Integrated broadband cable telecommunication networks (CABLE) - Sixth generation transmission systems for interactive cable television services - IP cable modem - Part 1: General - DOCSIS® 4.0

DES/CABLE-0029-1

Integrirana širokopasovna kabelska telekomunikacijska omrežja (CABLE) - Šesta generacija prenosnih sistemov za storitve interaktivne kabelske televizije - IP-kabelski modemi - 1. del: Splošno - DOCSIS® 4.0

General Information

Status
Published
Publication Date
17-Jan-2023
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
17-Jan-2023
Due Date
24-Mar-2023
Completion Date
18-Jan-2023

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Standards Content (Sample)

ETSI ES 203 811-1 V1.1.1 (2022-09)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Sixth generation transmission systems for interactive cable
television services - IP cable modem;
Part 1: General;
DOCSIS 4.0
---------------------- Page: 1 ----------------------
2 ETSI ES 203 811-1 V1.1.1 (2022-09)
Reference
DES/CABLE-0029-1
Keywords
access, broadband, CABLE, DOCSIS,
endorsement, IP, IPCable
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search

The present document may be made available in electronic versions and/or in print. The content of any electronic and/or

print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any

existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx

If you find a security vulnerability in the present document, please report it through our

Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability

The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of

experience to understand and interpret its content in accordance with generally accepted engineering or

other professional standard and applicable regulations.

No recommendation as to products and services or vendors is made or should be implied.

No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law

arranty is made of merchantability or fitness
and/or governmental rule and/or regulation and further, no representation or w

for any particular purpose or against infringement of intellectual property rights.

In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not

limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property

rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages

for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use

of or inability to use the software.
Copyright Notification

No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and

microfilm except as authorized by written permission of ETSI.

The content of the PDF version shall not be modified without the written authorization of ETSI.

The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2022.
All rights reserved.
ETSI
---------------------- Page: 2 ----------------------
3 ETSI ES 203 811-1 V1.1.1 (2022-09)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 5

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

2.1 Normative references ......................................................................................................................................... 6

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 7

3.1 Terms .................................................................................................................................................................. 7

3.2 Symbols .............................................................................................................................................................. 7

3.3 Abbreviations ..................................................................................................................................................... 8

4 Background .............................................................................................................................................. 8

4.1 Broadband Access Network ............................................................................................................................... 8

4.2 DOCSIS Network and System Architecture....................................................................................................... 8

4.3 Service Goals .................................................................................................................................................... 10

4.4 Backward Compatibility ................................................................................................................................... 10

4.5 Reference Architecture ..................................................................................................................................... 10

5 Overview of the multi-part ETSI standard ............................................................................................. 11

5.1 Part 1: General; DOCSIS 4.0 .......................................................................................................................... 11

5.2 Part 2: Physical layer; DOCSIS 4.0 ................................................................................................................ 11

5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 4.0 ..................................................................... 12

5.4 Part 4: Cable modem operations support system interface; DOCSIS 4.0 ....................................................... 12

5.5 Part 5: Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 ........ 12

5.6 Part 6: Security; DOCSIS 4.0 ......................................................................................................................... 12

6 Requirements for compliance ................................................................................................................. 12

History .............................................................................................................................................................. 13

ETSI
---------------------- Page: 3 ----------------------
4 ETSI ES 203 811-1 V1.1.1 (2022-09)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations

pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be

found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to

ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the

ETSI Web server (https://ipr.etsi.org/).

Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,

including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not

referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,

essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP

Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the

oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.

Foreword

This ETSI Standard (ES) has been produced by ETSI Technical Committee Integrated broadband cable

telecommunication networks (CABLE).

The present document is part 1 of a multi-part deliverable covering the sixth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 4.0";
Part 2: "Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]";

Part 3: "MAC and upper layer protocol interfaces; DOCSIS 4.0 [ANSI/SCTE 262-2 2020]";

Part 4: "Cable modem operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-3 2020]";

Part 5: "Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0

[ANSI/SCTE 262-4 2020]";
Part 6: "Security; DOCSIS 4.0 [ANSI/SCTE 262-5 2020]".
ETSI
---------------------- Page: 4 ----------------------
5 ETSI ES 203 811-1 V1.1.1 (2022-09)

This multi-part deliverable is based on the CableLabs DOCSIS 4.0 specifications and endorses the corresponding

ANSI/SCTE standards. Table 1 indicates for the standards in this multi-part deliverable the endorsed ANSI/SCTE

standards and the corresponding CableLabs DOCSIS 4.0 specifications.
Table 1: Mapping of DOCSIS standards and specifications
ETSI standard ANSI/SCTE standard CableLabs DOCSIS specification
ETSI ES 203 811-1 None None
ETSI ES 203 811-2 [1] ANSI/SCTE 262-1 2020 CM-SP-PHYv4.0-I02-200429 [i.1]
ETSI ES 203 811-3 [2] ANSI/SCTE 262-2 2020 CM-SP-MULPIv4.0-I01-190815 [i.2]
ETSI ES 203 811-4 [3] ANSI/SCTE 262-3 2020 CM-SP-CM-OSSIv4.0-I02-200311 [i.3]
ETSI ES 203 811-5 [4] ANSI/SCTE 262-4 2020 CM-SP-CCAP-OSSIv4.0-I02-200311 [i.4]
ETSI ES 203 811-6 [5] ANSI/SCTE 262-5 2020 CM-SP-SECv4.0-I01-190815 [i.5]

DOCSIS is a registered trade mark of Cable Television Laboratories, Inc., and is used in the present document with

permission.
Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI
---------------------- Page: 5 ----------------------
6 ETSI ES 203 811-1 V1.1.1 (2022-09)
1 Scope

The present document is part of a multi-part deliverable that defines the sixth generation of high-speed data-over-cable

systems and is based on a set of specifications commonly referred to as DOCSIS 4.0 specifications.

This generation of the DOCSIS specifications [i.1] to [i.5] builds upon the previous generations of DOCSIS

specifications (commonly referred to as the DOCSIS 3.1 and earlier specifications), leveraging the existing Media

Access Control (MAC) and Physical (PHY) layers. It includes backward compatibility for the existing PHY layers in

order to enable a seamless migration to the new technology. Further, the DOCSIS 4.0 specifications introduce Full

Duplex (FDX) DOCSIS PHY layer technology as an expansion of the OFDM PHY layer introduced in the DOCSIS 3.1

PHY specification to increase upstream capacity without significant loss of downstream capacity versus DOCSIS 3.1.

The DOCSIS 4.0 specification also builds upon DOCSIS 3.1 OFDM and OFDMA technology with an extended

Frequency Division Duplex (FDD) DOCSIS alternative. DOCSIS 4.0 FDD supports legacy high split and also provides

extended splits up to 684 MHz in an operational band plan which is referred to as Ultra-High Split (UHS). DOCSIS 4.0

FDD also introduces expansion of usable downstream spectrum up to 1 794 MHz. Both the FDX and FDD DOCSIS 4.0

alternatives are based on OFDM PHY. The DOCSIS 4.0 specifications also define appropriate updates to the MAC and

management layers to support new PHY functionality.
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference/.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

[1] ETSI ES 203 811-2: "Integrated broadband cable telecommunication networks (CABLE); Sixth

generation transmission systems for interactive cable television services - IP cable modem; Part 2:

Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]".
[2] ETSI ES 203 811-3: "Integ
...

Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Sixth generation transmission systems for interactive cable
television services - IP cable modem;
Part 1: General;
DOCSIS 4.0
---------------------- Page: 1 ----------------------
2 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Reference
DES/CABLE-0029-1
Keywords
access, broadband, CABLE, DOCSIS,
endorsement, IP, IPCable
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search

The present document may be made available in electronic versions and/or in print. The content of any electronic and/or

print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any

existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx

If you find a security vulnerability in the present document, please report it through our

Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability

The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of

experience to understand and interpret its content in accordance with generally accepted engineering or

other professional standard and applicable regulations.

No recommendation as to products and services or vendors is made or should be implied.

No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law

and/or governmental rule and/or regulation and further, no representation or warranty is made of merchantability or fitness

for any particular purpose or against infringement of intellectual property rights.

In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not

limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property

rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages

for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use

of or inability to use the software.
Copyright Notification

No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and

microfilm except as authorized by written permission of ETSI.

The content of the PDF version shall not be modified without the written authorization of ETSI.

The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2022.
All rights reserved.
ETSI
---------------------- Page: 2 ----------------------
3 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 5

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

2.1 Normative references ......................................................................................................................................... 6

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 7

3.1 Definitions .......................................................................................................................................................... 7

3.2 Symbols .............................................................................................................................................................. 7

3.3 Abbreviations ..................................................................................................................................................... 8

4 Background .............................................................................................................................................. 8

4.1 Broadband Access Network ............................................................................................................................... 8

4.2 DOCSIS Network and System Architecture....................................................................................................... 8

4.3 Service Goals .................................................................................................................................................... 10

4.4 Backward Compatibility ................................................................................................................................... 10

4.5 Reference Architecture ..................................................................................................................................... 10

5 Overview of the multi-part ETSI standard ............................................................................................. 11

5.1 Part 1: General; DOCSIS 4.0 .......................................................................................................................... 11

5.2 Part 2: Physical layer; DOCSIS 4.0 ................................................................................................................ 11

5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 4.0 ..................................................................... 12

5.4 Part 4: Cable modem operations support system interface; DOCSIS 4.0 ....................................................... 12

5.5 Part 5: Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 ........ 12

5.6 Part 6: Security; DOCSIS 4.0 ......................................................................................................................... 12

6 Requirements for compliance ................................................................................................................. 12

History .............................................................................................................................................................. 13

ETSI
---------------------- Page: 3 ----------------------
4 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations

pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be

found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to

ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the

ETSI Web server (https://ipr.etsi.org/).

Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,

including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not

referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,

essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP

Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the

oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.

Foreword

This final draft ETSI Standard (ES) has been produced by ETSI Technical Committee Integrated broadband cable

telecommunication networks (CABLE), and is now submitted for the ETSI standards Membership Approval Procedure.

The present document is part 1 of a multi-part deliverable covering the sixth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 4.0";
Part 2: "Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]";

Part 3: "MAC and upper layer protocols interface; DOCSIS 4.0 [ANSI/SCTE 262-2 2020]";

Part 4: "Cable modem operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-3 2020]";

Part 5: "Converged Cable Access Platform (CCAP) operations support system interface; Part 5: Converged

Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-4

2020]";
Part 6: "Security; DOCSIS 4.0 [ANSI/SCTE 262-5 2020]".

This multi-part deliverable is based on the CableLabs DOCSIS 4.0 specifications and endorses the corresponding

ANSI/SCTE standards. Table 1 indicates for the standards in this multi-part deliverable the endorsed ANSI/SCTE

standards and the corresponding CableLabs DOCSIS 4.0 specifications.
ETSI
---------------------- Page: 4 ----------------------
5 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Table 1: Mapping of DOCSIS standards and specifications
ETSI standard ANSI/SCTE standard CableLabs DOCSIS specification
ETSI ES 203 811-1 None None
ETSI ES 203 811-2 [1] ANSI/SCTE 262-1 2020 CM-SP-PHYv4.0-I02-200429 [i.1]
ETSI ES 203 811-3 [2] ANSI/SCTE 262-2 2020 CM-SP-MULPIv4.0-I01-190815 [i.2]
ETSI ES 203 811-4 [3] ANSI/SCTE 262-3 2020 CM-SP-CM-OSSIv4.0-I02-200311 [i.3]
ETSI ES 203 811-5 [4] ANSI/SCTE 262-4 2020 CM-SP-CCAP-OSSIv4.0-I02-200311 [i.4]
ETSI ES 203 811-6 [5] ANSI/SCTE 262-5 2020 CM-SP-SECv4.0-I01-190815 [i.5]

DOCSIS is a registered trade mark of Cable Television Laboratories, Inc., and is used in the present document with

permission.
Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI
---------------------- Page: 5 ----------------------
6 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
1 Scope

The present document is part of a multi-part deliverable that defines the sixth generation of high-speed data-over-cable

systems and is based on a set of specifications commonly referred to as DOCSIS 4.0 specifications.

This generation of the DOCSIS specifications [i.1] to [i.5] builds upon the previous generations of DOCSIS

specifications (commonly referred to as the DOCSIS 3.1 and earlier specifications), leveraging the existing Media

Access Control (MAC) and Physical (PHY) layers. It includes backward compatibility for the existing PHY layers in

order to enable a seamless migration to the new technology. Further, the DOCSIS 4.0 specifications introduce Full

Duplex (FDX) DOCSIS PHY layer technology as an expansion of the OFDM PHY layer introduced in the DOCSIS 3.1

PHY specification to increase upstream capacity without significant loss of downstream capacity versus DOCSIS 3.1.

The DOCSIS 4.0 specification also builds upon DOCSIS 3.1 OFDM and OFDMA technology with an extended

Frequency Division Duplex (FDD) DOCSIS alternative. DOCSIS 4.0 FDD supports legacy high split and also provides

extended splits up to 684 MHz in an operational band plan which is referred to as Ultra-High Split (UHS). DOCSIS 4.0

FDD also introduces expansion of usable downstream spectrum up to 1 794 MHz. Both the FDX and FDD DOCSIS 4.0

alternatives are based on OFDM PHY. The DOCSIS 4.0 specifications also define appropriate updates to the MAC and

management layers to support new PHY functionality.
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference/.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

[1] ETSI ES 203 811-2: "Integrated broadband cable telecommunication networks (CABLE); Sixth

generation transmission systems for interactive cable television services - IP cable modem; Part 2:

...

SLOVENSKI STANDARD
SIST ES 203 811-1 V1.1.1:2023
01-marec-2023
Integrirana širokopasovna kabelska telekomunikacijska omrežja (CABLE) - Šesta
generacija prenosnih sistemov za storitve interaktivne kabelske televizije - IP-
kabelski modemi - 1. del: Splošno - DOCSIS® 4.0
Integrated broadband cable telecommunication networks (CABLE) - Sixth generation

transmission systems for interactive cable television services - IP cable modem - Part 1:

General - DOCSIS® 4.0
Ta slovenski standard je istoveten z: ETSI ES 203 811-1 V1.1.1 (2022-09)
ICS:
33.060.40 Kabelski razdelilni sistemi Cabled distribution systems
SIST ES 203 811-1 V1.1.1:2023 en

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST ES 203 811-1 V1.1.1:2023
---------------------- Page: 2 ----------------------
SIST ES 203 811-1 V1.1.1:2023
ETSI ES 203 811-1 V1.1.1 (2022-09)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Sixth generation transmission systems for interactive cable
television services - IP cable modem;
Part 1: General;
DOCSIS 4.0
---------------------- Page: 3 ----------------------
SIST ES 203 811-1 V1.1.1:2023
2 ETSI ES 203 811-1 V1.1.1 (2022-09)
Reference
DES/CABLE-0029-1
Keywords
access, broadband, CABLE, DOCSIS,
endorsement, IP, IPCable
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search

The present document may be made available in electronic versions and/or in print. The content of any electronic and/or

print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any

existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx

If you find a security vulnerability in the present document, please report it through our

Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability

The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of

experience to understand and interpret its content in accordance with generally accepted engineering or

other professional standard and applicable regulations.

No recommendation as to products and services or vendors is made or should be implied.

No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law

arranty is made of merchantability or fitness
and/or governmental rule and/or regulation and further, no representation or w

for any particular purpose or against infringement of intellectual property rights.

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All rights reserved.
ETSI
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SIST ES 203 811-1 V1.1.1:2023
3 ETSI ES 203 811-1 V1.1.1 (2022-09)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 5

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

2.1 Normative references ......................................................................................................................................... 6

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 7

3.1 Terms .................................................................................................................................................................. 7

3.2 Symbols .............................................................................................................................................................. 7

3.3 Abbreviations ..................................................................................................................................................... 8

4 Background .............................................................................................................................................. 8

4.1 Broadband Access Network ............................................................................................................................... 8

4.2 DOCSIS Network and System Architecture....................................................................................................... 8

4.3 Service Goals .................................................................................................................................................... 10

4.4 Backward Compatibility ................................................................................................................................... 10

4.5 Reference Architecture ..................................................................................................................................... 10

5 Overview of the multi-part ETSI standard ............................................................................................. 11

5.1 Part 1: General; DOCSIS 4.0 .......................................................................................................................... 11

5.2 Part 2: Physical layer; DOCSIS 4.0 ................................................................................................................ 11

5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 4.0 ..................................................................... 12

5.4 Part 4: Cable modem operations support system interface; DOCSIS 4.0 ....................................................... 12

5.5 Part 5: Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 ........ 12

5.6 Part 6: Security; DOCSIS 4.0 ......................................................................................................................... 12

6 Requirements for compliance ................................................................................................................. 12

History .............................................................................................................................................................. 13

ETSI
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SIST ES 203 811-1 V1.1.1:2023
4 ETSI ES 203 811-1 V1.1.1 (2022-09)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations

pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be

found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to

ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the

ETSI Web server (https://ipr.etsi.org/).

Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,

including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not

referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,

essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP

Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the

oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.

Foreword

This ETSI Standard (ES) has been produced by ETSI Technical Committee Integrated broadband cable

telecommunication networks (CABLE).

The present document is part 1 of a multi-part deliverable covering the sixth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 4.0";
Part 2: "Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]";

Part 3: "MAC and upper layer protocol interfaces; DOCSIS 4.0 [ANSI/SCTE 262-2 2020]";

Part 4: "Cable modem operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-3 2020]";

Part 5: "Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0

[ANSI/SCTE 262-4 2020]";
Part 6: "Security; DOCSIS 4.0 [ANSI/SCTE 262-5 2020]".
ETSI
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SIST ES 203 811-1 V1.1.1:2023
5 ETSI ES 203 811-1 V1.1.1 (2022-09)

This multi-part deliverable is based on the CableLabs DOCSIS 4.0 specifications and endorses the corresponding

ANSI/SCTE standards. Table 1 indicates for the standards in this multi-part deliverable the endorsed ANSI/SCTE

standards and the corresponding CableLabs DOCSIS 4.0 specifications.
Table 1: Mapping of DOCSIS standards and specifications
ETSI standard ANSI/SCTE standard CableLabs DOCSIS specification
ETSI ES 203 811-1 None None
ETSI ES 203 811-2 [1] ANSI/SCTE 262-1 2020 CM-SP-PHYv4.0-I02-200429 [i.1]
ETSI ES 203 811-3 [2] ANSI/SCTE 262-2 2020 CM-SP-MULPIv4.0-I01-190815 [i.2]
ETSI ES 203 811-4 [3] ANSI/SCTE 262-3 2020 CM-SP-CM-OSSIv4.0-I02-200311 [i.3]
ETSI ES 203 811-5 [4] ANSI/SCTE 262-4 2020 CM-SP-CCAP-OSSIv4.0-I02-200311 [i.4]
ETSI ES 203 811-6 [5] ANSI/SCTE 262-5 2020 CM-SP-SECv4.0-I01-190815 [i.5]

DOCSIS is a registered trade mark of Cable Television Laboratories, Inc., and is used in the present document with

permission.
Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI
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6 ETSI ES 203 811-1 V1.1.1 (2022-09)
1 Scope

The present document is part of a multi-part deliverable that defines the sixth generation of high-speed data-over-cable

systems and is based on a set of specifications commonly referred to as DOCSIS 4.0 specifications.

This generation of the DOCSIS specifications [i.1] to [i.5] builds upon the previous generations of DOCSIS

specifications (commonly referred to as the DOCSIS 3.1 and earlier specifications), leveraging the existing Media

Access Control (MAC) and Physical (PHY) layers. It includes backward compatibility for the existing PHY layers in

order to enable a seamless migration to the new technology. Further, the DOCSIS 4.0 specifications introduce Full

Duplex (FDX) DOCSIS PHY layer technology as an expansion of the OFDM PHY layer introduced in the DOCSIS 3.1

PHY specification to increase upstream capacity without significant loss of downstream capacity versus DOCSIS 3.1.

The DOCSIS 4.0 specification also builds upon DOCSIS 3.1 OFDM and OFDMA technology with an extended

Frequency Division Duplex (FDD) DOCSIS alternative. DOCSIS 4.0 FDD supports legacy high split and also provides

extended splits up to 684 MHz in an operational band plan which is referred to as Ultra-High Split (UHS). DOCSIS 4.0

FDD also introduces expansion of usable downstream spectrum up to 1 794 MHz. Both the FDX and FDD DOCSIS 4.0

alternatives are based on OFDM PHY. The DOCSIS 4.0 specifications also define appropriate updates to the MAC and

management layers to support new PHY functionality.
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference/.

NOTE: While any hyperlinks included in this clause were valid at the time of public

...

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