DOCSIS 3.

1:

WHAT IS IT, HOW DOES IT WORK, AND

HOW CAN YOU PREPARE FOR IT?

Daniel Howard, SCTE CTO

July 16, 2013
VIDEO
PART 1: OFDM
BUSINESS DRIVERS

MAIN OBJECTIVES: As we go through Part 1 of todays lecture, you

should be able to answer the following questions:
What are the options in multiplexing today's data signals to the customer?

What are the business, market and technology drivers for OFDM in cable?

Why move beyond QAM 256?

What are the options for higher order modulation?

How will DOCSIS 3.1 with OFDM enable operators to deliver higher speed
data services and increase the capacity of their HFC access networks?

What makes OFDM especially well suited to deliver wider effective channels?
BUSINESS DRIVERS FOR
OFDM ON HFC

In a phrase: MORE HFC CAPACITY IS NEEDED!

Market drivers: Business services, Over The Top (OTT)
video, 4K video, 3DTV, etc.
Economic drivers: Decrease cost per bit transmitted
How much capacity do we need?
10 Gb/s downstream or greater
1 Gb/s upstream or greater
Flexibility requirement: Need easy adaptation to
different amounts of spectrum and plant conditions
HOW TO GET MORE CAPACITY?
Higher orders of
modulation (HOM)
256-QAM 4096-QAM

Elimination/reduction of RF guard bands

Greater capacity achieved primarily through LDPC (HOM in

clean channel) and OFDM (elimination of guard bands and
HOM in impaired channels)

Close to 2x improvement over DOCSIS 3.0

Sub-carrier - 256 QAM

Sub-carrier - 256 QAM

Sub-carrier - 512 QAM

Sub-carrier - 512 QAM

channel
OFDM D/S PHY

Sub-carrier - 1024 QAM

Sub-carrier - 4096 QAM

ADAPTIVE BIT LOADING

Sub-carrier - 4096 QAM

Sub-carrier - 1024 QAM

NO WASTED CAPACITY: OFDM
HIGHER ORDER
MODULATION OPTIONS

Why not just add LDPC to Single Carrier (SC) QAM to get
higher order modulation? Guardbands and robustness!
Other reasons for going to OFDM:
Easier channel synthesis
Less complex than MAC layer bonding
Channel equalization (EQ) is simpler
Incremental capacity addition
Better economies of scale
Attract new chipset and system vendors to cable market
 PART 2: ENGINEERING DETAILS

MAIN OBJECTIVES: As we go through Part 2 of todays lecture, you

will be able to answer the following questions:
How does OFDM differ from conventional FDM, ATDMA, and S-CDMA?

How are the subcarriers orthogonal to each other in OFDM?

How and why is the IFFT used in defining the OFDM waveform?

How are pilot tones and the cyclic prefix used in OFDM?

How does OFDM optimize the modulation order used in RF spectrum?

Why makes OFDM better than S-CDMA and ATDMA in general?

GLOSSARY:
FDM: Frequency Division Multiplexing ATDMA: Advanced Time Division Multiple Access

IFFT: Inverse Fast Fourier Transform S-CDMA: Synchronous Code Division Multiple Access

OFDM: Orthogonal Frequency Division Multiplexing

THE OFDM CONCEPT

OFDM sub-carriers can be

packed tightly without
interfering with each other

And they fall

off faster at
band edges
SC-QAM OFDM
ORTHOGONALITY DEFINED

b
Mathematical
orthogonality: f , g f ( x) g ( x)dx 0
a

In communications, orthogonality means zero interference with

each other at the receiver sampling instant

Orthogonality in communications is typically in one of these

domains: temporal, frequency, code, or spatial
ORTHOGONALITY
EXAMPLES: TDMA
Ramp-down Timing-phase
time difference
Dts
i-th Burst

Guard time at
CMTS receiver:

Symbol
period

(i+1)-th Burst

Ramp-up
time
ORTHOGONALITY EXAMPLES:
S-CDMA CODE DOMAIN

Code 1 Code 1

Data stream 1 Data stream 1

Spreading De-spreading

Code 2 Code 2
RF
Data stream 2
+ Channel Data stream 2
Spreading De-spreading

Code N Code N

Data stream N Data stream N

Spreading De-spreading
ORTHOGONALITY EXAMPLES:
S-CDMA TIMING SYNCH
Ramp-down Timing-phase
time difference
i-th Burst nearly 0

Guard time at
CMTS receiver
Chip may be 0
period

(i+1)-th Burst

Ramp-up
time
OFDM ORTHOGONALITY

rect(t)
transforms
F
to sin(f)/f
or sinc(f)
time frequency

Precise
frequency Df = tk , k = 1 typically
spacing
HOW OFDM DATA IS
TRANSMITTED VIA IFFT
+j0n
This e
D(k)
+j1n
e
D(k)

+jN-1n
+ Channel

e
D(k)

is mathematically N 1
equivalent to this: D ( k )e
k 0
j 2nk / N
IFFTN (n, D)
OFDM TX BLOCK DIAGRAM

Data bits

Serial to Parallel

Parallel to Serial
Error Symbol
Cyclic
Scrambler Correction Interleaver Map (bits IFFT
Prefix
Encode to QAM)

to RF
upconverter
OFDM CYCLIC PREFIX
copy

Symboln-1 Symboln Symboln+1

Cyclic Prefix N-point IFFT Output

OFDM SYNCHRONIZATION

Frequency
Synchronization
Error Other carriers
do not cancel

Clock

Initial synch
is lost during
Synchronization
sampling
Error
PILOT TONES IN OFDM
 BER PERFORMANCE IN AWGN

These curves
are the same
for OFDM as for
S-CDMA and
ATDMA in an
additive white
Gaussian noise
(AWGN)
channel
PART 3: PERFORMANCE DETAILS

MAIN OBJECTIVES: As we go through Part 3 of todays lecture, you

will be able to answer the following questions:
Why is OFDM better on the upstream in impulse and narrow band ingress?

What are the advantages/disadvantages of OFDM?

What are some key areas that cable operators can focus on when preparing to
deploy OFDM in their networks?

How will operators transition to OFDM and higher order QAM rates?

What are the operational system and network implications of OFDM and its
deployment?
OFDMS SECRET WEAPON

Narrow subcarriers mean long symbols

frequency time
Benefits are easy +31 dBmV +30 dBmV
100 feet (1 dB loss)
mitigation of: 23 dB
tap
(R=7 dB)
20 dB
tap
(R=7 dB)

Micro-reflections
+22 dBmV +23 dBmV

+15 dBmV +14 dBmV

CA Node H41

0.02

0.015

0.01

Ingress, impulse 0.005

and burst noise -0.005

-0.01
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
-4
x 10
BURST NOISE PERFORMANCE
DETAILS
-40

FFT of oscilloscope
-45

-50

capture of burst noise -55

event on upstream -60

-65

-70
0.5 1 1.5 2 2.5 3 3.5 4
7
x 10

Same trace with burst

-35

-40

noise event clipped out -45

-50

of time capture -55

-60

Reveals ingress and -65

-70

flatness of actual channel -75

0.5 1 1.5 2 2.5 3 3.5 4
7
x 10
HIGHLY ATTENUATED UPSTREAMS

MDU cable modems can have highly attenuated

upstreams
S-CDMA and OFDM modulations allow Tx power to be
concentrated on fewer tones (or codes in S-CDMA)
SNR per tone is much higher
Reduces burst rate, but keeps spectral efficiency high

Normal power per

tone

Cable upstream frequency

HIGHER PEAK TO AVERAGE
POWER RATIO OF OFDM

OFDM has a high peak-to-average power ratio

(PAPR), but so does a spectrum full of SC-QAM
(|x|2)peak
PAPR =
xrms2

PAPR can be reduced, but probably not necessary

PART 4: DEPLOYMENT PLANNING

MAIN OBJECTIVES: As we go through Part 4 of todays lecture, you

will be able to answer the following questions:
How will operators transition to OFDM and higher order QAM rates?

What are the operational system and network implications of OFDM and its
deployment?

What are some key areas that cable operators can focus on when preparing to
deploy OFDM in their networks?

How will the SCTE help operators deploy DOCSIS 3.1 OFDM in their networks?
OPERATION ON HFC NETWORKS

Key aspects:
Upstream spectrum remains below downstream
CPE devices support current and future upstream splits
CPE devices operate in current and future downstreams

Deployment implications
No plant changes required to deploy DOCSIS 3.1 equipment
Future proof - no CPE or infrastructure swap required
EFFECTIVE MIGRATION STRATEGY

Achieved primarily by including:

Backward compatibility requirements
Support for upgrades to DOCSIS 3.1 technology in CCAP

How does that enable an effective migration

strategy?
Incremental deployment of DOCSIS 3.1 modems
Continued use of DOCSIS 2.0 & 3.0 modems after 3.1 upgrades
DOCSIS 3.1 TECHNOLOGY -
MIGRATION
Backward compatibility
Support of at least 24 bonded SC-QAMs in downstream and 8 in upstream
S-CDMA in the upstream
DOCSIS 3.1 CMs required to operate on DOCSIS 3.0 CMTSs
DOCSIS 3.1 CMTSs required to support DOCSIS 3.0 (and 2.0) CMs
To be implemented also with CCAP equipment
Operation on existing HFC networks
Upstream spectrum remains below downstream
Supports operation with existing upstream splits (42/65 MHz as mostly in operation,
85 MHz as specified in DOCSIS 3.0)
Supports spectrum enhancement in upstream (e.g. 200 MHz) and downstream (e.g.
1.2 GHz or even 1.7 GHz)
Supports the ability to take advantage of enhanced capabilities when network,
headend and CPE equipment permit
 DOCSIS 3.1 Use Cases
DOCSIS 3.0 CM DOCSIS 3.1 CM

Few 1.0/1.1
Remove 1.0/1.1 Many 3.0 Lots of 3.0
CPE

Lots of 2.0 Lots of 3.1 Reduction of 2.0

More 3.0 First 3.1 More 3.1
Some 3.0

3.1 3.1 DS 3.1 US Better

Today Soon
CM CCAP CCAP HFC
Headend

5-65 MHz US 3.0 CCAP 3.0 CCAP 3.1 CCAP First 3.1 US US & DS Expansion
3.0 CMTS More DS Bonding More DS & US First 3.1 DS OFDM OFDMA
DS Bonding US Bonding Bonding DS Expansion
S-CDMA

DOCSIS 3.0 CMTS/CCAP DOCSIS 3.1 CMTS/CCAP

Considerations when introducing DOCSIS 3.1
DOCSIS 3.0 CCAP before DOCSIS 3.1 available
First DOCSIS 3.1 CM with DOCSIS 3.0 CCAP
Introducation of DOCSIS 3.1 DS in CCAP via Firmware Upgrade
Introducation of DOCSIS 3.1 US in CCAP via Line Card swap
(Source: CableLabs, Comcast)
Expansion of frequency range particularly in US very complex
TOWARDS FTTH ?
Residential Business
Services Services

DOCSIS 3.0
Channel Bonding

EPON / GPON / P2P

CCAP
High-density
Headend

Distributed
Architecture

DOCSIS 3.1
New PHY
EPoC

All Fiber
Time
SCTE SUPPORT FOR DOCSIS 3.1

SCTE engineering support to 3.1 spec development

DOCSIS training/certification update for 3.1
Other content
DOCSIS 3.1 landing zone: SCTE Standards
SCTE recommended practice documents
New SCTE HFC readiness working group
Symposium on 3.1/HFC readiness
SCTE HFC READINESS SPECIAL
WORKING GROUP (SWG)

Goal: Accelerate deployment of 3.1

Output: Best practices documents for optimizing network
capacity with DOCSIS 3.x
Kickoff meeting 24 May 2013
Phase 1: Optimizing loaded DOCSIS 3.0 networks
Delivery: 1 Sep 2013
Phase 2: Optimizing loaded DOCSIS 3.1 networks
Measurement project to be undertaken
Procedures being written up for MSOs
Webinar planned to demonstrate procedures
SWG team as backup to do measurements
PHASE 1 GENERAL ISSUES

How fully loaded D3.0 network capacity is affected by

equipment performance limits and plant impairments
Planning and optimization recommendations

Recommendations for network equipment and monitoring

equipment

How to configure, monitor, and maintain a fully utilized

DOCSIS 3.0 upstream and downstream
SWG TOPICS FOR PHASE 1
DOCUMENT

Laser linearity and dynamic range (headroom)

Noise measurement recommendation (Measurements for accurate noise/interference diagnostics)
Impairment visibility on fully loaded plants
Effect of changing signal levels (increase for High Order Modulation, distortion, etc)
Educating the workforce for High order Modulation with existing equipment (new tools)
Availability of test & diagnostics equipment (to add intelligence and higher measurement resolution)
LTE ingress, TV white space, satellite and MoCA
Minimum standards for plant & maintenance (+evolution)
Beyond MER (higher order moments in measurements)
Dynamic modulation rollback and proactive network maintenance (PNM) actions
Best mix of SCDMA and ATDMA
Improve Home/Biz/MDU installation practices (certificate of install, better records, trends/tracking,
operations and field)
Impairment library, map to migration strategy
Better CMTS metrics
Configuration/optimization planning (CMTS, plant specific, key knobs)
TUTORIALS IN PHASE 1
DOCUMENT

Upstream laser characterization using D3.0 bonded carriers

Steady state ingress, transient noise, and high levels of collisions in
contention mini-slots with modern equipment (VSA, DSO, CMTS)

RF spectral power density considerations for the upstream:

Constant power per Hz, constant power per carrier, other power
profiles, and other methods to optimize total upstream capacity

Correlation of RF leakage measurements to downstream and upstream

ingress and transient noise estimation; and

New measurement procedures oriented towards determining how best to

maximize the capacity of fully loaded DOCSIS 3.x networks.
IMPACT OF INGRESS AND CONTENTION
COLLISIONS ON UPSTREAM LASER

35

30

25

20

15

10
Amplitude (dBmV)

-5

-10

-15

-20

-25

-30

-35

-40
6 14 22 30 38 46 54 62 70 78 86
Frequency (MHz)
DYNAMIC RANGE VS. LASER TYPE
IMPAIRMENT VISIBILITY OUT OF BAND
Transient Noise on Return Node
20

15

10

0
Amplitude (dBmV)

-5

-10

-15

-20

-25

-30

-35

-40
1 5 9 13 17 21 25 29 33 37 41 45 49 53 57 61 65 69 73 77 81
Frequency (MHz)
HOMEPLUG INTERFERENCE
SEEN ON UPSTREAM
WHAT TO MEASURE

Attenuation and thermal noise in the channel vs.

transmit power limit
Capabilities of existing optics
Frequency response/Micro-reflections
Ingress, impulse and burst noise
Non-linear impairments (CSO, CTB)
LONG TERM REQUIREMENTS

Objectives of 10 Gbit/s DS and 1 Gbit/s US capacity requires

more RF spectrum
1.2-1.5 GHz on the downstream, 200-400 MHz on the upstream
Highest availability and capacity may ultimately require
Better DFB cooled downstream lasers
Higher powered upstream lasers
Improved passives and RF amplifiers
These improvements can be done surgically, only on nodes where needed

Characterizing current plant performance will determine how

close an MSO can come to the objectives with minor to
moderate tweaks to the existing HFC Infrastructure
REFERENCES /
FOR MORE INFO
OFDM basics tutorial
http://www.radio-electronics.com/info/rf-technology-design/ofdm/ofdm-basics-tutorial.php
What is OFDM (Hranac)
http://www.cablefax.com/cfp/ct/news/ctreports/commentary/What-Is-OFDM_55404.html
OFDM FAQ/Tutorial
http://mobiledevdesign.com/tutorials/ofdm/
OFDM Tutorial
http://www.complextoreal.com/chapters/ofdm2.pdf
DVB-C2: Revolutionising RF Bandwidths Utilization in Cable
http://www.ict-redesign.eu/fileadmin/documents/1003_SCTE_Broadband_DVB-C2.pdf
OFDM and the orthogonality principle
http://www.ice.rwth-aachen.de/research/algorithms-projects/ofdm/ofdm-and-the-orthogonality-principle/
Wikipedia entry on OFDM
http://en.wikipedia.org/wiki/Orthogonal_frequency-division_multiplexing
The principles of OFDM (RF Design)
http://rfdesign.com/images/archive/0101Puegel30.pdf
OFDM Overview (Va Tech)
http://www.mprg.org/research/OFDM/index.html
OFDM Uncovered Part 1: The Architecture
http://www.eetimes.com/design/communications-design/4141953/OFDM-Uncovered-Part-1-The-Architecture
SCTE DOCSIS AND PHY LAYER
LEARNING RESOURCES
Courses
Channel Bonding in DOCSIS 3.0
http://www.scte.org/professional_development/channel_bonding_in_docsis_30_on_demand_description.aspx
Coaxial Cable in the HFC Plant
http://www.scte.org/professional_development/_coaxial_cable_in_the_hfc_plant.aspx
Data Communications
http://www.scte.org/professional_development/data_communications_description.aspx
Digital Basics and DOCSIS Fundamentals
http://www.scte.org/events/Digital_Basics_and_DOCSIS%C2%AE_Fundamentals_.aspx
DOCSIS Systems
http://www.scte.org/events/DOCSIS%E2%84%A2_Deployment_Detail.aspx
Return Path
http://www.scte.org/events/Return_Path_Detail.aspx

Primers:
What is LTE?
http://www.scte.org/resources/SCTE_Primers_for_Download.aspx#LTE
What is Modulation?
http://www.scte.org/resources/SCTE_Primers_for_Download.aspx#modulation