Data Communication and Computer Networking WCU

CHAPTER FOUR
Protocols
All communication, whether face-to-face or over a network, is governed by predetermined rules
called protocols. These protocols are specific to the characteristics of the conversation. Network
communication follows protocols similar to those used in human communication.
Rules That Govern Communications
Protocols are rules used by anyone who communicates with another. During a conversation, people
usually don’t think about protocols until someone breaks one, but many levels of behavior are
important for successful communication. For example, the clothing and informal language that is
appropriate when you’re with your close friends is not appropriate in a formal setting with a court
official. Being improperly dressed for the communication situation could derail the message before
any words are spoken. Also, people who interrupt conversations, speak too loudly, or walk away
from conversations without the proper closing words like “thank you” or “good-bye” are
considered rude, and the rude behavior can distract from the importance of the message. In addition,
if a person tries to communicate in a language that the receiver does not understand, attempts at
verbal communication will likely fail.
The protocols in human communication are separate rules about appearance, speaking, listening,
and understanding. All these rules, also called protocols of conversation, represent different layers
of communication. They work together to help people successfully communicate.
You can use these examples to understand three different layers of a simple conversation. Consider
two people communicating face to face. The bottom layer, the physical layer, has two people, each
with a voice that can utter words aloud. The second layer, the rules layer, has an agreement to
speak in a common language. The top layer, the content layer, has the words actually spoken, that
is, the content of the communication. Were you to witness this conversation, you would not see
the layers. It is important to understand that the use of layers is a model and, as such, layers provide
a way to conveniently break a complex task into parts and describe how they work.
The need for protocols also applies to network devices. Computers have no way of learning
protocols, so network engineers have written rules for communication that must be strictly
followed for successful host-to-host communication. These rules apply to different layers of
sophistication such as which physical connections to use, how hosts listen, how to interrupt, how
to say good-bye, what language to use, and many others. These rules, or protocols, that work
together to ensure successful communication are grouped into what is known as a protocol suite.

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Network Protocols
For devices to communicate on a network, they must follow different protocols that perform the
many tasks to be completed. The protocols define the following:
■ The format of the message, such as how much data to put into each segment
■ The way intermediary devices share information about the path to the destination
■ The method to handle update messages between intermediary devices
■ The process to initiate and terminate communications between hosts
The authors of the protocols might be writing them for a specific company that will own the
protocol. The protocol is treated like a copyright and can be licensed to other companies to use.
Protocols controlled by a company and not for public use are considered proprietary. Other
protocols are written for public use at no charge and are considered open source protocols.
Protocol Suites and Industry Standards
In the early days of networking, each manufacturer had proprietary network equipment and
protocols to support it. This worked well as long as the company that purchased the equipment did
not need to share data outside its own network. As companies started to do business with other
companies who were using different network systems, the need for a cross platform standard for
network communication became apparent.
People from the telecommunications industry gathered to standardize the way network
communication works by writing common protocols. These standards are practices that are
endorsed by representatives from industry groups and are followed to ensure interoperability
between vendors. For example, Microsoft, Apple, and Linux operating systems each have a way
to implement the TCP/IP protocol stack. This allows the users of different operating systems to
have common access to network communication. The organizations that standardize networking
protocols are the Institute of Electrical and Electronics Engineers (IEEE) and the Internet Engineering Task Force (IETF).
Interaction of Protocols
An example of the use of a protocol suite in network communications is the interaction between a
web server and a web browser. This interaction uses a number of protocols and standards in the
process of exchanging information between them. The different protocols work together to ensure
that the messages are received and understood by both parties.
Examples of these protocols are as follows:
■ Hypertext Transfer Protocol (HTTP): HTTP is a common protocol that governs the way that
a web server and a web client interact. HTTP defines the content and formatting of the requests
and responses exchanged between the client and server. Both the client and the web server software
implement HTTP as part of the application. The HTTP protocol relies on other protocols to govern
how the messages are transported between client and server.

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■ Transport protocol: Transmission Control Protocol (TCP) is the transport protocol that
manages the individual conversations between web servers and web clients. TCP divides the HTTP
messages into smaller pieces, called segments, to be sent to the destination client. It is also
responsible for controlling the size and rate at which messages are exchanged between the server
and the client.
■ Internetwork protocol: The most common internetwork protocol is Internet Protocol (IP). IP
is responsible for taking the formatted segments from TCP, encapsulating them into packets,
assigning the appropriate addresses, and selecting the best path to the destination host.
■ Network access protocols: Network access protocols describe two primary functions: data-link
management and the physical transmission of data on the media. Data-link management protocols
take the packets from IP and format them to be transmitted over the media. The standards and
protocols for the physical media govern how the signals are sent over the media and how they are
interpreted by the receiving clients. Transceivers on the network interface cards implement the
appropriate standards for the media that is being used.
Technology-Independent Protocols
Protocols that guide the network communication process are not dependent on any specific
technology to carry out the task. Protocols describe what must be done to communicate, not how
the task is to be completed. For example, in a classroom, the protocol for asking a question might
be to raise a hand for attention. The protocol instructs students to raise their hands, but it does not
specify how high to raise them or specify whether the right hand or left hand is better or whether
waving the hand is helpful. Each student can raise his or her hand in a slightly different way, but
if the hand is raised, the teacher will likely give attention to the student. So network communication
protocols state what tasks must be completed, not how to complete them. This is what enables
different types of devices, such as telephones and computers, to use the same network
infrastructure to communicate. Each device has its own technology, but it is able to interact with
different devices at the network level. In the previous example of Apple, Microsoft, and Linux,
the operating systems must find a way to present data to others using TCP/IP, but each operating
system will have its own way to do it.
Using Layered Models
The IT industry uses layered models to describe the complex process of network communication.
Protocols for specific functions in the process are grouped by purpose into well-defined layers.
The Benefits of a Layered Model
By breaking the network communication process into manageable layers, the industry can benefit
in the following ways:
■ Defines common terms that describe the network functions to those working in the industry and
allows greater understanding and cooperation.

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■ Segments the process to allow technologies performing one function to evolve independently of
technologies performing other functions. For example, advancing technologies of wireless media
is not dependent on advances in routers.
■ Fosters competition because products from different vendors can work together.
■ Provides a common language to describe networking functions and capabilities.
■ Assists in protocol design, because protocols that operate at a specific layer have defined
information that they act upon and a defined interface to the layers above and below.
As an IT student, you will benefit from the layered approach as you build your understanding of
the network communication process.
Protocol and Reference Models
Networking professionals use two networking models to communicate within the industry:
protocol models and reference models. Both were created in the 1970s when network
communication was in its infancy.
A protocol model provides a model that closely matches the structure of a particular protocol suite.
The hierarchical set of related protocols in a suite typically represents all the functionality required
to interface the human network with the data network. The TCP/IP model is a protocol model
because it describes the functions that occur at each layer of protocols within the TCP/IP suite.
A reference model provides a common reference for maintaining consistency within all types of
network protocols and services. A reference model is not intended to be an implementation
specification or to provide a sufficient level of detail to define precisely the services of the network
architecture. The primary purpose of a reference model is to aid in clearer understanding of the
functions and process involved. The Open Systems Interconnection (OSI) model is the most
widely known internetwork reference model.
The OSI model describes the entire communication process in detail, and the TCP/IP model
describes the communication process in terms of the TCP/IP protocol suite and the way it functions.
It is important to know details of the OSI model to understand the entire network communication
process and to know the TCP/IP model to understand how the process is implemented in current
networks.
The OSI model is used to reference the process of communication, not to regulate it. Many
protocols in use today apply to more than one layer of the OSI model. This is why some of the
layers of the OSI model are combined in the TCP/IP model. Some manufacturers use variations
on these models to demonstrate the functions of their products within the industry.
Figure 4.1 shows both OSI and TCP/IP models.

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Figure 4.1: OSI and TCP/IP Models

TCP/IP Model
The TCP/IP model defines the four communication functions that protocols perform.
TCP/IP is an open standard, which means that one company does not control it. The rules
and implementations of the TCP/IP model were cooperatively developed by members of the
industry using Request for Comments (RFC) documents. RFC documents are publicly
accessible documents that define specifications and policies of the protocols and of the
Internet in general. Solicitation and maintenance of RFCs are the responsibility of the IETF.
Table 4.1 briefly describes the functions of each layer of the TCP/IP model.

Table 4.1: Layers of the TCP/IP Model

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Communication Process
The TCP/IP model describes the functionality of the protocols that make up the TCP/IP protocol
suite. These protocols, which are implemented on both the sending and receiving hosts, interact to
provide end-to-end delivery of applications over a network.
A complete communication process includes these steps:
1. Creation of data at the application layer of the originating source end device.
2. Segmentation and encapsulation of data as it passes down the protocol stack in the source end
device.
3. Generation of the data onto the media at the network access layer of the stack.
4. Transportation of the data through the internetwork, which consists of media and any
intermediary devices.
5. Reception of the data at the network access layer of the destination end device.
6. Decapsulation and reassembly of the data as it passes up the stack in the destination device. You
learn more about the encapsulation and decapsulation processes in the next section.
7. Passing this data to the destination application at the application layer of the destination
end device.
Protocol Data Units and Encapsulation
For application data to travel uncorrupted from one host to another, header (or control data), which
contains control and addressing information, is added to the data as it moves down the layers. The
process of adding control information as it passes through the layered model is called
encapsulation. Decapsulation is the process of removing the extra information and sending only
the original application data up to the destination application layer. Each layer adds control
information at each step. The generic term for data at each level is protocol data unit (PDU), but
a PDU is different at each layer. For example, a PDU at the internetwork layer is different from
the PDU at the transport layer, because internetwork layer data has been added to the transport
layer data. The different names for PDUs at each layer are listed in Table 4.2

Table 4.2: Protocol Data Unit Naming Conventions

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Figure 4.2: the encapsulation process and shows how PDUs are modified

Sending and Receiving Process

The common task of sending an e-mail has many steps in the process. Using the proper terms for
PDUs and the TCP/IP model, the process of sending the e-mail is as follows:
1. An end user, using an e-mail application, creates data. The application layer codes the data as
e-mail and sends the data to the transport layer.
2. The message is segmented or broken into pieces, for transport. The transport layer adds control
information in a header so that it can be assigned to the correct process and all segments put into
proper order at the destination. The segment is sent down to the internetwork layer.
3. The internetwork layer adds IP addressing information in an IP header. The segment is now an
addressed packet that can be handled by routers en route to the destination. The internetwork layer
sends the packet down to the network access layer.
4. The network access layer creates an Ethernet frame with local network physical address
information in the header. This enables the packet to get to the local router and out to the web. The
frame also contains a trailer with error-checking information. After the frame is created, it is
encoded into bits and sent onto the media to the destination.
5. At the destination host, the process is reversed. The frame is decapsulated to a packet, then to a
segment, and then the transport layer puts all segments into the proper order.
6. When all data has arrived and is ready, it is sent to the application layer, and then the original
application data goes to the receiver’s e-mail application. The message is successful.

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Figure 4.3 depicts these steps as an encapsulated message travels down the TCP/IP model
on the source and is the end route to the destination for decapsulation.

Figure 4.3: Steps in the Communication Process

OSI Model
The Open Systems Interconnection (OSI) model, known as the OSI model, provides an abstract
description of the network communication process. Developed by the International Organization
for Standardization (ISO) to provide a road map for nonproprietary protocol development, the
OSI model did not evolve as readily as the TCP/IP model. Many of the OSI protocols are no longer
in use, but knowledge of the model as a reference is a basic expectation for networking
professionals. Many professionals refer to the layers by number rather than name, so it is important
to know both.
The OSI model is just a reference model, so manufacturers have been free to create protocols and
products that combine functions of one or more layers. New protocols might not exactly match the
functions described at each layer but might fit into parts of two different layers.
As designed, the communication process begins at the application layer of the source, and data is
passed down to each lower layer to be encapsulated with supporting data until it reaches the
physical layer and is put out on the media. When the data arrives at the destination, it is passed
back up through layers and decapsulated by each layer. Each layer provides data services to the
layer directly above by preparing information coming down the model or going up. Table 4.3
briefly describes each layer of the OSI model.

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Table 4.3: OSI Model

Comparing the OSI Model to the TCP/IP Model
The TCP/IP model evolved faster than the OSI model and is now more practical in describing
network communication functions. The OSI model describes in detail functions that occur at the
upper layers on the hosts, while networking is largely a function of the lower layers. Figure 4.4
shows the two models side by side for comparison.

Figure 4.4: Comparing the OSI and TCP/IP Models

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When juxtaposed, you can see that the functions of the application, presentation and session layers
of the OSI model are combined into one application layer in the TCP/IP model. The bulk of
networking functions reside at the transport and the network layers, so they remain individual
layers. TCP operates at the transport layer, and IP operates at the Internet layer. The data link and
physical layers of the OSI model combine to make the network access layer of the TCP/IP model.

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