Integrated broadband cable telecommunication networks (CABLE) - Fourth generation transmission systems for interactive cable television services - IP cable modems - Part 1: General - DOCSIS® 3.1

The present document is part of a series of specifications that defines the fourth generation of high-speed data-overcable
systems, commonly referred to as the DOCSIS 3.1 specifications. The standard was developed for the benefit of
the cable industry, and includes contributions by operators and vendors from North and South America, Europe and
Asia.
This generation of the DOCSIS specifications builds upon the previous generations of DOCSIS specifications
(commonly referred to as the DOCSIS 3.0 and earlier specifications), leveraging the existing Media Access Control
(MAC) and Physical (PHY) layers, but with the addition of a new PHY layer designed to improve spectral efficiency
and provide better scaling for larger bandwidths (and appropriate updates to the MAC and management layers to
support the new PHY layer). It includes backward compatibility for the existing PHY layers in order to enable a
seamless migration to the new technology.

Integrirana širokopasovna kabelska telekomunikacijska omrežja (CABLE) - Četrta generacija prenosnih sistemov za storitve interaktivne kabelske televizije - IP-kabelski modemi - 1. del: Splošno - DOCSIS® 3.1

General Information

Status
Published
Publication Date
08-Mar-2020
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
04-Mar-2020
Due Date
09-May-2020
Completion Date
09-Mar-2020

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ETSI ES 203 311-1 V1.1.1 (2019-05)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Fourth generation transmission systems for interactive
cable television services - IP cable modems;
Part 1: General;
DOCSIS 3.1
---------------------- Page: 1 ----------------------
2 ETSI ES 203 311-1 V1.1.1 (2019-05)
Reference
RES/CABLE-00025-1
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 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88
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
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 2019.
All rights reserved.
TM TM TM

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

TM TM

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.
ETSI
---------------------- Page: 2 ----------------------
3 ETSI ES 203 311-1 V1.1.1 (2019-05)
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 ..................................................................................................................................................... 7

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

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

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

4.3 Service Goals ...................................................................................................................................................... 9

4.4 Backward Compatibility ..................................................................................................................................... 9

4.5 Reference Architecture ....................................................................................................................................... 9

5 Overview of the multi-part ETSI Standard ............................................................................................ 10

5.1 Part 1: General; DOCSIS 3.1 .......................................................................................................................... 10

5.2 Part 2: Physical layer; DOCSIS 3.1 ................................................................................................................ 10

5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 3.1 ..................................................................... 11

5.4 Part 4: Cable modem operations support system interface; DOCSIS 3.1 ....................................................... 11

5.5 Part 5: Converged cable access platform operations support system interface; DOCSIS 3.1 ........................ 11

5.6 Part 6: Security; DOCSIS 3.1 ......................................................................................................................... 11

6 Requirements for Compliance ................................................................................................................ 11

Annex A (informative): Change History .............................................................................................. 12

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

ETSI
---------------------- Page: 3 ----------------------
4 ETSI ES 203 311-1 V1.1.1 (2019-05)
Intellectual Property Rights
Essential patents

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

pertaining to these essential IPRs, if any, is 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 IPR Policy, no investigation, 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.

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 fourth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 3.1";
Part 2: "Physical layer; DOCSIS 3.1 [ANSI/SCTE 220-1 2016]";

Part 3: "MAC and upper layer protocols interface; DOCSIS 3.1 [ANSI/SCTE 220-2 2016]";

Part 4: "Cable modem operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-3 2016]";

Part 5: "Converged cable access platform operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-4

2016]";
Part 6: "Security; DOCSIS 3.1 [ANSI/SCTE 220-5 2016]".

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

ANSI/SCTE Standards standardized in the United States by SCTE. Table 1 indicates for the specifications in this

multi-part deliverable the endorsed ANSI/SCTE Standard and the corresponding CableLabs DOCSIS specifications.

Table 1
ETSI Standards ANSI/SCTE Standards CableLabs DOCSIS Specifications
ETSI ES 203 311-1 None None
ETSI ES 203 311-2 [1] ANSI/SCTE 220-1 2016 CM-SP-PHYv3.1-I08-151210
ETSI ES 203 311-3 [2] ANSI/SCTE 220-2 2016 CM-SP-MULPIv3.1-I08-151210
ETSI ES 203 311-4 [3] ANSI/SCTE 220-3 2016 CM-SP-CM-OSSIv3.1-I06-151210
ETSI ES 203 311-5 [4] ANSI/SCTE 220-4 2016 CM-SP-CCAP-OSSIv3.1-I06-151210
ETSI ES 203 311-6 [5] ANSI/SCTE 220-5 2016 CM-SP-SECv3.1-I05-151210

NOTE: DOCSIS is a registered Trade Mark of Cable Television Laboratories, Inc., and is used in the present

document with permission.
ETSI
---------------------- Page: 4 ----------------------
5 ETSI ES 203 311-1 V1.1.1 (2019-05)
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 203 311-1 V1.1.1 (2019-05)
1 Scope

The present document is part of a series of specifications that defines the fourth generation of high-speed data-over-

cable systems, commonly referred to as the DOCSIS 3.1 specifications. The standard was developed for the benefit of

the cable industry, and includes contributions by operators and vendors from North and South America, Europe and

Asia.

This generation of the DOCSIS specifications builds upon the previous generations of DOCSIS specifications

(commonly referred to as the DOCSIS 3.0 and earlier specifications), leveraging the existing Media Access Control

(MAC) and Physical (PHY) layers, but with the addition of a new PHY layer designed to improve spectral efficiency

and provide better scaling for larger bandwidths (and appropriate updates to the MAC and management layers to

support the new PHY layer). It includes backward compatibility for the existing PHY layers in order to enable a

seamless migration to the new technology.
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 203 311-2: "Integrated broadband cable telecommunication networks (CABLE); Fourth

generation transmissi
...

Final draft ETSI ES 203 311-1 V1.1.1 (2019-03)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Fourth generation transmission systems for interactive
cable television services - IP cable modems;
Part 1: General;
DOCSIS 3.1
---------------------- Page: 1 ----------------------
2 Final draft ETSI ES 203 311-1 V1.1.1 (2019-03)
Reference
RES/CABLE-00025-1
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 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88
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
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 2019.
All rights reserved.
TM TM TM

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

TM TM

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.
ETSI
---------------------- Page: 2 ----------------------
3 Final draft ETSI ES 203 311-1 V1.1.1 (2019-03)
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 ........................................................................................................................................ 6

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

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

3.2 Abbreviations ..................................................................................................................................................... 7

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

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

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

4.3 Service Goals ...................................................................................................................................................... 9

4.4 Backward Compatibility ..................................................................................................................................... 9

4.5 Reference Architecture ....................................................................................................................................... 9

5 Overview of the Multi-part ETSI Standard ............................................................................................ 10

5.1 Part 1: General; DOCSIS 3.1 .......................................................................................................................... 10

5.2 Part 2: Physical Layer; DOCSIS 3.1 ............................................................................................................... 10

5.3 Part 3: MAC and Upper Layer Protocols; DOCSIS 3.1 ................................................................................. 11

5.4 Part 4: Cable Modem Operations Support System Interface; DOCSIS 3.1 .................................................... 11

5.5 Part 5: Converged Cable Access Platform Operations Support System Interface; DOCSIS 3.1 .................... 11

5.6 Part 6: Security; DOCSIS 3.1 ......................................................................................................................... 11

6 Requirements for Compliance ................................................................................................................ 11

Annex A (informative): Change History .............................................................................................. 12

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

ETSI
---------------------- Page: 3 ----------------------
4 Final draft ETSI ES 203 311-1 V1.1.1 (2019-03)
Intellectual Property Rights
Essential patents

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

pertaining to these essential IPRs, if any, is 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 IPR Policy, no investigation, 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.

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 fourth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 3.1";
Part 2: "Physical layer; DOCSIS 3.1 [ANSI/SCTE 220-1 2016]";

Part 3: "MAC and upper layer protocols interface; DOCSIS 3.1 [ANSI/SCTE 220-2 2016]";

Part 4: "Cable modem operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-3 2016]";

Part 5: "Converged cable access platform operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-4

2016]";
Part 6: "Security; DOCSIS 3.1 [ANSI/SCTE 220-5 2016]".

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

ANSI/SCTE Standards standardized in the United States by SCTE. Table 1 indicates for the specifications in this

multi-part deliverable the endorsed ANSI/SCTE Standard and the corresponding CableLabs DOCSIS specifications.

Table 1
ETSI Standards ANSI/SCTE Standards CableLabs DOCSIS Specifications
ETSI ES 203 311-1 None None
ETSI ES 203 311-2 [1] ANSI/SCTE 220-1 2016 CM-SP-PHYv3.1-I08-151210
ETSI ES 203 311-3 [2] ANSI/SCTE 220-2 2016 CM-SP-MULPIv3.1-I08-151210
ETSI ES 203 311-4 [3] ANSI/SCTE 220-3 2016 CM-SP-CM-OSSIv3.1-I06-151210
ETSI ES 203 311-5 [4] ANSI/SCTE 220-4 2016 CM-SP-CCAP-OSSIv3.1-I06-151210
ETSI ES 203 311-6 [5] ANSI/SCTE 220-5 2016 CM-SP-SECv3.1-I05-151210

NOTE: DOCSIS is a registered Trade Mark of Cable Television Laboratories, Inc., and is used in the present

document with permission.
ETSI
---------------------- Page: 4 ----------------------
5 Final draft ETSI ES 203 311-1 V1.1.1 (2019-03)
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 203 311-1 V1.1.1 (2019-03)
1 Scope

The present document is part of a series of specifications that defines the fourth generation of high-speed data-over-

cable systems, commonly referred to as the DOCSIS 3.1 specifications. The standard was developed for the benefit of

the cable industry, and includes contributions by operators and vendors from North and South America, Europe and

Asia.

This generation of the DOCSIS specifications builds upon the previous generations of DOCSIS specifications

(commonly referred to as the DOCSIS 3.0 and earlier specifications), leveraging the existing Media Access Control

(MAC) and Physical (PHY) layers, but with the addition of a new PHY layer designed to improve spectral efficiency

and provide better scaling for larger bandwidths (and appropriate updates to the MAC and management layers to

support the new PHY layer). It includes backward compatibility for the existing PHY layers in order to enable a

seamless migration to the new technology.
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 203 311-2: "Integrated broadband cable telecommunication networks (CABLE); Fourth

generation transmission systems for interactive cable televis
...

SLOVENSKI STANDARD
SIST ES 203 311-1 V1.1.1:2020
01-maj-2020
Integrirana širokopasovna kabelska telekomunikacijska omrežja (CABLE) - Četrta
generacija prenosnih sistemov za storitve interaktivne kabelske televizije - IP-
kabelski modemi - 1. del: Splošno - DOCSIS® 3.1

Integrated broadband cable telecommunication networks (CABLE) - Fourth generation

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

General - DOCSIS® 3.1
Ta slovenski standard je istoveten z: ETSI ES 203 311-1 V1.1.1 (2019-05)
ICS:
33.060.40 Kabelski razdelilni sistemi Cabled distribution systems
SIST ES 203 311-1 V1.1.1:2020 en

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

---------------------- Page: 1 ----------------------
SIST ES 203 311-1 V1.1.1:2020
---------------------- Page: 2 ----------------------
SIST ES 203 311-1 V1.1.1:2020
ETSI ES 203 311-1 V1.1.1 (2019-05)
ETSI STANDARD
Integrated broadband cable
telecommunication networks (CABLE);
Fourth generation transmission systems for interactive
cable television services - IP cable modems;
Part 1: General;
DOCSIS 3.1
---------------------- Page: 3 ----------------------
SIST ES 203 311-1 V1.1.1:2020
2 ETSI ES 203 311-1 V1.1.1 (2019-05)
Reference
RES/CABLE-00025-1
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 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88
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
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 2019.
All rights reserved.
TM TM TM

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

TM TM

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.
ETSI
---------------------- Page: 4 ----------------------
SIST ES 203 311-1 V1.1.1:2020
3 ETSI ES 203 311-1 V1.1.1 (2019-05)
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 ..................................................................................................................................................... 7

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

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

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

4.3 Service Goals ...................................................................................................................................................... 9

4.4 Backward Compatibility ..................................................................................................................................... 9

4.5 Reference Architecture ....................................................................................................................................... 9

5 Overview of the multi-part ETSI Standard ............................................................................................ 10

5.1 Part 1: General; DOCSIS 3.1 .......................................................................................................................... 10

5.2 Part 2: Physical layer; DOCSIS 3.1 ................................................................................................................ 10

5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 3.1 ..................................................................... 11

5.4 Part 4: Cable modem operations support system interface; DOCSIS 3.1 ....................................................... 11

5.5 Part 5: Converged cable access platform operations support system interface; DOCSIS 3.1 ........................ 11

5.6 Part 6: Security; DOCSIS 3.1 ......................................................................................................................... 11

6 Requirements for Compliance ................................................................................................................ 11

Annex A (informative): Change History .............................................................................................. 12

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

ETSI
---------------------- Page: 5 ----------------------
SIST ES 203 311-1 V1.1.1:2020
4 ETSI ES 203 311-1 V1.1.1 (2019-05)
Intellectual Property Rights
Essential patents

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

pertaining to these essential IPRs, if any, is 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 IPR Policy, no investigation, 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.

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 fourth generation transmission systems for

interactive cable television services - IP cable modems, as identified below:
Part 1: "General; DOCSIS 3.1";
Part 2: "Physical layer; DOCSIS 3.1 [ANSI/SCTE 220-1 2016]";

Part 3: "MAC and upper layer protocols interface; DOCSIS 3.1 [ANSI/SCTE 220-2 2016]";

Part 4: "Cable modem operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-3 2016]";

Part 5: "Converged cable access platform operations support system interface; DOCSIS 3.1 [ANSI/SCTE 220-4

2016]";
Part 6: "Security; DOCSIS 3.1 [ANSI/SCTE 220-5 2016]".

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

ANSI/SCTE Standards standardized in the United States by SCTE. Table 1 indicates for the specifications in this

multi-part deliverable the endorsed ANSI/SCTE Standard and the corresponding CableLabs DOCSIS specifications.

Table 1
ETSI Standards ANSI/SCTE Standards CableLabs DOCSIS Specifications
ETSI ES 203 311-1 None None
ETSI ES 203 311-2 [1] ANSI/SCTE 220-1 2016 CM-SP-PHYv3.1-I08-151210
ETSI ES 203 311-3 [2] ANSI/SCTE 220-2 2016 CM-SP-MULPIv3.1-I08-151210
ETSI ES 203 311-4 [3] ANSI/SCTE 220-3 2016 CM-SP-CM-OSSIv3.1-I06-151210
ETSI ES 203 311-5 [4] ANSI/SCTE 220-4 2016 CM-SP-CCAP-OSSIv3.1-I06-151210
ETSI ES 203 311-6 [5] ANSI/SCTE 220-5 2016 CM-SP-SECv3.1-I05-151210

NOTE: DOCSIS is a registered Trade Mark of Cable Television Laboratories, Inc., and is used in the present

document with permission.
ETSI
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SIST ES 203 311-1 V1.1.1:2020
5 ETSI ES 203 311-1 V1.1.1 (2019-05)
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: 7 ----------------------
SIST ES 203 311-1 V1.1.1:2020
6 ETSI ES 203 311-1 V1.1.1 (2019-05)
1 Scope

The present document is part of a series of specifications that defines the fourth generation of high-speed data-over-

cable systems, commonly referred to as the DOCSIS 3.1 specifications. The standard was developed for the benefit of

the cable industry, and includes contributions by operators and vendors from North and South America, Europe and

Asia.

This generation of the DOCSIS specifications builds upon the previous generations of DOCSIS specifications

(commonly referred to as the DOCSIS 3.0 and earlier specifications), leveraging the existing Media Access Control

(MAC) and Physical (PHY) layers, but with the addition of a new PHY layer designed to improve spectral efficiency

and provide better scaling for larger bandwidths (and appropriate updates to the MAC and management layers to

support the new PHY layer). It includes backward compatibility for the existing PHY layers in order to enable a

seamless migration to the new technology.
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
...

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