`
`
`Data-Over-Cable Interface Specifications
`
`
`Radio Frequency Interface Specification
`
`SP-RFII01-970326
`
`
`INTERIM
`SPECIFICATION
`
`
`
`Notice
`This document was prepared by Arthur D. Little, Inc.,
`under contract to MCNS Holdings, L.P. Neither Arthur D.
`Little, Inc. nor MCNS Holdings, L.P. is responsible for
`any liability of any nature whatsoever resulting from or
`arising out of use or reliance upon this specification by
`any party. This document is furnished on an “AS IS” ba-
`sis and neither Arthur D. Little, Inc. nor MCNS Holdings,
`L.P., provides any representation or warranty, express
`or implied, regarding its accuracy, completeness, or fit-
`ness for a particular purpose. Distribution of this docu-
`ment is restricted pursuant to the terms of separate
`agreements negotiated with each of the parties to whom
`this document has been furnished.
`
`
`
` Copyright 1997 MCNS Holdings, L.P.
`All rights reserved.
`Document Status Sheet
`cument Control Number: SP-RFII01-970321
`
`Reference: Radio Frequency Interface Specification
`
`Revision History: D01 2/24/97 Released for MCNS/author com-
`ments
`D01 3/10/97 Revisions for approval
`D01 3/21/97 Released for publication
`D01 3/26/97 Re-released for publication
`
`Date: March 26, 1997
`
`Status Code: Work in
`
`Draft
`
`Interim
`
`Released
`
`Petitioner Apple Inc. - Exhibit 1048, p. i
`
`

`

`SP-RFII01-970326
`
`
`
`Process
`
`Distribution Restrictions: Arthur D.
`Little only
`
`
`
`
`Data Over Cable Interface Specification
`
`ADL/MCN
`S/
`Authors
`
`ADL/MCNS/
`Vendor
`
`Public
`
`Key to Document Status Codes
`Work in Process An incomplete document, designed to guide discussion and
`generate feedback, that may include several alternative re-
`quirements for consideration.
`
`Draft
`
`Interim
`
`A document in specification format considered largely complete,
`but lacking review by MCNS and vendors. Drafts are suscepti-
`ble to substantial change during the review process.
`
`A document which has undergone rigorous MCNS and vendor
`review, suitable for use by vendors to design in conformance
`with, and suitable for field testing.
`
`Released
`
`A stable document, reviewed, tested and validated, suitable to
`enable cross-vendor interoperability.
`Contents
`EXECUTIVE SUMMARY ............................................................................................. xi
`
`1. SCOPE AND PURPOSE...........................................................................................1
`1.1
`SCOPE .......................................................................................................................1
`REQUIREMENTS.........................................................................................................1
`1.2
`1.3
`BACKGROUND...........................................................................................................1
`1.3.1
`Service Goals ...................................................................................................1
`1.3.2
`Reference Architecture ....................................................................................2
`1.3.3
`Server Location................................................................................................5
`2. FUNCTIONAL ASSUMPTIONS.............................................................................7
`BROADBAND ACCESS NETWORK ..............................................................................7
`2.1
`2.2
`EQUIPMENT ASSUMPTIONS .......................................................................................7
`2.2.1
`Frequency Plan................................................................................................7
`2.2.2
`Compatibility with Other Services...................................................................7
`2.2.3
`Fault Isolation Impact on Other Users............................................................8
`2.3
`RF CHANNEL ASSUMPTIONS.....................................................................................8
`2.3.1
`Transmission Downstream ..............................................................................8
`2.3.2
`Transmission Upstream ...................................................................................9
`2.4
`TRANSMISSION LEVELS...........................................................................................10
`2.5
`FREQUENCY INVERSION..........................................................................................10
`3. COMMUNICATION PROTOCOLS.....................................................................11
`
`ii
`
`
`
`Petitioner Apple Inc. - Exhibit 1048, p. ii
`
`

`

`Radio Frequency Interface Specification
`
`
`
`SP-RFII01-970326
`
`PROTOCOL STACK...................................................................................................11
`3.1
`3.1.1
`CM and CMTS as Hosts.................................................................................11
`3.1.2
`Data Forwarding Through the CM and CMTS .............................................12
`3.2
`THE MAC FORWARDER..........................................................................................15
`3.2.1
`Example Rules for Data-Link-Layer Forwarding .........................................16
`NETWORK LAYER ...................................................................................................16
`3.3
`3.4
`ABOVE THE NETWORK LAYER................................................................................16
`3.5
`DATA LINK LAYER .................................................................................................17
`3.5.1
`LLC Sublayer .................................................................................................17
`3.5.2
`Link-Layer Security Sublayer ........................................................................17
`3.5.3
`MAC Sublayer................................................................................................17
`3.6
`PHYSICAL LAYER....................................................................................................18
`3.6.1
`Downstream Transmission Convergence Sublayer .......................................18
`3.6.2
`PMD Sublayer................................................................................................18
`4. PHYSICAL MEDIA DEPENDENT SUBLAYER SPECIFICATION...............21
`SCOPE .....................................................................................................................21
`4.1
`4.2
`UPSTREAM ..............................................................................................................21
`4.2.1
`Overview ........................................................................................................21
`4.2.2
`Modulation Formats ......................................................................................22
`4.2.3
`FEC Encode...................................................................................................25
`4.2.4
`Scrambler (Randomizer)................................................................................25
`4.2.5
`Preamble Prepend .........................................................................................26
`4.2.6
`Burst Profiles .................................................................................................26
`4.2.7
`Burst Timing Convention...............................................................................29
`4.2.8
`Transmit Power Requirements.......................................................................30
`4.2.9
`Fidelity Requirements....................................................................................31
`4.2.10
`Frame Structure.............................................................................................32
`4.2.11
`Signal Processing Requirements ...................................................................34
`4.2.12 Upstream Demodulator Input Power Characteristics...................................35
`4.2.13 Upstream Electrical Output from the CM .....................................................36
`DOWNSTREAM ........................................................................................................36
`4.3
`4.3.1
`Downstream Protocol ....................................................................................36
`4.3.2
`Scalable Interleaving to Support Low Latency..............................................36
`4.3.3
`Downstream Frequency Plan ........................................................................37
`4.3.4
`CMTS Output Electrical ................................................................................37
`4.3.5
`Downstream Electrical Input to CM..............................................................38
`4.3.6
`CM BER Performance ...................................................................................38
`5. DOWNSTREAM TRANSMISSION CONVERGENCE SUBLAYER ..............41
`INTRODUCTION .......................................................................................................41
`5.1
`5.2 MPEG PACKET FORMAT ........................................................................................41
`5.3 MPEG HEADER FOR MCNS DATA-OVER-CABLE..................................................42
`5.4 MPEG PAYLOAD FOR MCNS DATA-OVER-CABLE................................................42
`INTERACTION WITH THE MAC SUBLAYER..............................................................43
`5.5
`5.6
`INTERACTION WITH THE PHYSICAL LAYER .............................................................44
`
`
`
`iii
`
`Petitioner Apple Inc. - Exhibit 1048, p. iii
`
`

`

`SP-RFII01-970326
`
`
`
`Data Over Cable Interface Specification
`
`5.7 MPEG HEADER SYNCHRONIZATION AND RECOVERY.............................................44
`6. MEDIA ACCESS CONTROL SPECIFICATION ...............................................44
`INTRODUCTION .......................................................................................................44
`6.1
`6.1.1
`Overview ........................................................................................................44
`6.1.2
`Definitions......................................................................................................45
`6.1.3
`Future Use .....................................................................................................46
`6.2 MAC FRAME FORMATS..........................................................................................46
`6.2.1
`Generic MAC Frame Format.........................................................................46
`6.2.2
`Packet-Based MAC Frames...........................................................................50
`6.2.3
`ATM Cell MAC Frames .................................................................................51
`6.2.4
`Reserved PDU MAC Frames.........................................................................51
`6.2.5
`MAC-Specific Headers ..................................................................................52
`6.2.6
`Extended MAC Headers.................................................................................56
`6.2.7
`Error-Handling..............................................................................................58
`6.3 MAC MANAGEMENT MESSAGES............................................................................58
`6.3.1
`Message Format ............................................................................................58
`6.3.2
`MAC Management Messages.........................................................................60
`UPSTREAM BANDWIDTH ALLOCATION ...................................................................76
`6.4
`6.4.1
`The Allocation Map MAC Management Message .........................................77
`6.4.2
`Map Transmission and Timing ......................................................................80
`6.4.3
`Protocol Example ..........................................................................................81
`6.4.4
`Contention Resolution....................................................................................82
`6.4.5
`CM Behavior..................................................................................................83
`6.4.6
`Support for Multiple Channels ......................................................................83
`6.4.7
`Classes of Service ..........................................................................................84
`TIMING AND SYNCHRONIZATION ............................................................................85
`6.5
`6.5.1
`Global Timing Reference...............................................................................85
`6.5.2
`CM Channel Acquisition................................................................................86
`6.5.3
`Ranging..........................................................................................................86
`6.5.4
`Timing Units and Relationships.....................................................................87
`DATA LINK ENCRYPTION SUPPORT.........................................................................88
`6.6
`6.6.1
`MAC Messages ..............................................................................................88
`6.6.2
`Framing..........................................................................................................88
`
`
`7. CABLE MODEM - CMTS INTERACTION........................................................91
`7.1
`CMTS INITIALIZATION...........................................................................................91
`CABLE MODEM INITIALIZATION .............................................................................91
`7.2
`7.2.1
`Scanning and Synchronization to Downstream.............................................93
`7.2.2
`Obtain Upstream Parameters........................................................................93
`7.2.3
`Message Flows During Scanning and Upstream Parameter Acquisition .....95
`7.2.4
`Ranging and Automatic Adjustments.............................................................96
`7.2.5
`Establish IP Connectivity.............................................................................101
`7.2.6
`Establish Time of Day..................................................................................101
`7.2.7
`Establish Security Association.....................................................................102
`
`iv
`
`
`
`Petitioner Apple Inc. - Exhibit 1048, p. iv
`
`

`

`Radio Frequency Interface Specification
`
`
`
`SP-RFII01-970326
`
`Transfer Operational Parameters ...............................................................102
`7.2.8
`Registration..................................................................................................102
`7.2.9
`Service IDs During CM Initialization..........................................................103
`7.2.10
`7.2.11 Multiple-Channel Support ...........................................................................104
`7.2.12
`Remote RF Signal Level Adjustment............................................................104
`7.2.13 Changing Upstream Burst Parameters........................................................106
`7.2.14 Changing Upstream Channels.....................................................................106
`7.2.15
`Fault Detection and Recovery .....................................................................108
`7.2.16
`Prevention of Unauthorized Transmissions.................................................109
`8. SUPPORTING FUTURE NEW CABLE MODEM CAPABILITIES..............111
`SETTING UP COMMUNICATIONS ON AN ENHANCED BASIS....................................111
`8.1
`8.1.1
`Upstream Enhanced / Downstream Standard .............................................111
`8.1.2
`Downstream Enhanced / Upstream Enhanced or Standard........................111
`DOWNLOADING CABLE MODEM OPERATING SOFTWARE......................................111
`8.2
`9. PROVISION FOR OTHER FUTURE CAPABILITIES...................................113
`9.1
`ANTICIPATED PHYSICAL-LAYER CHANGES...........................................................113
`9.1.1
`Adding Upstream Channel and Burst Configuration Settings.....................113
`9.1.2
`Downstream Channel Improvements...........................................................114
`9.2
`NEW NETWORK SERVICE REQUIREMENTS ............................................................114
`9.2.1
`Multicast Service IDs...................................................................................114
`9.2.2
`RSVP Support for Upstream Traffic ............................................................115
`PID FILTERING CAPABILITY .................................................................................116
`9.3
`APPENDIX A - WELL-KNOWN ADDRESSES........................................................117
`A.1 MAC ADDRESSES.....................................................................................................117
`A.2 MAC SERVICE IDS ...................................................................................................117
`A.3 MPEG PID AND TABLE_ID........................................................................................117
`APPENDIX B - PARAMETERS AND CONSTANTS...............................................119
`
`APPENDIX C - CM CONFIGURATION INTERFACE SPECIFICATION..........121
`C.1 DHCP FIELDS USED BY THE CM ...............................................................................121
`C.2 CM BINARY CONFIGURATION FILE FORMAT .............................................................121
`C.3 CONFIGURATION FILE SETTINGS ................................................................................122
`C.4 CONFIGURATION FILE CREATION...............................................................................123
`C.5 CM MIC CALCULATION............................................................................................124
`C.6 CMTS MIC CALCULATION .......................................................................................125
`C.6.1 Digest Calculation .............................................................................................125
`C.7 REGISTRATION CONFIGURATION SETTINGS................................................................125
`C.8 ENCODINGS ................................................................................................................126
`C.8.1 End-of-Data Marker...........................................................................................126
`C.8.2 Pad Configuration Setting..................................................................................126
`C.8.3 Downstream Frequency Configuration Setting .................................................126
`C.8.4 Upstream Channel ID Configuration Setting ....................................................127
`C.8.5 Network Access Control Object .........................................................................127
`
`
`
`v
`
`Petitioner Apple Inc. - Exhibit 1048, p. v
`
`

`

`SP-RFII01-970326
`
`
`
`Data Over Cable Interface Specification
`
`C.8.6 Class of Service Configuration Setting ..............................................................127
`C.8.6.1 Internal Class of Service Encodings .......................................................................................................127
`C.8.7 Modem Capabilities Configuration Setting .......................................................129
`C.8.7.1 Concatenation Support....................................................................................129
`C.8.8 CM Message Integrity Check (MIC) Configuration Setting ..............................129
`C.8.9 CMTS Message Integrity Check (MIC) Configuration Setting..........................129
`C.8.10 Vendor ID Configuration Setting.....................................................................129
`C.8.11 Software Upgrade Filename ............................................................................129
`C.8.12 SNMP Write-Access Control............................................................................130
`C.8.13 SNMP MIB Object............................................................................................130
`C.8.14 Vendor-Specific Information............................................................................131
`C.8.15 Modem IP Address ...........................................................................................131
`C.8.16 Service(s) Not Available Response...................................................................131
`C.8.17 CPE Ethernet MAC Address ............................................................................132
`APPENDIX D - MAC SUBLAYER SERVICE DEFINITION .................................135
`D.1 SERVICE AT THE CM..................................................................................................135
`D.2 MAC_CM_802_DATA.REQUEST.............................................................................135
`D.3 MAC_CM_DIX_DATA.REQUEST ............................................................................135
`D.4 MAC_CM_ATM_DATA.REQUEST ..........................................................................136
`D.5 MAC_CM_802_DATA.INDICATION.........................................................................136
`D.6 MAC_CM_DIX_DATA.INDICATION........................................................................136
`D.7 MAC_CM_ATM_DATA.INDICATION......................................................................137
`D.8 MAC_CM_DATA.ACKNOWLEDGMENT....................................................................137
`APPENDIX E -- EXAMPLE BURST PROFILES .....................................................138
`E.1 INTRODUCTION...........................................................................................................138
`E.2 EXAMPLE PREAMBLE SEQUENCE................................................................................138
`E.3 EXAMPLE BURST PROFILES ........................................................................................139
`APPENDIX F - UPSTREAM MODULATION RATES............................................152
`F.1 INTRODUCTION ..........................................................................................................152
`F.2 SOURCES OF NARROWBAND INGRESS ........................................................................152
`F.2.1 HF Propagation.................................................................................................152
`F.2.2 Users of the HF Radio Spectrum.......................................................................152
`F.2.3 Broadcasting .....................................................................................................153
`F.2.4 Amateur and CB ................................................................................................153
`F.2.5 Other Services ...................................................................................................154
`F.3 FITTING DATA CARRIERS WITHIN THE INGRESS GAPS...............................................154
`APPENDIX G - EXAMPLE: MULTIPLE UPSTREAM CHANNELS ...................159
`
`APPENDIX H - REFERENCES...................................................................................161
`
`APPENDIX I - GLOSSARY.........................................................................................165
`
`
`vi
`
`
`
`Petitioner Apple Inc. - Exhibit 1048, p. vi
`
`

`

`Radio Frequency Interface Specification
`
`
`
`SP-RFII01-970326
`
`List of Figures and Tables
`FIGURE 1-1. TRANSPARENT IP TRAFFIC THROUGH THE DATA-OVER-CABLE SYSTEM .........2
`FIGURE 1-2. DATA-OVER-CABLE REFERENCE ARCHITECTURE.............................................3
`FIGURE 1-3. SERVER LOCATION NOT AT CMTS ..................................................................6
`TABLE 2-1. ASSUMED DOWNSTREAM RF CHANNEL TRANSMISSION CHARACTERISTICS......8
`TABLE 2-2. ASSUMED UPSTREAM RF CHANNEL TRANSMISSION CHARACTERISTICS............9
`FIGURE 3-1. PROTOCOL STACK ON THE RF INTERFACE ......................................................11
`FIGURE 3-2. DATA FORWARDING THROUGH THE CM AND CMTS .....................................12
`FIGURE 3-3. EXAMPLE CONDITION FOR NETWORK LOOPS..................................................13
`FIGURE 3-4. MAC FORWARDER .........................................................................................15
`TABLE 4-1. I/Q MAPPING ...................................................................................................22
`FIGURE 4-1. QPSK SYMBOL MAPPING...............................................................................23
`FIGURE 4-2. 16QAM GRAY-CODED SYMBOL MAPPING.....................................................23
`TABLE 4-2. DERIVATION OF CURRENTLY TRANSMITTED SYMBOL QUADRANT.................24
`TABLE 4-3. MAXIMUM CHANNEL WIDTH ............................................................................24
`FIGURE 4-4. SCRAMBLER STRUCTURE ................................................................................26
`TABLE 4-4. CHANNEL BURST PARAMETERS .......................................................................27
`TABLE 4-5. USER UNIQUE BURST PARAMETERS.................................................................27
`FIGURE 4-5. NOMINAL BURST TIMING................................................................................29
`FIGURE 4-6. WORST-CASE BURST TIMING .........................................................................30
`TABLE 4-6. SPURIOUS EMISSIONS.....................................................................................31
`FIGURE 4-7. EXAMPLE FRAME STRUCTURES WITH FLEXIBLE BURST LENGTH MODE.........33
`FIGURE 4-8. SIGNAL-PROCESSING SEQUENCE.....................................................................34
`FIGURE 4-9. TDMA UPSTREAM TRANSMISSION PROCESSING............................................35
`TABLE 4-7. MAXIMUM RANGE OF COMMANDED NOMINAL RECEIVE POWER IN EACH
`CARRIER.....................................................................................................................35
`TABLE 4-8. ELECTRICAL OUTPUT FROM CM.....................................................................36
`TABLE 4-9. INTERLEAVER CHARACTERISTICS ...................................................................36
`TABLE 4-10. CMTS OUTPUT.............................................................................................37
`TABLE 4-11. ELECTRICAL INPUT TO CM............................................................................38
`FIGURE 5-1. EXAMPLE OF INTERLEAVING MPEG PACKETS IN DOWNSTREAM ...................41
`FIGURE 5-2. FORMAT OF AN MPEG PACKET......................................................................41
`TABLE 5-1. MPEG HEADER FORMAT FOR MCNS DATA-OVER-CABLE PACKETS .............42
`FIGURE 5-3. PACKET FORMAT WHERE A MAC FRAME IMMEDIATELY FOLLOWS THE
`POINTER_FIELD ...........................................................................................................43
`FIGURE 5-4. PACKET FORMAT WITH MAC FRAME PRECEDED BY STUFFING BYTES ..........43
`FIGURE 5-5. PACKET FORMAT SHOWING MULTIPLE MAC FRAMES IN A SINGLE PACKET..43
`FIGURE 5-6. PACKET FORMAT WHERE A MAC FRAME SPANS MULTIPLE PACKETS...........44
`FIGURE 6-1. GENERIC MAC FRAME FORMAT.....................................................................46
`FIGURE 6-2. UPSTREAM MAC/PMD CONVERGENCE .........................................................47
`FIGURE 6-3. MAC HEADER FORMAT .................................................................................48
`TABLE 6-1. GENERIC MAC HEADER FORMAT....................................................................48
`TABLE 6-2. FC FIELD FORMAT ..........................................................................................49
`FIGURE 6-4. ETHERNET/802.3 PACKET PDU FORMAT .......................................................50
`TABLE 6-3. PACKET PDU FORMAT ...................................................................................50
`FIGURE 6-5. ATM CELL MAC FRAME FORMAT ................................................................51
`
` vii
`
`Petitioner Apple Inc. - Exhibit 1048, p. vii
`
`

`

`SP-RFII01-970326
`
`
`
`Data Over Cable Interface Specification
`
`TABLE 6-4. ATM CELL MAC FRAME FORMAT..................................................................51
`FIGURE 6-6. RESERVED PDU FORMAT ...............................................................................52
`TABLE 6-5. RESERVED PDU FORMAT...............................................................................52
`FIGURE 6-7. TIMING MAC HEADER ...................................................................................53
`TABLE 6-6. TIMING MAC HEADER FORMAT......................................................................53
`FIGURE 6-8. MANAGEMENT MAC HEADER........................................................................53
`TABLE 6-7. MANAGEMENT MAC HEADER FORMAT ..........................................................54
`TABLE 6-8. REQUEST MAC HEADER (REQ) FORMAT .....................................................55
`FIGURE 6-10. CONCATENATION OF MULTIPLE MAC FRAMES ............................................55
`FIGURE 6-11. CONCATENATION MAC HEADER FORMAT ...................................................56
`TABLE 6-9. CONCATENATED MAC FRAME FORMAT.........................................................56
`FIGURE 6-12. EXTENDED MAC FORMAT............................................................................57
`TABLE 6-10. EXTENDED HEADER FORMAT........................................................................57
`TABLE 6-11. EH ELEMENT FORMAT..................................................................................57
`TABLE 6-12. EH ELEMENT FORMAT..................................................................................58
`FIGURE 6-13. MAC HEADER AND MAC MANAGEMENT HEADER FIELDS..........................59
`FIGURE 6-14. FORMAT OF PACKET PDU FOLLOWING THE TIMING HEADER.......................60
`FIGURE 6-15. UPSTREAM CHANNEL DESCRIPTOR ...............................................................61
`TABLE 6-13. CHANNEL TLV PARAMETERS........................................................................62
`FIGURE 6-16. TOP-LEVEL ENCODING FOR A BURST DESCRIPTOR .......................................62
`TABLE 6-14. UPSTREAM PHYSICAL-LAYER BURST ATTRIBUTES ......................................63
`FIGURE 6-17. EXAMPLE OF UCD ENCODED TLV DATA.....................................................64
`FIGURE 6-18. MAP FORMAT ..............................................................................................64
`FIGURE 6-19. MAP INFORMATION ELEMENT STRUCTURE..................................................65
`TABLE 6-15. ALLOCATION MAP INFORMATION ELEMENTS (IE) .......................................66
`FIGURE 6-20. PACKET PDU FOLLOWING THE TIMING HEADER..........................................66
`FIGURE 6-21. RANGING RESPONSE .....................................................................................67
`TABLE 6-16. RANGING RESPONSE MESSAGE ENCODINGS...............................................68
`FIGURE 6-22. GENERALIZED DECISION FEEDBACK EQUALIZATION COEFFICIENTS.............69
`FIGURE 6-23. CMTS DEMODULATOR EQUALIZER TAP LOCATION DEFINITION .................70
`FIGURE 6-25. REGISTRATION REQUEST...............................................................................71
`FIGURE 6-26. EXAMPLE OF REGISTRATION REQUEST TYPE VALUE ENCODINGS.................72
`FIGURE 6-27. REGISTRATION RESPONSE FORMAT...............................................................73
`FIGURE 6-28. EXAMPLE OF REGISTRATION RESPONSE ENCODING ......................................74
`TABLE 6-17. SAMPLE SERVICE CLASS DATA ENCODING ..................................................75
`FIGURE 6-29. UPSTREAM CHANNEL CHANGE REQUEST .....................................................75
`FIGURE 6-30. UPSTREAM CHANNEL CHANGE RESPONSE....................................................76
`FIGURE 6-31. ALLOCATION MAP ........................................................................................77
`FIGURE 6-32. PROTOCOL EXAMPLE ....................................................................................81
`TABLE 6-18. EXAMPLE RELATING MINI-SLOTS TO TIME TICKS..........................................87
`FIGURE 6-33. SECURITY FRAMING......................................................................................88
`FIGURE 6-34. EXAMPLE OF SECURITY FRAMING AT THE CM...............................