DOCSIS3-1 Pocket Guide 2014

DOCSIS 3.
1
PHYSICAL & MAC Layer
Quick Reference Pocket Guide
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Introduction
The DOCSISTM 3.1 specification is the fifth generation of the

DOCSISTM family of specifications. This handbook provides a
quick reference to various features within the Physical and MAC
layers of the DOCSIS™ 3.1 specifications developed by
CableLabs®. The information contained within this handbook is
based on the I03 release of the specification and associated
engineering changes as of September 19, 2014.
Quick Reference Guide

DOCSIS Reference Architecture
Physical Layer-Upstream
Physical Layer-Downstream
MAC Management Message
PHY Link Channel
MAC Parameters and TLVs
Acronyms
Table of Contents
1 DOCSIS REFERENCE ARCHITECTURE ......................................................2
1.1 DOCSIS Protocol Stacks ............................................................................3
2 Upstream ................................................................................................................6
2.1 Frequency Range and Bandwidths ...........................................................6
2.1.1 CM Output ..........................................................................................6
2.1.2 CMTS Input ........................................................................................7
2.1.3 Channel Bandwidth ............................................................................8
2.1.4 Excluded Subcarriers and Bands ........................................................8
2.2 OFDM Parameters .....................................................................................9
2.2.1 IDFT ...................................................................................................9
2.2.2 Upstream OFDM Numerology...........................................................9
2.2.3 Cyclic Prefix & Windowing .............................................................10
2.2.4 Bit Loading / Modulation Formats ...................................................13
2.3 Power..........................................................................................................14
2.3.1 CM Tx Power Requirements ............................................................14
2.3.2 CMTS Rx Input Power Requirements ............................................15
2.3.3 Maximum Scheduled Minislots .......................................................16
2.4 Forward Error Correction (FEC) .......................................................... 16
2.4.1 FEC Codes for OFDMA Channels ..................................................16
2.4.2 US Codeword Selection Algorithm ................................................17
2.5 OFDMA Minislots ....................................................................................17
2.5.1 US Profiles .......................................................................................19
2.5.2 Pilot Subcarriers ..............................................................................19
2.5.3 Pilot Patterns.....................................................................................21
2.6 Fidelity and Performance .......................................................................26
2.6.1 Downstream and Other Band Spurious Emissions .........................26
2.6.2 Upstream Frequency Band Spurious ...............................................28
2.6.3 Adjacent Channel Spurious Emissions ...........................................29
2.6.4 MER and Inband Spurious Emission ...............................................31
2.6.5 CMTS Receiver Error Ratio Performance .......................................32
3 Downstream .........................................................................................................34
3.1 Frequency Range and Bandwidths .........................................................34
3.1.1 CMTS Output ...................................................................................34
3.1.2 CM Input ..........................................................................................34
3.1.3 Channel Bandwidth ..........................................................................35
3.1.4 Excluded Subcarriers and Bands ......................................................36
3.2 OFDM Parameters ...................................................................................37
3.2.1 IDFT .................................................................................................37
3.2.2 Downstream OFDM Numerology....................................................38
3.2.3 Cyclic Prefix & Windowing .............................................................38
3.2.4 Bit Loading / Modulation Formats ...................................................39
3.2.5 Profiles..............................................................................................40
3.2.6 Next Codeword Pointer (NCP) ........................................................42
3.2.7 Pilot Subcarriers ...............................................................................46
3.3 Power..........................................................................................................50
3.3.1 CMTS Tx Power Requirements .......................................................50
3.3.2 CM Rx Input Power Requirements ..................................................52
3.4 Forward Error Correction (FEC) ...........................................................52
3.4.1 Fidelity and Performance .................................................................54
3.4.2 Inband Spurious Emission and MER ...............................................54
3.4.3 Phase Noise ......................................................................................55
3.4.4 CMTS Output Out-of-Band Noise and Spurious Emissions ...........56
3.4.5 CM Receiver Error Ratio Performance ............................................59
4 MAC Management Messages (MMM) .............................................................62
4.1 MMM Header ...........................................................................................62
4.2 MMM Type Summary ..............................................................................63
4.3 Upstream Channel Descriptor (UCD) ....................................................70
4.3.1 Burst Attributes ................................................................................76
4.4 MAP ............................................................................................................80
4.4.1 MAP Version 5.................................................................................80
4.4.2 MAP IE.............................................................................................81
4.4.3 P-MAP Message ...............................................................................82
4.5 Ranging ......................................................................................................85
4.5.1 Formats .............................................................................................85
4.5.2 CM RNG-REQ Usage ......................................................................86
4.5.3 RNG-RSP Encodings .......................................................................86
4.6 Registration ................................................................................................92
4.6.1 REG-REQ-MP..................................................................................92
4.6.2 REG-RSP-MP ..................................................................................92
4.6.3 REG-ACK ........................................................................................93
4.7 MAC Domain Descriptor (MDD) ............................................................93
4.7.1 Downstream Active Channel List TLV ...........................................94
4.7.2 MAC Domain Downstream Service Group TLV ............................95
4.7.3 Downstream Ambiguity Resolution Frequency List ......................96
4.7.4 Receive Channel Profile Reporting Control ....................................96
4.7.5 Early Authentication and Encryption (EAE) Enable/Disable ..........98
4.7.6 Field definitions for Active Upstream Channel List ........................98
4.7.7 Upstream Ambiguity Resolution Channel List ................................99
4.7.8 Upstream Frequency Range .............................................................99
4.7.9 Symbol Clock Locking Indicator ...................................................100
4.7.10 CM-STATUS Event Control TLV .................................................100
4.7.11 Upstream Transmit Power Reporting.............................................100
4.7.12 DSG DA-to-DSID Association Entry ............................................101
4.7.13 CM-STATUS Event Enable for Non-Channel-Specific Events ....102
4.7.14 Extended Upstream Transmit Power Support ................................102
4.7.15 CMTS DOCSIS Version TLV .......................................................103
4.7.16 CM Periodic Maintenance Timeout Indicator................................103
4.7.17 DLS Broadcast and Multicast Delivery Method ...........................103
4.7.18 CM-STATUS Event Enable for DOCSIS 3.1 Events ....................104
4.8 Energy Management ..............................................................................105
4.8.1 EM-REQ .........................................................................................105
4.8.2 EM-RSP..........................................................................................105
4.9 EM-RSP TLVs.........................................................................................106
4.9.1 Hold-Off Timer ..............................................................................106
4.10 OFDM Channel Descriptor ...................................................................106
4.11 OCD message ..........................................................................................106
4.11.1 OCD TLVs .....................................................................................107
4.12 Downstream Profile Descriptor ............................................................109
4.12.1 DPD message .................................................................................109
4.13 OFDM Downstream spectrum request ................................................113
4.13.1 OFDM Downstream spectrum request message ODS-REQ ........113
4.13.2 OFDM Downstream spectrum response message (ODS-RSP) ....113
4.14 OFDM downstream profile TEST .........................................................114
4.14.1 OFDM Downstream Profile Test Request (OPT-REQ) message .114
4.14.2 OFDM Profile Test Response (OPT-RSP) message .......................120
4.14.3 OFDM Profile Test Acknowledge (OPT-ACK) message...............124
4.15 DOCSIS Time Protocol ..........................................................................125
4.15.1 DTP-REQ, DTP-RSP, DTP-Info message .....................................125
4.15.2 DTP-ACK message ........................................................................125
4.15.3 DTP TLVs ......................................................................................126
4.16 Extended Timestamp ..............................................................................128
4.17 Cable Modem Initialization overview ...................................................129
5 PHY Link Channel (PLC) ................................................................................132
5.1 PLC Structure .........................................................................................133
5.2 PLC Frame Length (including Preamble)............................................134
5.3 PLC Message Blocks ...............................................................................135
5.3.1 Timestamp Message Block ............................................................135
5.3.2 Energy Management Message Block .............................................136
5.3.3 Message Channel Message Block ..................................................138
5.3.4 Trigger Message Block ..................................................................139
5.3.5 Future Use Message Blocks ...........................................................140
6 MAC Parameters and TLVs.............................................................................142
6.1 Energy Management ..............................................................................142
6.1.1 EM SDL .........................................................................................142
6.1.2 DLS Substate for CM .....................................................................143
6.2 CM-STATUS Event Codes ....................................................................144
6.3 Well-known Addresses ...........................................................................151
6.4 Parameters and Constants .....................................................................152
6.5 Top Level TLV Encodings .....................................................................168
7 Abbreviations, Acronyms, and Namespaces ..................................................176
DOCSIS
Reference
Architecture
CableLabs
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1.1 DOCSIS Protocol Stacks
CMTS Stack CM Stack
DHCP DHCP Time

SNMP DHCPv4 DHCPv6 SNMP TFTP
v4 v6 Prtcl
Syslog HTTP
UDP UDP/(TCP) Host

Layers
IPv6, ICMPv6 IPv6, ICMPv6
IPv4 IPv4
Transparent
Forwarding 802.2 LLC 802.2 LLC 802.2 LLC
Bridging
Data
CableLabs
Link Link Security Link Security

Layer 802.3 MAC
Cable MAC Cable MAC
DS TC DS TC
Upstrm Upstrm
Layer Layer
PHY Layer Cable Cable 802.3 PHY
Cable PMD Cable PMD
PMD PMD
CMTS NSI Cable Network CMCI Interface

Interface Transmission to/from
to/from Customer
Network Premises
Equipment Equipment
3
4 CableLabs
Physical Layer:
Upstream
CableLabs
2 Upstream
The new upstream for D3.1 consists of two physical layer
technologies including legacy SC-QAM channels and the new
OFDMA channels. The SC-QAM PHY is based on the D3.0
technology and all parameters and configurations carry forward
from D3.0 with the exception of S-CDMA, which is optionally
supported for D3.1 CMs and CMTSs.
Section 1 covers the parameters and key points of the new OFDMA
physical layer.
2.1 Frequency Range and Bandwidths
2.1.1 CM Output
The CM modulator MUST support upstream transmissions from 5
to at least 204 MHz and agile placement of the OFDMA channels
within that range.
Individual CM implementations may limit the spectrum over which
the CM is able to transmit upstream signals. A CM MUST support
one or more of the following upstream upper band edges, as long as
one of the upstream upper band edges supported is 85 MHz or
greater.
CM Upstream Band Options
Lower Band Edge Upper Band Edge
42 MHz
65 MHz
5 MHz 85 MHz
117 MHz
204 MHz
6 CableLabs
The CM MUST be configurable to operate with any supported
upstream upper band edge. The nature and operation of this
configurability is vendor-specific. Possible forms of
configurability include a hardware switch on the modem housing,
a software-controlled diplex filter responsive to OSSI commands,
or other forms.
The CM MAY support additional spectrum beyond 204 MHz for
the upstream.
The CM MUST NOT cause harmful interference to any
downstream signals that might exist above its configured upstream
upper band edge.
The CM MUST be capable of transmitting 192 MHz of active
channels when operating with the 204 MHz upstream upper band
edge.
In DOCSIS 3.1 upstream mode the CM MUST be capable of
transmitting OFDMA channels and legacy SC-QAM channels at the
same time (as controlled by the CMTS). In all cases the CM is not
required to transmit legacy SC-QAM channels above a frequency of
85 MHz.
2.1.2 CMTS Input

The CMTS MUST support upstream transmissions from 5 to at least
204 MHz and agile placement of the OFDMA blocks within that
range.
CMTS Upstream Band Options

CMTS
Lower Upstream
Band Band Band
Edge Upper Options
Edge
5 MHz 204 MHz
The CMTS MUST capable of receiving 192 MHz of active channels

when operating with the 204 MHz upstream upper band edge. In
DOCSIS 3.1 upstream mode the CM is capable of transmitting
OFDMA channels and legacy SC-QAM channels at the same time
(as controlled by the CMTS). In all cases the CMTS MUST NOT
configure the CM to transmit legacy SC-QAM channels above a
frequency of 85 MHz.
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2.1.3 Channel Bandwidth
The CM and CMTS both MUST support a minimum of 2 upstream
OFDMA channels. A DOCSIS 3.1 upstream OFDMA channel
bandwidth may be as much as 96 MHz.
The CMTS MUST ensure that the encompassed spectrum of a 96
MHz upstream OFDMA channel does not exceed 95 MHz.
Therefore the number of contiguous active subcarriers in an
upstream OFDMA channel MUST NOT exceed 1900 for 2K FFT
and 3800 for 4K FFT. When configured for 2K FFT, the CMTS
MUST only use subcarriers in the range 74 ≤𝑘𝑘 ≤1973, where k is the
spectral index of the subcarrier in the IDFT equation defining the
OFDMA signal. When configured for 4K FFT, the CMTS MUST
only use subcarriers in the range 148 ≤𝑘𝑘 ≤3947, where k is the
spectral index of the subcarrier in the IDFT equation defining the
OFDMA signal.
Minimum Upstream Channel Bandwidth
2k FFT 4k FFT
10 MHz 6.4 MHz
NOTE: Encompassed spectrum is defined for an OFDM or

OFDMA channel as: the range of frequencies from the center
frequency of the channel’s lowest active subcarrier minus half the
subcarrier spacing, to the center frequency of the channel’s highest
active subcarrier plus half the subcarrier spacing.
2.1.4 Excluded Subcarriers and Bands

Excluded subcarriers will only occur between minislots.
Subcarrier exclusions between minislots can be any integer number
of subcarriers. There is no minimum subcarrier exclusion
restriction. See section 3.1.4 for definition of excluded subcarrier.
NOTE: For more on minislots in in upstream OFDMA channels
see section 2.5.
8 CableLabs
2.2 OFDM Parameters
2.2.1 IDFT
The upstream OFDMA signal transmitted by the CM is described
using the following IDFT equation:
𝑁𝑁−1 𝑁𝑁
1 2𝜋𝜋𝜋𝜋 �𝑘𝑘 − �
2
𝑥𝑥(𝑖𝑖) = � X(k) exp ( j ) , 𝑓𝑓𝑓𝑓𝑓𝑓 𝑖𝑖 = 0, 1, … , (𝑁𝑁 − 1)
√𝑁𝑁 𝑁𝑁
𝑘𝑘=0
Where N is the FFT size. The resulting time domain discrete signal,
x(i), is a baseband complex-valued signal. In this definition of the
IDFT X(0) is the lowest frequency component; and X(N-1) is the
highest frequency component.
2.2.2 Upstream OFDM Numerology

The CM MUST output an RF Modulated signal with characteristics
defined in Table 7–11 of the PHYv3.1 specification. The
fundamental OFDM time and frequency parameters of the upstream
signal are in the following table.
Upstream OFDM Time/Frequency Numerology
Sample Rate FFT Size (N) Subcarrier FFT Time

(Symbol Clock) Spacing Duration
102.4 Msps 2048 (2K FFT) 50 kHz 20 μs
(102.4 MHz) 4096 (4K FFT) 25 kHz 40 μs
CableLabs 9
2.2.3 Cyclic Prefix & Windowing
Cyclic prefix and windowing are applied in the upstream
transmission.
Cyclic prefix is added in order to enable the receiver to overcome
the effects of inter-symbol interference (ISI) and caused by
micro-reflections in the channel.
Windowing is applied in order to maximize channel capacity by
sharpening the edgesof the spectrum of the OFDMA signal.
Spectral edges occur at the two ends of the spectrum of the
OFDM symbol, as well as at the ends of internal exclusion bands.
In the presence of a micro-reflection in the transmission medium,
the received signal is the sum of the main signal and the delayed
and attenuated micro-reflection. As long as this delay (τ) is less than
the time duration of the cyclic prefix (TCP), the CMTS receiver can
trigger the FFT to avoid any inter-symbol or inter-carrier
interference due to this micro reflection, as shown in the following
figure.
10 CableLabs
CableLabs
Signal with Micro-Reflection at Receiver
Tapering Window
11
The CM transmitter and the CMTS receiver MUST support the
cyclic prefix values defined in the following table.
Cyclic Prefix (µs) Cyclic Prefix Samples (Ncp)
0.9375 96
1.25 128
1.5625 160
1.875 192
2.1875 224
2.5 256
2.8125 288
3.125 320
3.75 384
5.0 512
6.25 640
The CM transmitter and the CMTS receiver MUST support the roll-
off period values defined in the following table. The CMTS MUST
NOT allow a configuration in which the Roll-Off Period value is ≥
the Cyclic Prefix value.
Roll-Off Period (µs) Roll-Off Period Samples (Nrp)
0 0
0.3125 32
0.625 64
0.9375 96
1.25 128
1.5625 160
1.875 192
2.1875 224
The Cyclic Prefix and Roll-Off Period sample values above are
found using the sample rate of 102.4 Msamples/s.
12 CableLabs
2.2.4 Bit Loading / Modulation Formats
The CM modulator and CMTS demodulator MUST support the
following modulation formats for subcarriers of upstream OFDMA
channels.
US CM Modulation Formats US CMTS Modulation Formats
BPSK BPSK
QPSK QPSK
8-QAM 8-QAM
16-QAM 16-QAM
32-QAM 32-QAM
64-QAM 64-QAM
128-QAM 128-QAM
256-QAM 256-QAM
512-QAM 512-QAM
1024-QAM 1024-QAM
2048-QAM
4096-QAM
The CMTS demodulator SHOULD support 2048-QAM and 4096-

QAM for subcarriers of upstream OFDMA channels.
NOTE: BPSK is used for pilots and complimentary pilots only, and not used for data
transmission.
CMs are granted transmission opportunities by minislots, and

minislots are associated with subcarriers. All subcarriers of a
specific type (i.e., data subcarriers, pilots, complementary pilots or
zero-valued subcarriers) within a minislot have the same modulation
order, although different minislots may have different modulation
orders; the modulation order to be used is determined by the Profile
associated with the minislot.
The CM modulator and CMTS demodulator MUST support zero
valued subcarriers of upstream OFDMA channels.
Some minislots may be specified as zero-valued in some profiles.
The CM MUST NOT transmit anything in the minislots of these
profiles. The CM MUST set all subcarriers, including data
subcarriers, pilots and complementary pilots to zero in these
minislots of these profiles. A zero-valued minislot in one profile
may not be zero-valued in another profile.
NOTE: For more on minislots in in upstream OFDMA channels see section 2.5.
CableLabs 13
2.3 Power
2.3.1 CM Tx Power Requirements

The transmit power requirements in D3.1 are a function of the
number and occupied bandwidth of the OFDMA and legacy
channels in the TCS.
Maximum Tx Power Limits

Total Power ≥ 65dBmV
P1.6Max Pmax dBmV – 10log10(Neq)
P1.6Max if modulated spectrum ≤ 24 MHz 53.2 dBmV+ (Pmax - 65)
NOTE: Modulated Spectrum for the upstream is defined as spectrum comprising all
non-zero-valued subcarriers of a cable modem’s OFDMA transmission, resulting from
the exercised transmit opportunities.
As shown in the first row of table above, the minimum highest

value of the total power output of the CM Pmax is 65 dBmV,
although higher values are allowed.
The second row shows how to calculate the maximum equivalent
channel power.
The third row enforces a maximum power spectral density of Pmax
dBmV per 24 MHz for a CM operating in DOCSIS 3.1 mode, even
on a SC-QAM channel. This limit on power spectral density does
not apply for a CM operating in DOCSIS 3.0 mode, where the
fidelity requirements are the DOCSIS 3.0 fidelity requirements and
not the fidelity requirements of the DOCSIS 3.1 mode.
Minimum Equivalent Channel Tx Power Limits (P1.6Min)
Non-boosted Pilots 17 dBmV
Boosted Pilots w/ 50 kHz subcarrier spacing 17.5 dBmV
Boosted Pilots w/ 25 kHz subcarrier spacing 18 dBmV
14 CableLabs
The CM’s actual transmitted power per equivalent channel MUST
be within +/- 2 dB of the target power, P1.6r_n , with Pre-Equalization
off taking into account whether pilots are present and symbol
constellation values.
2.3.2 CMTS Rx Input Power Requirements

The CMTS Upstream Demodulator MUST operate with an average
input signal level, including ingress and noise to the upstream
demodulator, up to 31 dBmV.
The CMTS MUST be settable according to the following table for
intended received power normalized to 6.4 MHz of bandwidth.
Modulation Minimum Set Point Maximum Set Point Range
QPSK -4 dBmV 10 dBmV -9 / +3
8-QAM -4 dBmV 10 dBmV -9 / +3
16-QAM -4 dBmV 10 dBmV -9 / +3
32-QAM -4 dBmV 10 dBmV -9 / +3
64-QAM -4 dBmV 10 dBmV -9 / +3
128-QAM 0 dBmV 10 dBmV -9 / +3
256-QAM 0 dBmV 10 dBmV -9 / +3
512-QAM 0 dBmV 10 dBmV -3 / +3
1024-QAM 0 dBmV 10 dBmV -3 / +3
2048-QAM 7 dBmV 10 dBmV -3 / +3
4096-QAM 10 dBmV 10 dBmV -3 / +3
The CMTS Upstream demodulator MUST operate within its defined

performance specifications with received bursts within the ranges
defined in the previous table of the set power.
CableLabs 15
2.3.3 Maximum Scheduled Minislots
While transmitting on the large upstream spectrum supported by
DOCSIS 3.1, a CM can encounter large upstream attenuation and
can have a power deficit when attempting to reach the CMTS
receiver at the nominal OFDMA channel set power. A CMTS has
several options in dealing with such CMs: it can limit the TCS to
the channel set that will enable the CM to reach the CMTS receiver
at the nominal set power; it can assign the CM a profile which
includes reduced modulation depth enabling proper reception even
at lower received power; or, it can operate that CM under Maximum
Scheduled Minislots (MSM).
Complete control of MSM operation is under the CMTS. The
CMTS does not inform the CM when it decides to assign it to MSM
operation in a specific OFDMA channel. Instead, the CMTS
instructs the CM to transmit with a higher power spectral density
than the CM is capable of with a 100% grant. In addition, the
CMTS limits the number of minislots concurrently scheduled to the
CM, such that the CM is not given transmit opportunities on that
OFDMA channel that will result in overreaching its reported
transmission power capability.
Note that when operating under MSM, it is expected that a CM that
normally meets the fidelity and performance requirements will only
exhibit graceful degradation. Also the CMTS is expected to
discriminate between a CM whose fidelity degrades gracefully and
a CM whose fidelity does not, and provide the capability to disallow
a CM whose fidelity does not degrade gracefully from operating
under MSM.
2.4 Forward Error Correction (FEC)
2.4.1 FEC Codes for OFDMA Channels

DOCSIS 3.1 uses three Quasi-Cyclic Low-Density Parity-Check
codes (QC-LDPC) for the upstream transmission.
16 CableLabs
The following table provides the key attributes of the 3 QC-LDPC
codes used by the upstream:
Code Code rate Codeword size Information Parity bits
in bits (Ni) bits (Ki) (Pi)
Long code 89% (8/9) 16200 14400 1800
Medium code 85% (28/33) 5940 5040 900
Short code 75% (3/4) 1120 840 280
Shortening of LDPC codewords is useful in order to optimize FEC
protection for the payload. If a shortened codeword is required, the
CM MUST construct it as follows:
1. Binary zeros are appended to a reduced number of
information bits at the input of the encoder.
2. The encoder calculates the parity bits.
3. The appended binary zeros are removed from the
transmitted shortened codeword.
2.4.2 US Codeword Selection Algorithm

The DOCSIS 3.1 specification includes a FEC codeword selection
algorithm that the CM and CMTS use to determine the exact
number, type, and size of the codewords to be used, and in what
order. Codewords are filled and transmitted in the following order,
with codeword shortening applied:
1. Full long codewords (if present)
2. Shortened long codeword (if present)
3. Full medium codewords (if present)
4. Shortened medium codeword (if present)
5. Full short codewords (if present)
6. Shortened short codewords (if present)
7. Zero-pad (if present)
2.5 OFDMA Minislots

Minislots are defined by a size in terms of the number of symbols
and number of subcarriers. They include data carried on data
subcarriers, pilots carried on pilot subcarriers and complementary
pilots that can carry data but at a lower modulation order.
CableLabs 17
In this section, BW is defined as the encompassed spectrum on a
single OFDMA channel.
The CMTS communicates minislot definition to the CM in UCD

messages as defined in DOCSIS MULPIv3.1.
Minislot Parameters 2k FFT (20µs FFT duration)
Parameter Allowable Range
K (symbols per frame) 6 – 18 (BW ≥ 72 MHz)
Q (subcarriers per minislot) 8
Minislot Parameters 4k FFT (40µs FFT duration)
Parameter Allowable Range
K (symbols per frame) 6 – 9 (BW ≥ 72 MHz)
Q (subcarriers per minislot) 16
NOTE: In the above tables, a minislot is always 400 kHz wide.
18 CableLabs
2.5.1 US Profiles
Upstream profiles are comprised of multiple minislots, and are
characterized by bit loading and pilot pattern. Bit loading and pilot
patterns can vary between minislots within the profile. The bit
loading and pilot pattern assignment of minislots can also vary
between profiles. An upstream profile maps to an Interval Usage
Code defined in an Upstream Channel Descriptor Message.
Different FEC codeword sizes may use portions of a single
minislot. FEC codewords can cross minislot and frame boundaries.
2.5.2 Pilot Subcarriers

Pilots are subcarriers that do not carry data. Instead, a pilot
subcarrier encodes a pre-defined BPSK symbol known to the
receiver. Pilots are used by the CMTS receiver to adapt to channel
conditions and frequency offset. Two types of minislots are defined
for each minislot size: edge minislots and body minislots.
The CM MUST use an edge minislot as the first minislot in a
transmission burst.
The CM MUST use body minislots for all other minislots in a
transmission burst with the following two exceptions:
1. The CM MUST use an edge minislot for the first minislot
of an OFDMA frame that is not a zero valued minislot.
2. The CM MUST use an edge minislot for the first minislot
after an exclusion band or after one or more contiguous
skipped subcarriers or after a zero valued minislot.
CableLabs 19
Edge and Body Minislots in a Transmission Burst
Complementary pilots are subcarriers that carry data, but with a

lower modulation order than other data subcarriers in the minislot.
The CMTS receiver MAY use complementary pilots to enhance its
signal processing, such as to improve the accuracy of the center
frequency offset acquisition.
The modulation order for the complementary pilots is determined
by the following equation:
𝑀𝑀𝑐𝑐𝑐𝑐 = max(𝑀𝑀𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 − 4 , 1)
where Mcp and Mdata are the modulation order used for
complementary pilots and data subcarriers respectively.
For example if the bit loading in a minislot is 12 (4096-QAM),
complementary pilots use 8 bits (256-QAM). If the bit loading is 4
(16-QAM), complementary pilots will use BPSK.
20 CableLabs
2.5.3 Pilot Patterns
When using a 2k FFT, the CM MUST support pilot patterns 1-7.
The CMTS MUST support pilot patterns 1-4. The CMTS MUST
use either pilots pattern 1-4 or pilot patterns 5-7 on the same
OFDMA channel. The CMTS MUST NOT use a mixture of pilot
patterns 1-4 and 5-7 on the same OFDMA channel.
When using a 4k FFT, the CM MUST support pilot patterns 8-14.
The CMTS MUST support pilot patterns 8-11. The CMTS MUST
use either pilots pattern 8-11 or pilot patterns 12-14 on the same
OFDMA channel. The CMTS MUST NOT use a mixture of pilot
patterns 8-11 and 12-14 on the same OFDMA channel.
In each figure, the horizontal axis represents OFDMA symbols, and
the vertical axis represents the subcarriers. Each square in a figure
represents a subcarrier at a specific symbol time. Pilots are
designated by "P" and complementary pilots by "CP". All other
subcarriers carry data with the modulation order of the minislot.
The CM MUST use higher power (pilot boost) when transmitting
pilots and complementary pilots with pilot patterns 5-7 and patterns
12-14, with the following exception:
• The CM MUST use boosted power for the pilot and
normal power for the complementary pilot when both are
used in the same symbol and in the same minislot.
The CM MUST boost pilots and complementary pilots by a factor
of 3 in power (about 4.7 dB).
CableLabs 21
22
Pattern 1 Pattern 2 Pattern 3 Pattern 4

P P CP CP P P CP CP P P CP CP P P CP CP
P P
P P P P
“Body” P P
minislots P P P P P P
P P
P P P P
P P
K = 6 to 16 K = 6 to 16 K = 6 to 16 K = 6 to 16
CableLabs
P P CP CP P P CP CP P P CP CP P P CP CP
P P
P P P P
“Edge” P P
minislots P P P P P P
P P
P P P P
P P CP CP P P CP CP P P CP CP
CP P P CP CP
2k FFT Pilot Patterns 1 – 4
The figures show patterns for K between 6 andth 16. For K>16 the complementary pilots are always located in the
14th and 16th symbols, all symbols from the 17 symbol to the end of the frame carry data only. Pilot locations are
the same for any K.
Pattern 5 Pattern 6 Pattern 7 Pattern 7 Pattern 7
P CP P CP P CP P CP P CP
P P P
“Body”
minislots P P P P
P P P
K = 6 to 16 K = 6 to 16 K = 8 to 16 K=7 K=6
CableLabs
P P P
“Edge”
minislots
P P P P
P P P
The figures show patterns for K between 6 and 16. For K>16 the complementary pilots are always located in the
14th and 16th symbols, all symbols from the 17th symbol to the end of the frame carry data only. Pilot locations are
the same for any K.
23
Pattern 8 Pattern 9 Pattern 10
24
Pattern 11
P P CP CP
P P
P P
P P
P P
“Body” P P P P
P P
minislots
P P
P P
P P
P P
K = 6 to 9 K = 6 to 9 K = 6 to 9
K = 6 to 9
CableLabs
P P CP CP
P P
P P
P P
P P
“Edge” P P P P
minislots P P
P P
P P
P P
P P P P P P
CP CP P P CP CP CP CP
P P CP CP

The figures show patterns for K between 6 and 9. For K>9, the complementary pilots are always located in the
7th and 9th symbols, all symbols from the 10th symbol to end of frame carry data only. Pilot locations are the
same for any K.
Pattern 12 Pattern 13 Pattern 14 Pattern 14 Pattern 14
P P P
“Body” P P P P
minislots
P P P
K = 6 to 16 K = 6 to 16 K = 8 to 16 K=7 K=6
CableLabs
P P P
“Edge”
minislots
P P P P
P P P

The figures show patterns for K between 6 and 9. For K>9, the complementary pilots are always located in the 7th and
9th symbols, all symbols from the 10th symbol to end of frame carry data only. Pilot locations are the same for any K.
25
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2.6 Fidelity and Performance

The following requirements assume that any pre-equalization is disabled, unless otherwise noted.
2.6.1 Downstream and Other Band Spurious Emissions
Downstream and Other Band Spurious Emissions

(see PHYv3.1 Table 7-6 for notes)
CableLabs
Parameter Frequency During Between Bursts

Region Bursts
42 to 54 MHz -40 dBc -26 dBmV
Integrated 54 to 60 MHz -35 dBmV -40 dBmV
5 – 42 MHz
Operation
(4MHz BW) 60 to 88 MHz -40 dBmV -40 dBmV

88 to 1218 MHz -45 dBmV max(-45 dBmV, -40 dB ref downstream)
Discrete 54 to 88 MHz -50 dBmV -50 dBmV
88 to 1218 MHz -50 dBmV -50 dBmV
Downstream and Other Band Spurious Emissions
Parameter Frequency During Between Bursts

Region Bursts
85 to 108 MHz (Should) -50 dBc -36 dBmV
5 – 85 MHz
Integrated
Operation
(4MHz BW) 108 to 136 MHz -40 dBmV -40 dBmV

CableLabs

Discrete
108 to 1218 MHz -50 dBmV -50 dBmV
Integrated
Operation
85 to 108 MHz (Should) -50 dBc -36 dBmV

5 – 204
(4MHz BW)
MHz
Discrete
108 to 1218 MHz -50 dBmV -50 dBmV
27
2.6.2 Upstream Frequency Band Spurious
28
In the upstream frequency band spurious emissions band table, the following equations are referenced:
EQ1. SpurFloor = max{ -57 + 10*log10(100% Grant Spectrum/192 MHZ), -60} dBc
EQ2. Floor{ 0.2 + 10^( (-44 - SpurFloor)/10) }
EQ3. 100% Grant Spectrum/40
EQ4. 100% Grant Spectrum)/(Under-grant Hold Number of Users)
EQ5. Round{ SpurFloor + 10*log10( Measurement Bandwidth/Under-grant Hold Bandwidth),0.1}
In addition, the Under-grant Hold values used in EQ 4&5 are defined as:
Under-grant Hold Number of Users = Floor{ 0.2 + 10^( (-44 - SpurFloor)/10) }
CableLabs
Under-grant Hold Bandwidth = (100% Grant Spectrum)/(Under-grant Hold Number of Users)
Upstream Frequency Band Spurious Emissions

100% Grant SpurFloor Under-grant Under-grant Measurement Specification in

Spectrum (MHz) (dBc) Hold #Users Hold Bandwidth Bandwidth the Interval (dBc)
(MHz) (MHz)
100%_BW ≤ 64 -60.0 40 EQ3 1.6 EQ5
64 < 100%_BW ≤ 96 -60.0 40 EQ3 3.2 EQ5
96 < 100%_BW ≤ EQ1 EQ2 EQ4 9.6 EQ5
192 192 < 100%_BW EQ1 EQ2 EQ4 12.8 EQ5
The following table provides example values for the upstream frequency band spurious requirements.
Upstream Frequency Band Spurious Emissions[Examples]
(MHz) (MHz)
22 -60.0 40 0.55 1.6 -55.4
46 -60.0 40 1.15 1.6 -58.6
94 -60.0 40 2.35 3.2 -58.7
142 -58.3 27 5.3 9.6 -55.7
190 -57 20 9.5 9.6 -57.0
200 -56.8 19 10.5 12.8 -55.9
CableLabs
2.6.3 Adjacent Channel Spurious Emissions
The following table lists the required adjacent channel spurious emission levels when there is a
transmitted burst with bandwidth at the Under-grant Hold Bandwidth.
For transmission bursts with modulation spectrum greater than the Under-grant Hold Bandwidth the
spurious power requirement in the adjacent 400 kHz is calculated by using the upstream frequency band
spurious and the values found in the adjacent channel spurious table. For more detail refer to section
7.4.13.5.1.2 of PHYv3.1.
In the adjacent channel spurious emissions table, the following equations are referenced:
29
30
EQ6. 100% Grant Spectrum/40
EQ7. Round{10*log10(((10^(SpurFloor/10)) + (10^(-57/10)))*(0.4MHz/Under-grant Hold BW)),0.1}
EQ8. max{ -57 + 10*log10(100% Grant Spectrum/192 MHZ), -60}
EQ9. Floor{ 0.2 + 10^( (-44 - SpurFloor)/10) }
EQ10. 100% Grant Spectrum)/Under-grant Hold Number of Users
Adjacent Channel Spurious Emissions
(MHz) (MHz)
100%_BW ≤ 64
CableLabs
-60.0 40 EQ6 0.4 EQ7

64 < 100%_BW ≤ 96 -60.0 40 EQ6 0.4 EQ7
96 < 100%_BW EQ8 EQ9 EQ10 0.4 EQ7
Adjacent Channel Spurious Emissions [Examples]

(MHz) (MHz)
22 -60.0 40 0.55 0.4 -56.6
46 -60.0 40 1.15 0.4 -59.8
94 -60.0 40 2.35 0.4 -62.9
142 -58.3 27 5.3 0.4 -65.8
190 -57 20 9.5 0.4 -67.7
200 -56.8 19 10.5 0.4 -68.1
2.6.4 MER and Inband Spurious Emission
Inband spurious emissions includes noise, carrier leakage, clock
lines, synthesizer spurious products, and other undesired transmitter
products. It does not include ISI. The measurement bandwidth for
inband spurious for OFDM is equal to the Subcarrier Clock
Frequency (25 kHz or 50 kHz) and is not a synchronous
measurement.
MER is defined as follows for OFDMA. The transmitted RF
waveform at the F connector of the CM (after appropriate down
conversion) is filtered, converted to baseband, sampled, and
processed using standard OFDMA receiver methods, with the
exception that receiver equalization is not provided. The processed
values are used in the following formula. No external noise
(AWGN) is added to the signal.
MERi is computed as an average of all the subcarriers in a minislot
for the ith minislot in the OFDMA grant:
𝐸𝐸𝑑𝑑𝑎𝑎𝑎𝑎
MERi (dB) = 10 ∙ log10 � 1 1 2 �
∑𝑁𝑁 𝑀𝑀
𝑗𝑗 =1 � ∑𝑘𝑘 =1�𝑒𝑒𝑗𝑗 ,𝑘𝑘 � �
𝑁𝑁 𝑀𝑀
where:
Eavg is the average constellation energy for equally likely symbols,
M is the number of symbols averaged,
N is the number of subcarriers in a minislot,
ej,k is the error vector from the jth subcarrier in the minislot and kth
received symbol to the ideal transmitted QAM symbol of the
appropriate modulation order.
CableLabs 31
Inband Spurious Emissions and MER
Parameter 100% Grant 5% Grant
Inband -45 dBc - 51 dBc
MER w/ Pre-EQ MER ≥ 44 dB MER ≥ 50 dB
MER w/o Pre-EQ MER ≥ 40 dB MER ≥ 40 dB
2.6.5 CMTS Receiver Error Ratio Performance

The required level for CMTS upstream post-FEC error ratio is
defined for AWGN as less than or equal to 10-6 PER (packet error
ratio) with 1500 byte Ethernet packets. See Section 7.4.15.2 of
PHYv3.1 for further channel condition requirements.
Constellation CNR(dB) Set Point Offset
QPSK 11.0 -4 dBmV 0 dB
8-QAM 14.0 -4 dBmV 0 dB
16-QAM 17.0 -4 dBmV 0 dB
32-QAM 20.0 -4 dBmV 0 dB
64-QAM 23.0 -4 dBmV 0 dB
128-QAM 26.0 0 dBmV 0 dB
256-QAM 29.0 0 dBmV 0 dB
512-QAM 32.5 0 dBmV 0 dB
1024-QAM 35.5 0 dBmV 0 dB
2048-QAM 39.0 7 dBmV 0 dB
4096-QAM 43.0 10 dBmV 0 dB
NOTE: CNR is defined here as the ratio of average signal power in occupied
bandwidth to the average noise power in the occupied bandwidth given by the noise
power spectral density integrated over the same occupied bandwidth.
32 CableLabs
Physical Layer:
Downstream
CableLabs
3 Downstream
This section specifies the downstream electrical and signal
processing requirements for the transmission of OFDM modulated
RF signals from the CMTS to the CM.
3.1 Frequency Range and Bandwidths
3.1.1 CMTS Output

The CMTS downstream upper and lower band edge requirements
are defined as:
CMTS Downstream Band Options
Requirement Lower Band Edge Upper Band Edge
MUST 258 MHz 1218 MHz
SHOULD 108 MHz 1794 MHz
3.1.2 CM Input
The CM downstream input upper and lower band edge requirements
are defined as:
CM Downstream Band Options
Requirement Lower Band Edge Upper Band Edge
MUST 258 MHz 1218 MHz
MAY 1794 MHz
SHOULD 108 MHz
The CM SHOULD support a downstream lower band edge of

108 MHz when the CM is configured to use an upstream upper band
edge of 85 MHz or less.
34 CableLabs
3.1.3 Channel Bandwidth
The CMTS and CM MUST support a minimum of two
independently configurable OFDM channels each occupying a
spectrum of up to 192 MHz in the downstream.
The CMTS MUST ensure that the encompassed spectrum of a 192
MHz downstream OFDM channel does not exceed 190 MHz.
Therefore the CMTS MUST ensure that the number of contiguous
active subcarriers in a downstream OFDM channel does not
exceed 3800 for 4K FFT and 7600 for 8K FFT. When configured
for 4K FFT, the CMTS MUST only use subcarriers in the range
148 ≤𝑘𝑘 ≤3947, where k is the spectral index of the subcarrier in
the IDFT equation defining the OFDM signal. When configured
for 8K FFT, the CMTS MUST only use subcarriers in the range
296 ≤𝑘𝑘 ≤7895, where k is the spectral index of the subcarrier in
the IDFT equation defining the OFDM signal.
The CMTS MUST ensure that there is at least 1 MHz of exclusion
band between the spectral edge of a legacy SC-QAM channel and
the center frequency of the nearest OFDM subcarrier.
NOTE: This SC-QAM channel may be external to the OFDM channel or may be
embedded within the OFDM channel.
The CMTS MUST also ensure that there is at least 2 MHz exclusion
band between any two adjacent asynchronous OFDM channels.
The downstream OFDM channel bandwidth can vary from 24 MHz
to 192 MHz.
Downstream OFDM Channel Bandwidth
Minimum Modulated BW Maximum Modulated BW
22 MHz 190 MHz
CableLabs 35
3.1.4 Excluded Subcarriers and Bands
When configuring an OFDM channel, subcarriers and bands of
subcarriers can be excluded from use in the channel. The following
are the definitions for the excluded subcarrier and exclusion band.
Excluded Subcarrier: Subcarrier that cannot be used because
another type of service is using the subcarrier’s frequency or a
permanent ingressor is present on the frequency. The CMTS or
cable modem is administratively configured to not transmit on
excluded subcarriers.
Exclusion Band: A set of contiguous subcarriers within the OFDM
or OFDMA channel bandwidth that are set to zero-value by the
transmitter to reduce interference to other co-existing transmissions
such as legacy SC-QAM signals.
The following rules apply to exclusions bands:
1. There has to be at least one contiguous modulated OFDM
bandwidth of 22 MHz or greater.
2. Exclusion bands separate contiguous modulation bands.
3. The minimum contiguous modulation band has to be 2 MHz.
4. Exclusion bands and individually excluded subcarriers are
common to all downstream profiles.
5. Exclusion bands are a minimum of 1 MHz but increment above 1
MHz by granularity of individual subcarrier.
6. Exclusion bands plus individually excluded subcarriers are
limited to 20% or less of spanned modulation spectrum.
In addition, the number of individually excluded subcarriers is
limited by the following:
1. The total spectrum of individually excluded subcarriers cannot
exceed 5% of any contiguous modulation spectrum.
exceed 5% of a 6 MHz moving window across the contiguous
modulation spectrum.
exceed 20% of a 1 MHz moving window across the contiguous
modulation spectrum.
36 CableLabs
For example, 500 kHz of consecutive excluded subcarriers
cannot be an excluded band (< 1 MHz), and cannot be
categorized as individually excluded subcarriers (> 0.05*6 = 0.3
MHz), but 250 kHz of consecutive excluded subcarriers can be
categorized as individually excluded subcarriers (assuming there
are no other individually excluded subcarriers nearby).
The 6 MHz of contiguous spectrum reserved for the PLC cannot
have any exclusion bands or excluded subcarrier.
The ONLY exception to the above is for exclusion bands that are
allowed to occupy the following frequency ranges in alignment with
FCC regulations.
Exclusion Rule Exempt

FCC Exclusion Bands
Start Frequency Stop Frequency

121.400 MHz 121.600 MHz
156.750 MHz 156.850 MHz
242.950 MHz 243.050 MHz
405.925 MHz 406.176 MHz
3.2 OFDM Parameters
3.2.1 IDFT
The OFDM downstream physical layer for DOCSIS 3.1 uses the
same IDFT definition as the upstream physical layer. The CMTS
transmitter MUST use the IDFT definition and subcarrier
referencing method described in Section 1.2.1.
CableLabs 37
3.2.2 Downstream OFDM Numerology
The CMTS MUST output an RF Modulated signal with
characteristics defined in Table 7–39 of the PHYv3.1 specification.
The fundamental OFDM time and frequency parameters of the
downstream signal are in the following table.
Downstream OFDM Time/Frequency Numerology
Sample Rate FFT Size (N) Subcarrier FFT Time

(Symbol Clock) Spacing Duration
204.8 Msps 4096 (4K FFT) 50 kHz 20 μs
(204.8 MHz) 8192 (8K FFT) 25 kHz 40 μs
3.2.3 Cyclic Prefix & Windowing

This section describes how cyclic prefixes are inserted and how a
window is applied to the output of the IDFT at the CMTS and how
they are handled by the CM.
The addition of a cyclic prefix enables the receiver to overcome the
effects of inter-symbol-interference caused by micro-reflections in
the channel.
Windowing maximizes channel capacity by sharpening the edges of
the spectrum of the OFDM signal. Spectral edges occur at the two
ends of the spectrum of the OFDM symbol, as well as at the ends of
internal exclusion bands.
The number of active OFDM subcarriers can be increased by
sharpening these spectral edges. However, sharper spectral edges in
the frequency domain imply longer tapered regions in the time
domain, resulting in increased symbol duration and reduction in
throughput.
Therefore, there is an optimum amount of tapering that maximizes
channel capacity. This optimum is a function of channel bandwidth
as well as the number of exclusion bands.
The CMTS transmitter and the CM receiver MUST support the
cyclic prefix values defined in the following table.
38 CableLabs
Cyclic Prefix Samples
Cyclic Prefix (µs)
(Ncp)
0.9375 192
1.25 256
2.5 512
3.75 768
5.0 1024
The CMTS transmitter and the CM receiver MUST support the roll-
off period values defined in the following table. The CMTS MUST
NOT allow a configuration in which the Roll-Off Period value is ≥
the Cyclic Prefix value.
Roll-Off Period (µs) Roll-Off Period Samples (Nrp)

0 0
0.3125 32
0.625 64
0.9375 96
1.25 128
The Cyclic Prefix and Roll-Off Period sample values above are
found using the sample rate of 102.4 Msamples/s.
3.2.4 Bit Loading / Modulation Formats

The bit loading pattern defines the QAM constellations assigned to
each of the 4096 or 8192 subcarriers of the OFDM transmission.
This bit loading pattern can change from profile to profile.
Continuous pilot locations, PLC locations and exclusion bands are
defined separately, and override the values defined in the bit-
loading profile.
The CMTS modulator and CM demodulator MUST support the
following modulation formats for subcarriers of downstream OFDM
channels.
CableLabs 39
DS CM Modulation Formats DS CMTS Modulation Formats
BPSK BPSK
QPSK QPSK
16-QAM 16-QAM
64-QAM 64-QAM
128-QAM 128-QAM
256-QAM 256-QAM
512-QAM 512-QAM
1024-QAM 1024-QAM
2048-QAM 2048-QAM
4096-QAM 4096-QAM
The CMTS modulator MAY support 8192-QAM and 16384-QAM
for subcarriers of downstream OFDM channels.
NOTE: BPSK is used for pilots only. QPSK is used for the PLC preamble and NCP
messages only. Neither modulation format is used for data transmission.
3.2.5 Profiles
A profile is a list of modulations that are used for the subcarriers
within an OFDM channel. The downstream can use different
profiles for different groups of CMs. Generally, a group of CMs that
have similar SNR performance will be grouped into the same
profile.
Profile A is the boot profile that CMs first begin receiving when
they initialize and register. Profile A should be the receivable by all
CMs within the MAC domain.
There is one convergence layer buffer per profile. These are shallow
buffers that hold only a few packets so as to not build up any
significant latency. The output of these buffers is fed to the
codeword builder.
The codeword builder uses the same profile for an entire codeword.
It can change profiles at each codeword boundary. The convergence
layer buffers do not have to be serviced in any particular order.
The following figure illustrates the convergence layer at the block
level.
40 CableLabs
Downstream Convergence Layer Block Diagram
CableLabs
41
The convergence layer buffers are packets in – bytes out. The
codeword builder combines bytes from one buffer, adds FEC, and
then using the profile modulation vector, it maps the codeword onto
one or more OFDM symbols (or partial symbols).
NOTE: Profiles are defined by the DPD message which is described Section 4.12.1
3.2.6 Next Codeword Pointer (NCP)

When the data codewords are mapped to subcarriers within a
symbol, a pointer is needed to identify where a data codeword
starts. This is known as the Next Codeword Pointer (NCP). There
are a variable number of NCP message blocks (MBs) on each
OFDM symbol.
42 CableLabs
The NCP structure is predicated upon the following facts:
• FEC codewords are mapped continuously across successive
symbols.
• The PHY can determine the first subcarrier of the first NCP
message block.
• The PHY can determine the first subcarrier of the data field in the
current symbol.
Based upon these facts and combined with the information in the
NCP fields, then
• The PHY can determine the last subcarrier of the last NCP
message block.
• The next subcarrier after the last NCP message block CRC is
last subcarrier of the data field.
The main task of the NCP message block is to provide a reference
to the appropriate profile and a start pointer for codewords. The
length of a codeword is determined by the difference between the
subcarrier pointer in two successive NCP message blocks.
The CMTS MUST NOT place more than 11 NCP data message
blocks plus a CRC for a total of 12 NCP MBs in an 8K OFDM
symbol.
The CMTS MUST NOT place more than 12 NCP data message
blocks plus two CRCs for a total of 14 NCP MBs in any two
successive 4K OFDM symbols.
For small bandwidths it is possible that there may not be a
beginning or an end of a FEC codeword in a symbol. That is, a
codeword may begin in the previous symbol and end in the
following symbol. In such a case the CMTS MUST insert a NULL
NCP in the current symbol.
The following diagram shows 9 examples of how the NCP field is
used. This view is prior to interleaving. NCP blocks are mapped to
sub-carriers starting with the first non-excluded subcarrier at the top
of the spectrum and then down in frequency. After the last NCP
MB is a CRC-24-D. Data is mapped to the first non-excluded
subcarrier at the bottom of the frequency range and then continuing
upwards in frequency.
CableLabs 43
44 CableLabs
In symbol 1, Codeword A starts at the beginning of the symbol
and has a start pointer. Codeword B starts after
codeword A and has a start pointer. The length of
codeword A is the difference between the codeword
A start pointer and the codeword B start pointer.
In symbol 2, Codeword C starts at the beginning of the symbol

and has a start pointer. The length of the previous
codeword B is derived from the difference between
the codeword B start pointer and the codeword C
start pointer, taking into account where the last data
subcarrier was in symbol 1. Codeword D gets a start
pointer.
In symbol 3, Codeword D continues from symbol 2 and finishes.

Codeword A follows and is given a start pointer.
The length of codeword D is derived from the
difference between the codeword C start pointer and
the codeword D start pointer, taking into account
where the last data subcarrier was in symbol 2.
In symbol 4, Codeword A continues. Since there is no start

pointer required, but at least one NCP block is
required, an NCP block with a null pointer is
included.
In symbol 5, Codeword A ends. Codeword B begins and ends. A

single NCP block is created with a start pointer to
codeword B.
In symbol 6, Codeword C both starts and ends. A single NCP

block is created with a start pointer to codeword C.
In symbol 7, Codeword D starts and ends. There are no more data
packets to send, so the remaining subcarriers are
unused. A NCP block is assigned for the codeword
D start pointer. A second NCP block is assigned to
the start pointer of the unused subcarriers. This start
pointer is used to determine the length of codeword
D.
CableLabs 45
In symbol 8, Codeword A begins and ends. Codeword B begins
and tried to end with a few subcarriers unused
between the end of the data codeword and the end of
the NCP field. Since no subcarriers can be left
unused, and since an NCP would not fit, an NCP
with a null pointer was inserted and some of the last
few bytes of codeword B were forced into the next
symbol. There is an NCP message block for
codeword A, codeword B, and the null NCP.
In symbol 9, Codeword C starts a few subcarriers into the symbol.

There is one NCP block for codeword C.
The NCP MUST use one of three modulation formats. Depending

on the modulation format used the fixed size NCP message block
can take a variable number of subcarriers in a symbol.
NCP Bits
NCP Modulation Formats Number of Subcarriers
w/ FEC
QPSK 24
48 16-QAM 12
64-QAM 8
3.2.7 Pilot Subcarriers

There are two types of pilots: continuous and scattered. Continuous
pilots occur at fixed frequencies in every symbol. Scattered pilots
occur at different frequency locations in different symbols.
Scattered Pilots
The scattered pilot pattern is synchronized to the PLC as shown in
the following figure. The first OFDM symbol after the PLC
preamble has a scattered pilot in the subcarrier just after the highest
frequency subcarrier of the PLC.
46 CableLabs
Mathematically, the scattered pilot pattern for a 4K FFT is defined
as follows. Let a subcarrier (depicted in the above figure just below
and right of the PLC preamble) be referred to as x(m,n), where:
m is the frequency index
n is the time index (i.e., the OFDM symbol number)
The scattered pilots in the 128 symbols following (and including
symbol n) are given by:
Symbol n: x(n, m±128i), for all non-negative integers i
Symbol (n+1): x(n+1, m±128i + 1) , for all non-negative integers i

⋮
Mathematically, the scattered pilot pattern for an 8K FFT is
defined as follows. Let the subcarrier (depicted in the figure
above just below and right of the PLC preamble) be referred to
as (, ) where:
m is the frequency index
n is the time index (i.e., the OFDM symbol number)
The scattered pilots in the first 64 symbols following and including
symbol n are given by:
Symbol n: x(n, m ± 128i), for all non-negative integers i
Symbol (n+1): x(n + 1, m ± 128i + 2), for all non-negative integers i
⋮
The scattered pilot sequence of the next 64 symbols is the same as above, but with a
single subcarrier shift in the frequency dimension.
⋮
⋮
CableLabs 47
The remainder of the scattered pilot pattern is linked to the scattered
pilot synchronized to the PLC preamble, using the following rules:
1. In each symbol scattered pilots are placed every 128 subcarriers.
2. From symbol to symbol, scattered pilots are shifted by one
subcarrier position in the increasing direction of the frequency
axis. This will result in scattered pilots placed in the exclusion
band and in the PLC band.
3. Scattered pilots are zero-valued in the exclusion bands.
4. Scattered pilots are zero-valued when these coincide with
excluded subcarriers.
5. In the PLC, normal PLC signals (i.e., PLC data or the PLC
preamble) are transmitted instead of scattered pilots. The CMTS
MUST NOT transmit scattered pilots in the PLC band.
48 CableLabs
Continuous Pilots
Continuous pilots occur at the same frequency location in all
symbols and are used for receiver synchronization. Placement of
continuous pilots is determined in two ways:
• Predefined continuous pilot placement around the PLC
• Continuous pilot placement defined via PLC messages
In the figure above the distances referenced are enumerated in the

following table.
Subcarrier Distances for Placement of Predefined Pilots

d1 d2 d3 d4
4K FFT PLC 8 subcarriers 15 24 35 47
8K FFT PLC 16 subcarriers 30 48 70 94
CableLabs 49
Pilot Boosting
The CMTS MUST multiply the real and imaginary components of

continuous and scattered pilots by a real-valued number such that
the amplitude of the continuous and scattered pilots is twice the
root-mean-square value of the amplitude of other subcarriers of the
OFDM symbol; That is, continuous and scattered pilots are boosted
by approximately 6 dB with reference to other subcarriers.
3.3 Power
3.3.1 CMTS Tx Power Requirements

A CMTS MUST generate an RF output with power capabilities as
defined in the following table. In the table N* is defined as
𝐍𝐍𝐞𝐞𝐞𝐞
𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎𝒎[𝟒𝟒𝐍𝐍𝐞𝐞𝐞𝐞 ′ , 𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜𝐜 � �], 𝐍𝐍𝐞𝐞𝐞𝐞 ′ < 𝐍𝐍𝐞𝐞𝐞𝐞 /𝟒𝟒
∗
𝐍𝐍 ≡ � 𝟒𝟒 �
𝐍𝐍𝐞𝐞𝐞𝐞 ′ , 𝐍𝐍𝐞𝐞𝐞𝐞 ′ ≥ 𝐍𝐍𝐞𝐞𝐞𝐞 /𝟒𝟒
and is referred to as the adjusted number of active channel
combined per RF port.
NOTE: For the power table the device is said to be capable of generating Neq-channels
per RF port, where Neq = N + 32*NOFDM "equivalent legacy DOCSIS channels." Also,
Neq’ is the active channels on the RF port capable of Neq channels.
50 CableLabs
CMTS Output Power Requirements
Parameter Value
Required power per channel for
60 – ceil [3.6*log2(N*)]
Neq’ channels combined onto a
dBmV/channel
single RF port:
Range of commanded transmit ≥ 8 dB below required power level
power per channel
Range of commanded power per CMTS MUST: 0 dBc to -2 dBc
channel; adjusted on a per channel relative to the highest commanded
basis transmit power per channel, within an
8 dB absolute window below the
highest commanded power.
Commanded power per channel ≤ 0.2 dB Strictly monotonic
step size
Power difference between any two ≤ 0.5 dB
adjacent channels in the 108-1218
MHz downstream spectrum
Power difference between any two ≤ 1 dB
non-adjacent channels in a 48
MHz contiguous bandwidth block
Power difference (normalized for ≤ 2 dB
bandwidth) between any two
channels OFDM channel blocks or
legacy DOCSIS channels in the
108 - 1218 MHz downstream
spectrum
Power per channel absolute ±2 dB
accuracy
NOTE: For the three power difference rows in the table above, where applicable the
commanded power difference is removed if channel power is independently adjustable
and/or accounting for pilot density variation and subcarrier exclusions.
CableLabs 51
3.3.2 CM Rx Input Power Requirements
The CM receiver input power requirements are covered in the
following table.
CM Input Power Requirements
Parameter Value
< 40 dBmV, 54 MHz – 1.794 GHz
Total Input Power
* Assuming negligible power outside this range
Level Range -9 dBmV/24 MHz to 21 dBmV/24 MHz
Further restrictions on channel conditions regarding additional

demodulated bandwidth and non-demodulated bandwidth region
power levels are contained in Table 7-40 of the PHYv3.1
specification.
In addition level range does not imply anything about BER
performance or capability vs. QAM. CM BER performance is
separately described.
NOTE: Level Range above is equivalent in PSD to SC-QAM of -15 dBmV to + 15
dBmV per 6 MHz
3.4 Forward Error Correction (FEC)

[DVB-C2] section 6.1, FEC Encoding, describes the FEC encoding
requirements for the CMTS transmitter. The CMTS MUST meet the
portion of [DVB-C2] section 6.1, FEC Encoding, as described
below:
The CMTS MUST support the 8/9 code rate for the short codeword
(Nldpc = 16,200 bits) only. Support for other code rates and
codeword sizes is not required.
NOTE: Short Codeword as referenced in this FEC section refers to the 16,200 bit
codeword length as defined in DVB-C2. This is different than “shortened” codewords.
For information on DOCSIS 3.1 support for shortened codewords see Section 7.5.4.2.3
in PHYv3.1.
52 CableLabs
Outer Encoding
[DVB-C2] section 6.1.1, Outer Encoding (BCH), details the outer
encoding requirements for normal and short codewords
(FECFrames). For the CMTS, only short codewords are required.
The CMTS MUST meet the outer encoding requirements for short
FECFrames specified in [DVB-C2] section 6.1.1, Outer Encoding
(BCH).
[DVB-C2] sections 6.1.2, Inner Encoding, and 6.1.2.2, Inner
Coding for Short FECFrame, detail the inner coding requirements
for short codewords. For DOCSIS 3.1 codewords, the CMTS
MUST meet the inner coding requirements for short codewords
and code rate 8/9 specified in [DVB-C2] sections 6.1.2, Inner
Encoding, and 6.1.2.2, Inner Coding for Short FECFrame.
The CMTS MUST support the FEC coding parameters specified in
the table below. This table is based on Table 3(b), from [DVB-C2].
Downstream FEC Parameters
Parameter Value
LDPC Code Rate 8/9
BCH Uncoded Block Size Kbch 14,232
BCH Coded Block Nbch 14,400
LDPC Uncoded Block Size Kldpc 14,400
LDPC Coded Block Size Nldpc 16,200
CableLabs 53
3.4.1 Fidelity and Performance
54
3.4.2 Inband Spurious Emission and MER
Inband Spurious Emissions and MER Requirements
Measurement Range Below 600 MHz 600 MHz to 1002 MHz 1002MHz to 1218MHz
Inband Distortion and Noise
528 MHz total occupied bandwidth,
6 MHz gap (Internal Excluded ≤ -50 dBr ≤ -47 dBr ≤ -45 dBr
subcarriers)
CableLabs
Average over center 400 kHz

subcarriers within gap.
MER in 192 MHz OFDM Per Subcarrier Average Per Subcarrier Average Per Subcarrier Average
channel occupied bandwidth
528 MHz total occupied bandwidth, ≥ 48 dB ≥ 50 dB ≥ 45 dB ≥ 47 dB ≥ 43 dB ≥ 45 dB
MER in 24 MHz OFDM

channel occupied bandwidth, ≥ 48 dB ≥ 45 dB ≥ 43 dB
single OFDM channel only
Average over the complete
OFDM channel.
3.4.3 Phase Noise
CMTS Transmitter Phase Noise Requirements
Integrated Measurement Range 1 kHz – 10 kHz 100 kHz 1 MHz – 10 MHz

10 kHz – 100 – 1 MHz 10 MHz – 100
kHz MHz
Phase noise, double sided maximum, Full power

-48 dBc -56 dBc -60 dBc -54 dBc -60 dBc
CW signal 1002 MHz or lower
Full power 192 MHz OFDM channel block with
6 MHz in center as Internal Exclusion subband +
CableLabs
0 dBc CW in center, with block not extending -48 dBc -56 dBc
beyond 1002 MHz. [CW not processed via FFT]

24 MHz in center as Internal Exclusion subband
+ 0 dBc CW in center, with block not extending -60 dBc
30 MHz in center as Internal Exclusion subband
+ 7 dBc CW in center, with block not extending -53 dBc
The contents of the previous table are subject to multiple notes, please see Table 7-36 in
PHYv3.1 for more information.
55
56
3.4.4 CMTS Output Out-of-Band Noise and Spurious Emissions

For the following table, the adjusted number of active channels combined per RF port N* is defined as:
𝑁𝑁𝑒𝑒𝑒𝑒
∗ 𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚𝑚[4Neq ′ , ceiling � �], Neq ′ < Neq /4
N ≡� 4 �
Neq ′ , Neq ′ ≥ Neq /4
CMTS Output Out-of-Band Noise and Spurious Emissions

CableLabs
Band Requirement (in dBc)
For N* = 1, 2, 3, 4: ≤ -58;
1 Adjacent channel up to 750 kHz from channel
block edge For N* ≥ 5: ≤ 10*log10 [10-58/10 +(0.75/6)*(10-65/10 + (N*-2)*10-73/10)]
For N* = 1: ≤ -62;
2 Adjacent channel (750 kHz from channel block
edge to 6 MHz from channel block edge) For N* ≥ 2: ≤ 10*log10 [10-62/10 +(5.25/6)*(10-65/10 +(N*-2)*10-73/10)]
3 Next-adjacent channel (6 MHz from channel block

edge to 12 MHz from channel block edge) ≤ 10*log10 [10-65/10 +( N*-1)*10-73/10]
For N* = 1: ≤ -73;
For N* = 2: ≤ -70;
For N* = 3: ≤ -67;
4 Third-adjacent
channel (12 MHz from channel
block edge to 18 MHz from channel block edge) For N* = 4: ≤ -65;
For N* = 5: ≤ -64.5;
CableLabs
For N* = 6, 7: ≤ -64;
For N’* ≥ 8: ≤-73 + 10*log10 (N*)
Noise in other channels (47 MHz to 1218 MHz)

Measured in each 6 MHz channel excluding the For N* = 1: ≤ -73;
following:
For N* = 2: ≤ -70;
a) Desired channel(s)
5 For N* = 3: ≤ -68;
b) 1st, 2nd, and 3rd adjacent channels (see Items 1,
2, 3, 4 in this table) For N* = 4: ≤ -67;
c) Channels coinciding with 2nd and 3rd For N’* ≥ 5: ≤ -73 + 10*log10 (N*)
harmonics (see Item 6 in this table)
57
58

In each of 2N’ contiguous 6 MHz channels or in

each of 3N’ contiguous 6 MHz channels
6 coinciding with 2nd harmonic and with 3rd ≤ -73 + 10*log10(N*) dBc, or -63, whichever is greater
harmonic components respectively (up to 1218
MHz)
Lower out of band noise in the band of 5 MHz to

CableLabs
7 47 MHz ≤ -50 + 10*log10(N*)

Measured in 6 MHz channel bandwidth
Higher out of band noise in the band of 1218 MHz For N* ≤ 8: ≤ -55 + 10*log10(N*)
8 to 3000 MHz
Measured in 6 MHz channel bandwidth For N* > 8: ≤ -60 + 10*log10(N*)
The contents of the previous table are subject to multiple notes, please see Table 7-38 in PHYv3.1 for
more information.
3.4.5 CM Receiver Error Ratio Performance
The required level for CM downstream post-FEC error ratio is
defined as less than or equal to 10-6 PER (packet error ratio) with
1500 byte Ethernet packets. This section describes the conditions at
which the CM is required to meet this error ratio.
Implementation loss of the CM MUST be such that the CM
achieves the required error ratio when operating at a CNR as shown
in the following table, under input load and channel conditions as
follows:
• Any valid transmit combination (frequency, subcarrier clock
frequency, transmit window, cyclic prefix, pilot, PLC, subcarrier
exclusions, interleaving depth, multiple modulation profile
configuration, etc.) as defined in this spec.
• P6AVG (the measured channel power divided by number of
occupied CEA channels) ≤ 15 dBmV.
• Up to fully loaded spectrum of 54 - 1218 MHz, including up to
48 analog channels placed lower in the spectrum than the digital
channels.
• Power in (both above and below) 4 adjacent 6 MHz channels ≤
P6AVG+3 dB.
• Power in any 6 MHz channel over the spectrum ≤ P6AVG+6 dB.
• Peak envelope power in any analog channel over the spectrum ≤
P6AVG+6 dB
• Average power per channel across spectrum ≤ P6AVG+3 dB.
• OFDM channel phase noise as in CMTS spec.
• No other artifacts (reflections, burst noise, tilt, etc.).
In the table that follows, three notes apply:
1. CNR is defined here as total signal power in occupied bandwidth
divided by total noise in occupied bandwidth
2. Channel CNR is adjusted to the required level by measuring the
source inband noise including phase noise component and adding
the required delta noise from an external AWGN generator
3. Applicable to an OFDM channel with 192 MHz of occupied
bandwidth
CableLabs 59
CM Minimum CNR Performance in AWGN Channel
CNR (dB) CNR (dB)

Constellation Min P6AVG dBmV
Up to 1 GHz 1 GHz to 1.2 GHz
4096 41.0 41.5 -6
2048 37.0 37.5 -9
1024 34.0 34.0 -12
512 30.5 30.5 -12
256 27.0 27.0 -15
128 24.0 24.0 -15
64 21.0 21.0 -15
16 15.0 15.0 -15
60 CableLabs
MAC
Management
Messages
CableLabs
4 MAC Management Messages (MMM)
4.1 MMM Header
62 CableLabs
4.2 MMM Type Summary
Type Version A* Name Description
1 1 M SYNC Timing Synchronization
2 1 M UCD Upstream Channel

Descriptor
29 3
• A UCD for a DOCSIS
35 4 3.1 Only channel
51 5 (OFDM) uses a type of
51 and a version of 5.
3.0 Only channel uses a
type of 35 and a version
of 4.
2.0/3.0 Only Channel
uses a type of 29 and a
version of 3.
• All other UCDs use a
of 1
CableLabs 63
3 1 M MAP Upstream Bandwidth

Allocation
3 5
• A Map of version 1 is
understood by DOCSIS
3.1/3.0/2.0/1.1/1.0
equipment.
• A Map of version 5 is
understood by DOCSIS
3.1 equipment only. (If
the CAT field is 0x1,
this is a P-MAP)
4 1 U RNG- Ranging Request

REQ
4 5 • A RNG-REQ for
DOCSIS 3.1 : When
sending a RNG-REQ to
a DOCSIS 3.1 CMTS, a
DOCSIS 3.1 CM uses a
of 5.
• All other RNG-REQs
use a type of 4 and a
version of 1
64 CableLabs
5 1 U RNG- Ranging Response

RSP
5 5 • A RNG-RSP of version
1 is understood by
DOCSIS
3.1/3.0/2.0/1.1/1.0
equipment.
• A RNG-RSP of version
5 is understood by
DOCSIS 3.1 equipment
only.
6 1 U REG- Registration Request

REQ
7 1 U REG-RSP Registration Response
8-11 1 x Reserved (deprecated)
12 1 U BPKM- Privacy Key Management

REQ Request
13 1 U BPKM- Privacy Key Management

RSP Response
14 2 U REG- Registration Acknowledge

ACK
15 2 U DSA- Dynamic Service Addition

REQ Request
16 2 U DSA-RSP Dynamic Service Addition

Response
CableLabs 65
17 2 U DSA- Dynamic Service Addition

ACK Acknowledge
18 2 U DSC- Dynamic Service Change

REQ Request
19 2 U DSC-RSP Dynamic Service Change

Response
20 2 U DSC- Dynamic Service Change

ACK Acknowledge
21 2 U DSD- Dynamic Service Deletion

REQ Request
22 2 U DSD-RSP Dynamic Service Deletion

Response
23 2 U DCC- Dynamic Channel Change

REQ Request

RSP Response

ACK Acknowledge
26 2 x Reserved (deprecated)
29 3 M (See entry for UCD above)
66 CableLabs
30 3 U INIT- Initial Ranging Request

RNG-
REQ
31 3 U TST-REQ Test Request Message
32 3 M DCD Downstream Channel

Descriptor
33 4 M MDD MAC Domain Descriptor
U B-INIT- Bonded Initial Ranging

RNG- Request
34 4 REQ
• A B-INIT-RNG-REQ
34 5 for DOCSIS 3.1: When
sending a B-INIT-
RNG-REQ to a
DOCSIS 3.1 CMTS, a
DOCSIS 3.1 CM uses a
of 5.
• All other B-INIT-RNG-
REQs use a type of 34
and a version of 3
35 4 U (See entry for UCD above)
36 4 U DBC- Dynamic Bonding Change

REQ Request

RSP Response
CableLabs 67

ACK Acknowledge
39 4 U DPV- DOCSIS Path Verify

REQ Request
40 4 U DPV-RSP DOCSIS Path Verify

Response
41 4 U CM- Status Report

STATUS
42 4 U CM- CM Control
CTRL-
REQ
43 4 U CM- CM Control Response

CTRL-
RSP
44 4 U REG- Multipart Registration

REQ-MP Request
45 4 U REG- Multipart Registration

RSP-MP Response
46 4 U EM-REQ Energy Management

Request
47 4 U EM-RSP Energy Management

Response
48 4 U CM- Status Report Acknowledge

STATUS-
ACK
68 CableLabs
-- -- -- O-INIT- OFDM Initial Ranging

RNG- Request
REQ
49 5 M OCD OFDM Channel Descriptor
50 5 M DPD Downstream Profile

Descriptor
51 5 M (See entry for UCD above)
52 5 U ODS- OFDM Downstream

REQ Spectrum Request
53 5 U ODS-RSP OFDM Downstream

Spectrum Response
54 5 U OPT- OFDM Downstream Profile

REQ Test Request
55 5 U OPT-RSP OFDM Downstream Profile

Test Response
56 5 U OPT- OFDM Downstream Profile

ACK Test Acknowledge
57 5 U DTP- DOCSIS Time Protocol

REQ Request
58 5 U DTP-RSP DOCSIS Time Protocol

Response

ACK Acknowledge
CableLabs 69

INFO Information
61– Reserved for future use

255
Table Notes: A*: Ethernet Destination MAC Address Type

M = Multicast message
U = Unicast message
x = not used in DOCSIS 3.1
4.3 Upstream Channel Descriptor (UCD)
Name T L V
Modulation 1 1 Multiples of base rate of 160 kHz. For

Rate TDMA channels, valid Values 1, 2, 4,
8, 16, or 32.
Frequency 2 4 Upstream center frequency (Hz).
Preamble 3 1-128 The Value field defines the first

Pattern portion of the Preamble Superstring..
Burst 4 n
Descriptor
(DOCSIS 1.x)
Burst 5 n
Descriptor
(DOCSIS
2.0/3.0)
Extended 6 1-64 512 Bit Preamble Superstring

Preamble extension.
Pattern
S-CDMA 7 1 1 = on; 2 = off.

Mode Enable
70 CableLabs
Octets
MAC Management
Message Header
Upstream Configuration Mini-Slot Downstream

channel ID Change Count Size channel ID
TLV-encoded information
for the overall channel
TLV-encoded Burst
Description
TLV-encoded information for the

subsequent burst descriptors
Name T L V
Modulation 1 1 Multiples of base rate of 160 kHz. For

Rate TDMA channels, valid Values 1, 2, 4,
8, 16, or 32.
Frequency 2 4 Upstream center frequency (Hz).
Preamble 3 1-128 The Value field defines the first

Pattern portion of the Preamble Superstring..
Burst 4 n
Descriptor
(DOCSIS 1.x)
Burst 5 n
Descriptor
(DOCSIS
2.0/3.0)
Extended 6 1-64 512 Bit Preamble Superstring

Preamble extension.
Pattern
S-CDMA 7 1 1 = on; 2 = off.

Mode Enable
CableLabs 71
S-CDMA 8 1 Number of consecutive spreading
Spreading intervals mapped onto a two-
Intervals per dimensional frame. (Value is 1 through
frame 32).
S-CDMA 9 1 Number of consecutive codes mapped

Codes per into a two-dimensional minislot.
Minislot (Value is 2 through 32).
S-CDMA 10 1 Number of codes available to carry

Number of data payload. (Value is 64 through
Active Codes 128). This value is a multiple of Codes
per Minislot (TLV type 9).
S-CDMA 11 2 15-bit seed to initialize code hopping

Code Hopping sequence. The value is left-justified in
Seed the 2-byte field. Set seed = 0 to disable
code hopping.
S-CDMA US 12 2 The numerator (M) of the M/N ratio

ratio relating the downstream symbol clock
numerator 'M' to the upstream modulation clock.
S-CDMA US 13 2 The denominator (N) of the M/N ratio

ratio relating the downstream symbol clock
denominator to the upstream modulation clock.
'N'
S-CDMA 14 9 Snapshot of the timestamp, minislot,

Timestamp and S-CDMA frame taken at an S-
Snapshot CDMA frame boundary at the CMTS.
Maintain 15 1 1=on; 2=off.

Power Spectral
Density
72 CableLabs
Ranging 16 1 0= no ranging required
Required 1= unicast initial ranging required
2= broadcast initial ranging required
3= probing required (Only applicable
for OFDMA channels)
S-CDMA 17 1 1=Maximum Scheduled Codes is

Maximum enabled.
Scheduled 2=Maximum Scheduled Codes is
Codes enabled disabled.
Ranging Hold- 18 4 Bit Field with values representing

Off Priority device classes,
Field
Channel Class 19 4 Bit Field with values representing

ID device classes
S-CDMA 20 1 0,1,2,3= Selectable active codes mode

selection mode x enabled and code hopping disabled.
for active
codes and code
hopping
S-CDMA 21 16 128-bit string indicating which codes

selection string are active.
for active
codes
Higher UCD 22 1 Bit 0: 1 if UCD35 is present for this

for the same UCID; 0 if UCD35 is not present
UCID present Bits 1-7: Reserved for future use, set to
bitmap 0; Not applicable to an OFDMA
channel.
Burst 23 n
Descriptor
(DOCSIS 3.1)
CableLabs 73
UCD Change 24 2 Bit #0 UCD contains changes in the
Indicator Subcarrier Exclusion Band TLV
Bitmask
Bit #1 UCD contains changes in the
Unused Subcarrier Specification TLV
Bit #2 UCD contains changes in
Channel TLV Parameters other than
Subcarrier Exclusion Band and Unused
Subcarrier Specification TLVs.
burst attributes associated with IUC 5
burst attribute TLVs for IUC3 or IUC4
All other bits are reserved.
OFDMA 25 9 Snapshot of the timestamp and

Timestamp minislot taken at an OFDMA frame
Snapshot boundary at the CMTS.
74 CableLabs
OFDMA 26 1 1: 96 samples
Cyclic Prefix
Size 2: 128 samples
3: 160 samples
4: 192 samples
5: 224 samples
6: 256 samples
7: 288 samples
8: 320 samples
9: 384 samples
10: 512 samples
11: 640 samples
OFDMA 27 1 1: 0 samples
Rolloff Period
Size 2: 32 samples
3: 64 samples
4: 96 samples
5: 128 samples
6: 160 samples
7; 192 samples
8: 224 samples
Subcarrier 28 1 1: 25 kHz (corresponds to 4096

Spacing subcarriers and 16 subcarriers per
minislot)
2: 50 kHz (corresponds to 2048
subcarriers and 8 subcarriers per
minislot)
CableLabs 75
Center 29 4 Center frequency in Hz of lowest
Frequency of frequency subcarrier in the IDFT block
Subcarrier 0 (subcarrier 0) Value is a multiple of 25
kHz or 50 kHz,
Subcarrier 30 4*n starting subcarrier index of exclusion

Exclusion band (2 most significant bytes) | ending
Band subcarrier index of exclusion band (2
least significant bytes)
Unused 31 4*n starting subcarrier index of unused

Subcarrier subcarrier band (2 most significant
Specification bytes) | ending subcarrier index of
unused subcarrier band (2 least
significant bytes).
Symbols in 32 1 Number of symbols in time in an

OFDMA OFDMA frame (6-36).
frame
Randomization 33 3 23-bit randomization seed for OFDMA

Seed channels.
4.3.1 Burst Attributes
76 CableLabs
Name T L V
Modulation 1 1 1 = QPSK
Type 2 = 16-QAM
3 = 8-QAM
4 = 32-QAM
5 = 64-QAM
6 = 128-QAM (S-CDMA only)
7 = Reserved for C-DOCSIS
Differential 2 1 1 = on, 2 = off

Encoding
Preamble 3 2 Up to 1536 bits for a type 5 Burst
Length Descriptor. Up to 1024 bits for a type 4
Burst Descriptor. Up to 512 bits for a
Type 23 Burst Descriptor.
Preamble Value 4 2 Identifies the bits to be used in the

Offset preamble.
FEC Error 5 1 0-16 for descriptors encoded in a type 5

Correction (T) Burst Descriptor.
0-10 for descriptors encoded in a type 4
Burst Descriptor.
(0 implies no FEC. The number of
codeword parity bytes is 2*T).
FEC Codeword 6 1 Fixed: 16 to 253 (assuming FEC on).

Information Shortened: 16 to 253 (assuming FEC
Bytes (k) on).
(Not used if no FEC, T=0.)
Scrambler Seed 7 2 The 15-bit seed value left justified in

the 2 byte field.
Maximum 8 1 The maximum number of minislots that

Burst Size can be transmitted during this burst
type.
CableLabs 77
Name T L V
Guard Time 9 1 For TDMA channels, the number of
Size modulation intervals measured from the
end of the last symbol of one burst to
the beginning of the first symbol of the
preamble of an immediately following
burst.
Last Codeword 10 1 1 = fixed; 2 = shortened.
Length
Scrambler 11 1 1 = on; 2 = off.

on/off
R-S Interleaver 12 1 Reed-Solomon block interleaving

Depth (Ir) depth. A depth of 0 indicates Dynamic
Mode; a depth of 1 indicates RS
Interleaving Disabled
R-S Interleaver 13 2 Reed-Solomon block interleaving size

Block Size (Br) in Dynamic Mode. (2*Nr through 2048
where Nr=k+2T).
Preamble Type 14 1 1 = QPSK0

2 = QPSK1
S-CDMA 15 1 1 = on; 2 = off.

Spreader on/off
S-CDMA 16 1 Number of codes per sub-frame used in

Codes per the S-CDMA framer (1 through 128).
Subframe
S-CDMA 17 1 Size of interleaving steps used in S-

Framer CDMA framer (1 through 31
Interleaving
Step Size
TCM Encoding 18 1 1 = on; 2 = off.
78 CableLabs
Name T L V
Subcarriers 19 2 Number (even number only) of
(Nir) Initial subcarriers for Initial Ranging;
Ranging
Subcarriers 20 2 Number (even number only) of

(Nfr) Fine subcarriers for Fine Ranging;
Ranging
OFDMA 21 2*n Modulation order indexing that is

Profile encoded in the 4 bits for subcarrier bit-
loading in the first byte:
0= no bit-loading
1 = BPSK
2 = QPSK
3 = 8-QAM
4 = 16-QAM
5 = 32-QAM
6 = 64-QAM
7 = 128-QAM
8 = 256-QAM
9 = 512-QAM
10 = 1024-QAM
11 = 2048-QAM
12 = 4096-QAM
CableLabs 79
4.4 MAP
4.4.1 MAP Version 5
Octets
First interval SID IUC offset = 0
Second interval SID IUC offset
Last interval SID IUC offset
End-of-list (Null IE) IUC=

SID = 0 offset = map length
7
SID IUC offset = map length
Acknowledgements and
Data Grants
Pending
SID IUC offset = map length
80 CableLabs
4.4.2 MAP IE
IE Name IUC SID

(14 bits)
Request 1 any
Request_2 2 multicast
Initial Maintenance 3 broadcast or unicast
Station Maintenance 4 unicast
Data Profile IUC5 5 unicast
Null IE 7 zero
Reserved 8 unicast

(UGS)
Reserved 14 any
Expansion 15 expanded IUC
CableLabs 81
4.4.3 P-MAP Message
4.4.3.1 Probe IE Structure
4.4.3.2 Probe IE Definition
Field L Definition
SID 14 Ranging SID for CM assigned to use this

bits probe
MER 1 bit CMTS RxMER Measurement Control

(ignored by CM)
0= do not measure RxMER at the CMTS on
this probe
1= measure RxMER at the CMTS on this
probe
82 CableLabs
Field L Definition
PW (Power) 1 bit Power Control for Probe

0= transmit using normal power settings.
1= transmit using alternate power
EQ (Tx 1 bit Transmit Equalization for Probe

Equalization)
0= equalizer enabled
1= equalizer disabled
St (Stagger) 1 bit If this bit is 1, repeat the pattern in this P-IE

in the next number of symbols equal in
quantity to "Subc skip" and by moving the
pattern up by one subcarrier in each symbol
and wrapping the pattern back to the
beginning. If this value is zero, no stagger is
to be used.
Probe Frame 2 bits Number of frames offset from the frame

beginning at the allocation start time of this
MAP; this indicates the first frame for which
this P-IE is applicable. A value of zero
indicates the first probe frame of the MAP.
Symbol in 6 bits Number of symbols offset from the

Frame beginning of the probe frame specified in the
Probe Frame Field. A value of zero indicates
the first symbol of the probe frame. Valid
values are 0 to K-1 where K is the number of
symbols in a frame.
CableLabs 83
Field L Definition
Start Subc 3 bits Starting Subcarrier – this value represents

the starting subcarrier to be used by the
probe. A value of zero indicates the first
subcarrier in the symbol. Start Subc must be
less than or equal to the Subc Skip value
when PW=0.
For PW=1, the following power per
subcarrier MUST be used for the probe
transmission:
Start Subc, power per subcarrier reduced by,
0, 2 dB,
1, 3 dB,
2, 4 dB,
3, 5 dB,
4, 6 dB,
5, 7 dB,
6, 8 dB,
7, 9 dB.
Subc Skip 3 bits Subcarrier Skipping is the number of

subcarriers to be skipped between successive
pilots in the probe. A value of zero implies
no skipping of subcarriers and that all non-
excluded subcarriers are used for probing.
For staggered patterns, Subc Skip performs
an additional function. (Subc Skip + 1) is the
total number of symbols for which the
staggered P-IE allocation applies.
84 CableLabs
4.5 Ranging
4.5.1 Formats
RNG-REQ
INIT-RNG-REQ
B-INIT-RNG-REQ
O-INIT-RNG-REQ
CableLabs 85
4.5.2 CM RNG-REQ Usage
Ranging Situation Channel Type
1, 2, 3, 4 5
CM initializing on first B-INIT- O-INIT-RNG-

channel, and transmitting in a RNG-REQ REQ
broadcast Initial Maintenance
opportunity.
CM initializing on secondary RNG-REQ O-INIT-RNG-

channel, and transmitting in a REQ
broadcast or unicast Initial
Maintenance opportunity
CM transmitting in a Station RNG-REQ B-INIT-RNG-

Maintenance opportunity REQ, or RNG-
REQ
4.5.3 RNG-RSP Encodings
Name Type L Value
Timing Adjust, 1 4 TX timing offset adjustment

Integer Part [signed 32-bit, units of (6.25
microsec/64) for TDMA and
S-CDMA channels, units of
(1/204.8 MHz) for OFDMA
channels.]
Power Level 2 1 TX Power offset adjustment

Adjust (signed 8-bit, 1/4-dB units).
86 CableLabs
Name Type L Value
Offset Frequency 3 2 TX frequency offset

Adjust adjustment (signed 16-bit, Hz
units). For an OFDMA
channel, the CM MUST
ignore the TX frequency
offset adjustment.
Transmit 4 n TX equalization data to be

Equalization convolved with current values
Adjust
Ranging Status 5 1 1 = continue, 2 = abort, 3 =

success.
Downstream 6 4 For SC-QAM channels, the

frequency center frequency of the SC-
override QAM channel.
For OFDM channels, the
center frequency of the lowest
subcarrier of the 6 MHz
encompassed spectrum
containing the PHY Link
Channel (PLC) at its center.
Upstream channel 7 1 Identifier of the new upstream

ID override channel.
Timing Adjust, 8 1 TX timing fine offset

Fractional Part adjustment.
Transmit 9 n TX equalization data to be

Equalization Set loaded in place of current
values
CableLabs 87
Name T L V
S-CDMA 10 1 A value of 0 means no code

Maximum limit. Other possible values
Scheduled range from 4 to
Codes number_active_codes
inclusive.
S-CDMA Power 11 1 The units are dB. The range of

Headroom this TLV is from 0 to 4*10log
 Number _ Active _ Codecs 
 
 Maximum _ Scheduled _ Codecs 
 
Upstream 12 n
Channel
Adjustments
Upstream 12.1 1 The ID of the channel.

Channel ID
Temp SID 12.2 2 SID to be used on the new

channel.
Initialization 12.3 1 1 = Perform broadcast initial

Technique ranging
2 = Perform unicast ranging
3 = Perform either broadcast or
unicast
4 = Reserved
5 = Perform probing (OFDMA
upstream)
0, 6 – 255: reserved
Ranging 12.4 n Contains sub-TLVs for ranging

Parameters adjustments.
88 CableLabs
Name Type L Value
Ranging 12.4 n Contains sub-TLVs for

Parameters ranging adjustments.
Deprecated 12.4.1 1 Deprecated
Timing Offset, 12.4.2 4 TX timing offset adjustment

Integer Part (signed 32-bit, units of (6.25
microsec/64)) for TDMA and
S-CDMA channels, units of
(1/204.8 MHz) for OFDMA
channels.
Timing Offset, 12.4.3 1 TX timing fine offset

Fractional Part adjustment. 8-bit unsigned
value specifying the fine
timing adjustment in units of
1/(256*10.24 MHz) for S-
CDMA and TDMA or
1/(256*204.8 MHz) for
OFDMA.
Power Offset 12.4.4 1 TX Power offset adjustment

(signed 8-bit, 1/4-dB units).
Frequency Offset 12.4.5 2 TX frequency offset

adjustment (signed 16-bit, Hz
units). This TLV is not
applicable for OFDMA
channels.
Ranging Status 12.4.6 1 = continue, 2 = abort, 3 =

success.
CableLabs 89
Name Type L Value
T4 Timeout 13 1 Multiplier of the default T4

Multiplier Timeout as defined earlier in
this section.
Dynamic Range 14 1 The upper edge of the

Window Upper Dynamic Range Window
Edge expressed in units ¼ db below
the max allowable setting
(Phi)
15-16 2 Defined in table below due to

2-byte length field
Commanded 17 5 This TLV contains the

Power + Dynamic Range Window
3 value, Pload_min_set as well
* as the Transmit Power Level
n for each of the channels in the
CM's Transmit Channel Set,
expressed in units of quarter
dBmV.
Reserved n Reserved for future use.
90 CableLabs
4.5.3.1 Ranging Response Message Encodings with 2-Byte
Length Field
Name Value
(Variable Length)
Transmit Type 15, TX equalization data to be multiplied
Equalizati Length with current values.
on Adjust =2
Lowest subcarrier number for which
for coefficient is being adjusted (12 bits)
OFDMA
Highest subcarrier number for which
Channels
coefficient is being adjusted (12 bits)
List of coefficients in order from lowest
to highest subcarrier with 2 byte real
coefficients followed by 2 byte imaginary
coefficients.
Transmit Type 15, TX equalization data to be loaded in
Equalizati Length place of current values.
on Set for =2
Lowest subcarrier number for which
OFDMA coefficient is being loaded (12 bits)
Channels
Highest subcarrier number for which
coefficient is being loaded (12 bits)
List of coefficients in order from lowest
to highest subcarrier with 2 byte real
coefficients followed by 2 byte imaginary
coefficients.
CableLabs 91
4.6 Registration
4.6.1 REG-REQ-MP
Octets
MAC Management Message Header
Number of Fragment
SID
fragments Sequence Num.
4.6.2 REG-RSP-MP
Octets
SID from corresponding Number of

Response
REG-REQ-MP fragments
Fragment
Sequence Num
92 CableLabs
4.6.3 REG-ACK
Octets
SID from corresponding Confirmation

REG-RSP Code
4.7 MAC Domain Descriptor (MDD)

Octets
Fragment
Configuration Number of Current Channel
Sequence
Change Count Fragments DCID
Number
CableLabs 93
4.7.1 Downstream Active Channel List TLV
T L V
1 # of bytes including in See sub-

sub-TLVs TLVs
4.7.1.1 Sub-TLVs
T L V
1.1 1 Channel ID
1.2 4 The center frequency of the downstream channel (Hz).
1.3 1 Modulation Order. Not present on an OFDM channel.
1.4 1 Primary capable:

0 = channel is not primary-capable
1 = channel is primary-capable
1.5 2 CM-STATUS Event Enable Bitmask:

0 - Reserved (unused)
1 - MDD timeout
2 - QAM/FEC lock failure
3 - Reserved (used for non-channel-specific events)
4 - MDD Recovery
5 - QAM/FEC Lock Recovery
6 – 8 - Reserved
9 – 10 - Reserved
11 – 15 - Reserved
1.6 1 MAP and UCD Transport Indicator.

0 = channel cannot carry MAPs and UCDs for the
MAC domain for which the MDD is sent
1 = channel can carry MAPs and UCDs for the MAC
domain for which the MDD is sent
2 – 255 = Reserved
94 CableLabs
1.7 1 OFDM PLC parameters:
Bit 7 Reserved
Bit 6 – Sub carrier spacing:
0 = 25Khz
1 = 50KHz
Bits 5 – 3:Cyclic Prefix
0 = 0.9375 μs (192 * Ts)
1 = 1.25 μs (256 * Ts)
2 = 2.5 μs (512 * Ts)
3 = 3.75 μs (768 * Ts)
4 = 5 μs (1024 * Ts)
5 – 7 = Reserved
Bits 2 – 0: Tukey raised cosine window, embedded
into cyclic prefix
0 = 0 μs (0 * Ts)
1 = 0.3125 μs (64 * Ts)
2 = 0.625 μs (128 * Ts)
3 = 0.9375 μs (192 * Ts)
4 = 1.25 μs ( 256 * Ts)
5 – 7 = Reserved
4.7.2 MAC Domain Downstream Service Group TLV
Type Length Value
2 # of bytes including in sub- See sub-TLVs

TLVs
CableLabs 95
4.7.2.1 Sub-TLVs
Type Length Value
2.1 1 MD_DS_SG_ID
2.2 N (where N = 1 byte for Each byte contains DCID which

each downstream is part of this MD-DS-SG
channel
4.7.3 Downstream Ambiguity Resolution Frequency List
Type Length Value
3 N (N = 4 bytes Consists of concatenated 4-byte

times number of fields. Each 4-byte field
frequencies contains a center frequency in
listed) Hz.
4.7.4 Receive Channel Profile Reporting Control
Type Length Value
4 # of bytes including in See sub-TLVs

sub-TLVs
96 CableLabs
4.7.4.1 Sub-TLVs
T L V
4.1 1 RCP SC-QAM Center Frequency Spacing.

0 = report only RCPs with 6 MHz center frequency
spacing.
1 = report only RCPs with 8 MHz center frequency
spacing.
4.2 1 Verbose RCP reporting. 1 byte:

0 = do not verbose report
1= provide verbose reporting
4.3 1 Fragmented RCP transmission. 1 byte:

0 = Reserved
1= CM MAY transmit RCPs requiring fragmentation
in addition to those that do not
4.7.4.2 IP Initialization Parameters
T L V
5 # of bytes including in See sub-TLVs

sub-TLVs
4.7.4.3 Sub-TLVs
T L V
5.1 1 IP Provisioning Mode

0 = IPv4 Only
1 = IPv6 Only
2 = Alternate (APM)
3 = Dual-stack (DPM
CableLabs 97
T L V
5.2 3 Pre-Registration DSID. Three bytes:

bits 23 – 20: Reserved (set to zero).
bits 19 – 0: DSID value to be used by the CM for
filtering and forwarding Downstream Link-Local
Multicast used for IPv6 stack initialization and
Neighbor Solicitation prior to registration
4.7.5 Early Authentication and Encryption (EAE)

Enable/Disable
T L V
6 1 One byte:
0 = EAE disabled;
1= EAE enabled;
4.7.6 Field definitions for Active Upstream Channel List
T L V
7 # bytes including sub- See sub-TLVs

TLVs
98 CableLabs
4.7.6.1 Sub-TLVs
T L V
7.1 1 The upstream channel ID for a channel being listed
7.2 2 CM-STATUS Event Enable Bitmask: 2 bytes.

0 = Reserved (unused)
1 – 2 = Reserved (used for downstream specific
events)
3 = Reserved (used for non-channel-specific
events)
4 – 5 = Reserved (used for downstream specific
events)
6 = T4 timeout
7 = T3 re-tries exceeded
8 = Successful ranging after T3 re-tries exceeded
9 – 10 = Reserved (used for non-channel-specific
events)
11 – 15 = Reserved for future use
7.3 1 Upstream Channel Priority
4.7.7 Upstream Ambiguity Resolution Channel List
T L V
8 N (where N = the number Each byte contains a UCID for a

of channel IDs) channel
4.7.8 Upstream Frequency Range
T L V
9 1 Upstream Frequency Range: 1 byte.

0 = Standard Upstream Frequency Range
1 = Extended Upstream Frequency Range
CableLabs 99
4.7.9 Symbol Clock Locking Indicator
T L V
10 1 Symbol Clock Locking Indicator

0 = Symbol Clock is not locked to Master Clock
1 = Symbol Clock is locked to Master Clock
4.7.10 CM-STATUS Event Control TLV
T L V
11 10 Event Control Encoding
11.1 1 Event Type Code
11.2 2 Maximum Event Holdoff Timer in units of 20

milliseconds. Valid range: 1..65535.
11.3 1 Maximum Number of Reports per event:

0: Unlimited number of reports
1 – 255: Maximum number of reports for an
event type reporting transaction.
11.4 1 CM-STATUS-ACK Reports per event

1: CM-STATUS-ACK stops unlimited number of
reports for this event
4.7.11 Upstream Transmit Power Reporting
T L V
12 1 0: CM does not report transmit power in RNG-

REQ, INIT-RNG-REQ, and B-INIT-RNG-REQ
1: CM reports transmit power in RNG-REQ,
INIT-RNG-REQ, and B-INIT-RNG-REQ
100 CableLabs
4.7.12 DSG DA-to-DSID Association Entry
T L V
13 # of bytes including See sub-TLVs

sub-TLVs
4.7.12.1 Sub-TLVs
T L V
13.1 6 DA: MAC DA to which this association applies.
13.2 3 Bits 23-20: Reserved.

Bits 19-0: 20-bit DSID associated with the DA
contained in 13.1.
CableLabs 101
4.7.13 CM-STATUS Event Enable for Non-Channel-Specific
Events
T L V
15 2 CM-STATUS Event Enable Bitmask for Non-

Channel-Specific Events; 2 bytes.
0 - Reserved (unused)
1 – 2 - Reserved (used for downstream specific
events)
3 - Sequence out-of-range
4 – 5 - Reserved (used for downstream specific
events)
6 – 8 - Reserved (used for upstream specific
events)
9 - CM operating on battery backup
10 - CM returned to A/C power
11 - CM MAC Address Removal
12 – 15 - Reserved for future use
4.7.14 Extended Upstream Transmit Power Support
T L V
16 1 Extended Upstream Transmit Power Support

0 = Extended Upstream Transmit Power Support
Off
1 = Extended Upstream Transmit Power Support
On
4.7.15 CMTS DOCSIS Version TLV
T L V
17 N CMTS DOCSIS Version
102 CableLabs
4.7.15.1 Sub-TLVs
T L V
17.1 1 CMTS Major DOCSIS Version
17.2 1 CMTS Minor DOCSIS Version
4.7.16 CM Periodic Maintenance Timeout Indicator
T L V
18 1 CM Periodic Maintenance Timeout Indicator: 1

byte.
0 = use Unicast Ranging opportunity
1 = use Probe opportunity
2 = use Unicast Ranging or Probe opportunity
3 – 255 = Reserved
4.7.17 DLS Broadcast and Multicast Delivery Method
T L V
19 1 DLS Broadcast and Multicast Delivery Method:

1 byte.
1 = delayed selected multicast method
2 = selectively replicated multicast method
All other values = Reserved
CableLabs 103
4.7.18 CM-STATUS Event Enable for DOCSIS 3.1 Events
T L V
20 4 CM-STATUS Event Enable Bitmask for

DOCSIS 3.1 Events.
0 – Downstream OFDM Profile Failure
1 – Primary Downstream Channel Change
2 – DPD Mismatch
3 – Invalid DPD message
4 – NCP Profile Failure
5 – Loss of FEC lock on PLC
6 – NCP Profile Recovery
7 – FEC Recovery on PLC
8 – FEC Recovery on OFDM Profile
9 – OFDMA Profile Failure
10 – MAP Storage Overflow Indicator
11 – MAP Storage Almost Full Indicator
12 – 31 - Reserved for future use
104 CableLabs
4.8 Energy Management
4.8.1 EM-REQ
4.8.2 EM-RSP
CableLabs 105
4.9 EM-RSP TLVs
4.9.1 Hold-Off Timer

This TLV specifies the amount of time to delay in seconds before
transmitting an EM-REQ message again.
Type Length Value
1 2 Minimum time (in seconds) before

transmitting another EM-REQ
message
4.10 OFDM Channel Descriptor

4.11 OCD message
An OFDM Channel Descriptor allows the CMTS to communicate
the parameters of the Downstream OFDM channel to cable
modems. OCD describes the downstream direction only. OCD is
used for parameters that are common for all profiles and are static
assignments.
Octets
Downstream Configuration
Channel ID Change Count
TLV encoded information
106 CableLabs
4.11.1 OCD TLVs
Name T L V
Discrete 0 1 The size of the DFT defining

Fourier the OFDM transmission.
Transform
size 0 = 4096 subcarriers at 50 kHz
spacing
1 = 8192 subcarriers at 25 kHz
spacing
2 to 255 are reserved
Cyclic 1 1 This is the length of the cyclic

prefix prefix. The sample number
given is with reference to a
sample rate of 204.8 M
samples/s.
0 = 0.9375 µs with 192
samples
1 = 1.25 µs with 256 samples
Roll-off 2 1 This parameter specifies the

transmitter window roll-off
value.
0 = 0 µs with 0 samples
3 = 0.9375 µs with 192
samples
CableLabs 107
Name T L V
OFDM 3 4 This is a 32-bit number that

spectrum specifies the center frequency
location in Hz of the subcarrier 0 of the
OFDM transmission. Value is
a multiple of 25 kHz or 50
kHz, respectively, for
subcarrier spacing of 25 kHz
or 50 kHz. This is the
frequency of subcarrier X(0) in
the definition of the DFT. See
section 3.2.1
Time 4 1 This integer that defines the

Interleaving depth of time interleaving
Depth from 1 up to a maximum value
of 32.
Subcarrier 5 Range byte 0, 00 = range,

Assignment 5 bits 7:6 continuous
Range/List 01 = range, skip by
1
List 10 = list
5-255 11 = reserved
byte 0, 0 = specific value

bit 5 1 = default value
byte 0, 00, 02-15, 17-19,

bits 4:0 21-31 = reserved
01 = continuous
pilot
16 = excluded
subcarriers
20 = PLC, 16-
QAM
108 CableLabs
Name T L V
bytes Start subcarrier

2,1 index (range
mode), or
first list entry (list
mode).
bytes End subcarrier

4,3 index (range
mode), or second
list entry (list
mode)
bytes Subsequent list

6,5 to entries (list mode).
bytes
254,
253
The role of subcarrier assignment is shared between the OCD and

DPD message. The sub-carrier assignment TLV for OCD defines:.
• Exclusion of subcarriers
• Location of the PLC
• Continuous pilots
4.12 Downstream Profile Descriptor
4.12.1 DPD message

A Downstream Profile Descriptor allows the CMTS to
communicate the parameters of Downstream Profiles to cable
modems. There is one DPD message per profile. The DPD can be
changed dynamically.
CableLabs 109
Octets
Downstream Configuration
Profile Identifier
Channel ID Change Count
4.12.1.1 DPD TLVs : Subcarrier Assignment List/Range TLV

Type =5,
Length Value
(Variable Length)
(1 byte)
Range byte 0, 00 = range, continuous

bits 7:6 01 = range, skip by 1
5 10 = list
11 = reserved
List byte 0, 0 = specific value
bit 5 1 = default value
5-255
byte 0, Reserved
bit 4
110 CableLabs
Length Value
(Variable Length)
(1 byte)
byte 0, 0 = zero bit 8 = 256-QAM

bits 3:0 loaded
1= reserved 9 = 512-QAM
2 = QPSK * 10 = 1024-QAM
3 = reserved 11 = 2048-QAM
4 = 16-QAM 12 = 4096-QAM
6 = 64-QAM 14 = 16384-QAM
7 = 128-QAM 15 = reserved
bytes Start subcarrier index

2,1 (range mode), or
first list entry (list mode).
bytes End subcarrier index

4,3 (range mode), or
second list entry (list mode)
bytes Subsequent list entries

6,5 to (list mode).
bytes
254, 253
• QPSK is for NCP profile only
CableLabs 111
4.12.1.2 DPD TLVs : Subcarrier Assignment Vector TLV
Type =6,
Length Value
(2 bytes) (Variable Length)
2+ bytes 1,0 bit 15: 0 => N is even

1 => N is odd. Ignore last 4 bits.
ceiling
bits 14-13: reserved
(N/2) bit 12-0: subcarrier start
bytes 2+ bits 7-4: Zth subcarrier

bits 3-0: Z+1 subcarrier
0 = zero bit-
loaded 8 = 256-QAM
1 = cont. pilot* 9 = 512-QAM
2 = QPSK ** 10 = 1024-QAM
4 = 16-QAM 12 = 4096-QAM
6 = 64-QAM 14 = 16384-QAM
7 = 128-QAM 15 = reserved
* Continuous Pilots are assigned in the OCD and are not profile
dependent. The “cont. pilot” setting in the DPD Subcarrier
Assignment Vector TLV is merely a reminder of the continuous
pilots assigned in the OCD.
** QPSK is for NCP profile only
112 CableLabs
4.13 OFDM Downstream spectrum request
4.13.1 OFDM Downstream spectrum request message

(ODS-REQ)
Bit 0 8 16 24 31
Downstream
Channel ID
4.13.2 OFDM Downstream spectrum response message

(ODS-RSP)
Bit 0 8 16 24 31
Downstream
Channel ID
CableLabs 113
4.13.2.1 ODS-RSP TLVs
Name T L V
ODS 1 N+8
Response
Vector
First 1.1 2 ID of the subcarrier

Subcarrier- corresponding to the first value
ID of the MER vector
RxMER per 1.2 N Integer modulation error ratio

Subcarrier measurements in 0.25dB steps
(0xFF is 63.75dB). Values are
encoded as a packed sequence
of 8-bit values for N
consecutive sub-carriers (N<=
7680) beginning with First
Subcarrier-ID from TLV
subtype 1.1.
4.14 OFDM downstream profile TEST
4.14.1 OFDM Downstream Profile Test Request OPT-REQ

message
The OPT-REQ is used by the CMTS to cause a CM to test its
ability to receive the specified downstream OFDM profile and
then report the results.
114 CableLabs
Bit 0 8 16 24 31
Downstream
Transaction ID Profile ID
Channel ID
OpCode
Length Value
(bytes)
2 Transaction ID
1 Downstream Channel ID
1 Profile ID – the ID of the profile that is being tested
1 OpCode:
1 – Start
2 – Abort
All other values reserved
CableLabs 115
4.14.1.1 OPT-REQ TLVs
Name Type Length Value

(1 byte) (1 byte)
Requested 1 1 BITS encoding that commands

Statistics the CM to include RxMER
Margin Statistics in its OPT-
RSP message. The specified
RxMER Margin Statistics are
requested when the bit is set to
1 and not requested when the bit
is set to zero.
Bit 0 – RxMER Statistics for
Candidate Profile
Bit 1 – RxMER Pass Fail for
Candidate Profile
Bit 2 – SNR Margin for
Candidate Profile
Bit 3 – Codeword Statistics for
Candidate Profile
Bit 4 – Codeword Pass Fail for
Candidate Profile
Bits 5 - 7: Reserved
116 CableLabs
Name T L V
RxMER 2 3 The CMTS uses this two byte

Target value to communicate the
RxMER target for the
modulation orders of the profile
Byte 0 : Modulation order :
0 - 1 = reserved, 2 = QPSK, 3 =
reserved , 4 = 16-QAM
5 = reserved, 6 = 64-QAM, 7 =
128-QAM, 8 = 256-QAM
9 = 512-QAM, 10 =
1024-QAM, 11 = 2048-
QAM, = 4096-QAM
13 = 8192-QAM, 14 =
16384-QAM, 15-255 =
reserved
Byte 1: RxMER Target
The required value for the
profile RxMER (refer to OPT-
RSP) in units of 0.25dB (0xFF
is 63.75dB). This is the required
RxMER value that the CM uses
to calculate the SNR margin for
the profile.
Byte 2 : RxMER Margin
The CM reports the number of
subcarriers whose the measured
RxMER is at least this value
below the target RxMER for the
bitloading of the given
subcarrier in the OPT-RSP
message.
The value is in units of ¼ dB.
CableLabs 117
Name T L V
Average SNR 3 1 The required value for average

Target SNR Target (refer to OPT-RSP)
in units of 0.25dB (0xFF is
63.75dB). This value is used in
the determination of the SNR
margin.
Max Duration 4 4 Maximum # of milliseconds

before the CM MUST abort
testing and attempt to send an
OPT-RSP with an Incomplete
Status.
Data Profile 5
Testing
Parameters
Codeword 5.1 4 Number of BCH codewords to

Count (Nc) be examined.
Maximum 5.2 4 Maximum number of

Uncorrectable codewords which are allowed to
Codeword fail BCH decoding before the
Count (Ne) CM MUST abort the test and
attempt to send an OPT-RSP
with a Complete status.
118 CableLabs
Name T L V
Codeword 5.3 1 Indicates whether Codeword

Tagging Tagging is in use for this test.
Enable
Bit 0: Enable Codeword
Tagging
0 – Codeword Tagging is
disabled.
(include all codewords , default)
1 – Codeword Tagging is
enabled.
(codewords for which “T” bit is
set)
Bits 7-1: Reserved
NCP Profile 6
Testing
Parameters
Maximum 6.1 4 Maximum number of NCP

NCP LDPC codewords which are allowed to
Unreliable fail the NCP LDPC post-
Codeword decoding syndrome check.
Count
Maximum 6.2 4 Maximum number of NCP

NCP CRC codewords which are allowed to
Failure Count fail the NCP CRC check.
CableLabs 119
4.14.2 OFDM Profile Test Response (OPT-RSP) message
1 2 3
Bit 0 8 6 4 1
Downstream
Channel ID
Status
Length (bytes) Value
2 Transaction ID – copied from received

OPT-REQ message
1 Downstream Channel ID the channel for

which the profile is being tested
1 Profile ID – the ID of the profile that is

being tested
1 Status:
1 – Testing
2 – Profile Already Testing from Another
Request
3 – No Free Profile Resource on CM
4 - Unknown Transaction ID
5 – Incomplete
6 – Complete
All other values reserved
120 CableLabs
4.14.2.1 OPT-RSP TLVs
Name Type Length Value

(1 byte) (2 byte)
RxMER and 1
SNR Margin
Data
RxMER per 1.1 N Integer modulation error ratio

Subcarrier measurements in 0.25dB steps
(0xFF is 63.75dB). These are
encoded as a packed sequence
of 8-bit values for N
consecutive sub-carriers (N ≤
7680) from lowest active
subcarrier to the highest active
subcarrier, including all the
subcarriers in between.
Pass/Fail for 1.2 N Pass Fail indication for each

RxMER per subcarrier's RxMER (1 bit for
Subcarrier each subcarrier).
A value of 1 indicates that the
measured MER ≥ target value in
the OPT-REQ
A value of 0 indicates that the
measured MER < target value in
the OPT-REQ
These are encoded as a
sequence of 1-bit values for N
consecutive subcarriers (N ≤
7680) from lowest active
subcarrier to the highest active
subcarrier, including all the
subcarriers in between.
CableLabs 121
Name T L V
Number of 1.3 2 The number of subcarriers (≤

subcarriers 7680) whose RxMER is ≥ the
whose RxMER Margin below the
RxMER is RxMER target for the bitloading
RxMER of the given subcarrier
Margin below
the RxMER
Target
SNR Margin 1.4 1 The SNR margin of the

candidate data profile (signed
integer), in units of 0.25dB
Data Profile 2
Codeword
Data
Codeword 2.1 4 Unsigned integer count of

Count codewords that were examined
during testing. If Codeword
Tagging is disabled, this count
includes all codewords received
on the profile in question for the
duration of the test. If
Codeword Tagging is enabled,
this count includes codewords
received on the profile in
question for the duration of the
test for which the “T” bit was
set in the NCP pointing to the
codeword.
122 CableLabs
Name T L V
Corrected 2.2 4 Unsigned integer count of

Codeword codewords that failed pre-
Count decoding LDPC syndrome
check and passed BCH
decoding. If Codeword Tagging
is disabled, this count includes
all codewords received on the
profile in question for the
codeword.
Uncorrectable 2.3 4 Unsigned integer count of

Codeword codewords that failed LDPC
Count post-decoding syndrome check.
If Codeword Tagging is
disabled, this count includes all
codewords received on the
profile in question for the
codeword.
CableLabs 123
Name T L V
NCP 3
Codeword
Data
NCP 3.1 4 Unsigned integer count of NCP

Codeword codewords that were examined
Count during testing.
Unreliable 3.2 4 Unsigned integer count of NCP

NCP codewords that failed LDPC
Codeword post-decoding syndrome check.
Count
NCP CRC 3.3 4 Unsigned integer count of NCP

Failure Count codewords that failed the NCP
CRC check.
4.14.3 OFDM Profile Test Acknowledge (OPT-ACK) message

1 2 3
Bit 0 8 6 4 1
Downstream
Channel ID
Length Value
(bytes)
2 Transaction ID – copied from received OPT-REQ
message
1 Downstream Channel ID the channel for which the
profile is being tested
1 Profile ID – the ID of the profile that is being tested
124 CableLabs
4.15 DOCSIS Time Protocol
4.15.1 DTP-REQ, DTP-RSP, DTP-Info message
Octets
Transaction ID
4.15.2 DTP-ACK message
Octets
Transaction ID
CableLabs 125
4.15.3 DTP TLVs
T L V
77 N DOCSIS Time Protocol Encodings
77.1 4 Clock ID
CMTS Timing Parameters, 24-bit unsigned values, (nanoseconds)
77.2 4 t-cmts-ds-i
77.3 4 t-cmts-ds-o
77.4 4 t-cmts-ds-p
77.5 4 t-cmts-us-o
77.6 4 t-cmts-us-p
HFC Timing Parameters, 24-bit unsigned values, (nanoseconds)
77.7 4 t-hfc-ds-o
77.8 4 t-hfc-ds-p
77.9 4 t-hfc-us-o
77.10 4 t-hfc-us-p
CM Timing Parameters, 24-bit unsigned values, (nanoseconds)
77.11 4 t-cm-ds-o
77.12 4 t-cm-ds-p
126 CableLabs
77.13 4 t-cm-us-o
77.14 4 t-cm-us-p
77.15 4 t-cm-ds-i
CMTS Timing Override Parameters, 24-bit unsigned values, (nanoseconds)
77.16 4 t-cm-ds-o
77.17 4 t-cm-ds-p
77.18 4 t-cm-us-o
77.19 4 t-cm-us-p
77.20 4 t-cm-ds-i
77.21 4 True Ranging Offset.
77.22 4 Timing Adjustment.
77.23 1 DTP Error Code
CableLabs 127
128
4.16 Extended Timestamp

DOCSIS 3.1 introduces an eight-byte extended timestamp. The value of the timestamp is referenced
to the end of the PLC preamble.
The DOCSIS Extended Timestamp is now an absolute timestamp rather than a relative timestamp, and
it has a higher degree of precision
CableLabs
4.17 Cable Modem Initialization overview
Continue
CM Initialization or
Downstream
Reinit MAC
Scanning SEC: EAE Disabled
Begin
Begin EAE & Baseline
Privacy
1 Enabled? No
SEC:
EAE Complete Yes
Scan for Continue or EAE Disabled
Downstream Downstream
Baseline Privacy
Channel Scanning
Initialization
Establish IP
CableLabs
Connectivity
Downstream
Sync Baseline
Established Privacy
IP Initialized
IP Connectivity
Connectivity
Failed
Resolve CM-SG Successful
& Range
1 Register Operational
with
CM-SG CMTS
Resolution
Complete
Registration End
Complete
129
130 CableLabs
PHY Link Channel
CableLabs
5 PHY Link Channel (PLC)
The PHY Link Channel (PLC) is located in the downstream

convergence layer. It is used for several tasks:
-Timestamp
-Energy management
-Message channel for bringing new CMs on line.
-Trigger message for synchronizing an event between the
CMTS and CM.
132 CableLabs
5.1 PLC Structure
CableLabs 133
134
5.2 PLC Frame Length (including Preamble)
PLC Frame Data Frame Time (ms) based upon

Capacity Cyclic Prefix (us)
FFT Symbol
Size Time
Sub FEC Raw Payload Min Max 0.9375 1.25 2.5 3.75 5.0
carriers Blocks Bytes Bytes μs μs μs μs μs
CableLabs
4K 20 μs 8 10 480 360 0.9 1.1 2.68 2.72 2.88 3.04 3.20
8K 40 μs 16 20 960 720 1.0 1.1 5.24 5.28 5.44 5.60 5.76

5.3 PLC Message Blocks
5.3.1 Timestamp Message Block
Field Size Value Description

Type 4 bits 1 Timestamp MB
R 4 bits 0 Reserved
Timestamp 8 bytes Extended Timestamp

CRC 3 bytes CRC-24-D
CRC field is
computed over the
entire message block
except the CRC field
itself, and included in
the defined format to
allow validation of the
integrity Message
Block Type and
Message Body Size
CableLabs 135
136
5.3.2 Energy Management Message Block

CableLabs
Type 4 bits 2 Energy Management MB Type
List Size 4 bits The number of EMMs in the block. Note that a value of zero
signifies a Message Block with 16 EMMs.
S 1 bit 0 – Resume Suspend Request. This field allows the CMTS to instruct
multistate operation CMs to suspend multi-sub-state DLS operation and remain
in DLS-2 sub-state.
1 – Suspend
multistate operation
CableLabs
EM-ID 15 bits Energy Management Identifier,
Sleep Time 32 bits This is the timestamp value reference to the beginning of the
preamble for the PLC frame that the CM would wake up and
start receiving on the PLC. Note that the 4 byte value in the
EMM corresponds to the DOCSIS 3.0 Timestamp.

CRC field is computed over the entire
message block except the CRC field itself,
and included in the defined format to allow
validation of the integrity Message Block
Type and Message Body Size.
137
5.3.3 Message Channel Message Block
Type 4 bits 3 Message Channel MB
R 3 bits 0 Reserved
S 1 bit 0 Packet Start Pointer field is not

present
1
Packet Start Pointer field is
present
Packet Start 2 bytes Byte offset to the start of the

Pointer first part of a new message. A
value of 0x00 indicates the
next byte is the beginning of a
new packet.
Message Variable Contains MMM segment or a

Channel 0xFF fill pattern
Note, that the minimum length of the MC MB is one byte when the MC MB includes
no Message Channel field.
138 CableLabs
5.3.4 Trigger Message Block
Message Block 4 bits 4 Trigger MB

Type
Trigger Type 4 bits 1 Identifies type of action to perform
Transaction ID 1 byte Increments on each TR MB sent
Trigger Group 2 bytes Group for unicast, multicast and broadcast

triggers
Frame Delay 1 byte 2 to 31 How many frames to wait before performing

action
Symbol Select 1 byte 0 to 127 Which symbol in PLC frame to perform

action upon

message block except the CRC field itself,
and included in the defined format to allow
validation of the integrity Message Block
Type and Message Body Size.
CableLabs 139
5.3.5 Future Use Message Blocks
Message 4 bits 5-15

Block Type
RRR 3 bits N/A Reserved field. The use of this field is

specific to message block type and
subject to future definition.
Message Body 9 bits The length of the Message Body field

Size specified in octets. The total length of a
Message Block type 5-15 is Message
Body Size plus 5 octets.
Message Body 0-511 The use of this field is specific to

message block type and subject to future
definition.
CRC 3 bytes CRC-24-D.

message block except the CRC field
itself, and included in the defined format
to allow validation of the integrity
Message Block Type and Message Body
Size.
140 CableLabs
MAC Parameters
and TLVs
CableLabs
142
6 MAC Parameters and TLVs

6.1 Energy Management
6.1.1 EM SDL
DS and US
Entry
Thresholds met
/ EM-REQ*
CableLabs
DBC TLV 75 ==2 DBC with TLV 75 ==1
DS or US Exit
DS or US Exit In Energy Not in Energy In Energy
Threshold met
Threshold met Management Management Management
/ EM-REQ*
/ EM-REQ* DLS Mode Mode 1x1 Mode
DBC TLV 75 ==0 DBC with TLV 75 ==0
* subject to Hold-Off Timer and Energy Management Cycle Period controls

6.1.2 DLS Substate for CM
(No EMM in current or next PLC

frame) OR EMM with wake immediate When Sleep Time
OR Max Sleep Bytes exceeded OR expires/ Look for
Any Exit Threshold Max Sleep Latency Exceeded OR EMM in current or
Exceeded/Send EM- Upstream Exit Threshold Exceeded next PLC frame
REQ (Not in EM
Mode) AND Stay in
DLS Wake until
receive DBC EM DLS1
TLV==0 PLC Rx
Not in Suspend
Request AND TX
DBC EM TLV Complete AND no Exit
== 2 (DLS) Threshold Exceeded EMM with valid
and insufficient time sleep time expired sleep time AND
CableLabs
before next wake AND NOT (Max NOT ( Max Sleep

Sleep Bytes Bytes exceeded
exceeded OR Max OR Max Sleep
Not in DLS2 Sleep Latency Latency Exceeded
EM DLS Wake Exceeded OR OR Upstream Exit
Not in Suspend Upstream Exit Threshold
Request AND TX Threshold Exceeded) Exceeded)
Complete AND no Exit
Threshold Exceeded
DBC EM TLV and sufficient time
== 0 (Not in before next wake
DLS0
EM) PLC
No EMM with
valid sleep time Sleep
OR [EMM with
valid sleep time sleep time NOT
AND (EM expired AND
Receive Timer NOT (Max Sleep
NOT expired Bytes exceeded
OR TX NOT Max Sleep Bytes OR Max Sleep
Complete)] OR exceeded OR Max Latency
in Suspend Sleep Latency Exceeded OR
Request Exceeded OR Upstream Exit
Upstream Exit Threshold
143
Threshold Exceeded Exceeded)

6.2 CM-STATUS Event Codes
Event Event Status Report Events

Type Condition
Code
Trigger Event to Reset Event to "off"

"on"
0 Reserved
1 Secondary Lost MDD Timer Receipt of MDD; OR

Channel expiry of a
MDD secondary removal of the channel from the
timeout channel active channel list in the primary
advertised as channel MDD; OR
active in the
primary channel removal of the channel from the
MDD. CM's Receive Channel Set via
DBC-REQ.
2 QAM/FEC Loss of QAM or Re-establishment of QAM/FEC

lock failure FEC lock on one lock; OR
of the
downstream removal of the channel from the
channels active channel list in the primary
advertised as channel MDD; OR
active in the
primary channel removal of the channel from the
MDD. CM's Receive Channel Set via
DBC-REQ.
3 Sequence Receipt of a Receipt of a packet with an in-

out-of-range packet with an range sequence number; OR
out-of-range
sequence number change in the Sequence Change
for a particular Count.
DSID.
144 CableLabs
Type Condition
Code

"on"
4 Secondary Receipt of an MDD timeout event on the

Channel MDD on a channel; OR
MDD Secondary
Recovery channel removal of the channel from the
advertised as active channel list in the primary
active in the most channel MDD; OR
recent primary
channel MDD. removal of the channel from the
CM's Receive Channel Set via
DBC-REQ.
5 QAM/FEC Successful Loss of QAM/FEC lock; OR

Lock QAM/FEC lock
Recovery on a channel removal of the channel from the
advertised as active channel list in the primary
active in the most channel MDD; OR
recent primary
channel MDD. removal of the channel from the
DBC-REQ.
6 T4 timeout Expiration of the Receipt of maintenance

T4 timeout on the opportunity (initial maintenance
CM. or station maintenance); OR
removal of the channel from the
active channel list in the primary
channel MDD; OR
CM's Transmit Channel Set via
DBC-REQ.
CableLabs 145
Type Condition
Code

"on"
7 T3 retries The number of T3 Receipt of RNG-RSP message ;

exceeded retries as OR
specified in
Annex B is removal of the channel from the
exceeded. active channel list in the primary
channel MDD; OR
DBC-REQ.
8 Successful Successful The number of T3 retries as

ranging after ranging on a specified in Annex B is
T3 retries channel for which exceeded; OR
exceeded T3 retries
exceeded event removal of the channel from the
had been active channel list in the primary
reported. channel MDD; OR
DBC-REQ.
9 CM CM detects loss CM detects the presence of A/C

operating on of A/C Power for Power and has returned from
battery more than 5 backup battery to operating on
backup seconds and the A/C power.
CM is operating
on battery
backup.
146 CableLabs
Type Condition
Code

"on"
10 CM returned CM detects the CM detects loss of A/C Power

to A/C power presence of A/C and the CM is operating on
Power for more battery backup.
than 5 seconds
and has returned
from backup
battery to
operating on A/C
power.
11 MAC The CM has The CM has determined that

Removal determined that specific CMCI port is
Event one or more MAC operational (ifOperStatus =
addresses need to 'UP').
be removed due
to a specific Note: Because this event is set to
CMCI port "off" by the link state
transition. transitioning to UP, it is possible
(ifOperStatus that no CM-STATUS message
transitions from will be sent due to the
'UP' to 'DOWN') "Maximum Event Holdoff
Timer". In order to ensure that a
CM-STATUS message is sent,
the "Maximum Event Holdoff
Timer" for this event should be
set to 20 msec.
12-15 Reserved for

future use
CableLabs 147
Type Condition
Code

"on"
16 DS OFDM Loss of FEC lock Re-establishment of FEC lock

profile on one of the for that OFDM profile; OR
failure assigned
downstream removal of the channel from the
OFDM profiles of active channel list in the primary
a channel channel MDD; OR
DBC-REQ
17 Primary Loss of Primary N/A

Downstream Downstream
Change followed by
successful
acquisition of a
backup primary
downstream
channel as the
new primary
downstream
channel
18 DPD The CM detect Reacquire the DPD or NCP and

Mismatch the mismatch re-establish the sync;
between the LSB
of DPD change OR
count and NCP
odd/even bit Removal of the channel from the
CM’s Receive Channel Set via
DBC-REQ
148 CableLabs
Type Condition
Code

"on"
19 Invalid DPD The CM receives New Valid DPD received for the
a DPD and detect same profile
that some
parameter is OR
invalid or not able
to support by the Removal of the channel from the
CM. CM’s Receive Channel Set via
DBC-REQ.
20 NCP profile Loss of FEC lock Re-establishment of FEC lock

failure on NCP for NCP;
OR
DBC-REQ
21 Loss of FEC Loss of FEC Lock Re-establish the OFDM FEC

Lock on PLC on PLC lock on PLC for this channel
OR
DBC-REQ
22 NCP profile FEC recovery on Loss of FEC lock for NCP

recovery NCP profile channel;
OR
DBC-REQ
CableLabs 149
Type Condition
Code

"on"
23 FEC FEC recovery on Loss of FEC lock on PLC

recovery on PLC channel channel ; OR
PLC channel
DBC-REQ
24 FEC FEC recovery on Loss of FEC lock on this OFDM

recovery on OFDM profile profile; OR
OFDM
profile removal of the channel from the
DBC-REQ
25 OFDMA CM not able to OFDMA profile removed from

Profile support certain the assigned profile list for the
failure profile because CM; OR
the profile is out
of modem removal of the channel from the
capability when it CM's Transmit Channel Set via
get a UCD DBC-REQ.
containing profile
definition
changes.
26 MAP The MAPs N/A

Storage received by the
overflow CM contain more
indicator information
elements than the
CM can support.
150 CableLabs
Type Condition
Code

"on"
27 MAP The CM’s internal N/A

Storage MAP storage
almost full capacity is filling
indicator up.
28-255 Reserved for

future use
6.3 Well-known Addresses
Well-known Well-known IPv6 Description

IPv6 Addresses
MAC
Addresses
33-33-00-01- FF02::1:2 All DHCP relay agents

00-02 and servers
33-33-00-01- FF05::1:3 All DHCP servers

00-03
33-33-FF-xx- FF02:0:0:0:0:1:FFxx:xxxx Link-local scope

xx-xx solicited node multicast
address
33-33-00-00- FF02::2 Link-local scope all

00-02 routers multicast
address
33-33-00-00- FF02::1 Link-local scope all

00-01 nodes multicast address
CableLabs 151
152
6.4 Parameters and Constants
System Name Parameter Description Minimum Default Maximum Value

Value Value
CMTS Sync Nominal time between transmission of SYNC 200 msec

Interval messages
CMTS UCD Time between transmission of UCD messages 2 sec

CableLabs
Interval
CMTS Max MAP The number of minislots that a CMTS is 4096 minislot
Pending allowed to map into the future times for TDMA
and S-CDMA
upstream
channels; the
equivalent of 20
milliseconds for
OFDMA upstream
channels
CMTS Ranging Time between transmission of broadcast 2 sec

Interval Initial Maintenance opportunities
Value Value
CM Lost Sync Time since last received SYNC message 600 msec
Interval before synchronization is considered lost
CM Contention Number of Retries on Ranging Requests sent 16

Ranging in broadcast maintenance opportunities
Retries
CableLabs
CM, Invited Number of Retries on Ranging Requests sent 16

CMTS Ranging in unicast maintenance opportunities
Retries
CM Request Number of retries on bandwidth allocation 16

Retries requests
CM Registration Number of retries on Registration 3

CMTS Request/ Requests/Responses
Response
Retries
CM Data Retries Number of retries on immediate data 16

transmission
153
154

Value Value
CMTS CM MAP Time provided between arrival of the last bit (600 + M/5.12)
processing of a MAP at a CM and effectiveness of that µsec for
time MAP and "Relative Processing Delays" operation in
MTC mode for
S-CDMA and
TDMA
channels.
CableLabs
(600 + [(symbol
duration + cyclic
prefix duration)
*(K+1)]) µsec
for OFDMA
channels. K is
the number of
symbols per
OFDMA frame.
(200 + M/5.12)
µsec for
operation not in
MTC mode
Value Value
CMTS CM Ranging Minimum time allowed for a CM following 1 msec

Response receipt of a ranging response before it is
processing expected to transmit a ranging request in a
time unicast opportunity
CableLabs
CMTS CM The maximum time allowed for a CM, 30 sec

Configuration following receipt of a configuration file, to
send a Registration Request to a CMTS.
CM T1 Wait for UCD timeout 5 * UCD interval

maximum value
CM T2 Wait for broadcast ranging timeout 5 * ranging

interval
CM T3 Wait for ranging response 200 msec

155
156

Value Value
CM T4 Wait for unicast ranging opportunity. If the 30 sec 30 sec 300 sec (T4
pending-till-complete field was used earlier Multiplier of 10)
by this modem, then the value of that field (T4 Multiplier
must be added to this interval. The T4 of 1)
multiplier may be set in the RNG-RSP
message.
CableLabs
CMTS T5 Wait for Upstream Channel Change response 2 sec
CM T6 Wait for REG-RSP, REG-RSP-MP, 3 sec

CMTS or REG-ACK
CM Minislot size Size of minislot for upstream transmission. 32 modulation

CMTS for 1.x For channels that support DOCSIS 1.x CMs. intervals
channels.
CM Minislot size Size of minislot for upstream transmission. 16 symbols

CMTS for DOCSIS For channels that do not support DOCSIS 1.x
2.0 Only CMs.
Channels.
Value Value
CM Timebase System timing unit 6.25 µsec

CMTS Tick
CM DSx Request Number of Timeout Retries on 3

CMTS Retries DSA/DSC/DSD Requests
CableLabs
CM DSx Number of Timeout Retries on 3

CMTS Response DSA/DSC/DSD Responses
Retries
CM T7 Wait for DSA/DSC/DSD Response timeout 1 sec

CMTS
CM T8 Wait for DSA/DSC Acknowledge timeout 300 msec

CMTS
CM TFTP Initial value for TFTP backoff 1sec

Backoff
Start
157
158

Value Value
CM TFTP Last value for TFTP backoff 16 sec

Backoff End
CM TFTP Number of retries on TFTP request 4

Request
Retries
CableLabs
CM TFTP Number of retries on entire TFTP downloads 3

Download
Retries
CM TFTP Wait The wait between TFTP retry sequences 3 min
CMTS T9 Registration Timeout, the time allowed 15 min 15 min

between the CMTS sending a RNG-RSP
(success) to a CM, and receiving a REG-REQ
or REG-REQ-MP from that same CM.
CM T10 Wait for Transaction End timeout 3 sec

CMTS
Value Value
CMTS T11 Wait for a DCC Response on the old channel 300 ms
CM T12 Wait for a DCC Acknowledge 300 ms
CMTS T13 Maximum holding time for QoS resources for 1 sec
DCC on the old channel
CableLabs
CM T14 Minimum time after a DSx reject-temp-DCC 2 sec

and the next retry of DSx command
CMTS T15 Maximum holding time for QoS resources for 2 sec 35 sec
DCC on the new channel
CM T16 Maximum length of time CM remains in test 30 min.

mode after receiving TST-REQ message.
CM T17 Maximum Time that CM MUST inhibit 300 sec

transmissions on a channel in response to its
Ranging Class ID matching a bit value in the
Ranging Hold-Off Priority Field.
159
160

Value Value
CMTS DCC-REQ Number of retries on Dynamic Channel 3

Retries Change Request
CM DCC-RSP Number of retries on Dynamic Channel 3

Retries Change Response
CableLabs
CM Lost DCI- Time from sending DCI-REQ and 2 sec

REQ not receiving a DCI-RSP
interval
CM DCI-REQ Number of retries of DCI-REQ before 16

retry rebooting
CM DCI Backoff Initial value for DCI backoff 1 sec

start
CM DCI Backoff Last value for DCI backoff 16 sec

end
Value Value
CMTS CM UCD Time between the transmission of the last bit 1.5 ms * The
processing of a UCD with a new Change Count and the number of
time transmission time of the first bit of the first TDMA and S-
MAP using the new UCD. CDMA
upstream
channels
modified
CableLabs
simultaneously
+
2.0 ms * The
number of
OFDMA
channels
modified
simultaneously.
CMTS DBC-REQ Maximum number of times the CMTS will 6

Retries retransmit a DBC-REQ while awaiting the
DBC-RSP from the CM
161
162

Value Value
CM DBC-REQ The amount of time that the CM waits to 1 second

Timeout receive all fragments of the DBC-REQ
message.
CM DBC-RSP Maximum number of times the CM will 6

Retries retransmit a DBC-RSP while awaiting the
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DBC-ACK from the CMTS
CM DBC-ACK The amount of time that the CM waits for 300 ms

timeout DBC-ACK after sending DBC-RSP
CM DBC DS The amount of time that the CM is to 1 second

Acquisition continue trying to acquire downstream
timeout channels added to the RCS in a DBC-REQ
message.
CMTS Sequence The time that the CMTS waits before 1 second
Hold changing the Sequence Change Count for a
timeout resequencing DSID
Value Value
CM DSID filter The total number of DSID filters 32

count
CM DSID The number of DSIDs for re-sequencing 16

resequencing
context
CableLabs
count
CMTS CMTS Skew Maximum interval between CMTS start of 3 msecs 5 msecs
Limit transmission of out-of-order sequenced
packets on different Downstream Channels
CM DSID Per-DSID value for the minimum interval a 8 msec 13 msec

Resequencing CM delays forwarding of a higher-numbered
Wait Time sequenced packet while awaiting the arrival
of a lower-numbered sequenced packet.
CMTS MDD Time between MDD messages on a given 2 sec

Interval channel
163
164

Value Value
CM Lost MDD Time to wait for a MDD before declaring 3 * Maximum

timeout MDD loss MDD Interval
CM Initializing This field defines the maximum total time 60sec

channel that the CM can spend performing initial
timeout CM ranging on the upstream channels described
in the TCC of a REG-RSP, REG-RSP-MP, or
CableLabs
a DBC-REQ.
CMTS Initializing This field defines the maximum total time

channel that the CMTS waits for a REG-ACK after Initializing
timeout sending a REG-RSP-MP or waiting for a Channel
CMTS DBC-RSP after sending a DBC-REQ before Timeout
retransmitting the REG-RSP-MP or DBC- CM + 3
REQ. Seconds
CM T18 This timer is started when the CM receives

the first Registration Response and controls Initializing
the amount of time the CM waits to possibly Channel
receive a duplicate REG-RSP-MP if the Timeout
REG-ACK is lost. CM + 6
Seconds
Value Value
CMTS Profile The time between the release of a next-active 500 ms

Advance profile and the toggling of the odd/even bit in
Time the NCP message block.
CMTS OCD/DPD DPD and OCD interval on the PLC 200 ms 250 ms
PLC Interval
CableLabs
OCD/DPD
CMTS Profile A DPD and OCD interval on OFDM Profile A 500 ms 600 ms
Interval
CM OCD/DPD DPD and OCD interval on the PLC that CM 5*CMTS OCD/DPD PLC Interval maximum
PLC uses for timeout purposes value
Timeout
OCD/DPD DPD and OCD interval on OFDM Profile A 5*CMTS OCD/DPD Profile A Interval
CM Profile A that CM uses for timeout purposes maximum value
Timeout
165
166

Value Value
The maximum time between sending an

CMTS OPT-RSP OPT-REQ and receiving an OPT-RSP with 800 ms
Timer the same transaction ID for the same DS
channel and profile ID;
CableLabs
OPT Test Maximum time between sending an OPT-

CMTS Timer REQ and receiving the OPT-RSP with a 3 seconds
Status of either Complete or Incomplete
OPT-ACK Maximum time between sending OPT-RSP

CM Timer with a Status of Complete or Incomplete and 800 ms
receiving an OPT-ACK;
CM OPT retry Maximum attempts to retransmit a message 3

count
CM T-OFSM OFDMA wait for first station maintenance 10 seconds

opportunity timer
Value Value
CMTS DTP The time interval between successive DTP Depends upon the
Calibration calibration message sequences per CMTS- 10 seconds DTP Algorithm.
CM Interval CM pair.
CMTS DTP Retry

CableLabs
Count Maximum attempts to retransmit a message 3

CM
167
168
6.5 Top Level TLV Encodings
Type Description Length Cfg File REG DSx DBC DTP

0 Pad - x
1 Downstream Frequency 4 x x
2 Upstream Channel ID 1 x x
3 Network Access Control Object 1 x x
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4 DOCSIS 1.0 Class of Service n x x

5 Modem Capabilities n x
6 CM Message Integrity Check (MIC) 16 x x
7 CMTS Message Integrity Check (MIC) 16 x x
8 Vendor ID Encoding 3 x
9 SW Upgrade Filename n x
10 SNMP Write Access Control n x
11 SNMP MIB Object n x
12 Modem IP Address 4 x
13 Service(s) Not Available Response 3 x
14 CPE Ethernet MAC Address 6 x
15 Telephone Settings Option (deprecated)
17 Baseline Privacy n x x
CableLabs
18 Max Number of CPEs 1 x x

19 TFTP Server Timestamp 4 x x
20 TFTP Server Provisioned Modem IPv4 Address 4 x x
21 SW Upgrade IPv4 TFTP Server 4 x
22 Upstream Packet Classification n x x x
23 Downstream Packet Classification n x x x
24 Upstream Service Flow n x x x
25 Downstream Service Flow n x x x x
26 Payload Header Suppression n x x x x
169
170

27 HMAC-Digest 20 x x
28 Maximum Number of Classifiers 2 x x
29 Privacy Enable 1 x x
30 Authorization Block n x
31 Key Sequence Number 1 x x
CableLabs
32 Manufacturer Code Verification Certificate n x

33 Co-Signer Code Verification Certificate n x
34 SNMPv3 Kickstart Value n x
35 Subscriber Mgmt Control 3 x x
36 Subscriber Mgmt CPE IPv4 List n x x
37 Subscriber Mgmt Filter Groups 8 x x
38 SNMPv3 Notification Receiver n x
39 Enable 2.0 Mode 1 x x
40 Enable Test Modes 1 x x
41 Downstream Channel List n x x
42 Static Multicast MAC Address 6 x
43 DOCSIS Extension Field n x x
44 Vendor Specific Capabilities n x
45 Downstream Unencrypted Traffic (DUT) Filtering n x x
CableLabs
46 Transmit Channel Configuration (TCC) n x x

47 Service Flow SID Cluster Assignment n x x x
48 Receive Channel Profile n x
49 Receive Channel Configuration n x x
50 DSID Encodings n x x
51 Security Association Encoding n x x
52 Initializing Channel Timeout 2 x x
53 SNMPv1v2c Coexistence n x
54 SNMPv3 Access View n x
171
172

55 SNMP CPE Access Control 1 x
56 Channel Assignment n x x
57 CM Initialization Reason 1 x
58 SW Upgrade IPv6 TFTP Server 16 x
59 TFTP Server Provisioned Modem IPv6 Address 16 x x
CableLabs
60 Upstream Drop Packet Classification n x x x

61 Subscriber Mgmt CPE IPv6 Prefix List n x x
62 Upstream Drop Classifier Group ID n x x
63 Subscriber Mgmt Control Max CPE IPv6 Addresses n x x
64 CMTS Static Multicast Session Encoding n x
65 L2VPN MAC Aging Encoding n x
66 Management Event Control Encoding n x
67 Subscriber Mgmt CPE IPv6 List n x x
68 Default Upstream Target Buffer Configuration 2 x
69 MAC Address Learning Control 1 x
70 Upstream Aggregate Service Flow n x
71 Downstream Aggregate Service Flow n x
72 Metro Ethernet Service Profile n x
73 Network Timing Profile n x
CableLabs
74 Energy Management Parameter Encoding n x x

75 Energy Management Mode Indicator 1 x
76 CM Upstream AQM disable 1 x
77 DOCSIS Time Protocol Encodings n x
78 Energy Management Identifier List for CM n x x
79 UNI Control Encoding n x
80 Energy Management – DOCSIS Light Sleep Encodings n x
201-231 eSAFE Configuration n x
255 End-of-Data - x
173
174 CableLabs
Acronyms
CableLabs
7 Abbreviations, Acronyms, and Namespaces
The specifications use the following abbreviations.
µs Microsecond
ANSI American National Standards Institute
APM Alternate Provisioning Mode
AQM Active Queue Management
AQP ASF QoS
ARP Address Resolution Protocol
ASCII American Standard Code for Information Interchange
ASF Aggregate Service Flow
ASM Any Source Multicast
ASN.1 Abstract Syntax Notation 1
A-TDMA Advanced Time Division Multiple Access
ATM Asynchronous Transfer Mode
AWGN Additive White Gaussian Noise
BC Boundary Clock
BCH Bose, Ray-Chaudhuri, Hocquenghem [codes]
BER 1) Bit Error Ratio; 2) Bit Error Rate
BGP Border Gateway Protocol
BPI Baseline Privacy Interface
BPI+ Baseline Privacy Interface Plus
BPKM Baseline Privacy Key Management
BPSK Binary Phase Shift Keying
BW Bandwidth
CableLabs Cable Television Laboratories, Inc.
CBR Constant Bit Rate
176 CableLabs
CCF Continuous Concatenation and Fragmentation
International Telegraph and Telephone Consultative
CCITT
Committee (see also ITU-T)
CEA Consumer Electronics Association
ceil ceiling
CENELEC European Committee for Electrotechnical Standardization
CER Codeword Error Ratio
CIN Converged Interconnect Network
CL 1) Convergence Layer; 2) CableLabs
CM Cable Modem
CMCI Cable Modem to Customer Premises Equipment Interface
CMIM Cable Modem Interface Mask
CM-SG Cable Modem Service Group
CMTS Cable Modem Termination System
CNR Carrier to Noise Ratio
CP 1) Cyclic Prefix; 2) Complementary Pilot
CPE Customer Premises Equipment
CPU Central Processing Unit
CRC Cyclic Redundancy Check
CS Cyclic Suffix
CSO Composite Second Order
CTB Composite Triple Beat
CVC Code Verification Certificate
CW 1) Continuous Wave; 2) Codeword
DA Destination Address
DAD Duplicate Address Detection
dB Decibel
DBC Dynamic Bonding Change
CableLabs 177
dBc Decibel Carrier
DBG Downstream Bonding Group
dBmV Decibel Millivolt
dBr Decibel Reference
DC Downstream Channel
DCC Dynamic Channel Change
DCI Device Class Identifier
DCID Downstream Channel Identifier
DCS Downstream Channel Set
DEPI Downstream External-PHY Interface
DER Distinguished Encoding Rules
DES Data Encryption Standard
DFT Discrete Fourier Transform
DHCP Dynamic Host Configuration Protocol
DHCPv4 IPv4 version of the Dynamic Host Configuration Protocol
DIX Digital Intel Xerox
DLS DOCSIS Light Sleep
DMAC Destination Media Access Control address
DMPI DOCSIS MAC-PHY Interface
DOCSIS Data-Over-Cable Service Interface Specifications
DOCSIS 1.x Data-Over-Cable Service Interface Specifications version 1.0 or 1.1

DOCSIS 2.0 Data-Over-Cable Service Interface Specifications version 2.0
DPD Downstream Profile Descriptor
DPM Dual-stack Provisioning Mode
178 CableLabs
DPV DOCSIS Path Verify
DRFI Downstream Radio Frequency Interface
DRW Dynamic Range Window
DS Downstream
DSCP Differentiated Services Code Point

DS-EH/DS
Downstream Service Extended Header
EHDR
DSG DOCSIS Set-top Gateway
DSID Downstream Service Identifier
DS-SG Downstream Service Group
DTI DOCSIS Time Interface
DTP DOCSIS Time Protocol
DUID DHCP Unique Identifier
DUT Downstream Unencrypted Traffic
DVB Digital Video Broadcasting [Project]

"Digital Video Broadcasting (DVB); Frame structure channel coding
DVB-C2 and modulation for a second generation digital transmission system for
cable systems (DVB-C2)"
EAE Early Authentication and Encryption
eCM Embedded Cable Modem

eDOCSIS Embedded Data-Over-Cable Service Interface Specifications
EEE Energy Efficient Ethernet
EH Extended Header
EHDR Extended MAC Header
EM Energy Management
EM MB Energy Management Message Block
EMC Electromagnetic Compatibility
EM-ID Energy Management Identifier
CableLabs 179
EMM Energy Management Message
eMTA Embedded Multimedia Terminal Adapter
EN European Standard (Européen Norme)
ePS Embedded Portal Services
EQAM Edge QAM
ERMI Edge Resource Manager Interface
eRouter Embedded Router
eSAFE Embedded Service/Application Functional Entity
ETSI European Telecommunications Standards Institute
EUI-64 64-bit Extended Unique Identifier
FC Frame Control
FCC Federal Communications Commission
FCRC Fragment Cyclic Redundancy Check
FDM Frequency Division Multiplexing
FDMA Frequency Division Multiple Access
FEC Forward Error Correction
FFT Fast Fourier Transform
FHCS Fragment Header Checksum
FIPS Federal Information Processing Standard
FIR Finite Impulse Response
FN Fiber Node
FR Fine Ranging
FT 1) Foot; 2) Feet
FTP File Transfer Protocol
FTTH Fiber to the Home
GARP Generic Attribute Registration Protocol
180 CableLabs
GB [Chinese] National Standard (guobiao)
GB/T [Chinese] Recommended National Standard (guobiao tuijian)
GCR Group Classifier Rule
GF Galois Field
GHz Gigahertz
GMAC Group Media Access Control
GQC Group QoS Configuration
GSF Group Service Flow
GT Guard Time
HCS Header Check Sequence
HFC Hybrid Fiber-Coaxial
HMAC Keyed-Hash Message Authentication Code
HQoS Hierarchical QoS
HRC Harmonic Related Carriers
Hz Hertz
I In-phase
IA_PD Identity Association for Prefix Delegation
IATC Interface Aggregate Traffic Class

ICI Inter-carrier Interference
ICMP Internet Control Message Protocol
ICMPv4 IPv4 version of the Internet Control Message Protocol

ICMPv6 IPv6 version of the Internet Control Message Protocol
I-CMTS Integrated Cable Modem Termination System
I-CMTS Integrated Cable Modem Termination System
ID Identifier
IDFT Inverse Discrete Fourier Transform
CableLabs 181
IE Information Element
IEC International Electrotechnical Commission
IEC International Electrotechnical Commission
IEEE Institute of Electrical and Electronics Engineers
IETF Internet Engineering Task Force
IETF Internet Engineering Task Force
IFFT Inverse Fast Fourier Transform
IGMP Internet Group Management Protocol
IGP Interior Gateway Protocol
IP Internet Protocol
IPDR Internet Protocol Detail Record
IPv4 Internet Protocol version 4
IPv6 Internet Protocol version 6
IR Initial Ranging
IRC Incremental Related Carriers
IRT Initial Retransmission Time
ISF Individual Service Flow
ISI Inter-symbol Interference
ISO International Standards Organization
ITU International Telecommunications Union
ITU-T ITU Telecommunication Standardization Sector
IUC Interval Usage Code
kb Kilobit
kbps Kilobits per second
kHz Kilohertz
L2 Layer 2
182 CableLabs
L2PDU Layer 2 Protocol Data Unit
L2VPN Layer 2 Virtual Private Network
LAN Local Area Network
LBG Load Balancing Group
LDCP Low Density Parity Check
LFSR Linear Feedback Shift Register
LLC Logical Link Control
LLR Log-Likelihood Ratio
Log Logarithm
LSB Least Significant Bit
LTE Long Term Evolution

Relationship of integer numbers M,N that represents the ratio of the
M/N
downstream symbol clock rate to the DOCSIS master clock rate
MAC Media Access Control
MB Message Block
Mbps Megabits per second
MC Message Channel
MC MB Message Channel Message Block
M-CMTS Modular Cable Modem Termination System
M-CVC Manufacturer's Code Verification Certificate
MD Media Access Control Domain
MD-CM-SG Media Access Control Domain Cable Modem Service Group
MDD MAC Domain Descriptor
MD-DS-SG Media Access Control Domain Downstream Service Group

MD-DS-SG-
Media Access Control Domain Downstream Service Group Identifier
ID
MDF Multicast DSID Forwarding
MD-US-SG Media Access Control Domain Upstream Service Group
CableLabs 183
MD-US-SG-
Media Access Control Domain Upstream Service Group Identifier
ID
MER Modulation Error Ratio
MHz Megahertz
MIB Management Information Base
MIC Message Integrity Check
MLD Multicast Listener Discovery
MMM MAC Management Message
MPEG Moving Picture Experts Group
MRC Maximum Retransmission Count
MRD Maximum Retransmission Duration
MRT Maximum Retransmission Time
ms Millisecond
MSAP Media Access Control Service Access Point
MSB Most Significant Bit
MSC Maximum Scheduled Codes
MSM Maximum Scheduled Minislots
MSO Multiple Systems Operator
Msym/s Megasymbols per second
MTA Multimedia Terminal Adapter
MTC Multiple Transmit Channel [mode]
MTU Maximum Transmit Unit
MULPI MAC and Upper Layer Protocols Interface
NACO Network Access Control Object
NCP Next Codeword Pointer
ND Neighbor Discovery
NDIS Network Driver Interface Specification
184 CableLabs
NIC Network Interface Card
NMS Network Management System
ns Nanosecond
NSI Network-Side Interface
NTSC National Television System Committee
OC Ordinary Clock
OCD OFDM Channel Descriptor
OFDM Orthogonal Frequency Division Multiplexing

OFDMA Orthogonal Frequency Division Multiplexing with Multiple Access
OID Object Identifier
ONU Optical Network Unit
OOB Out-of-Band
OSI Open Systems Interconnection
OSSI Operations System Support Interface
OUDP OFDMA Upstream Data Profile
OUI Organizationally Unique Identifier
P Pilot
PAPR Peak-to-Average Power Ratio
PDU Protocol Data Unit
PER Packet Error Rate
PHS Payload Header Suppression
PHY Physical Layer
PID Packet Identifier
PIM Protocol Independent Multicast
pk-pk Peak-to-Peak
Pkt Packet
CableLabs 185
PLC PHY Link Channel
PMD Physical Media Dependent sublayer
PN Pseudorandom Number
PNM Proactive Network Maintenance
PoE Power over Ethernet
ppm Parts per Million
PRBS Pseudo-Random Binary Sequence
Pre-eq Pre-equalization
ps picosecond
PSD Power Spectral Density
Ptr Pointer
PUSI Payload Unit Start Indicator
Q Quadrature
QAM Quadrature Amplitude Modulation
QC-LDPC Quasi-Cyclic Low-Density Parity Check
QoS Quality of Service
QPSK Quadrature Phase Shift Keying
RA Router Advertisement
RC Raised Cosine
RCC Receive Channel Configuration
RCID Receive Channel Identifier
RCP Receive Channel Profile
RCP-ID Receive Channel Profile Identifier
RCS Receive Channel Set
REQ Request
RF Radio Frequency
186 CableLabs
RFC Request For Comments
RFI Radio Frequency Interface
RFoG Radio Frequency Over Glass
RM Receive Module
RMS Root Mean Square
RP Roll-off Period
RS Router Solicitation
R-S Reed-Solomon
RSA Rivest, Shamir, Adleman
RSVP Resource Reservation Protocol
RTP Real-time Transport Protocol
RX 1) Receive; 2) Receiver
s second
SA Source Address
SA Security Association
SAC Selectable Active Codes
SAC Standardization Administration of the People's Republic of China
SAID Security Association Identifier
SAV Source Address Verification
SC SID_Cluster
S-CDMA Synchronous Code Division Multiple Access
SCN Signal-to-Composite Noise [ratio]
SC-QAM Single-Carrier QAM
SCTE Society of Cable Telecommunications Engineers
SDL Specification and Description Language
SEC Security
CableLabs 187
SF Service Flow
SFID Service Flow Identifier
SG Service Group
SHA Secure Hash Algorithm
SID Service Identifier
SLAAC Stateless Address Autoconfiguration
SM Station Maintenance
SNAP Subnetwork Access Protocol
SNMP Simple Network Management Protocol
SNR Signal-to-Noise Ratio
SPI Serial Peripheral Interface
SSM Source Specific Multicast
STB Set-top Box
TCC Transmit Channel Configuration
TCM Trellis coded modulation
TCP Transmission Control Protocol
TCS Transmit Channel Set
TDM Time Division Multiplexing
TDMA Time Division Multiple Access
TEI TDM Emulation Interface
TEK Traffic Encryption Key
TFTP Trivial File Transfer Protocol
TLV Type/Length/Value
ToD Time of Day
TOS Type of Service
TR MB Trigger Message Block
188 CableLabs
TRO True Ranging Offset
TS Time Stamp
TS MB Timestamp Message Block
TV Television
TWTT Two-Way Time Transfer
TX 1) Transmit; 2) Transmitter
UBG Upstream Bonding Group
UCD Upstream Channel Descriptor
UCID Upstream Channel Identifier
UDC Upstream Drop Classifier
UDP User Datagram Protocol
UGHB Under-Grant Hold Bandwidth
UGHU Under-Grant Hold Number of Users
UGS Unsolicited Grant Service
UID Unique Identifier
UNI Unidirectional
URL Uniform Resource Locator
US Upstream
US-SG Upstream Service Group
UTC Coordinated Universal Time
VLAN Virtual Local Area Network
VoIP Voice over IP
XOR Exclusive Or
CableLabs 189
190 CableLabs

DOCSIS3-1 Pocket Guide 2014

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DOCSIS 3.

The DOCSISTM 3.1 specification is the fifth generation of the

Quick Reference Guide

MAC Management Message

PHY Link Channel

MAC Parameters and TLVs

DHCP DHCP Time

UDP UDP/(TCP) Host

Link Link Security Link Security

CMTS NSI Cable Network CMCI Interface

CM Upstream Band Options

Lower Band Edge Upper Band Edge

2.1.2 CMTS Input

CMTS Upstream Band Options

5 MHz 204 MHz

The CMTS MUST capable of receiving 192 MHz of active channels

Minimum Upstream Channel Bandwidth

10 MHz 6.4 MHz

NOTE: Encompassed spectrum is defined for an OFDM or

2.1.4 Excluded Subcarriers and Bands

2.2.2 Upstream OFDM Numerology

Upstream OFDM Time/Frequency Numerology

Sample Rate FFT Size (N) Subcarrier FFT Time

102.4 Msps 2048 (2K FFT) 50 kHz 20 μs

(102.4 MHz) 4096 (4K FFT) 25 kHz 40 μs

Signal with Micro-Reflection at Receiver

The CMTS demodulator SHOULD support 2048-QAM and 4096-

CMs are granted transmission opportunities by minislots, and

2.3.1 CM Tx Power Requirements

Maximum Tx Power Limits

P1.6Max Pmax dBmV – 10log10(Neq)

P1.6Max if modulated spectrum ≤ 24 MHz 53.2 dBmV+ (Pmax - 65)

As shown in the first row of table above, the minimum highest

Non-boosted Pilots 17 dBmV

Boosted Pilots w/ 50 kHz subcarrier spacing 17.5 dBmV

Boosted Pilots w/ 25 kHz subcarrier spacing 18 dBmV

2.3.2 CMTS Rx Input Power Requirements

The CMTS Upstream demodulator MUST operate within its defined

2.4.1 FEC Codes for OFDMA Channels

2.4.2 US Codeword Selection Algorithm

2.5 OFDMA Minislots

The CMTS communicates minislot definition to the CM in UCD

Parameter Allowable Range

K (symbols per frame) 6 – 18 (BW ≥ 72 MHz)

Q (subcarriers per minislot) 8

Minislot Parameters 4k FFT (40µs FFT duration)

Parameter Allowable Range

K (symbols per frame) 6 – 9 (BW ≥ 72 MHz)

Q (subcarriers per minislot) 16

NOTE: In the above tables, a minislot is always 400 kHz wide.

2.5.2 Pilot Subcarriers

Complementary pilots are subcarriers that carry data, but with a

Pattern 1 Pattern 2 Pattern 3 Pattern 4

2k FFT Pilot Patterns 1 – 4

2k FFT Pilot Patterns 5 – 7

4k FFT Pilot Patterns 8 – 11

4k FFT Pilot Patterns 12 – 14

2.6 Fidelity and Performance

Downstream and Other Band Spurious Emissions