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author | Thomas Voss <mail@thomasvoss.com> | 2024-11-27 20:54:24 +0100 |
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committer | Thomas Voss <mail@thomasvoss.com> | 2024-11-27 20:54:24 +0100 |
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tree | e3989f47a7994642eb325063d46e8f08ffa681dc /doc/rfc/rfc761.txt | |
parent | ea76e11061bda059ae9f9ad130a9895cc85607db (diff) |
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diff --git a/doc/rfc/rfc761.txt b/doc/rfc/rfc761.txt new file mode 100644 index 0000000..6e02a8d --- /dev/null +++ b/doc/rfc/rfc761.txt @@ -0,0 +1,5185 @@ + + +RFC: 761 +IEN: 129 + + + + + + + + DOD STANDARD + + TRANSMISSION CONTROL PROTOCOL + + + + January 1980 + + + + + + + + + + + + + + + + prepared for + + Defense Advanced Research Projects Agency + Information Processing Techniques Office + 1400 Wilson Boulevard + Arlington, Virginia 22209 + + + + + + + + by + + Information Sciences Institute + University of Southern California + 4676 Admiralty Way + Marina del Rey, California 90291 + +January 1980 + Transmission Control Protocol + + + + TABLE OF CONTENTS + + PREFACE ........................................................ iii + +1. INTRODUCTION ..................................................... 1 + + 1.1 Motivation .................................................... 1 + 1.2 Scope ......................................................... 2 + 1.3 About This Document ........................................... 2 + 1.4 Interfaces .................................................... 3 + 1.5 Operation ..................................................... 3 + +2. PHILOSOPHY ....................................................... 7 + + 2.1 Elements of the Internetwork System ........................... 7 + 2.2 Model of Operation ............................................ 7 + 2.3 The Host Environment .......................................... 8 + 2.4 Interfaces .................................................... 9 + 2.5 Relation to Other Protocols ................................... 9 + 2.6 Reliable Communication ....................................... 10 + 2.7 Connection Establishment and Clearing ........................ 10 + 2.8 Data Communication ........................................... 12 + 2.9 Precedence and Security ...................................... 13 + 2.10 Robustness Principle ......................................... 13 + +3. FUNCTIONAL SPECIFICATION ........................................ 15 + + 3.1 Header Format ................................................ 15 + 3.2 Terminology .................................................. 19 + 3.3 Sequence Numbers ............................................. 24 + 3.4 Establishing a connection .................................... 29 + 3.5 Closing a Connection ......................................... 35 + 3.6 Precedence and Security ...................................... 38 + 3.7 Data Communication ........................................... 38 + 3.8 Interfaces ................................................... 42 + 3.9 Event Processing ............................................. 52 + +GLOSSARY ............................................................ 75 + +REFERENCES .......................................................... 83 + + + + + + + + + + + + [Page i] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page ii] + + +January 1980 + Transmission Control Protocol + + + + PREFACE + + + +This document describes the DoD Standard Transmission Control Protocol +(TCP). There have been eight earlier editions of the ARPA TCP +specification on which this standard is based, and the present text +draws heavily from them. There have been many contributors to this work +both in terms of concepts and in terms of text. This edition +incorporates the addition of security, compartmentation, and precedence +concepts into the TCP specification. + + Jon Postel + + Editor + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + [Page iii] + + +January 1980 +RFC:761 +IEN:129 +Replaces: IENs 124, 112, +81, 55, 44, 40, 27, 21, 5 + + DOD STANDARD + + TRANSMISSION CONTROL PROTOCOL + + + + 1. INTRODUCTION + +The Transmission Control Protocol (TCP) is intended for use as a highly +reliable host-to-host protocol between hosts in packet-switched computer +communication networks, and especially in interconnected systems of such +networks. + +This document describes the functions to be performed by the +Transmission Control Protocol, the program that implements it, and its +interface to programs or users that require its services. + +1.1. Motivation + + Computer communication systems are playing an increasingly important + role in military, government, and civilian environments. This + document primarily focuses its attention on military computer + communication requirements, especially robustness in the presence of + communication unreliability and availability in the presence of + congestion, but many of these problems are found in the civilian and + government sector as well. + + As strategic and tactical computer communication networks are + developed and deployed, it is essential to provide means of + interconnecting them and to provide standard interprocess + communication protocols which can support a broad range of + applications. In anticipation of the need for such standards, the + Deputy Undersecretary of Defense for Research and Engineering has + declared the Transmission Control Protocol (TCP) described herein to + be a basis for DoD-wide inter-process communication protocol + standardization. + + TCP is a connection-oriented, end-to-end reliable protocol designed to + fit into a layered hierarchy of protocols which support multi-network + applications. The TCP provides for reliable inter-process + communication between pairs of processes in host computers attached to + distinct but interconnected computer communication networks. Very few + assumptions are made as to the reliability of the communication + protocols below the TCP layer. TCP assumes it can obtain a simple, + potentially unreliable datagram service from the lower level + protocols. In principle, the TCP should be able to operate above a + wide spectrum of communication systems ranging from hard-wired + connections to packet-switched or circuit-switched networks. + + + [Page 1] + + + January 1980 +Transmission Control Protocol +Introduction + + + + TCP is based on concepts first described by Cerf and Kahn in [1]. The + TCP fits into a layered protocol architecture just above a basic + Internet Protocol [2] which provides a way for the TCP to send and + receive variable-length segments of information enclosed in internet + datagram "envelopes". The internet datagram provides a means for + addressing source and destination TCPs in different networks. The + internet protocol also deals with any fragmentation or reassembly of + the TCP segments required to achieve transport and delivery through + multiple networks and interconnecting gateways. The internet protocol + also carries information on the precedence, security classification + and compartmentation of the TCP segments, so this information can be + communicated end-to-end across multiple networks. + + Protocol Layering + + +---------------------+ + | higher-level | + +---------------------+ + | TCP | + +---------------------+ + | internet protocol | + +---------------------+ + |communication network| + +---------------------+ + + Figure 1 + + Much of this document is written in the context of TCP implementations + which are co-resident with higher level protocols in the host + computer. As a practical matter, many computer systems will be + connected to networks via front-end computers which house the TCP and + internet protocol layers, as well as network specific software. The + TCP specification describes an interface to the higher level protocols + which appears to be implementable even for the front-end case, as long + as a suitable host-to-front end protocol is implemented. + +1.2. Scope + + The TCP is intended to provide a reliable process-to-process + communication service in a multinetwork environment. The TCP is + intended to be a host-to-host protocol in common use in multiple + networks. + +1.3. About this Document + + This document represents a specification of the behavior required of + any TCP implementation, both in its interactions with higher level + protocols and in its interactions with other TCPs. The rest of this + + +[Page 2] + + +January 1980 + Transmission Control Protocol + Introduction + + + + section offers a very brief view of the protocol interfaces and + operation. Section 2 summarizes the philosophical basis for the TCP + design. Section 3 offers both a detailed description of the actions + required of TCP when various events occur (arrival of new segments, + user calls, errors, etc.) and the details of the formats of TCP + segments. + +1.4. Interfaces + + The TCP interfaces on one side to user or application processes and on + the other side to a lower level protocol such as Internet Protocol. + + The interface between an application process and the TCP is + illustrated in reasonable detail. This interface consists of a set of + calls much like the calls an operating system provides to an + application process for manipulating files. For example, there are + calls to open and close connections and to send and receive letters on + established connections. It is also expected that the TCP can + asynchronously communicate with application programs. Although + considerable freedom is permitted to TCP implementors to design + interfaces which are appropriate to a particular operating system + environment, a minimum functionality is required at the TCP/user + interface for any valid implementation. + + The interface between TCP and lower level protocol is essentially + unspecified except that it is assumed there is a mechanism whereby the + two levels can asynchronously pass information to each other. + Typically, one expects the lower level protocol to specify this + interface. TCP is designed to work in a very general environment of + interconnected networks. The lower level protocol which is assumed + throughout this document is the Internet Protocol [2]. + +1.5. Operation + + As noted above, the primary purpose of the TCP is to provide reliable, + securable logical circuit or connection service between pairs of + processes. To provide this service on top of a less reliable internet + communication system requires facilities in the following areas: + + Basic Data Transfer + Reliability + Flow Control + Multiplexing + Connections + Precedence and Security + + The basic operation of the TCP in each of these areas is described in + the following paragraphs. + + + [Page 3] + + + January 1980 +Transmission Control Protocol +Introduction + + + + Basic Data Transfer: + + The TCP is able to transfer a continuous stream of octets in each + direction between its users by packaging some number of octets into + segments for transmission through the internet system. In this + stream mode, the TCPs decide when to block and forward data at their + own convenience. + + For users who desire a record-oriented service, the TCP also permits + the user to submit records, called letters, for transmission. When + the sending user indicates a record boundary (end-of-letter), this + causes the TCPs to promptly forward and deliver data up to that + point to the receiver. + + Reliability: + + The TCP must recover from data that is damaged, lost, duplicated, or + delivered out of order by the internet communication system. This + is achieved by assigning a sequence number to each octet + transmitted, and requiring a positive acknowledgment (ACK) from the + receiving TCP. If the ACK is not received within a timeout + interval, the data is retransmitted. At the receiver, the sequence + numbers are used to correctly order segments that may be received + out of order and to eliminate duplicates. Damage is handled by + adding a checksum to each segment transmitted, checking it at the + receiver, and discarding damaged segments. + + As long as the TCPs continue to function properly and the internet + system does not become completely partitioned, no transmission + errors will affect the users. TCP recovers from internet + communication system errors. + + Flow Control: + + TCP provides a means for the receiver to govern the amount of data + sent by the sender. This is achieved by returning a "window" with + every ACK indicating a range of acceptable sequence numbers beyond + the last segment successfully received. For stream mode, the window + indicates an allowed number of octets that the sender may transmit + before receiving further permission. For record mode, the window + indicates an allowed amount of buffer space the sender may consume, + this may be more than the number of data octets transmitted if there + is a mismatch between letter size and buffer size. + + + + + + + +[Page 4] + + +January 1980 + Transmission Control Protocol + Introduction + + + + Multiplexing: + + To allow for many processes within a single Host to use TCP + communication facilities simultaneously, the TCP provides a set of + addresses or ports within each host. Concatenated with the network + and host addresses from the internet communication layer, this forms + a socket. A pair of sockets uniquely identifies each connection. + That is, a socket may be simultaneously used in multiple + connections. + + The binding of ports to processes is handled independently by each + Host. However, it proves useful to attach frequently used processes + (e.g., a "logger" or timesharing service) to fixed sockets which are + made known to the public. These services can then be accessed + through the known addresses. Establishing and learning the port + addresses of other processes may involve more dynamic mechanisms. + + Connections: + + The reliability and flow control mechanisms described above require + that TCPs initialize and maintain certain status information for + each data stream. The combination of this information, including + sockets, sequence numbers, and window sizes, is called a connection. + Each connection is uniquely specified by a pair of sockets + identifying its two sides. + + When two processes wish to communicate, their TCP's must first + establish a connection (initialize the status information on each + side). When their communication is complete, the connection is + terminated or closed to free the resources for other uses. + + Since connections must be established between unreliable hosts and + over the unreliable internet communication system, a handshake + mechanism with clock-based sequence numbers is used to avoid + erroneous initialization of connections. + + Precedence and Security: + + The users of TCP may indicate the security and precedence of their + communication. Provision is made for default values to be used when + these features are not needed. + + + + + + + + + + [Page 5] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 6] + + +January 1980 + Transmission Control Protocol + + + + 2. PHILOSOPHY + +2.1. Elements of the Internetwork System + + The internetwork environment consists of hosts connected to networks + which are in turn interconnected via gateways. It is assumed here + that the networks may be either local networks (e.g., the ETHERNET) or + large networks (e.g., the ARPANET), but in any case are based on + packet switching technology. The active agents that produce and + consume messages are processes. Various levels of protocols in the + networks, the gateways, and the hosts support an interprocess + communication system that provides two-way data flow on logical + connections between process ports. + + We specifically assume that data is transmitted from host to host + through means of a set of networks. When we say network, we have in + mind a packet switched network (PSN). This assumption is probably + unnecessary, since a circuit switched network or a hybrid combination + of the two could also be used; but for concreteness, we explicitly + assume that the hosts are connected to one or more packet switches of + a PSN. + + The term packet is used generically here to mean the data of one + transaction between a host and a packet switch. The format of data + blocks exchanged between the packet switches in a network will + generally not be of concern to us. + + Hosts are computers attached to a network, and from the communication + network's point of view, are the sources and destinations of packets. + Processes are viewed as the active elements in host computers (in + accordance with the fairly common definition of a process as a program + in execution). Even terminals and files or other I/O devices are + viewed as communicating with each other through the use of processes. + Thus, all communication is viewed as inter-process communication. + + Since a process may need to distinguish among several communication + streams between itself and another process (or processes), we imagine + that each process may have a number of ports through which it + communicates with the ports of other processes. + +2.2. Model of Operation + + Processes transmit data by calling on the TCP and passing buffers of + data as arguments. The TCP packages the data from these buffers into + segments and calls on the internet module to transmit each segment to + the destination TCP. The receiving TCP places the data from a segment + into the receiving user's buffer and notifies the receiving user. The + TCPs include control information in the segments which they use to + ensure reliable ordered data transmission. + + + [Page 7] + + + January 1980 +Transmission Control Protocol +Philosophy + + + + The model of internet communication is that there is an internet + protocol module associated with each TCP which provides an interface + to the local network. This internet module packages TCP segments + inside internet datagrams and routes these datagrams to a destination + internet module or intermediate gateway. To transmit the datagram + through the local network, it is embedded in a local network packet. + + The packet switches may perform further packaging, fragmentation, or + other operations to achieve the delivery of the local packet to the + destination internet module. + + At a gateway between networks, the internet datagram is "unwrapped" + from its local packet and examined to determine through which network + the internet datagram should travel next. The internet datagram is + then "wrapped" in a local packet suitable to the next network and + routed to the next gateway, or to the final destination. + + A gateway is permitted to break up an internet datagram into smaller + internet datagram fragments if this is necessary for transmission + through the next network. To do this, the gateway produces a set of + internet datagrams; each carrying a fragment. Fragments may be broken + into smaller ones at intermediate gateways. The internet datagram + fragment format is designed so that the destination internet module + can reassemble fragments into internet datagrams. + + A destination internet module unwraps the segment from the datagram + (after reassembling the datagram, if necessary) and passes it to the + destination TCP. + + This simple model of the operation glosses over many details. One + important feature is the type of service. This provides information + to the gateway (or internet module) to guide it in selecting the + service parameters to be used in traversing the next network. + Included in the type of service information is the precedence of the + datagram. Datagrams may also carry security information to permit + host and gateways that operate in multilevel secure environments to + properly segregate datagrams for security considerations. + +2.3. The Host Environment + + The TCP is assumed to be a module in a time sharing operating system. + The users access the TCP much like they would access the file system. + The TCP may call on other operating system functions, for example, to + manage data structures. The actual interface to the network is + assumed to be controlled by a device driver module. The TCP does not + call on the network device driver directly, but rather calls on the + internet datagram protocol module which may in turn call on the device + driver. + + +[Page 8] + + +January 1980 + Transmission Control Protocol + Philosophy + + + + Though it is assumed here that processes are supported by the host + operating system, the mechanisms of TCP do not preclude implementation + of the TCP in a front-end processor. However, in such an + implementation, a host-to-front-end protocol must provide the + functionality to support the type of TCP-user interface described + above. + +2.4. Interfaces + + The TCP/user interface provides for calls made by the user on the TCP + to OPEN or CLOSE a connection, to SEND or RECEIVE data, or to obtain + STATUS about a connection. These calls are like other calls from user + programs on the operating system, for example, the calls to open, read + from, and close a file. + + The TCP/internet interface provides calls to send and receive + datagrams addressed to TCP modules in hosts anywhere in the internet + system. These calls have parameters for passing the address, type of + service, precedence, security, and other control information. + +2.5. Relation to Other Protocols + + The following diagram illustrates the place of the TCP in the protocol + hierarchy: + + + +------+ +-----+ +-----+ +-----+ + |Telnet| | FTP | |Voice| ... | | Application Level + +------+ +-----+ +-----+ +-----+ + | | | | + +-----+ +-----+ +-----+ + | TCP | | RTP | ... | | Host Level + +-----+ +-----+ +-----+ + | | | + +-------------------------------+ + | Internet Protocol | Gateway Level + +-------------------------------+ + | + +---------------------------+ + | Local Network Protocol | Network Level + +---------------------------+ + | + + + + Protocol Relationships + + Figure 2. + + + [Page 9] + + + January 1980 +Transmission Control Protocol +Philosophy + + + + It is expected that the TCP will be able to support higher level + protocols efficiently. It should be easy to interface higher level + protocols like the ARPANET Telnet [3] or AUTODIN II THP to the TCP. + +2.6. Reliable Communication + + A stream of data sent on a TCP connection is delivered reliably and in + order at the destination. + + Transmission is made reliable via the use of sequence numbers and + acknowledgments. Conceptually, each octet of data is assigned a + sequence number. The sequence number of the first octet of data in a + segment is the sequence number transmitted with that segment and is + called the segment sequence number. Segments also carry an + acknowledgment number which is the sequence number of the next + expected data octet of transmissions in the reverse direction. When + the TCP transmits a segment, it puts a copy on a retransmission queue + and starts a timer; when the acknowledgment for that data is received, + the segment is deleted from the queue. If the acknowledgment is not + received before the timer runs out, the segment is retransmitted. + + An acknowledgment by TCP does not guarantee that the data has been + delivered to the end user, but only that the receiving TCP has taken + the responsibility to do so. + + To govern the flow of data into a TCP, a flow control mechanism is + employed. The the data receiving TCP reports a window to the sending + TCP. This window specifies the number of octets, starting with the + acknowledgment number that the data receiving TCP is currently + prepared to receive. + +2.7. Connection Establishment and Clearing + + To identify the separate data streams that a TCP may handle, the TCP + provides a port identifier. Since port identifiers are selected + independently by each operating system, TCP, or user, they might not + be unique. To provide for unique addresses at each TCP, we + concatenate an internet address identifying the TCP with a port + identifier to create a socket which will be unique throughout all + networks connected together. + + A connection is fully specified by the pair of sockets at the ends. A + local socket may participate in many connections to different foreign + sockets. A connection can be used to carry data in both directions, + that is, it is "full duplex". + + TCPs are free to associate ports with processes however they choose. + However, several basic concepts seem necessary in any implementation. + + +[Page 10] + + +January 1980 + Transmission Control Protocol + Philosophy + + + + There must be well-known sockets which the TCP associates only with + the "appropriate" processes by some means. We envision that processes + may "own" ports, and that processes can only initiate connections on + the ports they own. (Means for implementing ownership is a local + issue, but we envision a Request Port user command, or a method of + uniquely allocating a group of ports to a given process, e.g., by + associating the high order bits of a port name with a given process.) + + A connection is specified in the OPEN call by the local port and + foreign socket arguments. In return, the TCP supplies a (short) local + connection name by which the user refers to the connection in + subsequent calls. There are several things that must be remembered + about a connection. To store this information we imagine that there + is a data structure called a Transmission Control Block (TCB). One + implementation strategy would have the local connection name be a + pointer to the TCB for this connection. The OPEN call also specifies + whether the connection establishment is to be actively pursued, or to + be passively waited for. + + A passive OPEN request means that the process wants to accept incoming + connection requests rather than attempting to initiate a connection. + Often the process requesting a passive OPEN will accept a connection + request from any caller. In this case a foreign socket of all zeros + is used to denote an unspecified socket. Unspecified foreign sockets + are allowed only on passive OPENs. + + A service process that wished to provide services for unknown other + processes could issue a passive OPEN request with an unspecified + foreign socket. Then a connection could be made with any process that + requested a connection to this local socket. It would help if this + local socket were known to be associated with this service. + + Well-known sockets are a convenient mechanism for a priori associating + a socket address with a standard service. For instance, the + "Telnet-Server" process might be permanently assigned to a particular + socket, and other sockets might be reserved for File Transfer, Remote + Job Entry, Text Generator, Echoer, and Sink processes (the last three + being for test purposes). A socket address might be reserved for + access to a "Look-Up" service which would return the specific socket + at which a newly created service would be provided. The concept of a + well-known socket is part of the TCP specification, but the assignment + of sockets to services is outside this specification. + + Processes can issue passive OPENs and wait for matching calls from + other processes and be informed by the TCP when connections have been + established. Two processes which issue calls to each other at the + same time are correctly connected. This flexibility is critical for + + + + [Page 11] + + + January 1980 +Transmission Control Protocol +Philosophy + + + + the support of distributed computing in which components act + asynchronously with respect to each other. + + There are two cases for matching the sockets in the local request and + an incoming segment. In the first case, the local request has fully + specified the foreign socket. In this case, the match must be exact. + In the second case, the local request has left the foreign socket + unspecified. In this case, any foreign socket is acceptable as long + as the local sockets match. + + If there are several pending passive OPENs (recorded in TCBs) with the + same local socket, an incoming segment should be matched to a request + with the specific foreign socket in the segment, if such a request + exists, before selecting a request with an unspecified foreign socket. + + The procedures to establish and clear connections utilize synchronize + (SYN) and finis (FIN) control flags and involve an exchange of three + messages. This exchange has been termed a three-way hand shake [4]. + + A connection is initiated by the rendezvous of an arriving segment + containing a SYN and a waiting TCB entry created by a user OPEN + command. The matching of local and foreign sockets determines when a + connection has been initiated. The connection becomes "established" + when sequence numbers have been synchronized in both directions. + + The clearing of a connection also involves the exchange of segments, + in this case carrying the FIN control flag. + +2.8. Data Communication + + The data that flows on a connection may be thought of as a stream of + octets, or as a sequence of records. In TCP the records are called + letters and are of variable length. The sending user indicates in + each SEND call whether the data in that call completes a letter by the + setting of the end-of-letter parameter. + + The length of a letter may be such that it must be broken into + segments before it can be transmitted to its destination. We assume + that the segments will normally be reassembled into a letter before + being passed to the receiving process. A segment may contain all or a + part of a letter, but a segment never contains parts of more than one + letter. The end of a letter is marked by the appearance of an EOL + control flag in a segment. A sending TCP is allowed to collect data + from the sending user and to send that data in segments at its own + convenience, until the end of letter is signaled then it must send all + unsent data. When a receiving TCP has a complete letter, it must not + wait for more data from the sending TCP before passing the letter to + the receiving process. + + +[Page 12] + + +January 1980 + Transmission Control Protocol + Philosophy + + + + There is a coupling between letters as sent and the use of buffers of + data that cross the TCP/user interface. Each time an end-of-letter + (EOL) flag is associated with data placed into the receiving user's + buffer, the buffer is returned to the user for processing even if the + buffer is not filled. If a letter is longer than the user's buffer, + the letter is passed to the user in buffer size units, the last of + which may be only partly full. The receiving TCP's buffer size may be + communicated to the sending TCP when the connection is being + established. + + The TCP is responsible for regulating the flow of segments on the + connections, as a way of preventing itself from becoming saturated or + overloaded with traffic. This is done using a window flow control + mechanism. The data receiving TCP reports to the data sending TCP a + window which is the range of sequence numbers of data octets that data + receiving TCP is currently prepared to accept. + + TCP also provides a means to communicate to the receiver of data that + at some point further along in the data stream than the receiver is + currently reading there is urgent data. TCP does not attempt to + define what the user specifically does upon being notified of pending + urgent data, but the general notion is that the receiving process + should take action to read through the end urgent data quickly. + +2.9. Precedence and Security + + The TCP makes use of the internet protocol type of service field and + security option to provide precedence and security on a per connection + basis to TCP users. Not all TCP modules will necessarily function in + a multilevel secure environment, some may be limited to unclassified + use only, and others may operate at only one security level and + compartment. Consequently, some TCP implementations and services to + users may be limited to a subset of the multilevel secure case. + + TCP modules which operate in a multilevel secure environment should + properly mark outgoing segments with the security, compartment, and + precedence. Such TCP modules should also provide to their users or + higher level protocols such as Telnet or THP an interface to allow + them to specify the desired security level, compartment, and + precedence of connections. + +2.10. Robustness Principle + + TCP implementations should follow a general principle of robustness: + be conservative in what you do, be liberal in what you accept from + others. + + + + + [Page 13] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 14] + + +January 1980 + Transmission Control Protocol + + + + 3. FUNCTIONAL SPECIFICATION + +3.1. Header Format + + TCP segments are sent as internet datagrams. The Internet Protocol + header carries several information fields, including the source and + destination host addresses [2]. A TCP header follows the internet + header, supplying information specific to the TCP protocol. This + division allows for the existence of host level protocols other than + TCP. + + TCP Header Format + + + 0 1 2 3 + 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Source Port | Destination Port | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Sequence Number | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Acknowledgment Number | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Data | |U|A|E|R|S|F| | + | Offset| Reserved |R|C|O|S|Y|I| Window | + | | |G|K|L|T|N|N| | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Checksum | Urgent Pointer | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | Options | Padding | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + | data | + +-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+ + + TCP Header Format + + Note that one tick mark represents one bit position. + + Figure 3. + + Source Port: 16 bits + + The source port number. + + Destination Port: 16 bits + + The destination port number. + + + + + [Page 15] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + Sequence Number: 32 bits + + The sequence number of the first data octet in this segment (except + when SYN is present). + + Acknowledgment Number: 32 bits + + If the ACK control bit is set this field contains the value of the + next sequence number the sender of the segment is expecting to + receive. Once a connection is established this is always sent. + + Data Offset: 4 bits + + The number of 32 bit words in the TCP Header. This indicates where + the data begins. The TCP header including options is an integral + number of 32 bits long. + + Reserved: 6 bits + + Reserved for future use. Must be zero. + + Control Bits: 8 bits (from left to right): + + URG: Urgent Pointer field significant + ACK: Acknowledgment field significant + EOL: End of Letter + RST: Reset the connection + SYN: Synchronize sequence numbers + FIN: No more data from sender + + Window: 16 bits + + The number of data octets beginning with the one indicated in the + acknowledgment field which the sender of this segment is willing to + accept. + + Checksum: 16 bits + + The checksum field is the 16 bit one's complement of the one's + complement sum of all 16 bit words in the header and text. If a + segment contains an odd number of header and text octets to be + checksummed, the last octet is padded on the right with zeros to + form a 16 bit word for checksum purposes. The pad is not + transmitted as part of the segment. While computing the checksum, + the checksum field itself is replaced with zeros. + + The checksum also covers a 96 bit pseudo header conceptually + prefixed to the TCP header. This pseudo header contains the Source + + +[Page 16] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + Address, the Destination Address, the Protocol, and TCP length. + This gives the TCP protection against misrouted segments. This + information is carried in the Internet Protocol and is transferred + across the TCP/Network interface in the arguments or results of + calls by the TCP on the IP. + + +--------------------------+ + | Source Address | + +--------------------------+ + | Destination Address | + +--------------------------+ + | zero | PTCL | TCP Length | + +--------------------------+ + + The TCP Length is the TCP header plus the data length in octets + (this is not an explicitly transmitted quantity, but is computed + from the total length, and the header length). + + Urgent Pointer: 16 bits + + This field communicates the current value of the urgent pointer as a + positive offset from the sequence number in this segment. The + urgent pointer points to the sequence number of the octet following + the urgent data. This field should only be interpreted in segments + with the URG control bit set. + + Options: variable + + Options may occupy space at the end of the TCP header and are a + multiple of 8 bits in length. All options are included in the + checksum. An option may begin on any octet boundary. There are two + cases for the format of an option: + + Case 1: A single octet of option-kind. + + Case 2: An octet of option-kind, an octet of option-length, and + the actual option-data octets. + + The option-length counts the two octets of option-kind and + option-length as well as the option-data octets. + + Note that the list of options may be shorter than the data offset + field might imply. The content of the header beyond the + End-of-Option option should be header padding (i.e., zero). + + A TCP must implement all options. + + + + + [Page 17] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + Currently defined options include (kind indicated in octal): + + Kind Length Meaning + ---- ------ ------- + 0 - End of option list. + 1 - No-Operation. + 100 - Reserved. + 105 4 Buffer Size. + + + Specific Option Definitions + + End of Option List + + +--------+ + |00000000| + +--------+ + Kind=0 + + This option code indicates the end of the option list. This + might not coincide with the end of the TCP header according to + the Data Offset field. This is used at the end of all options, + not the end of each option, and need only be used if the end of + the options would not otherwise coincide with the end of the TCP + header. + + No-Operation + + +--------+ + |00000001| + +--------+ + Kind=1 + + This option code may be used between options, for example, to + align the beginning of a subsequent option on a word boundary. + There is no guarantee that senders will use this option, so + receivers must be prepared to process options even if they do + not begin on a word boundary. + + Buffer Size + + +--------+--------+---------+--------+ + |01000101|00000100| buffer size | + +--------+--------+---------+--------+ + Kind=105 Length=4 + + + + + +[Page 18] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + Buffer Size Option Data: 16 bits + + If this option is present, then it communicates the receive + buffer size at the TCP which sends this segment. This field + should only be sent in the initial connection request (i.e., + in segments with the SYN control bit set). If this option is + not used, the default buffer size of one octet is assumed. + + Padding: variable + + The TCP header padding is used to ensure that the TCP header ends + and data begins on a 32 bit boundary. The padding is composed of + zeros. + +3.2. Terminology + + Before we can discuss very much about the operation of the TCP we need + to introduce some detailed terminology. The maintenance of a TCP + connection requires the remembering of several variables. We conceive + of these variables being stored in a connection record called a + Transmission Control Block or TCB. Among the variables stored in the + TCB are the local and remote socket numbers, the security and + precedence of the connection, pointers to the user's send and receive + buffers, pointers to the retransmit queue and to the current segment. + In addition several variables relating to the send and receive + sequence numbers are stored in the TCB. + + Send Sequence Variables + + SND.UNA - send unacknowledged + SND.NXT - send sequence + SND.WND - send window + SND.BS - send buffer size + SND.UP - send urgent pointer + SND.WL - send sequence number used for last window update + SND.LBB - send last buffer beginning + ISS - initial send sequence number + + Receive Sequence Variables + + RCV.NXT - receive sequence + RCV.WND - receive window + RCV.BS - receive buffer size + RCV.UP - receive urgent pointer + RCV.LBB - receive last buffer beginning + IRS - initial receive sequence number + + + + + [Page 19] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + The following diagrams may help to relate some of these variables to + the sequence space. + + Send Sequence Space + + 1 2 3 4 + ----------|----------|----------|---------- + SND.UNA SND.NXT SND.UNA + +SND.WND + + 1 - old sequence numbers which have been acknowledged + 2 - sequence numbers of unacknowledged data + 3 - sequence numbers allowed for new data transmission + 4 - future sequence numbers which are not yet allowed + + Send Sequence Space + + Figure 4. + + + + Receive Sequence Space + + 1 2 3 + ----------|----------|---------- + RCV.NXT RCV.NXT + +RCV.WND + + 1 - old sequence numbers which have been acknowledged + 2 - sequence numbers allowed for new reception + 3 - future sequence numbers which are not yet allowed + + Receive Sequence Space + + Figure 5. + + + + There are also some variables used frequently in the discussion that + take their values from the fields of the current segment. + + + + + + + + + + +[Page 20] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + Current Segment Variables + + SEG.SEQ - segment sequence number + SEG.ACK - segment acknowledgment number + SEG.LEN - segment length + SEG.WND - segment window + SEG.UP - segment urgent pointer + SEG.PRC - segment precedence value + + A connection progresses through a series of states during its + lifetime. The states are: LISTEN, SYN-SENT, SYN-RECEIVED, + ESTABLISHED, FIN-WAIT-1, FIN-WAIT-2, TIME-WAIT, CLOSE-WAIT, CLOSING, + and the fictional state CLOSED. CLOSED is fictional because it + represents the state when there is no TCB, and therefore, no + connection. Briefly the meanings of the states are: + + LISTEN - represents waiting for a connection request from any remote + TCP and port. + + SYN-SENT - represents waiting for a matching connection request + after having sent a connection request. + + SYN-RECEIVED - represents waiting for a confirming connection + request acknowledgment after having both received and sent a + connection request. + + ESTABLISHED - represents an open connection, ready to transmit and + receive data segments. + + FIN-WAIT-1 - represents waiting for a connection termination request + from the remote TCP, or an acknowledgment of the connection + termination request previously sent. + + FIN-WAIT-2 - represents waiting for a connection termination request + from the remote TCP. + + TIME-WAIT - represents waiting for enough time to pass to be sure + the remote TCP received the acknowledgment of its connection + termination request. + + CLOSE-WAIT - represents waiting for a connection termination request + from the local user. + + CLOSING - represents waiting for a connection termination request + acknowledgment from the remote TCP. + + CLOSED - represents no connection state at all. + + + + [Page 21] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + A TCP connection progresses from one state to another in response to + events. The events are the user calls, OPEN, SEND, RECEIVE, CLOSE, + ABORT, and STATUS; the incoming segments, particularly those + containing the SYN and FIN flags; and timeouts. + + The Glossary contains a more complete list of terms and their + definitions. + + The state diagram in figure 6 only illustrates state changes, together + with the causing events and resulting actions, but addresses neither + error conditions nor actions which are not connected with state + changes. In a later section, more detail is offered with respect to + the reaction of the TCP to events. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 22] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + + +---------+ ---------\ active OPEN + | CLOSED | \ ----------- + +---------+<---------\ \ create TCB + | ^ \ \ snd SYN + passive OPEN | | CLOSE \ \ + ------------ | | ---------- \ \ + create TCB | | delete TCB \ \ + V | \ \ + +---------+ CLOSE | \ + | LISTEN | ---------- | | + +---------+ delete TCB | | + rcv SYN | | SEND | | + ----------- | | ------- | V + +---------+ snd SYN,ACK / \ snd SYN +---------+ + | |<----------------- ------------------>| | + | SYN | rcv SYN | SYN | + | RCVD |<-----------------------------------------------| SENT | + | | snd ACK | | + | |------------------ -------------------| | + +---------+ rcv ACK of SYN \ / rcv SYN,ACK +---------+ + | -------------- | | ----------- + | x | | snd ACK + | V V + | CLOSE +---------+ + | ------- | ESTAB | + | snd FIN +---------+ + | CLOSE | | rcv FIN + V ------- | | ------- + +---------+ snd FIN / \ snd ACK +---------+ + | FIN |<----------------- ------------------>| CLOSE | + | WAIT-1 |------------------ -------------------| WAIT | + +---------+ rcv FIN \ / CLOSE +---------+ + | rcv ACK of FIN ------- | | ------- + | -------------- snd ACK | | snd FIN + V x V V + +---------+ +---------+ + |FINWAIT-2| | CLOSING | + +---------+ +---------+ + | rcv FIN | rcv ACK of FIN + | ------- Timeout=2MSL | -------------- + V snd ACK ------------ V delete TCB + +---------+ delete TCB +---------+ + |TIME WAIT|----------------->| CLOSED | + +---------+ +---------+ + + TCP Connection State Diagram + Figure 6. + + + [Page 23] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + +3.3. Sequence Numbers + + A fundamental notion in the design is that every octet of data sent + over a TCP connection has a sequence number. Since every octet is + sequenced, each of them can be acknowledged. The acknowledgment + mechanism employed is cumulative so that an acknowledgment of sequence + number X indicates that all octets up to but not including X have been + received. This mechanism allows for straight-forward duplicate + detection in the presence of retransmission. Numbering of octets + within a segment is that the first data octet immediately following + the header is the lowest numbered, and the following octets are + numbered consecutively. + + It is essential to remember that the actual sequence number space is + finite, though very large. This space ranges from 0 to 2**32 - 1. + Since the space is finite, all arithmetic dealing with sequence + numbers must be performed modulo 2**32. This unsigned arithmetic + preserves the relationship of sequence numbers as they cycle from + 2**32 - 1 to 0 again. There are some subtleties to computer modulo + arithmetic, so great care should be taken in programming the + comparison of such values. The typical kinds of sequence number + comparisons which the TCP must perform include: + + (a) Determining that an acknowledgment refers to some sequence + number sent but not yet acknowledged. + + (b) Determining that all sequence numbers occupied by a segment + have been acknowledged (e.g., to remove the segment from a + retransmission queue). + + (c) Determining that an incoming segment contains sequence numbers + which are expected (i.e., that the segment "overlaps" the + receive window). + + + + + + + + + + + + + + + + + +[Page 24] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + On send connections the following comparisons are needed: + + older sequence numbers newer sequence numbers + + + SND.UNA SEG.ACK SND.NXT + | | | + ----|----XXXXXXX------XXXXXXXXXX---------XXXXXX----|---- + | | | | | | + | | | + Segment 1 Segment 2 Segment 3 + + <----- sequence space -----> + + Sending Sequence Space Information + + Figure 7. + + SND.UNA = oldest unacknowledged sequence number + + SND.NXT = next sequence number to be sent + + SEG.ACK = acknowledgment (next sequence number expected by the + acknowledging TCP) + + SEG.SEQ = first sequence number of a segment + + SEG.SEQ+SEG.LEN-1 = last sequence number of a segment + + A new acknowledgment (called an "acceptable ack"), is one for which + the inequality below holds: + + SND.UNA < SEG.ACK =< SND.NXT + + All arithmetic is modulo 2**32 and that comparisons are unsigned. + "=<" means "less than or equal". + + A segment on the retransmission queue is fully acknowledged if the sum + of its sequence number and length is less than the acknowledgment + value in the incoming segment. + + SEG.LEN is the number of octets occupied by the data in the segment. + It is important to note that SEG.LEN must be non-zero; segments which + do not occupy any sequence space (e.g., empty acknowledgment segments) + are never placed on the retransmission queue, so would not go through + this particular test. + + + + + [Page 25] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + On receive connections the following comparisons are needed: + + older sequence numbers newer sequence numbers + + + RCV.NXT RCV.NXT+RCV.WND + | | + ---------XXX|XXX------XXXXXXXXXX---------XXX|XX--------- + | | | | | + | | | + Segment 1 Segment 2 Segment 3 + + <----- sequence space -----> + + Receiving Sequence Space Information + + Figure 8. + + RCV.NXT = next sequence number expected on incoming segments + + RCV.NXT+RCV.WND = last sequence number expected on incoming + segments, plus one + + SEG.SEQ = first sequence number occupied by the incoming segment + + SEG.SEQ+SEG.LEN-1 = last sequence number occupied by the incoming + segment + + A segment is judged to occupy a portion of valid receive sequence + space if + + 0 =< (SEG.SEQ+SEG.LEN-1 - RCV.NXT) < (RCV.NXT+RCV.WND - RCV.NXT) + + SEG.SEQ+SEG.LEN-1 is the last sequence number occupied by the segment; + RCV.NXT is the next sequence number expected on an incoming segment; + and RCV.NXT+RCV.WND is the right edge of the receive window. + + Actually, it is a little more complicated than this. Due to zero + windows and zero length segments, we have four cases for the + acceptability of an incoming segment: + + + + + + + + + + +[Page 26] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + Segment Receive Test + Length Window + ------- ------- ------------------------------------------- + + 0 0 SEG.SEQ = RCV.NXT + + 0 >0 RCV.NXT =< SEG.SEQ < RCV.NXT+RCV.WND + + >0 0 not acceptable + + >0 >0 RCV.NXT < SEG.SEQ+SEG.LEN =< RCV.NXT+RCV.WND + + Note that the acceptance test for a segment, since it requires the end + of a segment to lie in the window, is somewhat more restrictive than + is absolutely necessary. If at least the first sequence number of the + segment lies in the receive window, or if some part of the segment + lies in the receive window, then the segment might be judged + acceptable. Thus, in figure 8, at least segments 1 and 2 are + acceptable by the strict rule, and segment 3 may or may not be, + depending on the strictness of interpretation of the rule. + + Note that when the receive window is zero no segments should be + acceptable except ACK segments. Thus, it should be possible for a TCP + to maintain a zero receive window while transmitting data and + receiving ACKs. + + We have taken advantage of the numbering scheme to protect certain + control information as well. This is achieved by implicitly including + some control flags in the sequence space so they can be retransmitted + and acknowledged without confusion (i.e., one and only one copy of the + control will be acted upon). Control information is not physically + carried in the segment data space. Consequently, we must adopt rules + for implicitly assigning sequence numbers to control. The SYN and FIN + are the only controls requiring this protection, and these controls + are used only at connection opening and closing. For sequence number + purposes, the SYN is considered to occur before the first actual data + octet of the segment in which it occurs, while the FIN is considered + to occur after the last actual data octet in a segment in which it + occurs. The segment length includes both data and sequence space + occupying controls. When a SYN is present then SEG.SEQ is the + sequence number of the SYN. + + Initial Sequence Number Selection + + The protocol places no restriction on a particular connection being + used over and over again. A connection is defined by a pair of + sockets. New instances of a connection will be referred to as + incarnations of the connection. The problem that arises owing to this + + + [Page 27] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + is -- "how does the TCP identify duplicate segments from previous + incarnations of the connection?" This problem becomes apparent if the + connection is being opened and closed in quick succession, or if the + connection breaks with loss of memory and is then reestablished. + + To avoid confusion we must prevent segments from one incarnation of a + connection from being used while the same sequence numbers may still + be present in the network from an earlier incarnation. We want to + assure this, even if a TCP crashes and loses all knowledge of the + sequence numbers it has been using. When new connections are created, + an initial sequence number (ISN) generator is employed which selects a + new 32 bit ISN. The generator is bound to a (possibly fictitious) 32 + bit clock whose low order bit is incremented roughly every 4 + microseconds. Thus, the ISN cycles approximately every 4.55 hours. + Since we assume that segments will stay in the network no more than + tens of seconds or minutes, at worst, we can reasonably assume that + ISN's will be unique. + + For each connection there is a send sequence number and a receive + sequence number. The initial send sequence number (ISS) is chosen by + the data sending TCP, and the initial receive sequence number (IRS) is + learned during the connection establishing procedure. + + For a connection to be established or initialized, the two TCPs must + synchronize on each other's initial sequence numbers. This is done in + an exchange of connection establishing messages carrying a control bit + called "SYN" (for synchronize) and the initial sequence numbers. As a + shorthand, messages carrying the SYN bit are also called "SYNs". + Hence, the solution requires a suitable mechanism for picking an + initial sequence number and a slightly involved handshake to exchange + the ISN's. A "three way handshake" is necessary because sequence + numbers are not tied to a global clock in the network, and TCPs may + have different mechanisms for picking the ISN's. The receiver of the + first SYN has no way of knowing whether the segment was an old delayed + one or not, unless it remembers the last sequence number used on the + connection (which is not always possible), and so it must ask the + sender to verify this SYN. + + The "three way handshake" and the advantages of a "clock-driven" + scheme are discussed in [4]. + + Knowing When to Keep Quiet + + To be sure that a TCP does not create a segment that carries a + sequence number which may be duplicated by an old segment remaining in + the network, the TCP must keep quiet for a maximum segment lifetime + (MSL) before assigning any sequence numbers upon starting up or + recovering from a crash in which memory of sequence numbers in use was + + +[Page 28] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + lost. For this specification the MSL is taken to be 2 minutes. This + is an engineering choice, and may be changed if experience indicates + it is desirable to do so. Note that if a TCP is reinitialized in some + sense, yet retains its memory of sequence numbers in use, then it need + not wait at all; it must only be sure to use sequence numbers larger + than those recently used. + + It should be noted that this strategy does not protect against + spoofing or other replay type duplicate message problems. + +3.4. Establishing a connection + + The "three-way handshake" is the procedure used to establish a + connection. This procedure normally is initiated by one TCP and + responded to by another TCP. The procedure also works if two TCP + simultaneously initiate the procedure. When simultaneous attempt + occurs, the TCP receives a "SYN" segment which carries no + acknowledgment after it has sent a "SYN". Of course, the arrival of + an old duplicate "SYN" segment can potentially make it appear, to the + recipient, that a simultaneous connection initiation is in progress. + Proper use of "reset" segments can disambiguate these cases. Several + examples of connection initiation follow. Although these examples do + not show connection synchronization using data-carrying segments, this + is perfectly legitimate, so long as the receiving TCP doesn't deliver + the data to the user until it is clear the data is valid (i.e., the + data must be buffered at the receiver until the connection reaches the + ESTABLISHED state). The three-way handshake reduces the possibility + of false connections. It is the implementation of a trade-off between + memory and messages to provide information for this checking. + + The simplest three-way handshake is shown in figure 9 below. The + figures should be interpreted in the following way. Each line is + numbered for reference purposes. Right arrows (-->) indicate + departure of a TCP segment from TCP A to TCP B, or arrival of a + segment at B from A. Left arrows (<--), indicate the reverse. + Ellipsis (...) indicates a segment which is still in the network + (delayed). An "XXX" indicates a segment which is lost or rejected. + Comments appear in parentheses. TCP states represent the state AFTER + the departure or arrival of the segment (whose contents are shown in + the center of each line). Segment contents are shown in abbreviated + form, with sequence number, control flags, and ACK field. Other + fields such as window, addresses, lengths, and text have been left out + in the interest of clarity. + + + + + + + + [Page 29] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + + + TCP A TCP B + + 1. CLOSED LISTEN + + 2. SYN-SENT --> <SEQ=100><CTL=SYN> --> SYN-RECEIVED + + 3. ESTABLISHED <-- <SEQ=300><ACK=101><CTL=SYN,ACK> <-- SYN-RECEIVED + + 4. ESTABLISHED --> <SEQ=101><ACK=301><CTL=ACK> --> ESTABLISHED + + 5. ESTABLISHED --> <SEQ=101><ACK=301><CTL=ACK><DATA> --> ESTABLISHED + + Basic 3-Way Handshake for Connection Synchronization + + Figure 9. + + In line 2 of figure 9, TCP A begins by sending a SYN segment + indicating that it will use sequence numbers starting with sequence + number 100. In line 3, TCP B sends a SYN and acknowledges the SYN it + received from TCP A. Note that the acknowledgment field indicates TCP + B is now expecting to hear sequence 101, acknowledging the SYN which + occupied sequence 100. + + At line 4, TCP A responds with an empty segment containing an ACK for + TCP B's SYN; and in line 5, TCP A sends some data. Note that the + sequence number of the segment in line 5 is the same as in line 4 + because the ACK does not occupy sequence number space (if it did, we + would wind up ACKing ACK's!). + + Simultaneous initiation is only slightly more complex, as is shown in + figure 10. Each TCP cycles from CLOSED to SYN-SENT to SYN-RECEIVED to + ESTABLISHED. + + The principle reason for the three-way handshake is to prevent old + duplicate connection initiations from causing confusion. To deal with + this, a special control message, reset, has been devised. If the + receiving TCP is in a non-synchronized state (i.e., SYN-SENT, + SYN-RECEIVED), it returns to LISTEN on receiving an acceptable reset. + If the TCP is in one of the synchronized states (ESTABLISHED, + FIN-WAIT-1, FIN-WAIT-2, TIME-WAIT, CLOSE-WAIT, CLOSING), it aborts the + connection and informs its user. We discuss this latter case under + "half-open" connections below. + + + + + + +[Page 30] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + + + TCP A TCP B + + 1. CLOSED CLOSED + + 2. SYN-SENT --> <SEQ=100><CTL=SYN> ... + + 3. SYN-RECEIVED <-- <SEQ=300><CTL=SYN> <-- SYN-SENT + + 4. ... <SEQ=100><CTL=SYN> --> SYN-RECEIVED + + 5. SYN-RECEIVED --> <SEQ=101><ACK=301><CTL=ACK> ... + + 6. ESTABLISHED <-- <SEQ=301><ACK=101><CTL=ACK> <-- SYN-RECEIVED + + 7. ... <SEQ=101><ACK=301><CTL=ACK> --> ESTABLISHED + + Simultaneous Connection Synchronization + + Figure 10. + + + + TCP A TCP B + + 1. CLOSED LISTEN + + 2. SYN-SENT --> <SEQ=100><CTL=SYN> ... + + 3. (duplicate) ... <SEQ=1000><CTL=SYN> --> SYN-RECEIVED + + 4. SYN-SENT <-- <SEQ=300><ACK=1001><CTL=SYN,ACK> <-- SYN-RECEIVED + + 5. SYN-SENT --> <SEQ=1001><CTL=RST> --> LISTEN + + + 6. ... <SEQ=100><CTL=SYN> --> SYN-RECEIVED + + 7. SYN-SENT <-- <SEQ=400><ACK=101><CTL=SYN,ACK> <-- SYN-RECEIVED + + 8. ESTABLISHED --> <SEQ=101><ACK=401><CTL=ACK> --> ESTABLISHED + + Recovery from Old Duplicate SYN + + Figure 11. + + As a simple example of recovery from old duplicates, consider + + + [Page 31] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + figure 11. At line 3, an old duplicate SYN arrives at TCP B. TCP B + cannot tell that this is an old duplicate, so it responds normally + (line 4). TCP A detects that the ACK field is incorrect and returns a + RST (reset) with its SEQ field selected to make the segment + believable. TCP B, on receiving the RST, returns to the LISTEN state. + When the original SYN (pun intended) finally arrives at line 6, the + synchronization proceeds normally. If the SYN at line 6 had arrived + before the RST, a more complex exchange might have occurred with RST's + sent in both directions. + + Half-Open Connections and Other Anomalies + + An established connection is said to be "half-open" if one of the + TCPs has closed or aborted the connection at its end without the + knowledge of the other, or if the two ends of the connection have + become desynchronized owing to a crash that resulted in loss of + memory. Such connections will automatically become reset if an + attempt is made to send data in either direction. However, half-open + connections are expected to be unusual, and the recovery procedure is + mildly involved. + + If at site A the connection no longer exists, then an attempt by the + user at site B to send any data on it will result in the site B TCP + receiving a reset control message. Such a message should indicate to + the site B TCP that something is wrong, and it is expected to abort + the connection. + + Assume that two user processes A and B are communicating with one + another when a crash occurs causing loss of memory to A's TCP. + Depending on the operating system supporting A's TCP, it is likely + that some error recovery mechanism exists. When the TCP is up again, + A is likely to start again from the beginning or from a recovery + point. As a result, A will probably try to OPEN the connection again + or try to SEND on the connection it believes open. In the latter + case, it receives the error message "connection not open" from the + local (A's) TCP. In an attempt to establish the connection, A's TCP + will send a segment containing SYN. This scenario leads to the + example shown in figure 12. After TCP A crashes, the user attempts to + re-open the connection. TCP B, in the meantime, thinks the connection + is open. + + + + + + + + + + +[Page 32] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + + + TCP A TCP B + + 1. (CRASH) (send 300,receive 100) + + 2. CLOSED ESTABLISHED + + 3. SYN-SENT --> <SEQ=400><CTL=SYN> --> (??) + + 4. (!!) <-- <SEQ=300><ACK=100><CTL=ACK> <-- ESTABLISHED + + 5. SYN-SENT --> <SEQ=100><CTL=RST> --> (Abort!!) + + 6. CLOSED + + 7. SYN-SENT --> <SEQ=400><CTL=SYN> --> + + Half-Open Connection Discovery + + Figure 12. + + When the SYN arrives at line 3, TCP B, being in a synchronized state, + responds with an acknowledgment indicating what sequence it next + expects to hear (ACK 100). TCP A sees that this segment does not + acknowledge anything it sent and, being unsynchronized, sends a reset + (RST) because it has detected a half-open connection. TCP B aborts at + line 5. TCP A will continue to try to establish the connection; the + problem is now reduced to the basic 3-way handshake of figure 9. + + An interesting alternative case occurs when TCP A crashes and TCP B + tries to send data on what it thinks is a synchronized connection. + This is illustrated in figure 13. In this case, the data arriving at + TCP A from TCP B (line 2) is unacceptable because no such connection + exists, so TCP A sends a RST. The RST is acceptable so TCP B + processes it and aborts the connection. + + + + + + + + + + + + + + + [Page 33] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + + + TCP A TCP B + + 1. (CRASH) (send 300,receive 100) + + 2. (??) <-- <SEQ=300><ACK=100><DATA=10><CTL=ACK> <-- ESTABLISHED + + 3. --> <SEQ=100><CTL=RST> --> (ABORT!!) + + Active Side Causes Half-Open Connection Discovery + + Figure 13. + + In figure 14, we find the two TCPs A and B with passive connections + waiting for SYN. An old duplicate arriving at TCP B (line 2) stirs B + into action. A SYN-ACK is returned (line 3) and causes TCP A to + generate a RST (the ACK in line 3 is not acceptable). TCP B accepts + the reset and returns to its passive LISTEN state. + + + + TCP A TCP B + + 1. LISTEN LISTEN + + 2. ... <SEQ=Z><CTL=SYN> --> SYN-RECEIVED + + 3. (??) <-- <SEQ=X><ACK=Z+1><CTL=SYN,ACK> <-- SYN-RECEIVED + + 4. --> <SEQ=Z+1><CTL=RST> --> (return to LISTEN!) + + 5. LISTEN LISTEN + + Old Duplicate SYN Initiates a Reset on two Passive Sockets + + Figure 14. + + A variety of other cases are possible, all of which are accounted for + by the following rules for RST generation and processing. + + Reset Generation + + As a general rule, reset (RST) should be sent whenever a segment + arrives which apparently is not intended for the current or a future + incarnation of the connection. A reset should not be sent if it is + not clear that this is the case. Thus, if any segment arrives for a + nonexistent connection, a reset should be sent. If a segment ACKs + + +[Page 34] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + something which has never been sent on the current connection, then + one of the following two cases applies. + + 1. If the connection is in any non-synchronized state (LISTEN, + SYN-SENT, SYN-RECEIVED) or if the connection does not exist, a reset + (RST) should be formed and sent for any segment that acknowledges + something not yet sent. The RST should take its SEQ field from the + ACK field of the offending segment (if the ACK control bit was set), + and its ACK bit should be reset (zero), except to refuse a initial + SYN. A reset is also sent if an incoming segment has a security level + or compartment which does not exactly match the level and compartment + requested for the connection. If the precedence of the incoming + segment is less than the precedence level requested a reset is sent. + + 2. If the connection is in a synchronized state (ESTABLISHED, + FIN-WAIT-1, FIN-WAIT-2, TIME-WAIT, CLOSE-WAIT, CLOSING), any + unacceptable segment should elicit only an empty acknowledgment + segment containing the current send-sequence number and an + acknowledgment indicating the next sequence number expected to be + received. + + Reset Processing + + All reset (RST) segments are validated by checking their SEQ-fields. + A reset is valid if its sequence number is in the window. In the case + of a RST received in response to an initial SYN any sequence number is + acceptable if the ACK field acknowledges the SYN. + + The receiver of a RST first validates it, then changes state. If the + receiver was in the LISTEN state, it ignores it. If the receiver was + in SYN-RECEIVED state and had previously been in the LISTEN state, + then the receiver returns to the LISTEN state, otherwise the receiver + aborts the connection and goes to the CLOSED state. If the receiver + was in any other state, it aborts the connection and advises the user + and goes to the CLOSED state. + +3.5. Closing a Connection + + CLOSE is an operation meaning "I have no more data to send." The + notion of closing a full-duplex connection is subject to ambiguous + interpretation, of course, since it may not be obvious how to treat + the receiving side of the connection. We have chosen to treat CLOSE + in a simplex fashion. The user who CLOSEs may continue to RECEIVE + until he is told that the other side has CLOSED also. Thus, a program + could initiate several SENDs followed by a CLOSE, and then continue to + RECEIVE until signaled that a RECEIVE failed because the other side + has CLOSED. We assume that the TCP will signal a user, even if no + RECEIVEs are outstanding, that the other side has closed, so the user + + + [Page 35] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + can terminate his side gracefully. A TCP will reliably deliver all + buffers SENT before the connection was CLOSED so a user who expects no + data in return need only wait to hear the connection was CLOSED + successfully to know that all his data was received at the destination + TCP. + + There are essentially three cases: + + 1) The user initiates by telling the TCP to CLOSE the connection + + 2) The remote TCP initiates by sending a FIN control signal + + 3) Both users CLOSE simultaneously + + Case 1: Local user initiates the close + + In this case, a FIN segment can be constructed and placed on the + outgoing segment queue. No further SENDs from the user will be + accepted by the TCP, and it enters the FIN-WAIT-1 state. RECEIVEs + are allowed in this state. All segments preceding and including FIN + will be retransmitted until acknowledged. When the other TCP has + both acknowledged the FIN and sent a FIN of its own, the first TCP + can ACK this FIN. It should be noted that a TCP receiving a FIN + will ACK but not send its own FIN until its user has CLOSED the + connection also. + + Case 2: TCP receives a FIN from the network + + If an unsolicited FIN arrives from the network, the receiving TCP + can ACK it and tell the user that the connection is closing. The + user should respond with a CLOSE, upon which the TCP can send a FIN + to the other TCP. The TCP then waits until its own FIN is + acknowledged whereupon it deletes the connection. If an ACK is not + forthcoming, after a timeout the connection is aborted and the user + is told. + + Case 3: both users close simultaneously + + A simultaneous CLOSE by users at both ends of a connection causes + FIN segments to be exchanged. When all segments preceding the FINs + have been processed and acknowledged, each TCP can ACK the FIN it + has received. Both will, upon receiving these ACKs, delete the + connection. + + + + + + + +[Page 36] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + + + TCP A TCP B + + 1. ESTABLISHED ESTABLISHED + + 2. (Close) + FIN-WAIT-1 --> <SEQ=100><CTL=FIN> --> CLOSE-WAIT + + 3. FIN-WAIT-2 <-- <SEQ=300><ACK=101><CTL=ACK> <-- CLOSE-WAIT + + 4. (Close) + TIME-WAIT <-- <SEQ=301><CTL=FIN> <-- CLOSING + + 5. TIME-WAIT --> <SEQ=100><ACK=301><CTL=ACK> --> CLOSED + + 6. (2 MSL) + CLOSED + + Normal Close Sequence + + Figure 15. + + + + TCP A TCP B + + 1. ESTABLISHED ESTABLISHED + + 2. (Close) (Close) + FIN-WAIT-1 --> <SEQ=100><CTL=FIN> ... FIN-WAIT-1 + <-- <SEQ=300><CTL=FIN> <-- + ... <SEQ=100><CTL=FIN> --> + + 3. CLOSING --> <SEQ=100><ACK=301><CTL=ACK> ... CLOSING + <-- <SEQ=300><ACK=101><CTL=ACK> <-- + ... <SEQ=100><ACK=301><CTL=ACK> --> + + 4. CLOSED CLOSED + + Simultaneous Close Sequence + + Figure 16. + + + + + + + + [Page 37] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + +3.6. Precedence and Security + + The intent is that connection be allowed only between ports operating + with exactly the same security and compartment values and at the + higher of the precedence level requested by the two parts. + + The precedence levels are: + + flash override - 111 + flash - 110 + immediate - 10X + priority - 01X + routine - 00X + + The security levels are: + + top secret - 11 + secret - 10 + confidential - 01 + unclassified - 00 + + The compartments are assigned by the Defense Communications Agency. + The defaults are precedence: routine, security: unclassified, + compartment: zero. A host which does not implement precedence or + security feature should clear these fields to zero for segments it + sends. + + A connection attempt with mismatched security/compartment values or a + lower precedence value should be rejected by sending a reset. + + Note that TCP modules which operate only at the default value of + precedence will still have to check the precedence of incoming + segments and possibly raise the precedence level they use on the + connection. + +3.7. Data Communication + + Once the connection is established data is communicated by the + exchange of segments. Because segments may be lost due to errors + (checksum test failure), or network congestion, TCP uses + retransmission (after a timeout) to ensure delivery of every segment. + Duplicate segments may arrive due to network or TCP retransmission. + As discussed in the section on sequence numbers the TCP performs + certain tests on the sequence and acknowledgment numbers in the + segments to verify their acceptability. + + The sender of data keeps track of the next sequence number to use in + the variable SND.NXT. The receiver of data keeps track of the next + + +[Page 38] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + sequence number to expect in the variable RCV.NXT. The sender of data + keeps track of the oldest unacknowledged sequence number in the + variable SND.UNA. If the data flow is momentarily idle and all data + sent has been acknowledged then the three variables will be equal. + + When the sender creates a segment and transmits it the sender advances + SND.NXT. When the receiver accepts a segment it advances RCV.NXT and + sends an acknowledgment. When the data sender receives an + acknowledgment it advances SND.UNA. The extent to which the values of + these variables differ is a measure of the delay in the communication. + + Normally the amount by which the variables are advanced is the length + of the data in the segment. However, when letters are used there are + special provisions for coordination the sequence numbers, the letter + boundaries, and the receive buffer boundaries. + + End of Letter Sequence Number Adjustments + + There is provision in TCP for the receiver of data to optionally + communicate to the sender of data on a connection at the time of the + connection synchronization the receiver's buffer size. If this is + done the receiver must use this fixed size of buffers for the lifetime + of the connection. If a buffer size is communicated then there is a + coordination between receive buffers, letters, and sequence numbers. + + Each time a buffer is completed either due to being filled or due to + an end of letter, the sequence number is incremented through the end + of that buffer. + + That is, whenever an EOL is transmitted, the sender advances its send + sequence number, SND.NXT, by an amount sufficient to consume all the + unused space in the receiver's buffer. The amount of space consumed + in this fashion is subtracted from the send window just as is the + space consumed by actual data. + + And, whenever an EOL is received, the receiver advances its receive + sequence number, RCV.NXT, by an amount sufficient to consume all the + unused space in the receiver's buffer. The amount of space consumed + in this fashion is subtracted from the receive window just as is the + space consumed by actual data. + + + + + + + + + + + [Page 39] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + older sequence numbers newer sequence numbers + + | Buffer 1 | Buffer 2 + | | + ----+-------------------------------+----------------- + XXXXXXXXXXXXXXXXXXXXX+++++++++++ + | | | + |<-----SEG.LEN------>| | + | | | + | | | + SEG.SEQ A B + + XXX - data octets from segment + +++ - phantom data + + <----- sequence space -----> + + End of Letter Adjustment + + Figure 17. + + In the case illustrated above, if the segment does not carry an EOL + flag, the next value of SND.NXT or RCV.NXT will be A. If it does + carry an EOL flag, the next value will be B. + + The exchange of buffer size and sequencing information is done in + units of octets. If no buffer size is stated, then the buffer size is + assumed to be 1 octet. The receiver tells the sender the size of the + buffer in a SYN segment that contains the 16 bit buffer size data in + an option field in the TCP header. + + Each EOL advances the sequence number (SN) to the next buffer boundary + + While LBB < SEG.SEQ+SEG.LEN + Do LBB <- LBB + BS End + SN <- LBB + + where LBB is the Last Buffer Beginning, and BS is the buffer size. + + The CLOSE user call implies an end of letter, as does the FIN control + flag in an incoming segment. + + The Communication of Urgent Information + + The objective of the TCP urgent mechanism is to allow the sending user + to stimulate the receiving user to accept some urgent data and to + permit the receiving TCP to indicate to the receiving user when all + the currently known urgent data has been received by the user. + + +[Page 40] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + This mechanism permits a point in the data stream to be designated as + the end of "urgent" information. Whenever this point is in advance of + the receive sequence number (RCV.NXT) at the receiving TCP, that TCP + should tell the user to go into "urgent mode"; when the receive + sequence number catches up to the urgent pointer, the TCP should tell + user to go into "normal mode". If the urgent pointer is updated while + the user is in "read fast" mode, the update will be invisible to the + user. + + The method employs a urgent field which is carried in all segments + transmitted. The URG control flag indicates that the urgent field is + meaningful and should be added to the segment sequence number to yield + the urgent pointer. The absence of this flag indicates that the + urgent pointer has not changed. + + To send an urgent indication the user must also send at least one data + octet. If the sending user also indicates end of letter, timely + delivery of the urgent information to the destination process is + enhanced. + + Managing the Window + + The window sent in each segment indicates the range of sequence number + the sender of the window (the data receiver) is currently prepared to + accept. There is an assumption that this is related to the currently + available data buffer space available for this connection. The window + information is a guideline to be aimed at. + + Indicating a large window encourages transmissions. If more data + arrives than can be accepted, it will be discarded. This will result + in excessive retransmissions, adding unnecessarily to the load on the + network and the TCPs. Indicating a small window may restrict the + transmission of data to the point of introducing a round trip delay + between each new segment transmitted. + + The mechanisms provided allow a TCP to advertise a large window and to + subsequently advertise a much smaller window without having accepted + that much data. This, so called "shrinking the window," is strongly + discouraged. The robustness principle dictates that TCPs will not + shrink the window themselves, but will be prepared for such behavior + on the part of other TCPs. + + The sending TCP must be prepared to accept and send at least one octet + of new data even if the send window is zero. The sending TCP should + regularly retransmit to the receiving TCP even when the window is + zero. Two minutes is recommended for the retransmission interval when + the window is zero. This retransmission is essential to guarantee + + + + [Page 41] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + that when either TCP has a zero window the re-opening of the window + will be reliably reported to the other. + + The sending TCP packages the data to be transmitted into segments + which fit the current window, and may repackage segments on the + retransmission queue. Such repackaging is not required, but may be + helpful. + + Users must keep reading connections they close for sending until the + TCP says no more data. + + In a connection with a one-way data flow, the window information will + be carried in acknowledgment segments that all have the same sequence + number so there will be no way to reorder them if they arrive out of + order. This is not a serious problem, but it will allow the window + information to be on occasion temporarily based on old reports from + the data receiver. + +3.8. Interfaces + + There are of course two interfaces of concern: the user/TCP interface + and the TCP/IP interface. We have a fairly elaborate model of the + user/TCP interface, but only a sketch of the interface to the lower + level protocol module. + + User/TCP Interface + + The functional description of user commands to the TCP is, at best, + fictional, since every operating system will have different + facilities. Consequently, we must warn readers that different TCP + implementations may have different user interfaces. However, all + TCPs must provide a certain minimum set of services to guarantee + that all TCP implementations can support the same protocol + hierarchy. This section specifies the functional interfaces + required of all TCP implementations. + + TCP User Commands + + The following sections functionally characterize a USER/TCP + interface. The notation used is similar to most procedure or + function calls in high level languages, but this usage is not + meant to rule out trap type service calls (e.g., SVCs, UUOs, + EMTs). + + The user commands described below specify the basic functions the + TCP must perform to support interprocess communication. + Individual implementations should define their own exact format, + and may provide combinations or subsets of the basic functions in + + +[Page 42] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + single calls. In particular, some implementations may wish to + automatically OPEN a connection on the first SEND or RECEIVE + issued by the user for a given connection. + + In providing interprocess communication facilities, the TCP must + not only accept commands, but must also return information to the + processes it serves. The latter consists of: + + (a) general information about a connection (e.g., interrupts, + remote close, binding of unspecified foreign socket). + + (b) replies to specific user commands indicating success or + various types of failure. + + Open + + Format: OPEN (local port, foreign socket, active/passive + [, buffer size] [, timeout] [, precedence] + [, security/compartment]) -> local connection name + + We assume that the local TCP is aware of the identity of the + processes it serves and will check the authority of the process + to use the connection specified. Depending upon the + implementation of the TCP, the local network and TCP identifiers + for the source address will either be supplied by the TCP or by + the processes that serve it (e.g., the program which interfaces + the TCP network). These considerations are the result of + concern about security, to the extent that no TCP be able to + masquerade as another one, and so on. Similarly, no process can + masquerade as another without the collusion of the TCP. + + If the active/passive flag is set to passive, then this is a + call to LISTEN for an incoming connection. A passive open may + have either a fully specified foreign socket to wait for a + particular connection or an unspecified foreign socket to wait + for any call. A fully specified passive call can be made active + by the subsequent execution of a SEND. + + A full-duplex transmission control block (TCB) is created and + partially filled in with data from the OPEN command parameters. + + On an active OPEN command, the TCP will begin the procedure to + synchronize (i.e., establish) the connection at once. + + The buffer size, if present, indicates that the caller will + always receive data from the connection in that size of buffers. + This buffer size is a measure of the buffer between the user and + + + + [Page 43] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + the local TCP. The buffer size between the two TCPs may be + different. + + The timeout, if present, permits the caller to set up a timeout + for all buffers transmitted on the connection. If a buffer is + not successfully delivered to the destination within the timeout + period, the TCP will abort the connection. The present global + default is 30 seconds. The buffer retransmission rate may vary; + most likely, it will be related to the measured time for + responses from the remote TCP. + + The TCP or some component of the operating system will verify + the users authority to open a connection with the specified + precedence or security/compartment. The absence of precedence + or security/compartment specification in the OPEN call indicates + the default values should be used. + + TCP will accept incoming requests as matching only if the + security/compartment information is exactly the same and only if + the precedence is equal to or higher than the precedence + requested in the OPEN call. + + The precedence for the connection is the higher of the values + requested in the OPEN call and received from the incoming + request, and fixed at that value for the life of the connection. + + Depending on the TCP implementation, either a local connection + name will be returned to the user by the TCP, or the user will + specify this local connection name (in which case another + parameter is needed in the call). The local connection name can + then be used as a short hand term for the connection defined by + the <local socket, foreign socket> pair. + + Send + + Format: SEND(local connection name, buffer address, byte count, + EOL flag, URGENT flag [, timeout]) + + This call causes the data contained in the indicated user buffer + to be sent on the indicated connection. If the connection has + not been opened, the SEND is considered an error. Some + implementations may allow users to SEND first; in which case, an + automatic OPEN would be done. If the calling process is not + authorized to use this connection, an error is returned. + + If the EOL flag is set, the data is the End Of a Letter, and the + EOL bit will be set in the last TCP segment created from the + + + +[Page 44] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + buffer. If the EOL flag is not set, subsequent SENDs will + appear to be part of the same letter. + + If the URGENT flag is set, segments resulting from this call + will have the urgent pointer set to indicate that some of the + data associated with this call is urgent. This facility, for + example, can be used to simulate "break" signals from terminals + or error or completion codes from I/O devices. The semantics of + this signal to the receiving process are unspecified. The + receiving TCP will signal the urgent condition to the receiving + process as long as the urgent pointer indicates that data + preceding the urgent pointer has not been consumed by the + receiving process. The purpose of urgent is to stimulate the + receiver to accept some urgent data and to indicate to the + receiver when all the currently known urgent data has been + received. + + The number of times the sending user's TCP signals urgent will + not necessarily be equal to the number of times the receiving + user will be notified of the presence of urgent data. + + If no foreign socket was specified in the OPEN, but the + connection is established (e.g., because a LISTENing connection + has become specific due to a foreign segment arriving for the + local socket), then the designated buffer is sent to the implied + foreign socket. In general, users who make use of OPEN with an + unspecified foreign socket can make use of SEND without ever + explicitly knowing the foreign socket address. + + However, if a SEND is attempted before the foreign socket + becomes specified, an error will be returned. Users can use the + STATUS call to determine the status of the connection. In some + implementations the TCP may notify the user when an unspecified + socket is bound. + + If a timeout is specified, then the current timeout for this + connection is changed to the new one. + + In the simplest implementation, SEND would not return control to + the sending process until either the transmission was complete + or the timeout had been exceeded. However, this simple method + is both subject to deadlocks (for example, both sides of the + connection might try to do SENDs before doing any RECEIVEs) and + offers poor performance, so it is not recommended. A more + sophisticated implementation would return immediately to allow + the process to run concurrently with network I/O, and, + furthermore, to allow multiple SENDs to be in progress. + + + + [Page 45] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + Multiple SENDs are served in first come, first served order, so + the TCP will queue those it cannot service immediately. + + We have implicitly assumed an asynchronous user interface in + which a SEND later elicits some kind of SIGNAL or + pseudo-interrupt from the serving TCP. An alternative is to + return a response immediately. For instance, SENDs might return + immediate local acknowledgment, even if the segment sent had not + been acknowledged by the distant TCP. We could optimistically + assume eventual success. If we are wrong, the connection will + close anyway due to the timeout. In implementations of this + kind (synchronous), there will still be some asynchronous + signals, but these will deal with the connection itself, and not + with specific segments or letters. + + NOTA BENE: In order for the process to distinguish among error + or success indications for different SENDs, it might be + appropriate for the buffer address to be returned along with the + coded response to the SEND request. TCP-to-user signals are + discussed below, indicating the information which should be + returned to the calling process. + + Receive + + Format: RECEIVE (local connection name, buffer address, byte + count) + + This command allocates a receiving buffer associated with the + specified connection. If no OPEN precedes this command or the + calling process is not authorized to use this connection, an + error is returned. + + In the simplest implementation, control would not return to the + calling program until either the buffer was filled, or some + error occurred, but this scheme is highly subject to deadlocks. + A more sophisticated implementation would permit several + RECEIVEs to be outstanding at once. These would be filled as, + segments arrive. This strategy permits increased throughput at + the cost of a more elaborate scheme (possibly asynchronous) to + notify the calling program that a letter has been received or a + buffer filled. + + If insufficient buffer space is given to reassemble a complete + letter, the EOL flag will not be set in the response to the + RECEIVE. The buffer will be filled with as much data as it can + hold. The last buffer required to hold the letter is returned + with EOL signaled. + + + +[Page 46] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + The remaining parts of a partly delivered letter will be placed + in buffers as they are made available via successive RECEIVEs. + If a number of RECEIVEs are outstanding, they may be filled with + parts of a single long letter or with at most one letter each. + The return codes associated with each RECEIVE will indicate what + is contained in the buffer. + + If a buffer size was given in the OPEN call, then all buffers + presented in RECEIVE calls must be of exactly that size, or an + error indication will be returned. + + The URGENT flag will be set only if the receiving user has + previously been informed via a TCP-to-user signal, that urgent + data is waiting. The receiving user should thus be in + "read-fast" mode. If the URGENT flag is on, additional urgent + data remains. If the URGENT flag is off, this call to RECEIVE + has returned all the urgent data, and the user may now leave + "read-fast" mode. + + To distinguish among several outstanding RECEIVEs and to take + care of the case that a letter is smaller than the buffer + supplied, the return code is accompanied by both a buffer + pointer and a byte count indicating the actual length of the + letter received. + + Alternative implementations of RECEIVE might have the TCP + allocate buffer storage, or the TCP might share a ring buffer + with the user. Variations of this kind will produce obvious + variation in user interface to the TCP. + + Close + + Format: CLOSE(local connection name) + + This command causes the connection specified to be closed. If + the connection is not open or the calling process is not + authorized to use this connection, an error is returned. + Closing connections is intended to be a graceful operation in + the sense that outstanding SENDs will be transmitted (and + retransmitted), as flow control permits, until all have been + serviced. Thus, it should be acceptable to make several SEND + calls, followed by a CLOSE, and expect all the data to be sent + to the destination. It should also be clear that users should + continue to RECEIVE on CLOSING connections, since the other side + may be trying to transmit the last of its data. Thus, CLOSE + means "I have no more to send" but does not mean "I will not + receive any more." It may happen (if the user level protocol is + not well thought out) that the closing side is unable to get rid + + + [Page 47] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + of all its data before timing out. In this event, CLOSE turns + into ABORT, and the closing TCP gives up. + + The user may CLOSE the connection at any time on his own + initiative, or in response to various prompts from the TCP + (e.g., remote close executed, transmission timeout exceeded, + destination inaccessible). + + Because closing a connection requires communication with the + foreign TCP, connections may remain in the closing state for a + short time. Attempts to reopen the connection before the TCP + replies to the CLOSE command will result in error responses. + + Close also implies end of letter. + + Status + + Format: STATUS(local connection name) + + This is an implementation dependent user command and could be + excluded without adverse effect. Information returned would + typically come from the TCB associated with the connection. + + This command returns a data block containing the following + information: + + local socket, + foreign socket, + local connection name, + receive window, + send window, + connection state, + number of buffers awaiting acknowledgment, + number of buffers pending receipt (including partial ones), + receive buffer size, + urgent state, + precedence, + security/compartment, + and default transmission timeout. + + Depending on the state of the connection, or on the + implementation itself, some of this information may not be + available or meaningful. If the calling process is not + authorized to use this connection, an error is returned. This + prevents unauthorized processes from gaining information about a + connection. + + + + +[Page 48] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + Abort + + Format: ABORT (local connection name) + + This command causes all pending SENDs and RECEIVES to be + aborted, the TCB to be removed, and a special RESET message to + be sent to the TCP on the other side of the connection. + Depending on the implementation, users may receive abort + indications for each outstanding SEND or RECEIVE, or may simply + receive an ABORT-acknowledgment. + + TCP-to-User Messages + + It is assumed that the operating system environment provides a + means for the TCP to asynchronously signal the user program. When + the TCP does signal a user program, certain information is passed + to the user. Often in the specification the information will be + an error message. In other cases there will be information + relating to the completion of processing a SEND or RECEIVE or + other user call. + + The following information is provided: + + Local Connection Name Always + Response String Always + Buffer Address Send & Receive + Byte count (counts bytes received) Receive + End-of-Letter flag Receive + End-of-Urgent flag Receive + + TCP/Network Interface + + The TCP calls on a lower level protocol module to actually send and + receive information over a network. One case is that of the ARPA + internetwork system where the lower level module is the Internet + Protocol [2]. In most cases the following simple interface would be + adequate. + + + + + + + + + + + + + + [Page 49] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + + The following two calls satisfy the requirements for the TCP to + internet protocol module communication: + + SEND (dest, TOS, TTL, BufPTR, len, Id, DF, options => result) + + where: + + dest = destination address + TOS = type of service + TTL = time to live + BufPTR = buffer pointer + len = length of buffer + Id = Identifier + DF = Don't Fragment + options = internet option data + result = response + OK = datagram sent ok + Error = error in arguments or local network error + + Note that the precedence is included in the TOS and the + security/compartment is passed as an option. + + RECV (BufPTR => result, source, dest, prot, TOS, len) + + where: + + BufPTR = buffer pointer + result = response + OK = datagram received ok + Error = error in arguments + source = source address + dest = destination address + prot = protocol + TOS = type of service + options = internet option data + len = length of buffer + + Note that the precedence is in the TOS, and the + security/compartment is an option. + + When the TCP sends a segment, it executes the SEND call supplying + all the arguments. The internet protocol module, on receiving + this call, checks the arguments and prepares and sends the + message. If the arguments are good and the segment is accepted by + the local network, the call returns successfully. If either the + arguments are bad, or the segment is not accepted by the local + network, the call returns unsuccessfully. On unsuccessful + returns, a reasonable report should be made as to the cause of the + + +[Page 50] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + problem, but the details of such reports are up to individual + implementations. + + When a segment arrives at the internet protocol module from the + local network, either there is a pending RECV call from TCP or + there is not. In the first case, the pending call is satisfied by + passing the information from the segment to the TCP. In the + second case, the TCP is notified of a pending segment. + + The notification of a TCP may be via a pseudo interrupt or similar + mechanism, as appropriate in the particular operating system + environment of the implementation. + + A TCP's RECV call may then either be immediately satisfied by a + pending segment, or the call may be pending until a segment + arrives. + + We note that the Internet Protocol provides arguments for a type + of service and for a time to live. TCP uses the following + settings for these parameters: + + Type of Service = Precedence: none, Package: stream, + Reliability: higher, Preference: speed, Speed: higher; or + 00011111. + + Time to Live = one minute, or 00111100. + + Note that the assumed maximum segment lifetime is two minutes. + Here we explicitly ask that a segment be destroyed if it + cannot be delivered by the internet system within one minute. + + + + + + + + + + + + + + + + + + + + + [Page 51] + + + January 1980 +Transmission Control Protocol +Functional Specification + + + +3.9. Event Processing + + The activity of the TCP can be characterized as responding to events. + The events that occur can be cast into three categories: user calls, + arriving segments, and timeouts. This section describes the + processing the TCP does in response to each of the events. In many + cases the processing required depends on the state of the connection. + + Events that occur: + + User Calls + + OPEN + SEND + RECEIVE + CLOSE + ABORT + STATUS + + Arriving Segments + + SEGMENT ARRIVES + + Timeouts + + USER TIMEOUT + RETRANSMISSION TIMEOUT + + The model of the TCP/user interface is that user commands receive an + immediate return and possibly a delayed response via an event or + pseudo interrupt. In the following descriptions, the term "signal" + means cause a delayed response. + + Error responses are given as character strings. For example, user + commands referencing connections that do not exist receive "error: + connection not open". + + Please note in the following that all arithmetic on sequence numbers, + acknowledgment numbers, windows, et cetera, is modulo 2**32 the size + of the sequence number space. Also note that "=<" means less than or + equal to. + + A natural way to think about processing incoming segments is to + imagine that they are first tested for proper sequence number (i.e., + that their contents lie in the range of the expected "receive window" + in the sequence number space) and then that they are generally queued + and processed in sequence number order. + + + +[Page 52] + + +January 1980 + Transmission Control Protocol + Functional Specification + + + + When a segment overlaps other already received segments we reconstruct + the segment to contain just the new data, and adjust the header fields + to be consistent. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + [Page 53] + + + January 1980 +Transmission Control Protocol +Functional Specification + OPEN Call + + + + OPEN Call + + CLOSED STATE (i.e., TCB does not exist) + + Create a new transmission control block (TCB) to hold connection + state information. Fill in local socket identifier, foreign + socket, precedence, security/compartment, and user timeout + information. Verify the security and precedence requested are + allowed for this user, if not return "error: precedence not + allowed" or "error: security/compartment not allowed." If active + and the foreign socket is unspecified, return "error: foreign + socket unspecified"; if active and the foreign socket is + specified, issue a SYN segment. An initial send sequence number + (ISS) is selected and the TCP receive buffer size is selected (if + applicable). A SYN segment of the form <SEQ=ISS><CTL=SYN> is sent + (this may include the buffer size option if applicable). Set + SND.UNA to ISS, SND.NXT to ISS+1, SND.LBB to ISS+1, enter SYN-SENT + state, and return. + + If the caller does not have access to the local socket specified, + return "error: connection illegal for this process". If there is + no room to create a new connection, return "error: insufficient + resources". + + LISTEN STATE + SYN-SENT STATE + SYN-RECEIVED STATE + ESTABLISHED STATE + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + TIME-WAIT STATE + CLOSE-WAIT STATE + CLOSING STATE + + Return "error: connection already exists". + + + + + + + + + + + + + + +[Page 54] + + +January 1980 + Transmission Control Protocol + Functional Specification +SEND Call + + + + SEND Call + + CLOSED STATE (i.e., TCB does not exist) + + If the user should no have access to such a connection, then + return "error: connection illegal for this process". + + Otherwise, return "error: connection does not exist". + + LISTEN STATE + + If the foreign socket is specified, then change the connection + from passive to active, select an ISS, and select the receive + buffer size. Send a SYN segment, set SND.UNA to ISS, SND.NXT to + ISS+1 and SND.LBB to ISS+1. Enter SYN-SENT state. Data + associated with SEND may be sent with SYN segment or queued for + transmission after entering ESTABLISHED state. The urgent bit if + requested in the command should be sent with the first data + segment sent as a result of this command. If there is no room to + queue the request, respond with "error: insufficient resources". + If Foreign socket was not specified, then return "error: foreign + socket unspecified". + + SYN-SENT STATE + + Queue for processing after the connection is ESTABLISHED. + Typically, nothing can be sent yet, anyway, because the send + window has not yet been set by the other side. If no space, + return "error: insufficient resources". + + SYN-RECEIVED STATE + + Queue for later processing after entering ESTABLISHED state. If + no space to queue, respond with "error: insufficient resources". + + ESTABLISHED STATE + + Segmentize the buffer, send or queue it for output, with a + piggybacked acknowledgment (acknowledgment value = RCV.NXT) with + the data. If there is insufficient space to remember this buffer, + simply return "error: insufficient resources". + + If remote buffer size is not one octet, and, if this is the end of + a letter, do the following end-of-letter/buffer-size adjustment + processing: + + + + + [Page 55] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEND Call + + + + if EOL = 0 then + + SND.NXT <- SEG.SEQ + SEG.LEN + + if EOL = 1 then + + While SND.LBB < SEG.SEQ + SEG.LEN + Do SND.LBB <- SND.LBB + SND.BS End + SND.NXT <- SND.LBB + + If the urgent flag is set, then SND.UP <- SND.NXT-1 and set the + urgent pointer in the outgoing segment. + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + TIME-WAIT STATE + + Return "error: connection closing" and do not service request. + + CLOSE-WAIT STATE + + Segmentize any text to be sent and queue for output. If there is + insufficient space to remember the SEND, return "error: + insufficient resources" + + CLOSING STATE + + Respond with "error: connection closing" + + + + + + + + + + + + + + + + + + + + + +[Page 56] + + +January 1980 + Transmission Control Protocol + Functional Specification +RECEIVE Call + + + + RECEIVE Call + + CLOSED STATE (i.e., TCB does not exist) + + If the user should no have access to such a connection, return + "error: connection illegal for this process". + + Otherwise return "error: connection does not exist". + + LISTEN STATE + SYN-SENT STATE + SYN-RECEIVED STATE + + Queue for processing after entering ESTABLISHED state. If there + is no room to queue this request, respond with "error: + insufficient resources". + + ESTABLISHED STATE + + If insufficient incoming segments are queued to satisfy the + request, queue the request. If there is no queue space to + remember the RECEIVE, respond with "error: insufficient + resources". + + Reassemble queued incoming segments into receive buffer and return + to user. Mark "end of letter" (EOL) if this is the case. + + If RCV.UP is in advance of the data currently being passed to the + user notify the user of the presence of urgent data. + + When the TCP takes responsibility for delivering data to the user + that fact must be communicated to the sender via an + acknowledgment. The formation of such an acknowledgment is + described below in the discussion of processing an incoming + segment. + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + Reassemble and return a letter, or as much as will fit, in the + user buffer. Queue the request if it cannot be serviced + immediately. + + + + + + + + [Page 57] + + + January 1980 +Transmission Control Protocol +Functional Specification + RECEIVE Call + + + + TIME-WAIT STATE + CLOSE-WAIT STATE + + Since the remote side has already sent FIN, RECEIVEs must be + satisfied by text already reassembled, but not yet delivered to + the user. If no reassembled segment text is awaiting delivery, + the RECEIVE should get a "error: connection closing" response. + Otherwise, any remaining text can be used to satisfy the RECEIVE. + + CLOSING STATE + + Return "error: connection closing" + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 58] + + +January 1980 + Transmission Control Protocol + Functional Specification +CLOSE Call + + + + CLOSE Call + + CLOSED STATE (i.e., TCB does not exist) + + If the user should no have access to such a connection, return + "error: connection illegal for this process". + + Otherwise, return "error: connection does not exist". + + LISTEN STATE + + Any outstanding RECEIVEs should be returned with "error: closing" + responses. Delete TCB, return "ok". + + SYN-SENT STATE + + Delete the TCB and return "error: closing" responses to any + queued SENDs, or RECEIVEs. + + SYN-RECEIVED STATE + + Queue for processing after entering ESTABLISHED state or + segmentize and send FIN segment. If the latter, enter FIN-WAIT-1 + state. + + ESTABLISHED STATE + + Queue this until all preceding SENDs have been segmentized, then + form a FIN segment and send it. In any case, enter FIN-WAIT-1 + state. + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + Strictly speaking, this is an error and should receive a "error: + connection closing" response. An "ok" response would be + acceptable, too, as long as a second FIN is not emitted (the first + FIN may be retransmitted though). + + + + + + + + + + + + [Page 59] + + + January 1980 +Transmission Control Protocol +Functional Specification + CLOSE Call + + + + TIME-WAIT STATE + + Strictly speaking, this is an error and should receive a "error: + connection closing" response. An "ok" response would be + acceptable, too. However, since the FIN has been sent and + acknowledged, nothing should be sent (or retransmitted). + + CLOSE-WAIT STATE + + Queue this request until all preceding SENDs have been + segmentized; then send a FIN segment, enter CLOSING state. + + CLOSING STATE + + Respond with "error: connection closing" + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 60] + + +January 1980 + Transmission Control Protocol + Functional Specification +ABORT Call + + + + ABORT Call + + CLOSED STATE (i.e., TCB does not exist) + + If the user should no have access to such a connection, return + "error: connection illegal for this process". + + Otherwise return "error: connection does not exist". + + LISTEN STATE + + Any outstanding RECEIVEs should be returned with "error: + connection reset" responses. Delete TCB, return "ok". + + SYN-SENT STATE + + Delete the TCB and return "reset" responses to any queued SENDs, + or RECEIVEs. + + SYN-RECEIVED STATE + + Send a RST of the form: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=RST,ACK> + + and return any unprocessed SENDs, or RECEIVEs with "reset" code, + delete the TCB. + + ESTABLISHED STATE + + Send a reset segment: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=RST,ACK> + + All queued SENDs and RECEIVEs should be given "reset" responses; + all segments queued for transmission (except for the RST formed + above) or retransmission should be flushed, delete the TCB. + + + + + + + + + + + + + [Page 61] + + + January 1980 +Transmission Control Protocol +Functional Specification + ABORT Call + + + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + A reset segment (RST) should be formed and sent: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=RST,ACK> + + Outstanding SENDs, RECEIVEs, CLOSEs, and/or segments queued for + retransmission, or segmentizing, should be flushed, with + "connection reset" notification to the user, delete the TCB. + + TIME-WAIT STATE + + Respond with "ok" and delete the TCB. + + CLOSE-WAIT STATE + + Flush any pending SENDs and RECEIVEs, returning "connection reset" + responses for them. Form and send a RST segment: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=RST,ACK> + + Flush all segment queues and delete the TCB. + + CLOSING STATE + + Respond with "ok" and delete the TCB; flush any remaining segment + queues. If a CLOSE command is still pending, respond "error: + connection reset". + + + + + + + + + + + + + + + + + + + + +[Page 62] + + +January 1980 + Transmission Control Protocol + Functional Specification +STATUS Call + + + + STATUS Call + + CLOSED STATE (i.e., TCB does not exist) + + If the user should no have access to such a connection, return + "error: connection illegal for this process". + + Otherwise return "error: connection does not exist". + + LISTEN STATE + + Return "state = LISTEN", and the TCB pointer. + + SYN-SENT STATE + + Return "state = SYN-SENT", and the TCB pointer. + + SYN-RECEIVED STATE + + Return "state = SYN-RECEIVED", and the TCB pointer. + + ESTABLISHED STATE + + Return "state = ESTABLISHED", and the TCB pointer. + + FIN-WAIT-1 STATE + + Return "state = FIN-WAIT-1", and the TCB pointer. + + FIN-WAIT-2 STATE + + Return "state = FIN-WAIT-2", and the TCB pointer. + + TIME-WAIT STATE + + Return "state = TIME-WAIT and the TCB pointer. + + CLOSE-WAIT STATE + + Return "state = CLOSE-WAIT", and the TCB pointer. + + CLOSING STATE + + Return "state = CLOSING", and the TCB pointer. + + + + + + [Page 63] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEGMENT ARRIVES + + + + SEGMENT ARRIVES + + If the state is CLOSED (i.e., TCB does not exist) then + + all data in the incoming segment is discarded. An incoming + segment containing a RST is discarded. An incoming segment not + containing a RST causes a RST to be sent in response. The + acknowledgment and sequence field values are selected to make the + reset sequence acceptable to the TCP that sent the offending + segment. + + If the ACK bit is off, sequence number zero is used, + + <SEQ=0><ACK=SEG.SEQ+SEG.LEN><CTL=RST,ACK> + + If the ACK bit is on, + + <SEQ=SEG.ACK><CTL=RST> + + Return. + + If the state is LISTEN then + + first check for an ACK + + Any acknowledgment is bad if it arrives on a connection still in + the LISTEN state. An acceptable reset segment should be formed + for any arriving ACK-bearing segment, except another RST. The + RST should be formatted as follows: + + <SEQ=SEG.ACK><CTL=RST> + + Return. + + An incoming RST should be ignored. Return. + + if there was no ACK then check for a SYN + + If the SYN bit is set, check the security. If the + security/compartment on the incoming segment does not exactly + match the security/compartment in the TCB then send a reset and + return. If the SEG.PRC is less than the TCB.PRC then send a + reset and return. If the SEG.PRC is greater than the TCB.PRC + then set TCB.PRC<-SEG.PRC. Now RCV.NXT and RCV.LBB are set to + SEG.SEQ+1, IRS is set to SEG.SEQ and any other control or text + should be queued for processing later. ISS should be selected + and a SYN segment sent of the form: + + +[Page 64] + + +January 1980 + Transmission Control Protocol + Functional Specification +SEGMENT ARRIVES + + + + <SEQ=ISS><ACK=RCV.NXT><CTL=SYN,ACK> + + SND.NXT and SND.LBB are set to ISS+1 and SND.UNA to ISS. The + connection state should be changed to SYN-RECEIVED. Note that + any other incoming control or data (combined with SYN) will be + processed in the SYN-RECEIVED state, but processing of SYN and + ACK should not be repeated. If the listen was not fully + specified (i.e., the foreign socket was not fully specified), + then the unspecified fields should be filled in now. + + if there was no SYN but there was other text or control + + Any other control or text-bearing segment (not containing SYN) + must have an ACK and thus would be discarded by the ACK + processing. An incoming RST segment could not be valid, since + it could not have been sent in response to anything sent by this + incarnation of the connection. So you are unlikely to get here, + but if you do, drop the segment, and return. + + If the state is SYN-SENT then + + first check for an ACK + + If SEG.ACK =< ISS, or SEG.ACK > SND.NXT, or the + security/compartment in the segment does not exactly match the + security/compartment in the TCB, or the precedence in the + segment is less than the precedence in the TCB, send a reset + + <SEQ=SEG.ACK><CTL=RST> + + and discard the segment. Return. + + If SND.UNA =< SEG.ACK =< SND.NXT and the security/compartment + and precedence are acceptable then the ACK is acceptable. + SND.UNA should be advanced to equal SEG.ACK, and any segments on + the retransmission queue which are thereby acknowledged should + be removed. + + if the ACK is ok (or there is no ACK), check the RST bit + + If the RST bit is set then signal the user "error: connection + reset", enter CLOSED state, drop the segment, delete TCB, and + return. + + if the ACK is ok (or there is no ACK) and it was not a RST, check + the SYN bit + + + + [Page 65] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEGMENT ARRIVES + + + + If the SYN bit is on and the security/compartment and precedence + are acceptable then, RCV.NXT and RCV.LBB are set to SEG.SEQ+1, + IRS is set to SEG.SEQ. If SND.UNA > ISS (our SYN has been + ACKed), change the connection state to ESTABLISHED, otherwise + enter SYN-RECEIVED. In any case, form an ACK segment: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=ACK> + + and send it. Data or controls which were queued for + transmission may be included. + + If SEG.PRC is greater than TCB.PRC set TCB.PRC<-SEG.PRC. + + If there are other controls or text in the segment then continue + processing at the fifth step below where the URG bit is checked, + otherwise return. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 66] + + +January 1980 + Transmission Control Protocol + Functional Specification +SEGMENT ARRIVES + + + + Otherwise, + + first check sequence number + + SYN-RECEIVED STATE + ESTABLISHED STATE + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + TIME-WAIT STATE + CLOSE-WAIT STATE + CLOSING STATE + + Segments are processed in sequence. Initial tests on arrival + are used to discard old duplicates, but further processing is + done in SEG.SEQ order. If a segment's contents straddle the + boundary between old and new, only the new parts should be + processed. + + There are four cases for the acceptability test for an incoming + segment: + + Segment Receive Test + Length Window + ------- ------- ------------------------------------------- + + 0 0 SEG.SEQ = RCV.NXT + + 0 >0 RCV.NXT =< SEG.SEQ < RCV.NXT+RCV.WND + + >0 0 not acceptable + + >0 >0 RCV.NXT < SEG.SEQ+SEG.LEN =< RCV.NXT+RCV.WND + + Note that the test above guarantees that the last sequence + number used by the segment lies in the receive-window. If the + RCV.WND is zero, no segments will be acceptable, but special + allowance should be made to accept valid ACKs, URGs and RSTs. + + If an incoming segment is not acceptable, an acknowledgment + should be sent in reply: + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=ACK> + + If the incoming segment is unacceptable, drop it and return. + + + + + + [Page 67] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEGMENT ARRIVES + + + + second check security and precedence + + If the security/compartment and precedence in the segment do not + exactly match the security/compartment and precedence in the TCB + then form a reset and return. + + Note this check is placed following the sequence check to prevent + a segment from an old connection between these parts with a + different security or precedence from causing an abort of the + current connection. + + third check the ACK field, + + SYN-RECEIVED STATE + + If the RST bit is off and SND.UNA < SEG.ACK =< SND.NXT then set + SND.UNA <- SEG.ACK, remove any acknowledged segments from the + retransmission queue, and enter ESTABLISHED state. + + If the segment acknowledgment is not acceptable, form a reset + segment, + + <SEQ=SEG.ACK><CTL=RST> + + and send it, unless the incoming segment is an RST (or there is + no ACK), in which case, it should be discarded, then return. + + ESTABLISHED STATE + + If SND.UNA < SEG.ACK =< SND.NXT then, set SND.UNA <- SEG.ACK. + Any segments on the retransmission queue which are thereby + entirely acknowledged are removed. Users should receive + positive acknowledgments for buffers which have been SENT and + fully acknowledged (i.e., SEND buffer should be returned with + "ok" response). If the ACK is a duplicate, it can be ignored. + + If the segment passes the sequence number and acknowledgment + number tests, the send window should be updated. If + SND.WL =< SEG.SEQ, set SND.WND <- SEG.WND and set + SND.WL <- SEG.SEQ. + + If the remote buffer size is not one, then the + end-of-letter/buffer-size adjustment to sequence numbers may + have an effect on the next expected sequence number to be + acknowledged. It is possible that the remote TCP will + acknowledge with a SEG.ACK equal to a sequence number of an + + + +[Page 68] + + +January 1980 + Transmission Control Protocol + Functional Specification +SEGMENT ARRIVES + + + + octet that was skipped over at the end of a letter. This a mild + error on the remote TCPs part, but not cause for alarm. + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + In addition to the processing for the ESTABLISHED state, if the + retransmission queue is empty, the user's CLOSE can be + acknowledged ("ok") but do not delete the TCB. + + TIME-WAIT STATE + + The only thing that can arrive in this state is a retransmission + of the remote FIN. Acknowledge it, and restart the 2 MSL + timeout. + + CLOSE-WAIT STATE + + Do the same processing as for the ESTABLISHED state. + + CLOSING STATE + + If the ACK acknowledges our FIN then delete the TCB (enter the + CLOSED state), otherwise ignore the segment. + + fourth check the RST bit, + + SYN-RECEIVED STATE + + If the RST bit is set then, if the segment has passed sequence + and acknowledgment tests, it is valid. If this connection was + initiated with a passive OPEN (i.e., came from the LISTEN + state), then return this connection to LISTEN state. The user + need not be informed. If this connection was initiated with an + active OPEN (i.e., came from SYN-SENT state) then the connection + was refused, signal the user "connection refused". In either + case, all segments on the retransmission queue should be + removed. + + + + + + + + + + + + [Page 69] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEGMENT ARRIVES + + + + ESTABLISHED + FIN-WAIT-1 + FIN-WAIT-2 + CLOSE-WAIT + CLOSING STATE + + If the RST bit is set then, any outstanding RECEIVEs and SEND + should receive "reset" responses. All segment queues should be + flushed. Users should also receive an unsolicited general + "connection reset" signal. Enter the CLOSED state, delete the + TCB, and return. + + TIME-WAIT + + Enter the CLOSED state, delete the TCB, and return. + + fifth, check the SYN bit, + + SYN-RECEIVED + ESTABLISHED STATE + + If the SYN bit is set, check the segment sequence number against + the receive window. The segment sequence number must be in the + receive window; if not, ignore the segment. If the SYN is on + and SEG.SEQ = IRS then everything is ok and no action is needed; + but if they are not equal, there is an error and a reset must be + sent. + + If a reset must be sent it is formed as follows: + + <SEQ=SEG.ACK><CTL=RST> + + The connection must be aborted as if a RST had been received. + + FIN-WAIT STATE-1 + FIN-WAIT STATE-2 + TIME-WAIT STATE + CLOSE-WAIT STATE + CLOSING STATE + + This case should not occur, since a duplicate of the SYN which + started the current connection incarnation will have been + filtered in the SEG.SEQ processing. Other SYN's will have been + rejected by this test as well (see SYN processing for + ESTABLISHED state). + + + + +[Page 70] + + +January 1980 + Transmission Control Protocol + Functional Specification +SEGMENT ARRIVES + + + + sixth, check the URG bit, + + ESTABLISHED STATE + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + If the URG bit is set, RCV.UP <- max(RCV.UP,SEG.UP), and signal + the user that the remote side has urgent data if the urgent + pointer (RCV.UP) is in advance of the data consumed. If the + user has already been signaled (or is still in the "urgent + mode") for this continuous sequence of urgent data, do not + signal the user again. + + TIME-WAIT STATE + CLOSE-WAIT STATE + CLOSING + + This should not occur, since a FIN has been received from the + remote side. Ignore the URG. + + seventh, process the segment text, + + ESTABLISHED STATE + + Once in the ESTABLISHED state, it is possible to deliver segment + text to user RECEIVE buffers. Text from segments can be moved + into buffers until either the buffer is full or the segment is + empty. If the segment empties and carries an EOL flag, then the + user is informed, when the buffer is returned, that an EOL has + been received. + + If buffer size is not one octet, then do the following + end-of-letter/buffer-size adjustment processing: + + if EOL = 0 then + + RCV.NXT <- SEG.SEQ + SEG.LEN + + if EOL = 1 then + + While RCV.LBB < SEG.SEQ+SEG.LEN + Do RCV.LBB <- RCV.LBB + RCV.BS End + RCV.NXT <- RCV.LBB + + When the TCP takes responsibility for delivering the data to the + user it must also acknowledge the receipt of the data. Send an + acknowledgment of the form: + + + [Page 71] + + + January 1980 +Transmission Control Protocol +Functional Specification + SEGMENT ARRIVES + + + + <SEQ=SND.NXT><ACK=RCV.NXT><CTL=ACK> + + This acknowledgment should be piggybacked on a segment being + transmitted if possible without incurring undue delay. + + FIN-WAIT-1 STATE + FIN-WAIT-2 STATE + + If there are outstanding RECEIVEs, they should be satisfied, if + possible, with the text of this segment; remaining text should + be queued for further processing. If a RECEIVE is satisfied, + the user should be notified, with "end-of-letter" (EOL) signal, + if appropriate. + + TIME-WAIT STATE + CLOSE-WAIT STATE + + This should not occur, since a FIN has been received from the + remote side. Ignore the segment text. + + eighth, check the FIN bit, + + Send an acknowledgment for the FIN. Signal the user "connection + closing", and return any pending RECEIVEs with same message. Note + that FIN implies EOL for any segment text not yet delivered to the + user. If the current state is ESTABLISHED, enter the CLOSE-WAIT + state. If the current state is FIN-WAIT-1, enter the CLOSING + state. If the current state is FIN-WAIT-2, enter the TIME-WAIT + state. + + and return. + + + + + + + + + + + + + + + + + + +[Page 72] + + +January 1980 + Transmission Control Protocol + Functional Specification +USER TIMEOUT + + + + USER TIMEOUT + + For any state if the user timeout expires, flush all queues, signal + the user "error: connection aborted due to user timeout" in general + and for any outstanding calls, delete the TCB, and return. + + RETRANSMISSION TIMEOUT + + For any state if the retransmission timeout expires on a segment in + the retransmission queue, send the segment at the front of the + retransmission queue again, reinitialize the retransmission timer, + and return. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + [Page 73] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 74] + + +January 1980 + Transmission Control Protocol + + + + GLOSSARY + + + +1822 + BBN Report 1822, "The Specification of the Interconnection of + a Host and an IMP". The specification of interface between a + host and the ARPANET. + +ACK + A control bit (acknowledge) occupying no sequence space, which + indicates that the acknowledgment field of this segment + specifies the next sequence number the sender of this segment + is expecting to receive, hence acknowledging receipt of all + previous sequence numbers. + +ARPANET message + The unit of transmission between a host and an IMP in the + ARPANET. The maximum size is about 1012 octets (8096 bits). + +ARPANET packet + A unit of transmission used internally in the ARPANET between + IMPs. The maximum size is about 126 octets (1008 bits). + +buffer size + An option (buffer size) used to state the receive data buffer + size of the sender of this option. May only be sent in a + segment that also carries a SYN. + +connection + A logical communication path identified by a pair of sockets. + +datagram + A message sent in a packet switched computer communications + network. + +Destination Address + The destination address, usually the network and host + identifiers. + +EOL + A control bit (End of Letter) occupying no sequence space, + indicating that this segment ends a logical letter with the + last data octet in the segment. If this end of letter causes + a less than full buffer to be released to the user and the + connection buffer size is not one octet then the + end-of-letter/buffer-size adjustment to the receive sequence + number must be made. + + + + [Page 75] + + + January 1980 +Transmission Control Protocol +Glossary + + + +FIN + A control bit (finis) occupying one sequence number, which + indicates that the sender will send no more data or control + occupying sequence space. + +fragment + A portion of a logical unit of data, in particular an internet + fragment is a portion of an internet datagram. + +FTP + A file transfer protocol. + +header + Control information at the beginning of a message, segment, + fragment, packet or block of data. + +host + A computer. In particular a source or destination of messages + from the point of view of the communication network. + +Identification + An Internet Protocol field. This identifying value assigned + by the sender aids in assembling the fragments of a datagram. + +IMP + The Interface Message Processor, the packet switch of the + ARPANET. + +internet address + A source or destination address specific to the host level. + +internet datagram + The unit of data exchanged between an internet module and the + higher level protocol together with the internet header. + +internet fragment + A portion of the data of an internet datagram with an internet + header. + +IP + Internet Protocol. + +IRS + The Initial Receive Sequence number. The first sequence + number used by the sender on a connection. + + + + + +[Page 76] + + +January 1980 + Transmission Control Protocol + Glossary + + + +ISN + The Initial Sequence Number. The first sequence number used + on a connection, (either ISS or IRS). Selected on a clock + based procedure. + +ISS + The Initial Send Sequence number. The first sequence number + used by the sender on a connection. + +leader + Control information at the beginning of a message or block of + data. In particular, in the ARPANET, the control information + on an ARPANET message at the host-IMP interface. + +left sequence + This is the next sequence number to be acknowledged by the + data receiving TCP (or the lowest currently unacknowledged + sequence number) and is sometimes referred to as the left edge + of the send window. + +letter + A logical unit of data, in particular the logical unit of data + transmitted between processes via TCP. + +local packet + The unit of transmission within a local network. + +module + An implementation, usually in software, of a protocol or other + procedure. + +MSL + Maximum Segment Lifetime, the time a TCP segment can exist in + the internetwork system. Arbitrarily defined to be 2 minutes. + +octet + An eight bit byte. + +Options + An Option field may contain several options, and each option + may be several octets in length. The options are used + primarily in testing situations; for example, to carry + timestamps. Both the Internet Protocol and TCP provide for + options fields. + +packet + A package of data with a header which may or may not be + + + + [Page 77] + + + January 1980 +Transmission Control Protocol +Glossary + + + + logically complete. More often a physical packaging than a + logical packaging of data. + +port + The portion of a socket that specifies which logical input or + output channel of a process is associated with the data. + +process + A program in execution. A source or destination of data from + the point of view of the TCP or other host-to-host protocol. + +PSN + A Packet Switched Network. For example, the ARPANET. + +RCV.BS + receive buffer size, the remote buffer size + +RCV.LBB + receive last buffer beginning + +RCV.NXT + receive next sequence number + +RCV.UP + receive urgent pointer + +RCV.WND + receive window + +receive last buffer beginning + This is the sequence number of the first octet of the most + recent buffer. This value is use in calculating the next + sequence number when a segment contains an end of letter + indication. + +receive next sequence number + This is the next sequence number the local TCP is expecting to + receive. + +receive window + This represents the sequence numbers the local (receiving) TCP + is willing to receive. Thus, the local TCP considers that + segments overlapping the range RCV.NXT to + RCV.NXT + RCV.WND - 1 carry acceptable data or control. + Segments containing sequence numbers entirely outside of this + range are considered duplicates and discarded. + + + + +[Page 78] + + +January 1980 + Transmission Control Protocol + Glossary + + + +RST + A control bit (reset), occupying no sequence space, indicating + that the receiver should delete the connection without further + interaction. The receiver can determine, based on the + sequence number and acknowledgment fields of the incoming + segment, whether it should honor the reset command or ignore + it. In no case does receipt of a segment containing RST give + rise to a RST in response. + +RTP + Real Time Protocol: A host-to-host protocol for communication + of time critical information. + +Rubber EOL + An end of letter (EOL) requiring a sequence number adjustment + to align the beginning of the next letter on a buffer + boundary. + +SEG.ACK + segment acknowledgment + +SEG.LEN + segment length + +SEG.PRC + segment precedence value + +SEG.SEQ + segment sequence + +SEG.UP + segment urgent pointer field + +SEG.WND + segment window field + +segment + A logical unit of data, in particular a TCP segment is the + unit of data transfered between a pair of TCP modules. + +segment acknowledgment + The sequence number in the acknowledgment field of the + arriving segment. + +segment length + The amount of sequence number space occupied by a segment, + including any controls which occupy sequence space. + + + + [Page 79] + + + January 1980 +Transmission Control Protocol +Glossary + + + +segment sequence + The number in the sequence field of the arriving segment. + +send last buffer beginning + This is the sequence number of the first octet of the most + recent buffer. This value is used in calculating the next + sequence number when a segment contains an end of letter + indication. + +send sequence + This is the next sequence number the local (sending) TCP will + use on the connection. It is initially selected from an + initial sequence number curve (ISN) and is incremented for + each octet of data or sequenced control transmitted. + +send window + This represents the sequence numbers which the remote + (receiving) TCP is willing to receive. It is the value of the + window field specified in segments from the remote (data + receiving) TCP. The range of sequence numbers which may be + emitted by a TCP lies between SND.NXT and + SND.UNA + SND.WND - 1. + +SND.BS + send buffer size, the local buffer size + +SND.LBB + send last buffer beginning + +SND.NXT + send sequence + +SND.UNA + left sequence + +SND.UP + send urgent pointer + +SND.WL + send sequence number at last window update + +SND.WND + send window + +socket + An address which specifically includes a port identifier, that + is, the concatenation of an Internet Address with a TCP port. + + + +[Page 80] + + +January 1980 + Transmission Control Protocol + Glossary + + + +Source Address + The source address, usually the network and host identifiers. + +SYN + A control bit in the incoming segment, occupying one sequence + number, used at the initiation of a connection, to indicate + where the sequence numbering will start. + +TCB + Transmission control block, the data structure that records + the state of a connection. + +TCB.PRC + The precedence of the connection. + +TCP + Transmission Control Protocol: A host-to-host protocol for + reliable communication in internetwork environments. + +TOS + Type of Service, an Internet Protocol field. + +Type of Service + An Internet Protocol field which indicates the type of service + for this internet fragment. + +URG + A control bit (urgent), occupying no sequence space, used to + indicate that the receiving user should be notified to do + urgent processing as long as there is data to be consumed with + sequence numbers less than the value indicated in the urgent + pointer. + +urgent pointer + A control field meaningful only when the URG bit is on. This + field communicates the value of the urgent pointer which + indicates the data octet associated with the sending user's + urgent call. + + + + + + + + + + + + + [Page 81] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 82] + + +January 1980 + Transmission Control Protocol + + + + REFERENCES + + + +[1] Cerf, V., and R. Kahn, "A Protocol for Packet Network + Intercommunication," IEEE Transactions on Communications, + Vol. COM-22, No. 5, pp 637-648, May 1974. + +[2] Postel, J. (ed.), "DOD Standard Internet Protocol," Defense + Advanced Research Projects Agency, Information Processing + Techniques Office, RFC 760, IEN 128, January 1980. + +[3] Feinler, E. and J. Postel, ARPANET Protocol Handbook, Network + Information Center, SRI International, Menlo Park, CA, + January 1978. + +[4] Dalal, Y. and C. Sunshine, "Connection Management in Transport + Protocols," Computer Networks, Vol. 2, No. 6, pp. 454-473, + December 1978. + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + [Page 83] + + + January 1980 +Transmission Control Protocol + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +[Page 84] + |