SIST ES 203 811-1 V1.1.1:2023

Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)






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

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

Reference
DES/CABLE-0029-1
Keywords
access, broadband, CABLE, DOCSIS,
endorsement, IP, IPCable

ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00  Fax: +33 4 93 65 47 16

Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
If you find a security vulnerability in the present document, please report it through our
Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law
and/or governmental rule and/or regulation and further, no representation or warranty is made of merchantability or fitness
for any particular purpose or against infringement of intellectual property rights.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and
microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2022.
All rights reserved.

ETSI

---------------------- Page: 2 ----------------------
3 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 7
3.1 Definitions . 7
3.2 Symbols . 7
3.3 Abbreviations . 8
4 Background . 8
4.1 Broadband Access Network . 8
4.2 DOCSIS Network and System Architecture. 8
4.3 Service Goals . 10
4.4 Backward Compatibility . 10
4.5 Reference Architecture . 10
5 Overview of the multi-part ETSI standard . 11
®
5.1 Part 1: General; DOCSIS 4.0 . 11
®
5.2 Part 2: Physical layer; DOCSIS 4.0 . 11
®
5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 4.0 . 12
®
5.4 Part 4: Cable modem operations support system interface; DOCSIS 4.0 . 12
®
5.5 Part 5: Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 . 12
®
5.6 Part 6: Security; DOCSIS 4.0 . 12
6 Requirements for compliance . 12
History . 13


ETSI

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4 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be
found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to
ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the
®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This final draft ETSI Standard (ES) has been produced by ETSI Technical Committee Integrated broadband cable
telecommunication networks (CABLE), and is now submitted for the ETSI standards Membership Approval Procedure.
The present document is part 1 of a multi-part deliverable covering the sixth generation transmission systems for
interactive cable television services - IP cable modems, as identified below:
®
Part 1: "General; DOCSIS 4.0";
®
Part 2: "Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]";
®
Part 3: "MAC and upper layer protocols interface; DOCSIS 4.0 [ANSI/SCTE 262-2 2020]";
®
Part 4: "Cable modem operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-3 2020]";
Part 5: "Converged Cable Access Platform (CCAP) operations support system interface; Part 5: Converged
®
Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-4
2020]";
®
Part 6: "Security; DOCSIS 4.0 [ANSI/SCTE 262-5 2020]".
®
This multi-part deliverable is based on the CableLabs DOCSIS 4.0 specifications and endorses the corresponding
ANSI/SCTE standards. Table 1 indicates for the standards in this multi-part deliverable the endorsed ANSI/SCTE
®
standards and the corresponding CableLabs DOCSIS 4.0 specifications.
ETSI

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

®
DOCSIS is a registered trade mark of Cable Television Laboratories, Inc., and is used in the present document with
permission.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI

---------------------- Page: 5 ----------------------
6 Final draft ETSI ES 203 811-1 V1.1.1 (2022-07)
1 Scope
The present document is part of a multi-part deliverable that defines the sixth generation of high-speed data-over-cable
systems and is based on a set of specifications commonly referred to as DOCSIS 4.0 specifications.
This generation of the DOCSIS specifications [i.1] to [i.5] builds upon the previous generations of DOCSIS
specifications (commonly referred to as the DOCSIS 3.1 and earlier specifications), leveraging the existing Media
Access Control (MAC) and Physical (PHY) layers. It includes backward compatibility for the existing PHY layers in
order to enable a seamless migration to the new technology. Further, the DOCSIS 4.0 specifications introduce Full
Duplex (FDX) DOCSIS PHY layer technology as an expansion of the OFDM PHY layer introduced in the DOCSIS 3.1
PHY specification to increase upstream capacity without significant loss of downstream capacity versus DOCSIS 3.1.
The DOCSIS 4.0 specification also builds upon DOCSIS 3.1 OFDM and OFDMA technology with an extended
Frequency Division Duplex (FDD) DOCSIS alternative. DOCSIS 4.0 FDD supports legacy high split and also provides
extended splits up to 684 MHz in an operational band plan which is referred to as Ultra-High Split (UHS). DOCSIS 4.0
FDD also introduces expansion of usable downstream spectrum up to 1 794 MHz. Both the FDX and FDD DOCSIS 4.0
alternatives are based on OFDM PHY. The DOCSIS 4.0 specifications also define appropriate updates to the MAC and
management layers to support new PHY functionality.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference/.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] ETSI ES 203 811-2: "Integrated broadband cable telecommunication networks (CABLE); Sixth
generation transmission systems for interactive cable television services - IP cable modem; Part 2:
®
...

SLOVENSKI STANDARD
SIST ES 203 811-1 V1.1.1:2023
01-marec-2023
Integrirana širokopasovna kabelska telekomunikacijska omrežja (CABLE) - Šesta
generacija prenosnih sistemov za storitve interaktivne kabelske televizije - IP-
kabelski modemi - 1. del: Splošno - DOCSIS® 4.0
Integrated broadband cable telecommunication networks (CABLE) - Sixth generation
transmission systems for interactive cable television services - IP cable modem - Part 1:
General - DOCSIS® 4.0
Ta slovenski standard je istoveten z: ETSI ES 203 811-1 V1.1.1 (2022-09)
ICS:
33.060.40 Kabelski razdelilni sistemi Cabled distribution systems
SIST ES 203 811-1 V1.1.1:2023 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST ES 203 811-1 V1.1.1:2023

---------------------- Page: 2 ----------------------
SIST ES 203 811-1 V1.1.1:2023
ETSI ES 203 811-1 V1.1.1 (2022-09)






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

---------------------- Page: 3 ----------------------
SIST ES 203 811-1 V1.1.1:2023

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

Reference
DES/CABLE-0029-1
Keywords
access, broadband, CABLE, DOCSIS,
endorsement, IP, IPCable

ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00  Fax: +33 4 93 65 47 16

Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
If you find a security vulnerability in the present document, please report it through our
Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law
arranty is made of merchantability or fitness
and/or governmental rule and/or regulation and further, no representation or w
for any particular purpose or against infringement of intellectual property rights.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and
microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2022.
All rights reserved.

ETSI

---------------------- Page: 4 ----------------------
SIST ES 203 811-1 V1.1.1:2023

3 ETSI ES 203 811-1 V1.1.1 (2022-09)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 7
3.1 Terms . 7
3.2 Symbols . 7
3.3 Abbreviations . 8
4 Background . 8
4.1 Broadband Access Network . 8
4.2 DOCSIS Network and System Architecture. 8
4.3 Service Goals . 10
4.4 Backward Compatibility . 10
4.5 Reference Architecture . 10
5 Overview of the multi-part ETSI standard . 11
®
5.1 Part 1: General; DOCSIS 4.0 . 11
®
5.2 Part 2: Physical layer; DOCSIS 4.0 . 11
®
5.3 Part 3: MAC and upper layer protocols interface; DOCSIS 4.0 . 12
®
5.4 Part 4: Cable modem operations support system interface; DOCSIS 4.0 . 12
®
5.5 Part 5: Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0 . 12
®
5.6 Part 6: Security; DOCSIS 4.0 . 12
6 Requirements for compliance . 12
History . 13


ETSI

---------------------- Page: 5 ----------------------
SIST ES 203 811-1 V1.1.1:2023

4 ETSI ES 203 811-1 V1.1.1 (2022-09)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be
found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to
ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the
®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This ETSI Standard (ES) has been produced by ETSI Technical Committee Integrated broadband cable
telecommunication networks (CABLE).
The present document is part 1 of a multi-part deliverable covering the sixth generation transmission systems for
interactive cable television services - IP cable modems, as identified below:
®
Part 1: "General; DOCSIS 4.0";
®
Part 2: "Physical layer; DOCSIS 4.0 [ANSI/SCTE 262-1 2020]";
®
Part 3: "MAC and upper layer protocol interfaces; DOCSIS 4.0 [ANSI/SCTE 262-2 2020]";
®
Part 4: "Cable modem operations support system interface; DOCSIS 4.0 [ANSI/SCTE 262-3 2020]";
®
Part 5: "Converged Cable Access Platform (CCAP) operations support system interface; DOCSIS 4.0
[ANSI/SCTE 262-4 2020]";
®
Part 6: "Security; DOCSIS 4.0 [ANSI/SCTE 262-5 2020]".
ETSI

---------------------- Page: 6 ----------------------
SIST ES 203 811-1 V1.1.1:2023

5 ETSI ES 203 811-1 V1.1.1 (2022-09)
®
This multi-part deliverable is based on the CableLabs DOCSIS 4.0 specifications and endorses the corresponding
ANSI/SCTE standards. Table 1 indicates for the standards in this multi-part deliverable the endorsed ANSI/SCTE
®
standards and the corresponding CableLabs DOCSIS 4.0 specifications.
Table 1: Mapping of DOCSIS standards and specifications
®
ETSI standard ANSI/SCTE standard CableLabs DOCSIS specification
ETSI ES 203 811-1 None None
ETSI ES 203 811-2 [1] ANSI/SCTE 262-1 2020 CM-SP-PHYv4.0-I02-200429 [i.1]
ETSI ES 203 811-3 [2] ANSI/SCTE 262-2 2020 CM-SP-MULPIv4.0-I01-190815 [i.2]
ETSI ES 203 811-4 [3] ANSI/SCTE 262-3 2020 CM-SP-CM-OSSIv4.0-I02-200311 [i.3]
ETSI ES 203 811-5 [4] ANSI/SCTE 262-4 2020 CM-SP-CCAP-OSSIv4.0-I02-200311 [i.4]
ETSI ES 203 811-6 [5] ANSI/SCTE 262-5 2020 CM-SP-SECv4.0-I01-190815 [i.5]

®
DOCSIS is a registered trade mark of Cable Television Laboratories, Inc., and is used in the present document with
permission.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI

---------------------- Page: 7 ----------------------
SIST ES 203 811-1 V1.1.1:2023

6 ETSI ES 203 811-1 V1.1.1 (2022-09)
1 Scope
The present document is part of a multi-part deliverable that defines the sixth generation of high-speed data-over-cable
systems and is based on a set of specifications commonly referred to as DOCSIS 4.0 specifications.
This generation of the DOCSIS specifications [i.1] to [i.5] builds upon the previous generations of DOCSIS
specifications (commonly referred to as the DOCSIS 3.1 and earlier specifications), leveraging the existing Media
Access Control (MAC) and Physical (PHY) layers. It includes backward compatibility for the existing PHY layers in
order to enable a seamless migration to the new technology. Further, the DOCSIS 4.0 specifications introduce Full
Duplex (FDX) DOCSIS PHY layer technology as an expansion of the OFDM PHY layer introduced in the DOCSIS 3.1
PHY specification to increase upstream capacity without significant loss of downstream capacity versus DOCSIS 3.1.
The DOCSIS 4.0 specification also builds upon DOCSIS 3.1 OFDM and OFDMA technology with an extended
Frequency Division Duplex (FDD) DOCSIS alternative. DOCSIS 4.0 FDD supports legacy high split and also provides
extended splits up to 684 MHz in an operational band plan which is referred to as Ultra-High Split (UHS). DOCSIS 4.0
FDD also introduces expansion of usable downstream spectrum up to 1 794 MHz. Both the FDX and FDD DOCSIS 4.0
alternatives are based on OFDM PHY. The DOCSIS 4.0 specifications also define appropriate updates to the MAC and
management layers to support new PHY functionality.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference/.
NOTE: While any hyperlinks included in this clause were valid at the time of public
...