Open Systems, Standards, and Protocols
Today I start looking at the subject of TCP/IP by
covering some background information you will need to put TCP/IP in perspective, and to
understand why the TCP/IP protocols were designed the way they are. This chapter covers
some important information, including the following:
What an open system is
How an open system handles networking
Why standards are required
How standards for protocols like TCP/IP are developed
What a protocol is
The OSI protocols
You might be eager to get started with the
nitty-gritty of the TCP/IP protocols, or to find out how to use the better-known services
like FTP and Telnet. If you have a specific requirement to satisfy (such as how to
transfer a file from one system to another), by all means use the Table of Contents to
find the section you want. But if you want to really understand TCP/IP, you will need to
wade through the material in this chapter. It's not complicated, although there are quite
a few subjects to be covered. Luckily, none of it requires memorization; more often than
not it is a matter of setting the stage for something else I discuss in the next week or
so. So don't get too overwhelmed by this chapter!
This is a guide about a family of protocols called
TCP/IP, so why bother looking at open systems and standards at all? Primarily because
TCP/IP grew out of the need to develop a standardized communications procedure that would
inevitably be used on a variety of platforms. The need for a standard, and one that was
readily available to anyone (hence open), was vitally important to TCP/IP's
success. Therefore, a little background helps put the design of TCP/IP into perspective.
More importantly, open systems have become de
rigueur in the current competitive market. The term open system is bandied around
by many people as a solution for all problems (to be replaced occasionally by the term client/server),
but neither term is usually properly used or understood by the people spouting them.
Understanding what an open system really is and what it implies leads to a better
awareness of TCP/IP's role on a network and across large internetworks like the Internet.
In a similar vein, the use of standards ensures that
a protocol such as TCP/IP is the same on each system. This means that your PC can talk to
a minicomputer running TCP/IP without special translation or conversion routines. It means
that an entire network of different hardware and operating systems can work with the same
network protocols. Developing a standard is not a trivial process. Often a single standard
involves more than a single document describing a software system. A standard often
involves the interrelationship of many different protocols, as does TCP/IP. Knowing the
interactions between TCP/IP and the other components of a communications system is
important for proper configuration and optimization, and to ensure that all the services
you need are available and interworking properly.
What Is an Open System?
There are many definitions of open systems, and a
single, concise definition that everyone is happy with is far from being accepted. For
most people, an open system is best loosely defined as one for which the architecture is
not a secret. The description of the architecture has been published or is readily
available to anyone who wants to build products for a hardware or software platform. This
definition of an open system applies equally well to hardware and software.
When more than a single vendor begins producing
products for a platform, customers have a choice. You don't particularly like Nocrash
Software's network monitoring software? No problem, because FaultFree Software's product
runs on the Nocrash hardware, and you like its fancy interface much better. You need a
more colorful graphical front-end to your Whizbang PC than the one Whizbang provides?
Download one from Super Software through the Internet, and it works perfectly. The primary
idea, of course, is a move away from proprietary platforms to one that is multivendor.
A decade ago, open systems were virtually
nonexistent. Each hardware manufacturer had a product line, and you were practically bound
to that manufacturer for all your software and hardware needs. Some companies took
advantage of the captive market, charging outrageous prices or forcing unwanted
configurations on their customers. The groundswell of resentment grew to the point that
customers began forcing the issue. The lack of choice in software and hardware purchases
is why several dedicated minicomputer and mainframe companies either went bankrupt or had
to accept open system principles: their customers got fed up with relying on a single
vendor. A good example of a company that made the adaptation is Digital Equipment
Corporation (DEC). They moved from a proprietary operating system on their VMS
minicomputers to a UNIX-standard open operating system. By doing that, they kept their
customers happy, and they sold more machines. That's one of the primary reasons DEC is
still in business today.
UNIX is a classic example of an open software
platform. UNIX has been around for 30 years. The source code for the UNIX operating system
was made available to anyone who wanted it, almost from the start. UNIX's source code is
well understood and easy to work with, the result of 30 years of development and
improvement. UNIX can be ported to run on practically any hardware platform, eliminating
all proprietary dependencies. The attraction of UNIX is not the operating system's
features themselves but simply that a UNIX user can run software from other UNIX
platforms, that files are compatible from one UNIX system to another (except for disk
formats), and that a wide variety of vendors sell products for UNIX.
The growth of UNIX pushed the large hardware
manufacturers to the open systems principle, resulting in most manufacturers licensing the
right to produce a UNIX version for their own hardware. This step let customers combine
different hardware systems into larger networks, all running UNIX and working together.
Users could move between machines almost transparently, ignorant of the actual hardware
platform they were on. Open systems, originally of prime importance only to the largest
corporations and governments, is now a key element in even the smallest company's computer
Although UNIX is a ed work now owned
by X/Open, the details of the operating system have been published and are readily
available to any developer who wants to produce applications or hardware that work with
the operating system. UNIX is unique in this respect.
The term open system networking means many
things, depending on whom you ask. In its broadest definition, open system networking
refers to a network based on a well-known and understood protocol (such as TCP/IP) that
has its standards published and readily available to anyone who wants to use them. Open
system networking also refers to the process of networking open systems (machaine-specific
hardware and software) using a network protocol. It is easy to see why people want open
systems networking, though. Three services are widely used and account for the highest
percentage of network traffic: file transfer, electronic mail, and remote login. Without
open systems networking, setting up any of these three services would be a nightmare.
File transfers enable users to share files quickly
and efficiently, without excessive duplication or concerns about the transport method.
Network file transfers are much faster than an overnight courier crossing the country, and
usually faster than copying a file on a disk and carrying it across the room. File
transfer is also extremely convenient, which not only pleases users but also eliminates
time delays while waiting for material. A common open system governing file transfers
means that any incompatibilities between the two machines transferring files can be
Electronic mail has mushroomed to a phenomenally
large service, not just within a single business but worldwide. The Internet carries
millions of messages from people in government, private industry, educational
institutions, and private interests. Electronic mail is cheap (no paper, envelope, or
stamp) and fast (around the world in 60 seconds or so). It is also an obvious extension of
the computer-based world we work in. Without an open mail system, you wouldn't have
anywhere near the capabilities you now enjoy.
Finally, remote logins enable a user who is based on
one system to connect through a network to any other system that accepts him as a user.
This can be in the next workgroup, the next state, or in another country. Remote logins
enable users to take advantage of particular hardware and software in another location, as
well as to run applications on another machine. Once again, without an open standard, this
would be almost impossible.
To understand networking protocols, it is useful to
know a little about networks. A quick look at the most common network architectures will
help later in this guide when you read about network operations and routing. The term network
usually means a set of computers and peripherals (printers, modems, plotters, scanners,
and so on) that are connected together by some medium. The connection can be direct
(through a cable) or indirect (through a modem). The different devices on the network
communicate with each other through a predefined set of rules (the protocol).
The devices on a network can be in the same room or
scattered through a building. They can be separated by many miles through the use of
dedicated telephone lines, microwave, or a similar system. They can even be scattered
around the world, again connected by a long-distance communications medium. The layout of
the network (the actual devices and the manner in which they are connected to each other)
is called the network topology.
Usually, if the devices on a network are in a single
location such as a building or a group of rooms, they are called a local area network, or
LAN. LANs usually have all the devices on the network connected by a single type of
network cable. If the devices are scattered widely, such as in different buildings or
different cities, they are usually set up into several LANs that are joined together into
a larger structure called a wide area network, or WAN. A WAN is composed of two or more
LANs. Each LAN has its own network cable connecting all the devices in that LAN. The LANs
are joined together by another connection method, often high-speed telephone lines or very
fast dedicated network cables called backbones, which I discuss in a moment.
One last point about WANs: they are often treated as
a single entity for organizational purposes. For example, the ABC Software company might
have branches in four different cities, with a LAN in each city. All four LANs are joined
together by high-speed telephone lines. However, as far as the Internet and anyone outside
the ABC Software company are concerned, the ABC Software WAN is a single entity. (It has a
single domain name for the Internet. Dont worry if you dont known what a
domain is at this point in time; it refers to a single entity for organizational purposes
on the Internet, as you will see later.)
Local Area Networks
TCP/IP works across LANs and WANs, and there are
several important aspects of LAN and WAN topologies you should know about. You can start
with LANs and look at their topologies. Although there are many topologies for LANs, three
topologies are dominant: bus, ring, and hub.
The Bus Network
The bus network is the simplest, comprising a single
main communications pathway with each device attached to the main cable (bus) through a
device called a transceiver or junction box. The bus is also called a backbone because it
resembles a human spine with ribs emanating from it. From each transceiver on the bus,
another cable (often very short) runs to the device's network adapter. An example of a bus
network is shown in Figure 1.1.
Figure 1.1. A schematic of
a bus network showing the backbone with transceivers leading to network devices.
The primary advantage of a bus network is that it
allows for a high-speed bus. Another advantage of the bus network is that it is usually
immune to problems with any single network card within a device on the network. This is
because the transceiver allows traffic through the backbone whether a device is attached
to the junction box or not. Each end of the bus is terminated with a block of resistors or
a similar electrical device to mark the end of the cable electrically. Each device on the
pathway has a special identifying number, or address, that lets the device know that
incoming information is for that device.
A bus network is seldom a straight cable. Instead,
it is usually twisted around walls and buildings as needed. It does have a single pathway
from one end to the other, with each end terminated in some way (usually with a resistor).
Figure 1.1 shows a logical representation of the network, meaning it has simplified the
actual physical appearance of the network into a schematic with straight lines and no real
scale to the connections. A physical representation of the network would show how it goes
through walls, around desks, and so on. Most devices on the bus network can send or
receive data along the bus by packaging a message with the intended recipient's address.
A variation of the bus network topology is found in
many small LANs that use Thin Ethernet cable (which looks like television coaxial cable)
or twisted-pair cable (which resembles telephone cables). This type of network consists of
a length of coaxial cable that snakes from machine to machine. Unlike the bus network in
Figure 1.1, there are no transceivers on the bus. Instead, each device is connected into
the bus directly using a T-shaped connector on the network interface card, often using a
connector called a BNC. The connector connects the machine to the two neighbors through
two cables, one to each neighbor. At the ends of the network, a simple resistor is added
to one side of the T-connector to terminate the network electrically.
A schematic of this type of network is shown in
Figure 1.2. Each network device has a T-connector attached to the network interface card,
leading to its two neighbors. The two ends of the bus are terminated with resistors.
Figure 1.2. A schematic of
a machine-to-machine bus network.
This machine-to-machine (also called peer-to-peer)
network is not capable of sustaining the higher speeds of the backbone-based bus network,
primarily because of the medium of the network cable. A backbone network can use very
high-speed cables such as fiber optics, with smaller (and slower) cables from each
transceiver to the device. A machine-to-machine network is usually built using
twisted-pair or coaxial cable because these cables are much cheaper and easier to work
with. Until recently, machine-to-machine networks were limited to a throughput of about 10
Mbps (megabits per second), although recent developments called 100VG AnyLAN and Fast
Ethernet allow 100 Mbps on this type of network.
The advantage of this machine-to-machine bus network
is its simplicity. Adding new machines to the network means installing a network card and
connecting the new machine into a logical place on the backbone. One major advantage of
the machine-to-machine bus network is also its cost: it is probably the lowest cost LAN
topology available. The problem with this type of bus network is that if one machine is
taken off the network cable, or the network interface card malfunctions, the backbone is
broken and must be tied together again with a jumper of some sort or the network might
cease to function properly.
The Ring Network
A ring network topology is often drawn as its name
suggests, shaped like a ring. A typical ring network schematic is shown in Figure 1.3. You
might have heard of a token ring network before, which is a ring topology network.
You might be disappointed to find no physical ring architecture in a ring network, though.
Figure 1.3. A schematic of
a ring network.
Despite the almost automatic assumption that a
ring network has a backbone with the ends of the cable joined to form a loop, there is no
real cabling ring at all. The ring name derives from the construction of the central
The term ring is a misnomer because ring
networks don't have an unending cable like a bus network with the two terminators joined
together. Instead, the ring refers to the design of the central unit that handles the
network's message passing. In a token ring network, the central control unit is called a
Media Access Unit, or MAU. The MAU has a ring circuit inside it (for which the network
topology is named). The ring inside the MAU serves as the bus for devices to obtain
The Hub Network
A hub network uses a main cable much like the bus
network, which is called the backplane. The hub topology is shown in Figure 1.4.
From the backplane, a set of cables leads to a hub, which is a box containing several
ports into which devices are plugged. The cables to a connection point are often called drops,
because they drop from the backplane to the ports.
Figure 1.4. A schematic of
a hub network.
Hub networks can be very large, using a high-speed
fiber optic backplane and slightly slower Ethernet drops to hubs from which a workgroup
can be supported. The hub network can also be small, with a couple of hubs supporting a
few devices connected together by standard Ethernet cables. The hub network is scaleable
(meaning you can start small and expand as you need to), which is part of its attraction.
Hub networks have become popular for large
installations, in part because they are easy to set up and maintain. They also can be the
least expensive system in many larger installations, which adds to their attraction. The
backplane can extend across a considerable distance just like a bus network, whereas the
ports, or connection points, are usually grouped in a set placed in a box or panel. There
can be many panels or connection boxes attached to the backplane.
Wide Area Networks
As I mentioned earlier, LANs can be combined into a
large entity called a WAN. WANs are usually composed of LANs joined together by a
high-speed link (such as a telephone line or dedicated cable). At the entrance to each
LAN, one or more machines act as the link between the LAN and WAN: these are called
gateways. I talk about gateways and the types of gateways used in a WAN in more detail on
many of the following days, but for now you need to know only that a gateway is the
interface between a LAN and a WAN. The same applies for any LAN that accesses the
Internet: one machine usually acts as the gateway from the LAN to the Internet (which is
really just a very large WAN).
Many terms other than gateway are also used.
You will hear terms like router and bridge. They are all gateways, but they
perform slightly different tasks. To understand their roles (which I mention many times in
the next week's material), you need to take a quick look at how WANs are laid out.
LANs can be tied to a WAN through a gateway that
handles the passage of data between the LAN and WAN backbone. In a simple layout, a router
is used to perform this function. This is shown in Figure 1.5.
Figure 1.5. A router
connects a LAN to the backbone.
Another gateway device, called a bridge, is used to
connect LANs using the same network protocol. Bridges are used only when the same network
protocol (such as TCP/IP) is on both LANs. The bridge does not care which physical media
is used. Bridges can connect twisted-pair LANs to coaxial LANs, for example, or act as an
interface to a fiber optic network. As long as the network protocol is the same, the
bridge functions properly.
If two or more LANs are involved in one organization
and there is the possibility of a lot of traffic between them, it is better to connect the
two LANs directly with a bridge instead of loading the backbone with the cross-traffic.
This is shown in Figure 1.6.
Figure 1.6. Using a bridge
to connect two LANs.
In a configuration using bridges between LANs,
traffic from one LAN to another can be sent through the bridge instead of onto the
backbone, providing better performance. For services such as Telnet and FTP, the speed
difference between using a bridge and going through a router onto a heavily used backbone
can be significant.
WANs are an important subject, and I look at them
again in more detail on Day 13, "Managing and Troubleshooting TCP/IP."
Suppose you have to write a program that provides
networking functions to every machine on your LAN. Writing a single software package that
accomplishes every task required for communications between different computers would be a
nightmarish task. Apart from having to cope with the different hardware architectures,
simply writing the code for all the applications you desire would result in a program that
was far too large to execute or maintain.
Dividing all the requirements into similar-purpose
groups is a sensible approach, much as a programmer breaks code into logical chunks. With
open systems communications, groups are quite obvious. One group deals with the transport
of data, another with the packaging of messages, another with end-user applications, and
so on. Each group of related tasks is called a layer.
The layers of an architecture are meant to be
stand-alone, independent entities. They usually cannot perform any observable task without
interacting with other layers, but from a programming point of view they are
Of course, some crossover of functionality is to be
expected, and several different approaches to the same division of layers for a network
protocol were proposed. One that became adopted as a standard is the Open Systems
Interconnection Reference Model (which is discussed in more detail in the next section).
The OSI Reference Model (OSI-RM) uses seven layers, as shown in Figure 1.7. The TCP/IP
architecture is similar but involves only five layers, because it combines some of the OSI
functionality in two layers into one. For now, though, consider the seven-layer OSI model.
Figure 1.7. The OSI
Reference Model showing all seven layers.
The application, presentation, and session layers
are all application-oriented in that they are responsible for presenting the application
interface to the user. All three are independent of the layers below them and are totally
oblivious to the means by which data gets to the application. These three layers are
called the upper layers.
The lower four layers deal with the transmission of
data, covering the packaging, routing, verification, and transmission of each data group.
The lower layers don't worry about the type of data they receive or send to the
application, but deal simply with the task of sending it. They don't differentiate between
the different applications in any way.
The following sections explain each layer to help
you understand the architecture of the OSI-RM (and later contrast it with the architecture
The Application Layer
The application layer is the end-user interface to
the OSI system. It is where the applications, such as electronic mail, USENET news
readers, or database display modules, reside. The application layer's task is to display
received information and send the user's new data to the lower layers.
In distributed applications, such as client/server
systems, the application layer is where the client application resides. It communicates
through the lower layers to the server.
The Presentation Layer
The presentation layer's task is to isolate the
lower layers from the application's data format. It converts the data from the application
into a common format, often called the canonical representation. The presentation
layer processes machine-dependent data from the application layer into a
machine-independent format for the lower layers.
The presentation layer is where file formats and
even character formats (ASCII and EBCDIC, for example) are lost. The conversion from the
application data format takes place through a "common network programming
language" (as it is called in the OSI Reference Model documents) that has a
The presentation layer does the reverse for incoming
data. It is converted from the common format into application-specific formats, based on
the type of application the machine has instructions for. If the data comes in without
reformatting instructions, the information might not be assembled in the correct manner
for the user's application.
The Session Layer
The session layer organizes and synchronizes the
exchange of data between application processes. It works with the application layer to
provide simple data sets called synchronization points that let an application know
how the transmission and reception of data are progressing. In simplified terms, the
session layer can be thought of as a timing and flow control layer.
The session layer is involved in coordinating
communications between different applications, letting each know the status of the other.
An error in one application (whether on the same machine or across the country) is handled
by the session layer to let the receiving application know that the error has occurred.
The session layer can resynchronize applications that are currently connected to each
other. This can be necessary when communications are temporarily interrupted, or when an
error has occurred that results in loss of data.
The Transport Layer
The transport layer, as its name suggests, is
designed to provide the "transparent transfer of data from a source end open system
to a destination end open system," according to the OSI Reference Model. The
transport layer establishes, maintains, and terminates communications between two
The transport layer is responsible for ensuring that
data sent matches the data received. This verification role is important in ensuring that
data is correctly sent, with a resend if an error was detected. The transport layer
manages the sending of data, determining its order and its priority.
The Network Layer
The network layer provides the physical routing of
the data, determining the path between the machines. The network layer handles all these
routing issues, relieving the higher layers from this issue.
The network layer examines the network topology to
determine the best route to send a message, as well as figuring out relay systems. It is
the only network layer that sends a message from source to target machine, managing other
chunks of data that pass through the system on their way to another machine.
The Data Link Layer
The data link layer, according to the OSI reference
paper, "provides for the control of the physical layer, and detects and possibly
corrects errors that can occur." In practicality, the data link layer is responsible
for correcting transmission errors induced during transmission (as opposed to errors in
the application data itself, which are handled in the transport layer).
The data link layer is usually concerned with signal
interference on the physical transmission media, whether through copper wire, fiber optic
cable, or microwave. Interference is common, resulting from many sources, including cosmic
rays and stray magnetic interference from other sources.
The Physical Layer
The physical layer is the lowest layer of the OSI
model and deals with the "mechanical, electrical, functional, and procedural
means" required for transmission of data, according to the OSI definition. This is
really the wiring or other transmission form.
When the OSI model was being developed, a lot of
concern dealt with the lower two layers, because they are, in most cases, inseparable. The
real world treats the data link layer and the physical layer as one combined layer, but
the formal OSI definition stipulates different purposes for each. (TCP/IP includes the
data link and physical layers as one layer, recognizing that the division is more academic
Both OSI and TCP/IP are rooted in formal
descriptions, presented as a series of complex documents that define all aspects of the
protocols. To define OSI and TCP/IP, several new terms were developed and introduced into
use; some (mostly OSI terms) are rather unusual. You might find the term OSI-speak
used to refer to some of these rather grotesque definitions, much as legalese
refers to legal terms.
To better understand the details of TCP/IP, it is
necessary to deal with these terms now. You won't see all these terms in this guide, but
you might encounter them when reading manuals or online documentation. Therefore, all the
major terms are covered here.
Many of the terms used by both OSI and TCP/IP
might seem to have multiple meanings, but there is a definite attempt to provide a single,
consistent definition for each word. Unfortunately, the user community is slow to adopt
new terminology, so there is a considerable amount of confusion.
To transfer data effectively, many experiments have
shown that creating a uniform chunk of data is better than sending characters singly or in
widely varying sized groups. Usually these chunks of data have some information ahead of
them (the header) and sometimes an indicator at the end (the trailer). These
chunks of data are called packets in most synchronous communications systems.
The amount of data in a packet and the composition
of the header can change depending on the communications protocol as well as some system
limitations, but the concept of a packet always refers to the entire set (including header
and trailer). The term packet is used often in the computer industry, sometimes
when it shouldn't be.
You often see the word packet used as a
generic reference to any group of data packaged for transmission. As an application's data
passes through the layers of the architecture, each adds more information. The term packet
is frequently used at each stage. Treat the term packet as a generalization for any
data with additional information, instead of the specific result of only one layer's
addition of header and trailer. This goes against the efforts of both OSI and the TCP
governing bodies, but it helps keep your sanity intact!
A subsystem is the collective of a particular
layer across a network. For example, if 10 machines are connected together, each running
the seven-layer OSI model, all 10 application layers are the application subsystem, all 10
data link layers are the data link subsystem, and so on. As you might have already
deduced, with the OSI Reference Model there are seven subsystems.
It is entirely possible (and even likely) that all
the individual components in a subsystem will not be active at one time. Using the
10-machine example again, only three might have the data link layer actually active at any
moment in time, but the cumulative of all the machines makes up the subsystem.
A layer can have more than one part to it. For
example, the transport layer can have routines that verify checksums as well as routines
that handle resending packets that didn't transfer correctly. Not all these routines are
active at once, because they might not be required at any moment. The active routines,
though, are called entities. The word entity was adopted in order to find a single
term that could not be confused with another computer term such as module, process, or
The notations N, N+1, N+2, and so on are used to
identify a layer and the layers that are related to it. Referring to Figure 1.7, if the
transport layer is layer N, the physical layer is N3 and the presentation layer is
N+2. With OSI, N always has a value of 1 through 7 inclusive.
One reason this notation was adopted was to enable
writers to refer to other layers without having to write out their names every time. It
also makes flow charts and diagrams of interactions a little easier to draw. The terms N+1
and N1 are commonly used in both OSI and TCP for the layers above and below the
current layer, respectively, as you will see.
To make things even more confusing, many OSI
standards refer to a layer by the first letter of its name. This can lead to a real mess
for the casual reader, because "S-entity," "5-entity," and "layer
5" all refer to the session layer.
Each layer performs N-functions. The functions are
the different things the layer does. Therefore, the functions of the transport layer are
the different tasks that the layer provides. For most purposes in this guide, functions and
entities mean the same thing.
This uses the hierarchical layer structure to
express the idea that one layer provides a set of facilities to the next higher layer.
This is sensible, because the application layer expects the presentation layer to provide
a robust, well-defined set of facilities to it. In OSI-speak, the (N+1)-entities assume a
defined set of N-facilities from the N-entity.
The entire set of N-facilities provided to the
(N+1)-entities is called the N-service. In other words, the service is the entire set of
N-functions provided to the next higher layer. Services might seem like functions, but
there is a formal difference between the two. The OSI documents go to great lengths to
provide detailed descriptions of services, with a "service definition standard"
for each layer. This was necessary during the development of the OSI standard so that the
different tasks involved in the communications protocol could be assigned to different
layers, and so that the functions of each layer are both well-defined and isolated from
The service definitions are formally developed from
the bottom layer (physical) upward to the top layer. The advantage of this approach is
that the design of the N+1 layer can be based on the functions performed in the N layer,
avoiding two functions that accomplish the same task in two adjacent layers.
An entire set of variations on the service name has
been developed to apply these definitions, some of which are in regular use:
An N-service user is a user of a service provided by
the N layer to the next higher (N+1) layer.
An N-service provider is the set of N-entities that
are involved in providing the N layer service.
An N-service access point (often abbreviated to
N-SAP) is where an N-service is provided to an (N+1)-entity by the N-service provider.
N-service data is the packet of data exchanged at an
N-service data units (N-SDUs) are the individual
units of data exchanged at an N-SAP (so that N-service data is made up of N-SDUs).
These terms are shown in Figure 1.8. Another common
term is encapsulation, which is the addition of control information to a packet of
data. The control data contains addressing details, checksums for error detection, and
protocol control functions.
Figure 1.8. Service
providers and service users communicate through service access points.
Making Sense of the
It is important to remember that all these terms are
used in a formal description, because a formal language is usually the only method to
adequately describe something as complex as a communications protocol. It is possible,
though, to fit these terms together so that they make a little more sense when you
encounter them. An example should help.
The session layer has a set of session functions. It
provides a set of session facilities to the layer above it, the presentation layer. The
session layer is made up of session entities. The presentation layer is a user of the
services provided by the session layer (layer 5). A presentation entity is a user of the
services provided by the session layer and is called a presentation service user.
The session service provider is the collection of
session entities that are actively involved in providing the presentation layer with the
session's services. The point at which the session service is provided to the presentation
layer is the session service access point, where the session service data is sent. The
individual bits of data in the session service data are called session service data units.
Confusing? Believe it or not, after a while you will
begin to feel more comfortable with these terms. The important ones to know now are that a
layer provides a set of entities through a service access point to the next higher layer,
which is called the service user. The data is sent in chunks called service data,
made up of service data units.
Queues and Connections
Communication between two parties (whether over a
telephone, between layers of an architecture, or between applications themselves) takes
place in three distinct stages: establishment of the connection, data transfer, and
Communication between two OSI applications in the
same layer is through queues to the layer beneath them. Each application (more properly
called a service user) has two queues, one for each direction to the service provider of
the layer beneath (which controls the whole layer). In OSI-speak, the two queues provide
for simultaneous (or atomic) interactions between two N-service action points.
Data, called service primitives, is put into
and retrieved from the queue by the applications (service users). A service primitive can
be a block of data, an indicator that something is required or received, or a status
indicator. As with most aspects of OSI, a lexicon has been developed to describe the
actions in these queues:
A request primitive is when one service
submits a service primitive to the queue (through the N-SAP) requesting permission to
communicate with another service in the same layer.
An indication primitive is what the service
provider in the layer beneath the sending application sends to the intended receiving
application to let it know that communication is desired.
A response primitive is sent by the receiving
application to the layer beneath's service provider to acknowledge the granting of
communications between the two service users.
A confirmation primitive is sent from the
service provider to the final application to indicate that both applications on the layer
above can now communicate.
An example might help clarify the process. Assume
that two applications in the presentation layer want to communicate with each other. They
can't do so directly (according to the OSI model), so they must go through the layer below
them. These steps are shown in Figure 1.9.
Figure 1.9. Two
applications communicate through SAPs using primitives.
The first application sends a request primitive to
the service provider of the session layer and waits. The session layer's service provider
removes the request primitive from the inbound queue from the first application and sends
an indication primitive to the second application's inbound queue.
The second application takes the indication
primitive from its queue to the session service provider and decides to accept the request
for connection by sending a positive response primitive back through its queue to the
session layer. This is received by the session layer service provider, and a confirmation
primitive is sent to the first application in the presentation layer. This is a process
called confirmed service because the applications wait for confirmation that
communications are established and ready.
OSI also provides for unconfirmed service, in
which a request primitive is sent to the service provider, sending the indication
primitive to the second application. The response and confirmation primitives are not
sent. This is a sort of "get ready, because here it comes whether you want it or
not" communication, often referred to as send and pray.
When two service users are using confirmed service
to communicate, they are considered connected. Two applications are talking to each other,
aware of what the other is doing with the service data. OSI refers to the establishment
and maintenance of state information between the two, or the fact that each knows
when the other is sending or receiving. OSI calls this connection-oriented or connection-mode
Connectionless communication is when service
data is sent independently, as with unconfirmed service. The service data is
self-contained, possessing everything a receiving service user needs to know. These
service data packets are often called datagrams. The application that sends the
datagram has no idea who receives the datagram and how it is handled, and the receiving
service users have no idea who sent it (other than information that might be contained
within the datagram itself). OSI calls this connectionless-mode.
OSI (and TCP/IP) use both connected and
connectionless systems between layers of their architecture. Each has its benefits and
ideal implementations. All these communications are between applications (service users)
in each layer, using the layer beneath to communicate. There are many service users, and
this process is going on all the time. It's quite amazing when you think about it.
People don't question the need for rules in a board
game. If you didn't have rules, each player could be happily playing as it suits them,
regardless of whether their play was consistent with that of other players. The existence
of rules ensures that each player plays the game in the same way, which might not be as
much fun as a free-for-all. However, when a fight over a player's actions arises, the
written rules clearly indicate who is right. The rules are a set of standards by which a
game is played.
Standards prevent a situation arising where two
seemingly compatible systems really are not. For example, 10 years ago when CP/M was the
dominant operating system, the 5.25-inch floppy was used by most systems. But the floppy
from a Kaypro II couldn't be read by an Osbourne I because the tracks were laid out in a
different manner. A utility program could convert between the two, but that extra step was
a major annoyance for machine users.
When the IBM PC became the platform of choice, the
5.25-inch format used by the IBM PC was adopted by other companies to ensure disk
compatibility. The IBM format became a de facto standard, one adopted because of market
pressures and customer demand.
Creating a standard in today's world is not a simple
matter. Several organizations are dedicated to developing the standards in a complete,
unambiguous manner. The most important of these is the International Organization for
Standardization, or ISO (often called the International Standardization Organization to
fit their acronym, although this is incorrect). ISO consists of standards organizations
from many countries who try to agree on international criterion. The American National
Standards Institute (ANSI), British Standards Institute (BSI), Deutsches Institut fur
Normung (DIN), and Association Francaise du Normalization (AFNOR) are all member groups.
The ISO developed the Open Systems Interconnection (OSI) standard that is discussed
throughout this guide.
Each nation's standards organization can create a
standard for that country, of course. The goal of ISO, however, is to agree on worldwide
standards. Otherwise, incompatibilities could exist that wouldn't allow one country's
system to be used in another. (An example of this is with television signals: the US
relies on NTSC, whereas Europe uses PALsystems that are incompatible with each
Curiously, the language used for most international
standards is English, even though the majority of participants in a standards committee
are not from English-speaking countries. This can cause quite a bit of confusion,
especially because most standards are worded awkwardly to begin with.
The reason most standards involve awkward language
is that to describe something unambiguously can be very difficult, sometimes necessitating
the creation of new terms that the standard defines. Not only must the concepts be clearly
defined, but the absolute behavior is necessary too. With most things that standards apply
to, this means using numbers and physical terms to provide a concrete definition. Defining
a 2x4 piece of lumber necessitates the use of a measurement of some sort, and similarly
defining computer terms requires mathematics.
Simply defining a method of communications, such as
TCP/IP, would be fairly straightforward if it weren't for the complication of defining it
for open systems. The use of an open system adds another difficulty because all aspects of
the standard must be machine-independent. Imagine trying to define a 2x4 without using a
measurement you are familiar with, such as inches, or if inches are adopted, it would be
difficult to define inches in an unambiguous way (which indeed is what happens, because
most units of length are defined with respect to the wavelength of a particular kind of
Computers communicate through bits of data, but
those bits can represent characters, numbers, or something else. Numbers could be
integers, fractions, or octal representations. Again, you must define the units. You can
see that the complications mount, one on top of the other.
To help define a standard, an abstract approach is
usually used. In the case of OSI, the meaning (called the semantics) of the data
transferred (the abstract syntax) is first dealt with, and the exact representation of the
data in the machine (the concrete syntax) and the means by which it is transferred
(transfer syntax) are handled separately. The separation of the abstract lets the data be
represented as an entity, without concern for what it really means. It's a little like
treating your car as a unit instead of an engine, transmission, steering wheel, and so on.
The abstraction of the details to a simpler whole makes it easier to convey information.
("My car is broken" is abstract, whereas "the power steering fluid has all
leaked out" is concrete.)
To describe systems abstractly, it is necessary to
have a language that meets the purpose. Most standards bodies have developed such a
system. The most commonly used is ISO's Abstract Syntax Notation One, frequently shortened
to ASN.1. It is suited especially for describing open systems networking. Thus, it's not
surprising to find it used extensively in the OSI and TCP descriptions. Indeed, ASN.1 was
developed concurrently with the OSI standards when it became necessary to describe
The primary concept of ASN.1 is that all types of
data, regardless of type, size, origin, or purpose, can be represented by an object that
is independent of the hardware, operating system software, or application. The ASN.1
system defines the contents of a datagram protocol headerthe chunk of information at
the beginning of an object that describes the contents to the system. (Headers are
discussed in more detail in the section titled "Protocol Headers" later in this
Part of ASN.1 describes the language used to
describe objects and data types (such as a data description language in database
terminology). Another part defines the basic encoding rules that deal with moving the data
objects between systems. ASN.1 defines data types that are used in the construction of
data packets (datagrams). It provides for both structured and unstructured data types,
with a list of 28 supported types.
Don't be too worried about learning ASN.1 in
this guide. I refer to it in passing in only a couple of places. It is useful, though, to
know that the language is provided for the formal definition of all the aspects of TCP/IP.
When the Defense Advanced Research Projects Agency
(DARPA) was established in 1980, a group was formed to develop a set of standards for the
Internet. The group, called the Internet Configuration Control Board (ICCB) was
reorganized into the Internet Activities Board (IAB) in 1983, whose task was to design,
engineer, and manage the Internet.
In 1986, the IAB turned over the task of developing
the Internet standards to the Internet Engineering Task Force (IETF), and the long-term
research was assigned to the Internet Research Task Force (IRTF). The IAB retained final
authorization over anything proposed by the two task forces.
The last step in this saga was the formation of the
Internet Society in 1992, when the IAB was renamed the Internet Architecture Board. This
group is still responsible for existing and future standards, reporting to the board of
the Internet Society.
After all that, what happened during the shuffling?
Almost from the beginning, the Internet was defined as "a loosely organized
international collaboration of autonomous, interconnected networks," which supported
host-to-host communications "through voluntary adherence to open protocols and
procedures" defined in a technical paper called the Internet Standards, RFC 1310,2.
That definition is still used today.
The IETF continues to work on refining the standards
used for communications over the Internet through a number of working groups, each one
dedicated to a specific aspect of the overall Internet protocol suite. There are working
groups dedicated to network management, security, user services, routing, and many more
things. It is interesting that the IETF's groups are considerably more flexible and
efficient than those of, say, the ISO, whose working groups can take years to agree on a
standard. In many cases, the IETF's groups can form, create a recommendation, and disband
within a year or so. This helps continuously refine the Internet standards to reflect
changing hardware and software capabilities.
Creating a new Internet standard (which happened
with TCP/IP) follows a well-defined process, shown schematically in Figure 1.10. It begins
with a request for comment (RFC). This is usually a document containing a specific
proposal, sometimes new and sometimes a modification of an existing standard. RFCs are
widely distributed, both on the network itself and to interested parties as printed
documents. Important RFCs and instructions for retrieving them are included in the
appendixes at the end of this guide.
Figure 1.10. The process
for adopting a new Internet standard.
The RFC is usually discussed for a while on the
network itself, where anyone can express their opinion, as well as in formal IETF working
group meetings. After a suitable amount of revision and continued discussion, an Internet
draft is created and distributed. This draft is close to final form, providing a
consolidation of all the comments the RFC generated.
The next step is usually a proposed standard,
which remains as such for at least six months. During this time, the Internet Society
requires at least two independent and interoperable implementations to be written and
tested. Any problems arising from the actual tests can then be addressed. (In practice, it
is usual for many implementations to be written and given a thorough testing.)
After that testing and refinement process is
completed, a draft standard is written, which remains for at least four months,
during which time many more implementations are developed and tested. The last
stepafter many monthsis the adoption of the standard, at which point it is
implemented by all sites that require it.
Diplomats follow rules when they conduct business
between nations, which you see referred to in the media as protocol. Diplomatic protocol
requires that you don't insult your hosts and that you do respect local customs (even if
that means you have to eat some unappetizing dinners!). Most embassies and commissions
have specialists in protocol, whose function is to ensure that everything proceeds
smoothly when communications are taking place. The protocol is a set of rules that must be
followed in order to "play the game," as career diplomats are fond of saying.
Without the protocols, one side of the conversation might not really understand what the
other is saying.
Similarly, computer protocols define the manner in
which communications take place. If one computer is sending information to another and
they both follow the protocol properly, the message gets through, regardless of what types
of machines they are and what operating systems they run (the basis for open systems). As
long as the machines have software that can manage the protocol, communications are
possible. Essentially, a computer protocol is a set of rules that coordinates the exchange
Protocols have developed from very simple processes
("I'll send you one character, you send it back, and I'll make sure the two
match") to elaborate, complex mechanisms that cover all possible problems and
transfer conditions. A task such as sending a message from one coast to another can be
very complex when you consider the manner in which it moves. A single protocol to cover
all aspects of the transfer would be too large, unwieldy, and overly specialized.
Therefore, several protocols have been developed, each handling a specific task.
Combining several protocols, each with their own
dedicated purposes, would be a nightmare if the interactions between the protocols were
not clearly defined. The concept of a layered structure was developed to help keep each
protocol in its place and to define the manner of interaction between each protocol
(essentially, a protocol for communications between protocols!).
As you saw earlier, the ISO has developed a layered
protocol system called OSI. OSI defines a protocol as "a set of rules and formats
(semantic and syntactic), which determines the communication behavior of N-entities in the
performance of N-functions." You might remember that N represents a layer, and
an entity is a service component of a layer.
When machines communicate, the rules are formally
defined and account for possible interruptions or faults in the flow of information,
especially when the flow is connectionless (no formal connection between the two machines
exists). In such a system, the ability to properly route and verify each packet of data
(datagram) is vitally important. As discussed earlier, the data sent between layers is
called a service data unit (SDU), so OSI defines the analogous data between two machines
as a protocol data unit (PDU).
The flow of information is controlled by a set of
actions that define the state machine for the protocol. OSI defines these actions as
protocol control information (PCI).
Breaking Data Apart
It is necessary to introduce a few more terms
commonly used in OSI and TCP/IP, but luckily they are readily understood because of their
real-world connotations. These terms are necessary because data doesn't usually exist in
manageable chunks. The data might have to be broken down into smaller sections, or several
small sections can be combined into a large section for more efficient transfer. The basic
terms are as follows:
Segmentation is the process of breaking an
N-service data unit (N-SDU) into several N-protocol data units (N-PDUs).
Reassembly is the process of combining
several N-PDUs into an N-SDU (the reverse of segmentation).
Blocking is the combination of several SDUs
(which might be from different services) into a larger PDU within the layer in which the
Unblocking is the breaking up of a PDU into
several SDUs in the same layer.
Concatenation is the process of one layer
combining several N-PDUs from the next higher layer into one SDU (like blocking except
occurring across a layer boundary).
Separation is the reverse of concatenation,
so that a layer breaks a single SDU into several PDUs for the next layer higher (like
unblocking except across a layer boundary).
These six processes are shown in Figure 1.11.
Figure 1.11. Segmentation,
reassembly, blocking, unblocking, concatenation, and separation.
Finally, here is one last set of definitions that
deal with connections:
Multiplexing is when several connections are
supported by a single connection in the next lower layer (so three presentation service
connections could be multiplexed into a single session connection).
Demultiplexing is the reverse of
multiplexing, in which one connection is split into several connections for the layer
Splitting is when a single connection is
supported by several connections in the layer below (so the data link layer might have
three connections to support one network layer connection).
Recombining is the reverse of splitting, so
that several connections are combined into a single one for the layer above.
Multiplexing and splitting (and their reverses,
demultiplexing and recombining) are different in the manner in which the lines are split.
With multiplexing, several connections combine into one in the layer below. With
splitting, however, one connection can be split into several in the layer below. As you
might expect, each has its importance within TCP and OSI.
Protocol control information is information about
the datagram to which it is attached. This information is usually assembled into a block
that is attached to the front of the data it accompanies and is called a header or protocol
header. Protocol headers are used for transferring information between layers as well
as between machines. As mentioned earlier, the protocol headers are developed according to
rules laid down in the ISO's ASN.1 document set.
When a protocol header is passed to the layer
beneath, the datagram including the layer's header is treated as the entire datagram for
that receiving layer, which adds its own protocol header to the front. Thus, if a datagram
started at the application layer, by the time it reached the physical layer, it would have
seven sets of protocol headers on it. These layer protocol headers are used when moving
back up the layer structure; they are stripped off as the datagram moves up. An
illustration of this is shown in Figure 1.12.
Figure 1.12. Adding each
layer's protocol header to user data.
It is easier to think of this process as layers on
an onion. The inside is the data that is to be sent. As it passes through each layer of
the OSI model, another layer of onion skin is added. When it is finished moving through
the layers, several protocol headers are enclosing the data. When the datagram is passed
back up the layers (probably on another machine), each layer peels off the protocol header
that corresponds to the layer. When it reaches the destination layer, only the data is
This process makes sense, because each layer of the
OSI model requires different information from the datagram. By using a dedicated protocol
header for each layer of the datagram, it is a relatively simple task to remove the
protocol header, decode its instructions, and pass the rest of the message on. The
alternative would be to have a single large header that contained all the information, but
this would take longer to process. The exact contents of the protocol header are not
important right now, but I examine them later when looking at the TCP protocol.
As usual, OSI has a formal description for all this,
which states that the N-user data to be transferred is prepended with N-protocol control
information (N-PCI) to form an N-protocol data unit (N-PDU). The N-PDUs are passed across
an N-service access point (N-SAP) as one of a set of service parameters comprising an
N-service data unit (N-SDU). The service parameters comprising the N-SDU are called
N-service user data (N-SUD), which is prepended to the (N1)PCI to form another
For every service in a layer, there is a protocol
for it to communicate to the layer below it (remember that applications communicate
through the layer below, not directly). The protocol exchanges for each service are
defined by the system, and to a lesser extent by the application developer, who should be
following the rules of the system.
Protocols and headers might sound a little complex
or overly complicated for the task that must be accomplished, but considering the original
goals of the OSI model, it is generally acknowledged that this is the best way to go.
(Many a sarcastic comment has been made about OSI and TCP that claim the header
information is much more important than the data contents. In some ways this is true,
because without the header the data would never get to its destination.)
Today's text has thrown a lot of terminology at you,
most of which you will see frequently in the following chapters. In most cases, a gentle
reminder of the definition accompanies the first occurrence of the term. To understand the
relationships between the different terms, though, you might have to refer back to today's
You now have the basic knowledge to relate TCP/IP to
the OSI's layered model, which will help you understand what TCP/IP does (and how it goes
about doing it). The next chapter looks at the history of TCP/IP and the growth of the
What are the three main types of LAN
architecture? What are their primary characteristics?
The three network architectures are bus, ring, and
hub. There are others, but these three describe the vast majority of all LANs.
A bus network is a length of cable that has a
connector for each device directly attached to it. Both ends of the network cable are
terminated. A ring network has a central control unit called a Media Access Unit to which
all devices are attached by cables. A hub network has a backplane with connectors leading
through another cable to the devices.
What are the seven OSI layers and their
The OSI layers (from the bottom up) are as follows:
Physical: Transmits data
Data Link: Corrects transmission errors
Network: Provides the physical routing information
Transport: Verifies that data is correctly
Session: Synchronizes data exchange between upper
and lower layers
Presentation: Converts network data to
Application: End-user interface
What is the difference between segmentation and
reassembly, and concatenation and separation?
Segmentation is the breaking apart of a large
N-service data unit (N-SDU) into several smaller N-protocol data units (N-PDUs), whereas
reassembly is the reverse.
Concatenation is the combination of several N-PDUs
from the next higher layer into one SDU. Separation is the reverse.
Define multiplexing and demultiplexing. How are they
Multiplexing is when several connections are
supported by a single connection. According to the formal definition, this applies to
layers (so that three presentation service connections could be multiplexed into a single
session connection). However, it is a term generally used for all kinds of connections,
such as putting four modem calls down a single modem line. Demultiplexing is the reverse
of multiplexing, in which one connection is split into several connections.
Multiplexing is a key to supporting many connections
at once with limited resources. A typical example is a remote office with twenty
terminals, each of which is connected to the main office by a telephone line. Instead of
requiring twenty lines, they can all be multiplexed into three or four. The amount of
multiplexing possible depends on the maximum capacity of each physical line.
How many protocol headers are added by the time
an OSI-based e-mail application (in the application layer) has sent a message to the
physical layer for transmission?
Seven, one for each OSI layer. More protocol headers
can be added by the actual physical network system. As a general rule, each layer adds its
own protocol information.
Provide definitions for each of the following terms:
What does each of the following primitives do?
What is a Service Access Point? How many are there
Explain the process followed in adopting a new
Internet Standard for TCP/IP.
Use diagrams to show the differences between
segmentation, separation, and blocking.