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| 2 | <HEAD>
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| 3 | <TITLE> Conservative GC Algorithmic Overview </TITLE>
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| 4 | <AUTHOR> Hans-J. Boehm, Silicon Graphics</author>
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| 5 | </HEAD>
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| 6 | <BODY>
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| 7 | <H1> <I>This is under construction</i> </h1>
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| 8 | <H1> Conservative GC Algorithmic Overview </h1>
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| 9 | <P>
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| 10 | This is a description of the algorithms and data structures used in our
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| 11 | conservative garbage collector. I expect the level of detail to increase
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| 12 | with time. For a survey of GC algorithms, see for example
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| 13 | <A HREF="ftp://ftp.cs.utexas.edu/pub/garbage/gcsurvey.ps"> Paul Wilson's
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| 14 | excellent paper</a>. For an overview of the collector interface,
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| 15 | see <A HREF="gcinterface.html">here</a>.
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| 16 | <P>
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| 17 | This description is targeted primarily at someone trying to understand the
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| 18 | source code. It specifically refers to variable and function names.
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| 19 | It may also be useful for understanding the algorithms at a higher level.
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| 20 | <P>
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| 21 | The description here assumes that the collector is used in default mode.
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| 22 | In particular, we assume that it used as a garbage collector, and not just
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| 23 | a leak detector. We initially assume that it is used in stop-the-world,
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| 24 | non-incremental mode, though the presence of the incremental collector
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| 25 | will be apparent in the design.
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| 26 | We assume the default finalization model, but the code affected by that
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| 27 | is very localized.
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| 28 | <H2> Introduction </h2>
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| 29 | The garbage collector uses a modified mark-sweep algorithm. Conceptually
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| 30 | it operates roughly in four phases:
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| 31 |
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| 32 | <OL>
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| 33 |
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| 34 | <LI>
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| 35 | <I>Preparation</i> Clear all mark bits, indicating that all objects
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| 36 | are potentially unreachable.
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| 37 |
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| 38 | <LI>
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| 39 | <I>Mark phase</i> Marks all objects that can be reachable via chains of
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| 40 | pointers from variables. Normally the collector has no real information
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| 41 | about the location of pointer variables in the heap, so it
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| 42 | views all static data areas, stacks and registers as potentially containing
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| 43 | containing pointers. Any bit patterns that represent addresses inside
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| 44 | heap objects managed by the collector are viewed as pointers.
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| 45 | Unless the client program has made heap object layout information
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| 46 | available to the collector, any heap objects found to be reachable from
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| 47 | variables are again scanned similarly.
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| 48 |
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| 49 | <LI>
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| 50 | <I>Sweep phase</i> Scans the heap for inaccessible, and hence unmarked,
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| 51 | objects, and returns them to an appropriate free list for reuse. This is
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| 52 | not really a separate phase; even in non incremental mode this is operation
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| 53 | is usually performed on demand during an allocation that discovers an empty
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| 54 | free list. Thus the sweep phase is very unlikely to touch a page that
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| 55 | would not have been touched shortly thereafter anyway.
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| 56 |
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| 57 | <LI>
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| 58 | <I>Finalization phase</i> Unreachable objects which had been registered
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| 59 | for finalization are enqueued for finalization outside the collector.
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| 60 |
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| 61 | </ol>
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| 62 |
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| 63 | <P>
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| 64 | The remaining sections describe the memory allocation data structures,
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| 65 | and then the last 3 collection phases in more detail. We conclude by
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| 66 | outlining some of the additional features implemented in the collector.
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| 67 |
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| 68 | <H2>Allocation</h2>
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| 69 | The collector includes its own memory allocator. The allocator obtains
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| 70 | memory from the system in a platform-dependent way. Under UNIX, it
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| 71 | uses either <TT>malloc</tt>, <TT>sbrk</tt>, or <TT>mmap</tt>.
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| 72 | <P>
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| 73 | Most static data used by the allocator, as well as that needed by the
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| 74 | rest of the garbage collector is stored inside the
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| 75 | <TT>_GC_arrays</tt> structure.
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| 76 | This allows the garbage collector to easily ignore the collectors own
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| 77 | data structures when it searches for root pointers. Other allocator
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| 78 | and collector internal data structures are allocated dynamically
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| 79 | with <TT>GC_scratch_alloc</tt>. <TT>GC_scratch_alloc</tt> does not
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| 80 | allow for deallocation, and is therefore used only for permanent data
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| 81 | structures.
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| 82 | <P>
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| 83 | The allocator allocates objects of different <I>kinds</i>.
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| 84 | Different kinds are handled somewhat differently by certain parts
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| 85 | of the garbage collector. Certain kinds are scanned for pointers,
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| 86 | others are not. Some may have per-object type descriptors that
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| 87 | determine pointer locations. Or a specific kind may correspond
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| 88 | to one specific object layout. Two built-in kinds are uncollectable.
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| 89 | One (<TT>STUBBORN</tt>) is immutable without special precautions.
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| 90 | In spite of that, it is very likely that most applications currently
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| 91 | use at most two kinds: <TT>NORMAL</tt> and <TT>PTRFREE</tt> objects.
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| 92 | <P>
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| 93 | The collector uses a two level allocator. A large block is defined to
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| 94 | be one larger than half of <TT>HBLKSIZE</tt>, which is a power of 2,
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| 95 | typically on the order of the page size.
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| 96 | <P>
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| 97 | Large block sizes are rounded up to
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| 98 | the next multiple of <TT>HBLKSIZE</tt> and then allocated by
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| 99 | <TT>GC_allochblk</tt>. This uses roughly what Paul Wilson has termed
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| 100 | a "next fit" algorithm, i.e. first-fit with a rotating pointer.
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| 101 | The implementation does check for a better fitting immediately
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| 102 | adjacent block, which gives it somewhat better fragmentation characteristics.
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| 103 | I'm now convinced it should use a best fit algorithm. The actual
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| 104 | implementation of <TT>GC_allochblk</tt>
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| 105 | is significantly complicated by black-listing issues
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| 106 | (see below).
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| 107 | <P>
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| 108 | Small blocks are allocated in blocks of size <TT>HBLKSIZE</tt>.
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| 109 | Each block is
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| 110 | dedicated to only one object size and kind. The allocator maintains
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| 111 | separate free lists for each size and kind of object.
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| 112 | <P>
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| 113 | In order to avoid allocating blocks for too many distinct object sizes,
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| 114 | the collector normally does not directly allocate objects of every possible
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| 115 | request size. Instead request are rounded up to one of a smaller number
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| 116 | of allocated sizes, for which free lists are maintained. The exact
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| 117 | allocated sizes are computed on demand, but subject to the constraint
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| 118 | that they increase roughly in geometric progression. Thus objects
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| 119 | requested early in the execution are likely to be allocated with exactly
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| 120 | the requested size, subject to alignment constraints.
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| 121 | See <TT>GC_init_size_map</tt> for details.
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| 122 | <P>
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| 123 | The actual size rounding operation during small object allocation is
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| 124 | implemented as a table lookup in <TT>GC_size_map</tt>.
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| 125 | <P>
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| 126 | Both collector initialization and computation of allocated sizes are
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| 127 | handled carefully so that they do not slow down the small object fast
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| 128 | allocation path. An attempt to allocate before the collector is initialized,
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| 129 | or before the appropriate <TT>GC_size_map</tt> entry is computed,
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| 130 | will take the same path as an allocation attempt with an empty free list.
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| 131 | This results in a call to the slow path code (<TT>GC_generic_malloc_inner</tt>)
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| 132 | which performs the appropriate initialization checks.
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| 133 | <P>
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| 134 | In non-incremental mode, we make a decision about whether to garbage collect
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| 135 | whenever an allocation would otherwise have failed with the current heap size.
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| 136 | If the total amount of allocation since the last collection is less than
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| 137 | the heap size divided by <TT>GC_free_space_divisor</tt>, we try to
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| 138 | expand the heap. Otherwise, we initiate a garbage collection. This ensures
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| 139 | that the amount of garbage collection work per allocated byte remains
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| 140 | constant.
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| 141 | <P>
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| 142 | The above is in fat an oversimplification of the real heap expansion
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| 143 | heuristic, which adjusts slightly for root size and certain kinds of
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| 144 | fragmentation. In particular, programs with a large root set size and
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| 145 | little live heap memory will expand the heap to amortize the cost of
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| 146 | scanning the roots.
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| 147 | <P>
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| 148 | Versions 5.x of the collector actually collect more frequently in
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| 149 | nonincremental mode. The large block allocator usually refuses to split
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| 150 | large heap blocks once the garbage collection threshold is
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| 151 | reached. This often has the effect of collecting well before the
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| 152 | heap fills up, thus reducing fragmentation and working set size at the
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| 153 | expense of GC time. 6.x will chose an intermediate strategy depending
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| 154 | on how much large object allocation has taken place in the past.
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| 155 | (If the collector is configured to unmap unused pages, versions 6.x
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| 156 | will use the 5.x strategy.)
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| 157 | <P>
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| 158 | (It has been suggested that this should be adjusted so that we favor
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| 159 | expansion if the resulting heap still fits into physical memory.
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| 160 | In many cases, that would no doubt help. But it is tricky to do this
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| 161 | in a way that remains robust if multiple application are contending
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| 162 | for a single pool of physical memory.)
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| 163 |
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| 164 | <H2>Mark phase</h2>
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| 165 |
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| 166 | The marker maintains an explicit stack of memory regions that are known
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| 167 | to be accessible, but that have not yet been searched for contained pointers.
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| 168 | Each stack entry contains the starting address of the block to be scanned,
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| 169 | as well as a descriptor of the block. If no layout information is
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| 170 | available for the block, then the descriptor is simply a length.
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| 171 | (For other possibilities, see <TT>gc_mark.h</tt>.)
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| 172 | <P>
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| 173 | At the beginning of the mark phase, all root segments are pushed on the
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| 174 | stack by <TT>GC_push_roots</tt>. If <TT>ALL_INTERIOR_PTRS</tt> is not
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| 175 | defined, then stack roots require special treatment. In this case, the
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| 176 | normal marking code ignores interior pointers, but <TT>GC_push_all_stack</tt>
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| 177 | explicitly checks for interior pointers and pushes descriptors for target
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| 178 | objects.
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| 179 | <P>
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| 180 | The marker is structured to allow incremental marking.
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| 181 | Each call to <TT>GC_mark_some</tt> performs a small amount of
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| 182 | work towards marking the heap.
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| 183 | It maintains
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| 184 | explicit state in the form of <TT>GC_mark_state</tt>, which
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| 185 | identifies a particular sub-phase. Some other pieces of state, most
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| 186 | notably the mark stack, identify how much work remains to be done
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| 187 | in each sub-phase. The normal progression of mark states for
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| 188 | a stop-the-world collection is:
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| 189 | <OL>
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| 190 | <LI> <TT>MS_INVALID</tt> indicating that there may be accessible unmarked
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| 191 | objects. In this case <TT>GC_objects_are_marked</tt> will simultaneously
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| 192 | be false, so the mark state is advanced to
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| 193 | <LI> <TT>MS_PUSH_UNCOLLECTABLE</tt> indicating that it suffices to push
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| 194 | uncollectable objects, roots, and then mark everything reachable from them.
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| 195 | <TT>Scan_ptr</tt> is advanced through the heap until all uncollectable
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| 196 | objects are pushed, and objects reachable from them are marked.
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| 197 | At that point, the next call to <TT>GC_mark_some</tt> calls
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| 198 | <TT>GC_push_roots</tt> to push the roots. It the advances the
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| 199 | mark state to
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| 200 | <LI> <TT>MS_ROOTS_PUSHED</tt> asserting that once the mark stack is
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| 201 | empty, all reachable objects are marked. Once in this state, we work
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| 202 | only on emptying the mark stack. Once this is completed, the state
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| 203 | changes to
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| 204 | <LI> <TT>MS_NONE</tt> indicating that reachable objects are marked.
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| 205 | </ol>
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| 206 |
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| 207 | The core mark routine <TT>GC_mark_from_mark_stack</tt>, is called
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| 208 | repeatedly by several of the sub-phases when the mark stack starts to fill
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| 209 | up. It is also called repeatedly in <TT>MS_ROOTS_PUSHED</tt> state
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| 210 | to empty the mark stack.
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| 211 | The routine is designed to only perform a limited amount of marking at
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| 212 | each call, so that it can also be used by the incremental collector.
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| 213 | It is fairly carefully tuned, since it usually consumes a large majority
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| 214 | of the garbage collection time.
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| 215 | <P>
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| 216 | The marker correctly handles mark stack overflows. Whenever the mark stack
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| 217 | overflows, the mark state is reset to <TT>MS_INVALID</tt>.
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| 218 | Since there are already marked objects in the heap,
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| 219 | this eventually forces a complete
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| 220 | scan of the heap, searching for pointers, during which any unmarked objects
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| 221 | referenced by marked objects are again pushed on the mark stack. This
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| 222 | process is repeated until the mark phase completes without a stack overflow.
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| 223 | Each time the stack overflows, an attempt is made to grow the mark stack.
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| 224 | All pieces of the collector that push regions onto the mark stack have to be
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| 225 | careful to ensure forward progress, even in case of repeated mark stack
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| 226 | overflows. Every mark attempt results in additional marked objects.
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| 227 | <P>
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| 228 | Each mark stack entry is processed by examining all candidate pointers
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| 229 | in the range described by the entry. If the region has no associated
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| 230 | type information, then this typically requires that each 4-byte aligned
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| 231 | quantity (8-byte aligned with 64-bit pointers) be considered a candidate
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| 232 | pointer.
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| 233 | <P>
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| 234 | We determine whether a candidate pointer is actually the address of
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| 235 | a heap block. This is done in the following steps:
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| 236 | <NL>
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| 237 | <LI> The candidate pointer is checked against rough heap bounds.
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| 238 | These heap bounds are maintained such that all actual heap objects
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| 239 | fall between them. In order to facilitate black-listing (see below)
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| 240 | we also include address regions that the heap is likely to expand into.
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| 241 | Most non-pointers fail this initial test.
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| 242 | <LI> The candidate pointer is divided into two pieces; the most significant
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| 243 | bits identify a <TT>HBLKSIZE</tt>-sized page in the address space, and
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| 244 | the least significant bits specify an offset within that page.
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| 245 | (A hardware page may actually consist of multiple such pages.
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| 246 | HBLKSIZE is usually the page size divided by a small power of two.)
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| 247 | <LI>
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| 248 | The page address part of the candidate pointer is looked up in a
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| 249 | <A HREF="tree.html">table</a>.
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| 250 | Each table entry contains either 0, indicating that the page is not part
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| 251 | of the garbage collected heap, a small integer <I>n</i>, indicating
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| 252 | that the page is part of large object, starting at least <I>n</i> pages
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| 253 | back, or a pointer to a descriptor for the page. In the first case,
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| 254 | the candidate pointer i not a true pointer and can be safely ignored.
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| 255 | In the last two cases, we can obtain a descriptor for the page containing
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| 256 | the beginning of the object.
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| 257 | <LI>
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| 258 | The starting address of the referenced object is computed.
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| 259 | The page descriptor contains the size of the object(s)
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| 260 | in that page, the object kind, and the necessary mark bits for those
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| 261 | objects. The size information can be used to map the candidate pointer
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| 262 | to the object starting address. To accelerate this process, the page header
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| 263 | also contains a pointer to a precomputed map of page offsets to displacements
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| 264 | from the beginning of an object. The use of this map avoids a
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| 265 | potentially slow integer remainder operation in computing the object
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| 266 | start address.
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| 267 | <LI>
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| 268 | The mark bit for the target object is checked and set. If the object
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| 269 | was previously unmarked, the object is pushed on the mark stack.
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| 270 | The descriptor is read from the page descriptor. (This is computed
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| 271 | from information <TT>GC_obj_kinds</tt> when the page is first allocated.)
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| 272 | </nl>
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| 273 | <P>
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| 274 | At the end of the mark phase, mark bits for left-over free lists are cleared,
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| 275 | in case a free list was accidentally marked due to a stray pointer.
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| 276 |
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| 277 | <H2>Sweep phase</h2>
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| 278 |
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| 279 | At the end of the mark phase, all blocks in the heap are examined.
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| 280 | Unmarked large objects are immediately returned to the large object free list.
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| 281 | Each small object page is checked to see if all mark bits are clear.
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| 282 | If so, the entire page is returned to the large object free list.
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| 283 | Small object pages containing some reachable object are queued for later
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| 284 | sweeping.
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| 285 | <P>
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| 286 | This initial sweep pass touches only block headers, not
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| 287 | the blocks themselves. Thus it does not require significant paging, even
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| 288 | if large sections of the heap are not in physical memory.
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| 289 | <P>
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| 290 | Nonempty small object pages are swept when an allocation attempt
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| 291 | encounters an empty free list for that object size and kind.
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| 292 | Pages for the correct size and kind are repeatedly swept until at
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| 293 | least one empty block is found. Sweeping such a page involves
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| 294 | scanning the mark bit array in the page header, and building a free
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| 295 | list linked through the first words in the objects themselves.
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| 296 | This does involve touching the appropriate data page, but in most cases
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| 297 | it will be touched only just before it is used for allocation.
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| 298 | Hence any paging is essentially unavoidable.
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| 299 | <P>
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| 300 | Except in the case of pointer-free objects, we maintain the invariant
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| 301 | that any object in a small object free list is cleared (except possibly
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| 302 | for the link field). Thus it becomes the burden of the small object
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| 303 | sweep routine to clear objects. This has the advantage that we can
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| 304 | easily recover from accidentally marking a free list, though that could
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| 305 | also be handled by other means. The collector currently spends a fair
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| 306 | amount of time clearing objects, and this approach should probably be
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| 307 | revisited.
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| 308 | <P>
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| 309 | In most configurations, we use specialized sweep routines to handle common
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| 310 | small object sizes. Since we allocate one mark bit per word, it becomes
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| 311 | easier to examine the relevant mark bits if the object size divides
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| 312 | the word length evenly. We also suitably unroll the inner sweep loop
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| 313 | in each case. (It is conceivable that profile-based procedure cloning
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| 314 | in the compiler could make this unnecessary and counterproductive. I
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| 315 | know of no existing compiler to which this applies.)
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| 316 | <P>
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| 317 | The sweeping of small object pages could be avoided completely at the expense
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| 318 | of examining mark bits directly in the allocator. This would probably
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| 319 | be more expensive, since each allocation call would have to reload
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| 320 | a large amount of state (e.g. next object address to be swept, position
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| 321 | in mark bit table) before it could do its work. The current scheme
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| 322 | keeps the allocator simple and allows useful optimizations in the sweeper.
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| 323 |
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| 324 | <H2>Finalization</h2>
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| 325 | Both <TT>GC_register_disappearing_link</tt> and
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| 326 | <TT>GC_register_finalizer</tt> add the request to a corresponding hash
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| 327 | table. The hash table is allocated out of collected memory, but
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| 328 | the reference to the finalizable object is hidden from the collector.
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| 329 | Currently finalization requests are processed non-incrementally at the
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| 330 | end of a mark cycle.
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| 331 | <P>
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| 332 | The collector makes an initial pass over the table of finalizable objects,
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| 333 | pushing the contents of unmarked objects onto the mark stack.
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| 334 | After pushing each object, the marker is invoked to mark all objects
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| 335 | reachable from it. The object itself is not explicitly marked.
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| 336 | This assures that objects on which a finalizer depends are neither
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| 337 | collected nor finalized.
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| 338 | <P>
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| 339 | If in the process of marking from an object the
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| 340 | object itself becomes marked, we have uncovered
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| 341 | a cycle involving the object. This usually results in a warning from the
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| 342 | collector. Such objects are not finalized, since it may be
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| 343 | unsafe to do so. See the more detailed
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| 344 | <A HREF="finalization.html"> discussion of finalization semantics</a>.
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| 345 | <P>
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| 346 | Any objects remaining unmarked at the end of this process are added to
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| 347 | a queue of objects whose finalizers can be run. Depending on collector
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| 348 | configuration, finalizers are dequeued and run either implicitly during
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| 349 | allocation calls, or explicitly in response to a user request.
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| 350 | <P>
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| 351 | The collector provides a mechanism for replacing the procedure that is
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| 352 | used to mark through objects. This is used both to provide support for
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| 353 | Java-style unordered finalization, and to ignore certain kinds of cycles,
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| 354 | <I>e.g.</i> those arising from C++ implementations of virtual inheritance.
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| 355 |
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| 356 | <H2>Generational Collection and Dirty Bits</h2>
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| 357 | We basically use the parallel and generational GC algorithm described in
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| 358 | <A HREF="papers/pldi91.ps.gz">"Mostly Parallel Garbage Collection"</a>,
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| 359 | by Boehm, Demers, and Shenker.
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| 360 | <P>
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| 361 | The most significant modification is that
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| 362 | the collector always runs in the allocating thread.
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| 363 | There is no separate garbage collector thread.
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| 364 | If an allocation attempt either requests a large object, or encounters
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| 365 | an empty small object free list, and notices that there is a collection
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| 366 | in progress, it immediately performs a small amount of marking work
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| 367 | as described above.
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| 368 | <P>
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| 369 | This change was made both because we wanted to easily accommodate
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| 370 | single-threaded environments, and because a separate GC thread requires
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| 371 | very careful control over the scheduler to prevent the mutator from
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| 372 | out-running the collector, and hence provoking unneeded heap growth.
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| 373 | <P>
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| 374 | In incremental mode, the heap is always expanded when we encounter
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| 375 | insufficient space for an allocation. Garbage collection is triggered
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| 376 | whenever we notice that more than
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| 377 | <TT>GC_heap_size</tt>/2 * <TT>GC_free_space_divisor</tt>
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| 378 | bytes of allocation have taken place.
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| 379 | After <TT>GC_full_freq</tt> minor collections a major collection
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| 380 | is started.
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| 381 | <P>
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| 382 | All collections initially run interrupted until a predetermined
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| 383 | amount of time (50 msecs by default) has expired. If this allows
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| 384 | the collection to complete entirely, we can avoid correcting
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| 385 | for data structure modifications during the collection. If it does
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| 386 | not complete, we return control to the mutator, and perform small
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| 387 | amounts of additional GC work during those later allocations that
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| 388 | cannot be satisfied from small object free lists. When marking completes,
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| 389 | the set of modified pages is retrieved, and we mark once again from
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| 390 | marked objects on those pages, this time with the mutator stopped.
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| 391 | <P>
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| 392 | We keep track of modified pages using one of three distinct mechanisms:
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| 393 | <OL>
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| 394 | <LI>
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| 395 | Through explicit mutator cooperation. Currently this requires
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| 396 | the use of <TT>GC_malloc_stubborn</tt>.
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| 397 | <LI>
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| 398 | By write-protecting physical pages and catching write faults. This is
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| 399 | implemented for many Unix-like systems and for win32. It is not possible
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| 400 | in a few environments.
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| 401 | <LI>
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| 402 | By retrieving dirty bit information from /proc. (Currently only Sun's
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| 403 | Solaris supports this. Though this is considerably cleaner, performance
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| 404 | may actually be better with mprotect and signals.)
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| 405 | </ol>
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| 406 |
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| 407 | <H2>Thread support</h2>
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| 408 | We support several different threading models. Unfortunately Pthreads,
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| 409 | the only reasonably well standardized thread model, supports too narrow
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| 410 | an interface for conservative garbage collection. There appears to be
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| 411 | no portable way to allow the collector to coexist with various Pthreads
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| 412 | implementations. Hence we currently support only a few of the more
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| 413 | common Pthreads implementations.
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| 414 | <P>
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| 415 | In particular, it is very difficult for the collector to stop all other
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| 416 | threads in the system and examine the register contents. This is currently
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| 417 | accomplished with very different mechanisms for different Pthreads
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| 418 | implementations. The Solaris implementation temporarily disables much
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| 419 | of the user-level threads implementation by stopping kernel-level threads
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| 420 | ("lwp"s). The Irix implementation sends signals to individual Pthreads
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| 421 | and has them wait in the signal handler. The Linux implementation
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| 422 | is similar in spirit to the Irix one.
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| 423 | <P>
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| 424 | The Irix implementation uses
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| 425 | only documented Pthreads calls, but relies on extensions to their semantics,
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| 426 | notably the use of mutexes and condition variables from signal
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| 427 | handlers. The Linux implementation should be far closer to
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| 428 | portable, though impirically it is not completely portable.
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| 429 | <P>
|
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| 430 | All implementations must
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| 431 | intercept thread creation and a few other thread-specific calls to allow
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| 432 | enumeration of threads and location of thread stacks. This is current
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| 433 | accomplished with <TT># define</tt>'s in <TT>gc.h</tt>, or optionally
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| 434 | by using ld's function call wrapping mechanism under Linux.
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| 435 | <P>
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| 436 | Comments are appreciated. Please send mail to
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| 437 | <A HREF="mailto:boehm@acm.org"><TT>boehm@acm.org</tt></a>
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| 438 | </body>
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