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# 14 Transmission Control Protocol (TCP)

When someone puts a backhoe through a fiber optic cable, packets might be lost. (Entire countries have been brought offline by having a boat anchor dragged through an undersea network cable!) Software errors and computer crashes and router malfunctions can all cause problems.

But we don’t want to have to think about that. We want an entity to deal with all that and then let us know when the data is complete and intact and in order.

TCP is that entity. It worries about lost packets so we don’t have to. And when it is sure it has all the correct data, then it gives it to us.

We’ll look at:

- The overall goals of TCP
- Where it fits in the network stack
- A refresher on TCP ports
- How TCP makes, uses, and closes connections
- Data integrity mechanisms
  - Maintaining packet order
  - Detecting errors
- Flow control–how a receiver keeps from getting overwhelmed
- Congestion Control–how senders avoid overloading the Internet

TCP is a very complex topic and we’re only skimming the highlights here. If you want to learn more, the go-to book is TCP/IP Illustrated Volume 1 by the late, great W. Richard Stevens.

## 14.1 Goals of TCP

- Provide reliable communication
- Simulate a circuit-like connection on a packet-switched network
- Provide flow control
- Provide congestion control
- Support out-of-band data

## 14.2 Location in the Network Stack

Recall the layers of the Network Stack:

Layer | Responsibility | Example Protocols
--- | --- | ---
Application | Structured application data | HTTP, FTP, TFTP, Telnet, SSH, SMTP, POP, IMAP
Transport | Data Integrity, packet splitting and reassembly | TCP, UDP
Internet | Routing | IP, IPv6, ICMP
Link | Physical, signals on wires | Ethernet, PPP, token ring

You can see TCP in there at the Transport Layer. IP below it is responsible for routing. And the application layer above it takes advantage of all the features TCP has to offer.

That’s why when we wrote our HTTP client and server, we didn’t have to worry about data integrity at all. We used TCP so that took care of it for us!

## 14.3 TCP Ports

Recall that when we used TCP we had to specify port numbers to connect to. And even our clients were automatically assigned local ports by the operating system (if we didn’t `bind()` them ourselves).

IP uses IP addresses to identify hosts.

But once on that host, the port number is what the OS uses to deliver the data to the correct process.

By analogy, the IP address is like a street address, and the port number is like an apartment number at that street address.

## 14.4 TCP Overview

There are three main things TCP does during a connection:

1. Make the connection
2. Transmit data
3. Close the connection

Each of these involves the sending of special non-user-data packets back and forth between the client and server. We’ll look at special packet types SYN, SYN-ACK, ACK, and FIN.

### 14.4.1 Making the Connection

This involves the famous “three-way handshake”. Since any packets can be lost during transmission, TCP takes extra care to make sure both sides of the connection are ready for data before proceeding.

1. The client sends a SYN (synchronize) packet to the server.
2. The server replies with a SYN-ACK (synchronize acknowledge) packet back to the client.
3. The client replies with an ACK (acknowledge) packet back to the server.

If there is no reply in a reasonable time to any one of these steps, the packet is resent.

### 14.4.2 Transmitting Data

TCP takes a stream of data and splits it into chunks. Each chunk gets a TCP header attached to it, and is then sent on to the IP layer for delivery. The header and the chunk together are called a TCP segment.

(We’ll use “TCP packet” and “TCP segment” interchangeably, but segment is more correct.)

When TCP sends a segment, it expects the recipient of that data to respond with an acknowledgment, hereafter known as an ACK. If TCP doesn’t get the ACK, it’s going to assume something has gone wrong and it needs to resend that segment.

Segments are numbered so even if they arrive out of order, TCP can put them back in the proper sequence.

### 14.4.3 Closing the Connection

When a side wants to close the connection, it sends a FIN (finis [sic]) packet. The remote side will typically reply with an ACK and a FIN of its own. The local side would then complete the hangup with another ACK.

In some OSes, if a host closes a connection with unread data, it sends back a RST (reset) to indicate that condition. Socket programs might print the message “Connection reset by peer” when this happens.

## 14.5 Data Integrity

There are a lot of things that can go wrong. Data can arrive out of order. It can be corrupted. It might be duplicated. Or maybe it doesn’t arrive at all.

TCP has mechanisms to handle all these contingencies.

### 14.5.1 Packet Ordering

The sender places an ever-increasing sequence number on each segment. “Here’s segment 3490. Here’s segment 3491.”

The receiver replies to the sender with an ACK packet containing that sequence number. “I got segment 3490. I got segment 3491.”

If two segments arrive out of order, TCP can put them back in order by sorting them by sequence number.

> Analogy time! If you had a stack of papers and threw them in the air, how could you possibly know their original order? Well, if you numbered all the pages correctly, you just have to sort them. That’s the role the sequence number plays in TCP.

If a duplicate segment arrives, TCP knows it’s already seen that sequence number, so it can safely discard the duplicate.

If a segment is missing, TCP can ask for a retransmission. It does this by repeatedly ACKing the previous segment. The sender will retransmit the next one.

Alternately, if the sender doesn’t get an ACK for a particular segment for some time, it might retransmit that segment on its own, thinking the segment might have been lost. This retransmission gets more and more pessimistic with each timeout; the server doubles the timeout each time it happens.

Lastly, sequence numbers are initialized to random values during the three-way handshake as the connection is being made.

### 14.5.2 Error Detection

Before the sender sends out a segment, a checksum is computed for that segment.

When the receiver gets the segment, it computes its own checksum of that segment.

If the two checksums match, the data is assumed to be error-free. If they differ, the data is discarded and the sender must timeout and retransmit.

The checksum is a 16-bit number that is the result of piping all the TCP header and payload data and the IP addresses involved into a function that digests them down.

The details are in this week’s project.

## 14.6 Flow Control

Flow Control is the mechanism by which two communicating devices alert one another that data needs to be sent more slowly. You can’t pour 1000 Mbs (megabits per second) at a device that can only handle 100 Mbs. The device needs a way to alert the sender to slow it down.

> Analogy time: you do this on the phone when you tell the other party “You’re talking too fast for me to understand! Slow down!”

The most simple way to do this (and this is not what TCP does) is for the sender to send the data, then wait for the receiver to send back an ACK packet with that sequence number. Then send another data packet. This way the receiver can delay the ACK if it needs the sender to slow down.

But this is a slow back and forth, and the network is usually reliable enough for the sender to push out multiple segments without waiting for a response.

However, if we do this, we risk the sender sending data more quickly than the receiver can handle it!

In TCP, this is solved with something called a sliding window. This goes in the “window” field of the TCP header in the receiver’s ACK packet.

In that field, the data receiver can specify how much more data (in bytes) it is willing to receive. The sender must not send more than this without getting an ACK from the receiver. And the ACK it gets will contain new window information.

Using the mechanism, the receiver can get the sender “once you’ve sent X bytes, you have to wait for an ACK telling you how many more you can send”.

It’s important to note that this is a byte count, not a segment count. The sender is free to send multiple segments without receiving an ACK as long as the total bytes doesn’t exceed the receiver’s advertised window size.

## 14.7 Congestion Control

Flow control operates between two computers, but there’s a greater issue of the Internet as a whole. If a router becomes overwhelmed, it might start dropping packets which causes the sender to begin retransmitting, which does nothing to alleviate the problem. And it’s not even on flow control’s radar since the packets aren’t reaching the receiver.

This happened in 1986 when NSFNET (basically the pre-commercial Internet, may it rest in peace) was overwhelmed by insistent senders who didn’t know when to quit with the retransmissions. Throughput dropped to 0.1% of normal. It wasn’t great.

To fix this, a number of mechanisms were implemented by TCP to estimate and eliminate network congestion. Note that these are in addition to the Flow Control window advertised by a receiver. The sender must obey the Flow Control limit and the computed network congestion limit, whichever is lower. It cannot have more unacknowledged segments out on the network than this limit. If it does, it has to stop sending and wait for some ACKs to come in.

Another way to think about this is that when a sender puts out a new TCP segment, that adds to network congestion. When it receives an ACK, that indicates that the segment has been removed from the network, decreasing congestion.

In order to alleviate the problems that hit NFSNET, two big algorithms were added: Slow Start and Congestion Avoidance.

NOTE: This is a simplified view of these two algorithms. For full details on the complex interplay between them and even more on congestion avoidance, see TCP Congestion Control (RFC 5681).

### 14.7.1 Slow Start

When the connection first comes up, the sender has no way of knowing how congested the network is. This first phase is all about getting a rough guess sorted out.

And so it’s going to start conservatively, assuming there’s a high congestion level. (If there is already a high congestion level, liberally flooding it with data wouldn’t be helpful.)

It starts by allowing itself an initial congestion window which is how many unACKed bytes (and segments, but let’s just think of bytes for now) it is allowed to have outstanding.

As the ACKs come in, the size of the congestion window increases by the number of acknowledged bytes. So, loosely, after one segment gets ACKed, two can be sent out. If those two are successfully ACKed, four can be sent out.

So it starts with a very limited number of unACKed segments allowed to be outstanding, but grows very rapidly.

Eventually one of those ACKs is lost and that’s when Slow Start decides to slow way down. It cuts the congestion window size by half and then TCP switches to the Congestion Avoidance algorithm.

### 14.7.2 Congestion Avoidance

This algorithm is similar to Slow Start, but it makes much more controlled moves. No more of this exponential growth stuff.

Each time a congestion window’s-worth of data is successfully transmitted, it pushes a little harder by adding another segment’s worth of bytes to the window. This allows it to have another unACKed segment out on the network. If that works fine, it allows itself one more. And so on.

So it’s pushing the limits of what can be successfully sent without congesting the network, but it’s pushing slowly. We call this additive-increase and it’s generally linear (compared to Slow Start which was generally exponential).

Eventually, though, it pushes too far, and has to retransmit a packet. At this point, the congestion window is set to a small size and the algorithm drops back to Slow Start.

## 14.8 Reflect

- Name a few protocols that rely on TCP for data integrity.

- Why is there a three-way handshake to set up a connection? Why not just start transmitting?

- How does a checksum protect against data corruption?

- What’s the main difference in the goals of Flow Control and Congestion Control?

- Reflect on the reasons for switching between Slow Start and Congestion Avoidance. What advantages does each have in different phases of congestion detection?

- What is the purpose of Flow Control?

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