Data and Computer

Communications
Chapter 20 – Transport Protocols

Eighth Edition
by William Stallings

Lecture slides by Lawrie Brown

 TCP:
TCP L4, Connection-oriented, Reliable
End-to-End, Port #
Connection setup/termination
setup
2-way handshake Flow/Error/Congestion Control
 3-way
Credit-based
Persist Timer Window
Management
ReTx Timer (RTT)
RTT
Exp. RTO Backoff
Karn’s Algorithm
 Transport Protocols
The foregoing observations should make us
reconsider the widely held view that birds live
only in the present. In fact, birds are aware of
more than immediately present stimuli; they
remember the past and anticipate the future.
—The Minds of Birds, Alexander Skutch
 Transport Protocols
 end-to-end data transfer service
 shield upper layers from network details
 reliable, connection oriented
 has greater complexity
 eg. TCP
 best effort, connectionless
 datagram
 eg. UDP
 Connection Oriented
Transport Protocols
 provides establishment, maintenance &
termination of a logical connection
 most common service
 used for a wide variety of applications
 is reliable
 but complex
 first discuss evolution from reliable to
unreliable network services
Reliable Sequencing Network
Service
 assume virtually 100% reliable delivery by
network service of arbitrary length messages
 eg. reliable packet switched network with X.25
 eg. frame relay with LAPF control protocol
 eg. IEEE 802.3 with connection oriented LLC service
 transport service is a simple, end to end protocol
between two systems on same network
 issues are: addressing, multiplexing, flow control,
connection establishment and termination
 Addressing
 establish identity of other transport entity by:
 user identification (host, port)
• a socket in TCP
 transport entity identification (on host)
• specify transport protocol (TCP, UDP)
 host address of attached network device
• in an internet, a global internet address
 network number
 transport layer passes host to network layer
 Finding Addresses
 know address ahead of time
 well known addresses
 eg. common servers like FTP, SMTP etc
 name server
 does directory lookup
 sending request to well known address
which spawns new process to handle it
 Multiplexing
 of upper layers (downward multiplexing)
 so multiple users employ same transport
protocol
 user identified by port number or service
access point
 may also multiplex with respect to network
services used (upward multiplexing)
 eg. multiplexing a single virtual X.25 circuit to
a number of transport service user
 Flow Control
 issues:
 longer transmission delay between transport entities
compared with actual transmission time delays
communication of flow control info
 variable transmission delay so difficult to use timeouts
 want TS flow control because:
 receiving user can not keep up
 receiving transport entity can not keep up
 which can result in buffer overflowing
 managing flow difficult because of gap between
sender and receiver
 Coping with Flow Control
Requirements
 do nothing
 segments that overflow are discarded
 sender fail to get ACK and will retransmit
 refuse further segments
 triggers network flow control but clumsy
 use fixed sliding window protocol
 works well on reliable network
 does not work well on unreliable network
 use credit scheme
 Credit Scheme
 decouples flow control from ACK
 each octet has sequence number
 each transport segment has seq number (SN),
ack number (AN) and window size (W) in header
 sends seq number of first octet in segment
 ACK includes (AN=i, W=j) which means
 all octets through SN=i-1 acknowledged, want i next
 permission to send additional window of W=j octets
Credit Allocation
Sending and Receiving
Perspectives
 Establishment and
Termination
 need connection establishment and
termination procedures to allow:
 each end to know the other exists
 negotiation of optional parameters
 triggers allocation of transport entity
resources
Connection State Diagram
Connection Establishment
 Connection Termination
 either or both sides by mutual agreement
 graceful or abrupt termination
 if graceful, initiator must:
 send FIN to other end, requesting termination
 place connection in FIN WAIT state
 when FIN received, inform user and close connection
 other end must:
 when receives FIN must inform TS user and place
connection in CLOSE WAIT state
 when TS user issues CLOSE primitive, send FIN &
close connection
 Unreliable Network Service
 more difficult case for transport protocol since
 segments may get lost
 segments may arrive out of order
 examples include
 IP internet, frame relay using LAPF, IEEE 802.3 with
unacknowledge connectionless LLC
 issues:
 ordered delivery, retransmission strategy, duplication
detection, flow control, connection establishment &
termination, crash recovery
 Ordered Delivery
 segments may arrive out of order
 hence number segments sequentially
 TCP numbers each octet sequentially
 and segments are numbered by the first
octet number in the segment
 Retransmission Strategy
 retransmission of segment needed because
 segment damaged in transit
 segment fails to arrive
 transmitter does not know of failure
 receiver must acknowledge successful receipt
 can use cumulative acknowledgement for efficiency
 sender times out waiting for ACK triggers
re-transmission
 Timer Value
 fixed timer
 based on understanding of network behavior
 can not adapt to changing network conditions
 too small leads to unnecessary re-transmissions
 too large and response to lost segments is slow
 should be a bit longer than round trip time
 adaptive scheme
 may not ACK immediately
 can not distinguish between ACK of original segment
and re-transmitted segment
 conditions may change suddenly
 Duplication Detection
 if ACK lost, segment duplicated & re-transmitted
 receiver must recognize duplicates
 if duplicate received prior to closing connection
 receiver assumes ACK lost and ACKs duplicate
 sender must not get confused with multiple ACKs
 need a sequence number space large enough to not
cycle within maximum life of segment
Incorrect
Duplicate
Detection
 Flow Control
 credit allocation quite robust with unreliable net
 can ack data & grant credit
 or just one or other
 lost ACK recovers on next received
 have problem if AN=i, W=0 closing window
 then send AN=i, W=j to reopen, but this is lost
 sender thinks window closed, receiver thinks it open
 solution is to use persist timer
 if timer expires, send something
 could be re-transmission of previous segment
 Connection Establishment
 two way handshake
 A send SYN, B replies with SYN
 lost SYN handled by re-transmission
 ignore duplicate SYNs once connected
 lost or delayed data segments can cause
connection problems
 eg. segment from old connection
 Two Way
Handshake:
Obsolete
Data
Segment
Solution: start each new
connection with a different
seq. no. that is far removed
from the last seq. no. of the
most recent connection.
 Two Way Handshake:
Obsolete SYN Segment

Solution: to acknowledge
explicitly the other’s SYN
and seq. number
 Three way handshake
Three Way
Handshake:
State
Diagram
Three Way
Handshake:
Examples
 Connection Termination
 like connection need 3-way handshake
 misordered segments could cause:
 entity in CLOSE WAIT state sends last data segment,
followed by FIN
 FIN arrives before last data segment
 receiver accepts FIN, closes connection, loses data
 need to associate sequence number with FIN
 receiver waits for all segments before FIN
sequence number
 Connection Termination
Graceful Close
 also have problems with loss of segments
and obsolete segments
 need graceful close which will:
 send FIN i and receive AN i+1 (close S -> R)
 receive FIN j and send AN j+1 (close S <- R)
 wait twice maximum expected segment
lifetime
 Failure Recovery
 after restart all state info is lost
 may have half open connection
 as side that did not crash still thinks it is connected
 close connection using keepalive timer
 wait for ACK for (time out) * (number of retries)
 when expired, close connection and inform user
 send RST i in response to any i segment arriving
 user must decide whether to reconnect
 have problems with lost or duplicate data
 TCP
 Transmission Control Protocol (RFC 793)
 connection oriented, reliable communication
 over reliable and unreliable (inter)networks
 two ways of labeling data:
 data stream push
 user requires transmission of all data up to push flag
 receiver will deliver in same manner
 avoids waiting for full buffers
 urgent data signal
 indicates urgent data is upcoming in stream
 user decides how to handle it
 TCP Services
 a complex set of primitives:
 incl. passive & active open, active open with
data, send, allocate, close, abort, status
 passive open indicates will accept connections
 active open with data sends data with open
 and parameters:
 incl. source port, destination port & address,
timeout, security, data, data length, PUSH &
URGENT flags, send & receive windows,
connection state, amount awaiting ACK
TCP Header
 TCP and IP
 not all parameters used by TCP are in its
header
 TCP passes some parameters down to IP
 precedence
 normal delay/low delay
 normal throughput/high throughput
 normal reliability/high reliability
 security
 min overhead for each PDU is 40 octets
 TCP Mechanisms
Connection Establishment
 three way handshake
 SYN, SYN-ACK, ACK
 connection determined by source and
destination sockets (host, port)
 can only have a single connection
between any unique pairs of ports
 but one port can connect to multiple
different destinations (different ports)
 TCP Mechanisms
Data Transfer
 data transfer a logical stream of octets
 octets numbered modulo 232
 flow control uses credit allocation of number of
octets
 data buffered at transmitter and receiver
 sent when transport entity ready
 unless PUSH flag used to force send
 can flag data as URGENT, sent immediately
 if receive data not for current connection, RST
flag is set on next segment to reset connection
 TCP Mechanisms
Connection Termination
 graceful close
 TCP user issues CLOSE primitive
 transport entity sets FIN flag on last segment sent
with last of data
 abrupt termination by ABORT primitive
 entity abandons all attempts to send or receive data
 RST segment transmitted to other end
 TCP Implementation Options
 TCP standard precisely specifies protocol
 have some implementation policy options:
 send
 deliver
 accept
 retransmit
 acknowledge
 implementations may choose alternative
options which may impact performance
 Send Policy
 if no push or close TCP entity transmits at
its own convenience in credit allocation
 data buffered in transmit buffer
 may construct segment per batch of data
from user
 quick response but higher overheads
 may wait for certain amount of data
 slower response but lower overheads
 Deliver Policy
 in absence of push, can deliver data at
own convenience
 may deliver from each segment received
 higher O/S overheads but more responsive
 may buffer data from multiple segments
 less O/S overheads but slower
 Accept Policy
 segments may arrive out of order
 in order
 only accept segments in order
 discard out of order segments
 simple implementation, but burdens network
 in windows
 accept all segments within receive window
 reduce transmissions
 more complex implementation with buffering
 Retransmit Policy
 TCP has a queue of segments transmitted
but not acknowledged
 will retransmit if not ACKed in given time
 first only - single timer, send one segment only
when timer expires, efficient, has delays
 batch - single timer, send all segments when
timer expires, has unnecessary transmissions
 individual - timer for each segment, complex
 effectiveness depends in part on receiver’s
accept policy
 Acknowledgement Policy
 immediate
 send empty ACK for each accepted segment
 simple at cost of extra transmissions
 cumulative
 piggyback ACK on suitable outbound data
segments unless persist timer expires
 when send empty ACK
 more complex but efficient
 Congestion Control
 flow control also used for congestion control
 recognize increased transit times & dropped
packets
 react by reducing flow of data
 RFC’s 1122 & 2581 detail extensions
 Tahoe, Reno & NewReno implementations
 two categories of extensions:
 retransmission timer management
 window management
 Retransmission Timer
Management
 static timer likely too long or too short
 estimate round trip delay by observing pattern of
delay for recent segments
 set time to value a bit greater than estimate
 simple average over a number of segments
 exponential average using time series (RFC793)
 RTT Variance Estimation (Jacobson’s algorithm)
Retransmission Timer (cont)
 Simple Average
 RTT(i): round-trip time observed for the ith
transmitted segment
 ARTT(K): average round-trip time for the
first K segments
1 K 1
ARTT ( K  1)  
K  1 i 1
RTT (i ) or

K 1
ARTT ( K  1)  ARTT ( K )  RTT ( K  1)
K 1 K 1
Retransmission Timer (cont)
 Exponential Average
 SRTT: smoothed round-trip time estimate
 RTO: retransmission timer

SRTT ( K  1)    SRTT ( K )  (1   )  RTT ( K  1)

RTO ( K  1)  SRTT ( K  1)  
RFC793:
RTO ( K  1)  Min(UBOUND , MAX ( LBOUND ,   SRTT ( K  1)))
Example values: : 0.8 ~ 0.9, : 1.3 ~ 2.0
 RTT Variance Estimation
 AERR(K): sample mean deviation measured at time K

AERR ( K  1)  RTT ( K  1)  ARTT ( K )

1 K 1
ADEV ( K  1)  
K  1 i 1
AERR (i )

K 1
 ADEV ( K )  AERR ( K  1)
K 1 K 1
RTT Variance Estimation (cont)
 Jacobson’s Algorithm

SRTT ( K  1)  (1  g )  SRTT ( K )  g  RTT ( K  1)

SERR ( K  1)  RTT ( K  1)  SRTT ( K )
SDEV ( K  1)  (1  h )  SDEV ( K )  h  SERR ( K  1)

RTO ( K  1)  SRTT ( K  1)  f  SDEV ( K  1)

• g = 1/8 = 0.125, h = ¼ = 0.25, f = 2
 Use of
Exponential

Averaging
Jacobson’s
RTO
Calculation
 Exponential RTO Backoff
 timeout probably due to congestion
 dropped packet or long round trip time
 hence maintaining RTO is not good idea
 better to increase RTO each time a
segment is re-transmitted
 RTO = q*RTO
 commonly q=2 (binary exponential backoff)
 as in ethernet CSMA/CD
 Karn’s Algorithm
 if segment is re-transmitted, ACK may be for:
 first copy of the segment (longer RTT than expected)
 second copy
 no way to tell
 don’t measure RTT for re-transmitted segments
 calculate backoff when re-transmission occurs
 use backoff RTO until ACK arrives for segment
that has not been re-transmitted
 Window Management
 slow start
 larger windows cause problem on connection created
 at start limit TCP to 1 segment
 increase when data ACK, exponential growth
 dynamic windows sizing on congestion
 when a timeout occurs perhaps due to congestion
 set slow start threshold to half current congestion
window
 set window to 1 and slow start until threshold
 beyond threshold, increase window by 1 for each RTT
Window Management
 Fast Retransmit
Fast Recovery
 retransmit timer rather longer than RTT
 if segment lost TCP slow to retransmit
 fast retransmit
 if receive 4 ACKs for same segment then
immediately retransmit since likely lost
 fast recovery
 lost segment means some congestion
 halve window then increase linearly
 avoids slow-start
TCP Congestion Control

Fast retransmit
(Receiver)

Fast Recovery
(Sender cwnd)
 Implementation of TCP
Congestion Control Measures
Flow Ctrl vs. Congestion Ctrl
Why Flow Control? Why Congestion Control?

Prevent Receiver Try Not To Cause

Buffer Overflow Congestion

Receiver-based Network-based
window size window size
(rwnd) (cwnd)

Sender’s window = Min (cwnd, rwnd)

 User Datagram Protocol
(UDP)
 connectionless service for application level
procedures specified in RFC 768
 unreliable
 delivery & duplication control not guaranteed
 reduced overhead
 least common denominator service
 uses:
 inward data collection
 outward data dissemination
 request-response
 real time application
UDP Header
 Summary
 connection-oriented network and transport
mechanisms and services
 TCP services, mechanisms, policies
 TCP congestion control
 UDP
期末考加分題 10% = 3% + 4% + 3%

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