Engineers (SCTE)
http://www.scte.org
National Cable Television Association (NCTA)
http://www.ncta.com

Page 37

37
Agilent Business Contact
E1371A DOCSIS Test System
Steve Karakitsios -- Solution Specialist (West US & International)
Phone: 303-662-4325 (Denver, CO)
E-Mail: [email protected]

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