# Patent

## Title
Collection-tick mechanism for a collector based on the train algorithm

## Abstract

A garbage collector employs the train algorithm to collect a generation in a dynamically allocated heap. When direct allocation of an object into the generation results in the need to allocate a new car section, the collector makes a determination of whether a new collection increment or interval needs to be initiated. It makes this determination by comparing the amount of new allocation in that generation with a threshold value. During each collection increment, it updates the threshold value by determining how much can occur during the next collection increment without exceeding an allowable pause time. It then projects from that value how much memory-space reclamation is likely to occur. From that likely amount of reclamation, it arrives at a limit on the permitted amount of allocation.

## Background
BACKGROUND OF THE INVENTION
1. Field of the Invention
The present invention is directed to garbage collection of dynamically allocated memory. It particularly concerns the rate at which garbage collection should occur.
2. Background Information
In the field of computer systems, considerable effort has been expended on the task of allocating memory to data objects. For the purposes of this discussion, the term object refers to a data structure represented in a computer system's memory. Other terms sometimes used for the same concept are record and structure. An object may be identified by a reference, a relatively small amount of information that can be used to access the object. A reference can be represented as a “pointer” or a “machine address,” which may require, for instance, only sixteen, thirty-two, or sixty-four bits of information, although there are other ways to represent a reference.
In some systems, which are usually known as “object oriented,” objects may have associated methods, which are routines that can be invoked by reference to the object. They also may belong to a class, which is an organizational entity that may contain method code or other information shared by all objects belonging to that class. In the discussion that follows, though, the term object will not be limited to such structures; it will additionally include structures with which methods and classes are not associated.
The invention to be described below is applicable to systems that allocate memory to objects dynamically. Not all systems employ dynamic allocation. In some computer languages, source programs must be so written that all objects to which the program's variables refer are bound to storage locations at compile time. This storage-allocation approach, sometimes referred to as “static allocation,” is the policy traditionally used by the Fortran programming language, for example.
Even for compilers that are thought of as allocating objects only statically, of course, there is often a certain level of abstraction to this binding of objects to storage locations. Consider the typical computer system 10 depicted in FIG. 1, for example. Data, and instructions for operating on them, that a microprocessor 11 uses may reside in on-board cache memory or be received from further cache memory 12, possibly through the mediation of a cache controller 13. That controller 13 can in turn receive such data from system read/write memory (“RAM”) 14 through a RAM controller 15 or from various peripheral devices through a system bus 16. The memory space made available to an application program may be “virtual” in the sense that it may actually be considerably larger than RAM 14 provides. So the RAM contents will be swapped to and from a system disk 17.
Additionally, the actual physical operations performed to access some of the most-recently visited parts of the process's address space often will actually be performed in the cache 12 or in a cache on board microprocessor 11 rather than on the RAM 14, with which those caches swap data and instructions just as RAM 14 and system disk 17 do with each other.
A further level of abstraction results from the fact that an application will often be run as one of many processes operating concurrently with the support of an underlying operating system. As part of that system's memory management, the application's memory space may be moved among different actual physical locations many times in order to allow different processes to employ shared physical memory devices. That is, the location specified in the application's machine code may actually result in different physical locations at different times because the operating system adds different offsets to the machine-language-specified location.
Despite these expedients, the use of static memory allocation in writing certain long-lived applications makes it difficult to restrict storage requirements to the available memory space. Abiding by space limitations is easier when the platform provides for dynamic memory allocation, i.e., when memory space to be allocated to a given object is determined only at run time.
Dynamic allocation has a number of advantages, among which is that the run-time system is able to adapt allocation to run-time conditions. For example, the programmer can specify that space should be allocated for a given object only in response to a particular run-time condition. The C-language library function malloc() is often used for this purpose. Conversely, the programmer can specify conditions under which memory previously allocated to a given object can be reclaimed for reuse. The C-language library function free() results in such memory reclamation.
Because dynamic allocation provides for memory reuse, it facilitates generation of large or long-lived applications, which over the course of their lifetimes may employ objects whose total memory requirements would greatly exceed the available memory resources if they were bound to memory locations statically.
Particularly for long-lived applications, though, allocation and reclamation of dynamic memory must be performed carefully. If the application fails to reclaim unused memory—or, worse, loses track of the address of a dynamically allocated segment of memory—its memory requirements will grow over time to exceed the system's available memory. This kind of error is known as a “memory leak.”
Another kind of error occurs when an application reclaims memory for reuse even though it still maintains a reference to that memory. If the reclaimed memory is reallocated for a different purpose, the application may inadvertently manipulate the same memory in multiple inconsistent ways. This kind of error is known as a “dangling reference,” because an application should not retain a reference to a memory location once that location is reclaimed. Explicit dynamic-memory management by using interfaces like malloc()/free() often leads to these problems.
A way of reducing the likelihood of such leaks and related errors is to provide memory-space reclamation in a more-automatic manner. Techniques used by systems that reclaim memory space automatically are commonly referred to as “garbage collection.” Garbage collectors operate by reclaiming space that they no longer consider “reachable.” Statically allocated objects represented by a program's global variables are normally considered reachable throughout a program's life. Such objects are not ordinarily stored in the garbage collector's managed memory space, but they may contain references to dynamically allocated objects that are, and such objects are considered reachable. Clearly, an object referred to in the processor's call stack is reachable, as is an object referred to by register contents. And an object referred to by any reachable object is also reachable.
The use of garbage collectors is advantageous because, whereas a programmer working on a particular sequence of code can perform his task creditably in most respects with only local knowledge of the application at any given time, memory allocation and reclamation require a global knowledge of the program. Specifically, a programmer dealing with a given sequence of code does tend to know whether some portion of memory is still in use for that sequence of code, but it is considerably more difficult for him to know what the rest of the application is doing with that memory. By tracing references from some conservative notion of a “root set,” e.g., global variables, registers, and the call stack, automatic garbage collectors obtain global knowledge in a methodical way. By using a garbage collector, the programmer is relieved of the need to worry about the application's global state and can concentrate on local-state issues, which are more manageable. The result is applications that are more robust, having no dangling references and fewer memory leaks.
Garbage-collection mechanisms can be implemented by various parts and levels of a computing system. One approach is simply to provide them as part of a batch compiler's output. Consider FIG. 2's simple batch-compiler operation, for example. A computer system executes in accordance with compiler object code and therefore acts as a compiler 20. The compiler object code is typically stored on a medium such as FIG. 1's system disk 17 or some other machine-readable medium, and it is loaded into RAM 14 to configure the computer system to act as a compiler. In some cases, though, the compiler object code's persistent storage may instead be provided in a server system remote from the machine that performs the compiling. The electrical signals that carry the digital data by which the computer systems exchange that code are examples of the kinds of electromagnetic signals by which the computer instructions can be communicated. Others are radio waves, microwaves, and both visible and invisible light.
The input to the compiler is the application source code, and the end product of the compiler process is application object code. This object code defines an application 21, which typically operates on input such as mouse clicks, etc., to generate a display or some other type of output. This object code implements the relationship that the programmer intends to specify by his application source code. In one approach to garbage collection, the compiler 20, without the programmer's explicit direction, additionally generates code that automatically reclaims unreachable memory space.
Even in this simple case, though, there is a sense in which the application does not itself provide the entire garbage collector. Specifically, the application will typically call upon the underlying operating system's memory-allocation functions. And the operating system may in turn take advantage of various hardware that lends itself particularly to use in garbage collection. So even a very simple system may disperse the garbage-collection mechanism over a number of computer-system layers.
To get some sense of the variety of system components that can be used to implement garbage collection, consider FIG. 3's example of a more complex way in which various levels of source code can result in the machine instructions that a processor executes. In the FIG. 3 arrangement, the human applications programmer produces source code 22 written in a high-level language. A compiler 23 typically converts that code into “class files.” These files include routines written in instructions, called “byte codes” 24, for a “virtual machine” that various processors can be software-configured to emulate. This conversion into byte codes is almost always separated in time from those codes' execution, so FIG. 3 divides the sequence into a “compile-time environment” 25 separate from a “run-time environment” 26, in which execution occurs. One example of a high-level language for which compilers are available to produce such virtual-machine instructions is the JavaTM programming language. (Java is a trademark or registered trademark of Sun Microsystems, Inc., in the United States and other countries.)
Most typically, the class files′ byte-code routines are executed by a processor under control of a virtual-machine process 27. That process emulates a virtual machine from whose instruction set the byte codes are drawn. As is true of the compiler 23, the virtual-machine process 27 may be specified by code stored on a local disk or some other machine-readable medium from which it is read into FIG. 1's RAM 14 to configure the computer system to implement the garbage collector and otherwise act as a virtual machine. Again, though, that code's persistent storage may instead be provided by a server system remote from the processor that implements the virtual machine, in which case the code would be transmitted electrically or optically to the virtual-machine-implementing processor.
In some implementations, much of the virtual machine's action in executing these byte codes is most like what those skilled in the art refer to as “interpreting,” so FIG. 3 depicts the virtual machine as including an “interpreter” 28 for that purpose. In addition to or instead of running an interpreter, many virtual-machine implementations actually compile the byte codes concurrently with the resultant object code's execution, so FIG. 3 depicts the virtual machine as additionally including a “just-in-time” compiler 29. We will refer to the just-in-time compiler and the interpreter together as “execution engines” since they are the methods by which byte code can be executed.
Now, some of the functionality that source-language constructs specify can be quite complicated, requiring many machine-language instructions for their implementation. One quite-common example is a source-language instruction that calls for 64-bit arithmetic on a 32-bit machine. More germane to the present invention is the operation of dynamically allocating space to a new object; the allocation of such objects must be mediated by the garbage collector.
In such situations, the compiler may produce “inline” code to accomplish these operations. That is, all object-code instructions for carrying out a given source-code-prescribed operation will be repeated each time the source code calls for the operation. But inlining runs the risk that “code bloat” will result if the operation is invoked at many source-code locations.
The natural way of avoiding this result is instead to provide the operation's implementation as a procedure, i.e., a single code sequence that can be called from any location in the program. In the case of compilers, a collection of procedures for implementing many types of source-code-specified operations is called a runtime system for the language. The execution engines and the runtime system of a virtual machine are designed together so that the engines “know” what runtime-system procedures are available in the virtual machine (and on the target system if that system provides facilities that are directly usable by an executing virtual-machine program.) So, for example, the just-in-time compiler 29 may generate native code that includes calls to memory-allocation procedures provided by the virtual machine's runtime system. These allocation routines may in turn invoke garbage-collection routines of the runtime system when there is not enough memory available to satisfy an allocation. To represent this fact, FIG. 3 includes block 30 to show that the compiler's output makes calls to the runtime system as well as to the operating system 31, which consists of procedures that are similarly system-resident but are not compiler-dependent.
Although the FIG. 3 arrangement is a popular one, it is by no means universal, and many further implementation types can be expected. Proposals have even been made to implement the virtual machine 27's behavior in a hardware processor, in which case the hardware itself would provide some or all of the garbage-collection function.
The arrangement of FIG. 3 differs from FIG. 2 in that the compiler 23 for converting the human programmer's code does not contribute to providing the garbage-collection function; that results largely from the virtual machine 27's operation. Those skilled in that art will recognize that both of these organizations are merely exemplary, and many modern systems employ hybrid mechanisms, which partake of the characteristics of traditional compilers and traditional interpreters both.
The invention to be described below is applicable independently of whether a batch compiler, a just-in-time compiler, an interpreter, or some hybrid is employed to process source code. In the remainder of this application, therefore, we will use the term compiler to refer to any such mechanism, even if it is what would more typically be called an interpreter.
In short, garbage collectors can be implemented in a wide range of combinations of hardware and/or software. As is true of most of the garbage-collection techniques described in the literature, the invention to be described below is applicable to most such systems.
By implementing garbage collection, a computer system can greatly reduce the occurrence of memory leaks and other software deficiencies in which human programming frequently results. But it can also have significant adverse performance effects if it is not implemented carefully. To distinguish the part of the program that does “useful” work from that which does the garbage collection, the term mutator is sometimes used in discussions of these effects; from the collector's point of view, what the mutator does is mutate active data structures′ connectivity.
Some garbage-collection approaches rely heavily on interleaving garbage-collection steps among mutator steps. In one type of garbage-collection approach, for instance, the mutator operation of writing a reference is followed immediately by garbage-collector steps used to maintain a reference count in that object's header, and code for subsequent new-object storage includes steps for finding space occupied by objects whose reference count has fallen to zero. Obviously, such an approach can slow mutator operation significantly.
Other approaches therefore interleave very few garbage-collector-related instructions into the main mutator process but instead interrupt it from time to time to perform garbage-collection cycles, in which the garbage collector finds unreachable objects and reclaims their memory space for reuse. Such an approach will be assumed in discussing FIG. 4's depiction of a simple garbage-collection operation. Within the memory space allocated to a given application is a part 40 managed by automatic garbage collection. In the following discussion, this will be referred to as the “heap,” although in other contexts that term refers to all dynamically allocated memory. During the course of the application's execution, space is allocated for various objects 42, 44, 46, 48, and 50. Typically, the mutator allocates space within the heap by invoking the garbage collector, which at some level manages access to the heap. Basically, the mutator asks the garbage collector for a pointer to a heap region where it can safely place the object's data. The garbage collector keeps track of the fact that the thus-allocated region is occupied. It will refrain from allocating that region in response to any other request until it determines that the mutator no longer needs the region allocated to that object.
Garbage collectors vary as to which objects they consider reachable and unreachable. For the present discussion, though, an object will be considered “reachable” if it is referred to, as object 42 is, by a reference in the root set 52. The root set consists of reference values stored in the mutator's threads′ call stacks, the CPU registers, and global variables outside the garbage-collected heap. An object is also reachable if it is referred to, as object 46 is, by another reachable object (in this case, object 42). Objects that are not reachable can no longer affect the program, so it is safe to re-allocate the memory spaces that they occupy.
A typical approach to garbage collection is therefore to identify all reachable objects and reclaim any previously allocated memory that the reachable objects do not occupy. A typical garbage collector may identify reachable objects by tracing references from the root set 52. For the sake of simplicity, FIG. 4 depicts only one reference from the root set 52 into the heap 40. (Those skilled in the art will recognize that there are many ways to identify references, or at least data contents that may be references.) The collector notes that the root set points to object 42, which is therefore reachable, and that reachable object 42 points to object 46, which therefore is also reachable. But those reachable objects point to no other objects, so objects 44, 48, and 50 are all unreachable, and their memory space may be reclaimed. This may involve, say, placing that memory space in a list of free memory blocks.
To avoid excessive heap fragmentation, some garbage collectors additionally relocate reachable objects. FIG. 5 shows a typical approach. The heap is partitioned into two halves, hereafter called “semi-spaces.” For one garbage-collection cycle, all objects are allocated in one semi-space 54, leaving the other semi-space 56 free. When the garbage-collection cycle occurs, objects identified as reachable are “evacuated” to the other semi-space 56, so all of semi-space 54 is then considered free. Once the garbage-collection cycle has occurred, all new objects are allocated in the lower semi-space 56 until yet another garbage-collection cycle occurs, at which time the reachable objects are evacuated back to the upper semi-space 54.
Although this relocation requires the extra steps of copying the reachable objects and updating references to them, it tends to be quite efficient, since most new objects quickly become unreachable, so most of the current semi-space is actually garbage. That is, only a relatively few, reachable objects need to be relocated, after which the entire semi-space contains only garbage and can be pronounced free for reallocation.
Now, a collection cycle can involve following all reference chains from the basic root set—i.e., from inherently reachable locations such as the call stacks, class statics and other global variables, and registers—and reclaiming all space occupied by objects not encountered in the process. And the simplest way of performing such a cycle is to interrupt the mutator to provide a collector interval in which the entire cycle is performed before the mutator resumes. For certain types of applications, this approach to collection-cycle scheduling is acceptable and, in fact, highly efficient.
For many interactive and real-time applications, though, this approach is not acceptable. The delay in mutator operation that the collection cycle's execution causes can be annoying to a user and can prevent a real-time application from responding to its environment with the required speed. In some applications, choosing collection times opportunistically can reduce this effect. Collection intervals can be inserted when an interactive mutator reaches a point at which it awaits user input, for instance.
So it may often be true that the garbage-collection operation's effect on performance can depend less on the total collection time than on when collections actually occur. But another factor that often is even more determinative is the duration of any single collection interval, i.e., how long the mutator must remain quiescent at any one time. In an interactive system, for instance, a user may never notice hundred-millisecond interruptions for garbage collection, whereas most users would find interruptions lasting for two seconds to be annoying.
The cycle may therefore be divided up among a plurality of collector intervals. When a collection cycle is divided up among a plurality of collection intervals, it is only after a number of intervals that the collector will have followed all reference chains and be able to identify as garbage any objects not thereby reached. This approach is more complex than completing the cycle in a single collection interval; the mutator will usually modify references between collection intervals, so the collector must repeatedly update its view of the reference graph in the midst of the collection cycle. To make such updates practical, the mutator must communicate with the collector to let it know what reference changes are made between intervals.
An even more complex approach, which some systems use to eliminate discrete pauses or maximize resource-use efficiency, is to execute the mutator and collector in concurrent execution threads. Most systems that use this approach use it for most but not all of the collection cycle; the mutator is usually interrupted for a short collector interval, in which a part of the collector cycle takes place without mutation.
Independent of whether the collection cycle is performed concurrently with mutator operation, is completed in a single interval, or extends over multiple intervals is the question of whether the cycle is complete, as has tacitly been assumed so far, or is instead “incremental.” In incremental collection, a collection cycle constitutes only an increment of collection: the collector does not follow all reference chains from the basic root set completely. Instead, it concentrates on only a portion, or collection set, of the heap. Specifically, it identifies every collection-set object referred to by a reference chain that extends into the collection set from outside of it, and it reclaims the collection-set space not occupied by such objects, possibly after evacuating them from the collection set.
By thus culling objects referenced by reference chains that do not necessarily originate in the basic root set, the collector can be thought of as expanding the root set to include as roots some locations that may not be reachable. Although incremental collection thereby leaves “floating garbage,” it can result in relatively low pause times even if entire collection increments are completed during respective single collection intervals.
Most collectors that employ incremental collection operate in “generations” although this is not necessary in principle. Different portions, or generations, of the heap are subject to different collection policies. New objects are allocated in a “young” generation, and older objects are promoted from younger generations to older or more “mature” generations. Collecting the younger generations more frequently than the others yields greater efficiency because the younger generations tend to accumulate garbage faster; newly allocated objects tend to “die,” while older objects tend to “survive.”
But generational collection greatly increases what is effectively the root set for a given generation. Consider FIG. 6, which depicts a heap as organized into three generations 58, 60, and 62. Assume that generation 60 is to be collected. The process for this individual generation may be more or less the same as that described in connection with FIGS. 4 and 5 for the entire heap, with one major exception. In the case of a single generation, the root set must be considered to include not only the call stack, registers, and global variables represented by set 52 but also objects in the other generations 58 and 62, which themselves may contain references to objects in generation 60. So pointers must be traced not only from the basic root set 52 but also from objects within the other generations.
One could perform this tracing by simply inspecting all references in all other generations at the beginning of every collection interval, and it turns out that this approach is actually feasible in some situations. But it takes too long in other situations, so workers in this field have employed a number of approaches to expediting reference tracing. One approach is to include so-called write barriers in the mutator process. A write barrier is code added to a write operation to record information from which the collector can determine where references were written or may have been since the last collection interval. A reference list can then be maintained by taking such a list as it existed at the end of the previous collection interval and updating it by inspecting only locations identified by the write barrier as possibly modified since the last collection interval.
One of the many write-barrier implementations commonly used by workers in this art employs what has been referred to as the “card table.” FIG. 6 depicts the various generations as being divided into smaller sections, known for this purpose as “cards.” Card tables 64, 66, and 68 associated with respective generations contain an entry for each of their cards. When the mutator writes a reference in a card, it makes an appropriate entry in the card-table location associated with that card (or, say, with the card in which the object containing the reference begins). Most write-barrier implementations simply make a Boolean entry indicating that the write operation has been performed, although some may be more elaborate. The mutator having thus left a record of where new or modified references may be, the collector can thereafter prepare appropriate summaries of that information, as will be explained in due course. For the sake of concreteness, we will assume that the summaries are maintained by steps that occur principally at the beginning of each collection interval.
Of course, there are other write-barrier approaches, such as simply having the write barrier add to a list of addresses where references where written. Also, although there is no reason in principle to favor any particular number of generations, and although FIG. 6 shows three, most generational garbage collectors have only two generations, of which one is the young generation and the other is the mature generation. Moreover, although FIG. 6 shows the generations as being of the same size, a more-typical configuration is for the young generation to be considerably smaller. Finally, although we assumed for the sake of simplicity that collection during a given interval was limited to only one generation, a more-typical approach is actually to collect the whole young generation at every interval but to collect the mature one less frequently.
Some collectors collect the entire young generation in every interval and may thereafter perform mature-generation collection in the same interval. It may therefore take relatively little time to scan all young-generation objects remaining after young-generation collection to find references into the mature generation. Even when such collectors do use card tables, therefore, they often do not use them for finding young-generation references that refer to mature-generation objects. On the other hand, laboriously scanning the entire mature generation for references to young-generation (or mature-generation) objects would ordinarily take too long, so the collector uses the card table to limit the amount of memory it searches for mature-generation references.
Now, although it typically takes very little time to collect the young generation, it may take more time than is acceptable within a single garbage-collection interval to collect the entire mature generation. So some garbage collectors may collect the mature generation incrementally; that is, they may perform only a part of the mature generation's collection during any particular collection cycle. Incremental collection presents the problem that, since the generation's unreachable objects outside the “collection set” of objects processed during that cycle cannot be recognized as unreachable, collection-set objects to which they refer tend not to be, either.
To reduce the adverse effect this would otherwise have on collection efficiency, workers in this field have employed the “train algorithm,” which FIG. 7 depicts. A generation to be collected incrementally is divided into sections, which for reasons about to be described are referred to as “car sections.” Conventionally, a generation's incremental collection occurs in fixed-size sections, and a car section's size is that of the generation portion to be collected during one cycle.
The discussion that follows will occasionally employ the nomenclature in the literature by using the term car instead of car section. But the literature seems to use that term to refer variously not only to memory sections themselves but also to data structures that the train algorithm employs to manage them when they contain objects, as well as to the more-abstract concept that the car section and managing data structure represent in discussions of the algorithm. So the following discussion will more frequently use the expression car section to emphasize the actual sections of memory space for whose management the car concept is employed.
According to the train algorithm, the car sections are grouped into “trains,” which are ordered, conventionally according to age. For example, FIG. 7 shows an oldest train 73 consisting of a generation 74's three car sections described by associated data structures 75, 76, and 78, while a second train 80 consists only of a single car section, represented by structure 82, and the youngest train 84 (referred to as the “allocation train”) consists of car sections that data structures 86 and 88 represent. As will be seen below, car sections' train memberships can change, and any car section added to a train is typically added to the end of a train.
Conventionally, the car collected in an increment is the one added earliest to the oldest train, which in this case is car 75. All of the generation's cars can thus be thought of as waiting for collection in a single long line, in which cars are ordered in accordance to with the order of the trains to which they belong and, within trains, in accordance with the order in which they were added to those trains.
As is usual, the way in which reachable objects are identified is to determine whether there are references to them in the root set or in any other object already determined to be reachable. In accordance with the train algorithm, the collector additionally performs a test to determine whether there are any references at all from outside the oldest train to objects within it. If there are not, then all cars within the train can be reclaimed, even though not all of those cars are in the collection set. And the train algorithm so operates that inter-car references tend to be grouped into trains, as will now be explained.
To identify references into the car from outside of it, train-algorithm implementations typically employ “remembered sets.” As card tables are, remembered sets are used to keep track of references. Whereas a card-table entry contains information about references that the associated card contains, though, a remembered set associated with a given region contains information about references into that region from locations outside of it. In the case of the train algorithm, remembered sets are associated with car sections. Each remembered set, such as car 75's remembered set 90, lists locations in the generation that contain references into the associated car section.
The remembered sets for all of a generation's cars are typically updated at the start of each collection interval. To illustrate how such updating and other collection operations may be carried out, FIGS. 8A and 8B (together, “FIG. 8”) depicts an operational sequence in a system of the typical type mentioned above. That is, it shows a sequence of operations that may occur in a system in which the entire garbage-collected heap is divided into two generations, namely, a young generation and an old generation, and in which the young generation is much smaller than the old generation. FIG. 8 is also based on the assumption and that the train algorithm is used only for collecting the old generation.
Block 102 represents a period of the mutator's operation. As was explained above, the mutator makes a card-table entry to identify any card that it has “dirtied” by adding or modifying a reference that the card contains. At some point, the mutator will be interrupted for collector operation. Different implementations employ different events to trigger such an interruption, but we will assume for the sake of concreteness that the system's dynamic-allocation routine causes such interruptions when no room is left in the young generation for any further allocation. A dashed line 103 represents the transition from mutator operation and collector operation.
In the system assumed for the FIG. 8 example, the collector collects the (entire) young generation each time such an interruption occurs. When the young generation's collection ends, the mutator operation usually resumes, without the collector's having collected any part of the old generation. Once in a while, though, the collector also collects part of the old generation, and FIG. 8 is intended to illustrate such an occasion.
When the collector's interval first starts, it first processes the card table, in an operation that block 104 represents. As was mentioned above, the collector scans the “dirtied” cards for references into the young generation. If a reference is found, that fact is memorialized appropriately. If the reference refers to a young-generation object, for example, an expanded card table may be used for this purpose. For each card, such an expanded card table might include a multi-byte array used to summarize the card's reference contents. The summary may, for instance, be a list of offsets that indicate the exact locations within the card of references to young-generation objects, or it may be a list of fine-granularity “sub-cards” within which references to young-generation objects may be found. If the reference refers to an old-generation object, the collector often adds an entry to the remembered set associated with the car containing that old-generation object. The entry identifies the reference's location, or at least a small region in which the reference can be found. For reasons that will become apparent, though, the collector will typically not bother to place in the remembered set the locations of references from objects in car sections farther forward in the collection queue than the referred-to object, i.e., from objects in older trains or in cars added earlier to the same train.
The collector then collects the young generation, as block 105 indicates. (Actually, young-generation collection may be interleaved with the dirty-region scanning, but the drawing illustrates it for purpose of explanation as being separate.) If a young-generation object is referred to by a reference that card-table scanning has revealed, that object is considered to be potentially reachable, as is any young-generation object referred to by a reference in the root set or in another reachable young-generation object. The space occupied by any young-generation object thus considered reachable is with-held from reclamation. For example, it may be evacuated to a young-generation semi-space that will be used for allocation during the next mutator interval. It may instead be promoted into the older generation, where it is placed into a car containing a reference to it or into a car in the last train. Or some other technique may be used to keep the memory space it occupies off the system's free list. The collector then reclaims any young-generation space occupied by any other objects, i.e., by any young-generation objects not identified as transitively reachable through references located outside the young generation.
The collector then performs the train algorithm's central test, referred to above, of determining whether there are any references into the oldest train from outside of it. As was mentioned above, the actual process of determining, for each object, whether it can be identified as unreachable is performed for only a single car section in any cycle. In the absence of features such as those provided by the train algorithm, this would present a problem, because garbage structures may be larger than a car section. Objects in such structures would therefore (erroneously) appear reachable, since they are referred to from outside the car section under consideration. But the train algorithm additionally keeps track of whether there are any references into a given car from outside the train to which it belongs, and trains' sizes are not limited. As will be apparent presently, objects not found to be unreachable are relocated in such a way that garbage structures tend to be gathered into respective trains into which, eventually, no references from outside the train point. If no references from outside the train point to any objects inside the train, the train can be recognized as containing only garbage. This is the test that block 106 represents. All cars in a train thus identified as containing only garbage can be reclaimed.
The question of whether old-generation references point into the train from outside of it is (conservatively) answered in the course of updating remembered sets; in the course of updating a car's remembered set, it is a simple matter to flag the car as being referred to from outside the train. The step-106 test additionally involves determining whether any references from outside the old generation point into the oldest train. Various approaches to making this determination have been suggested, including the conceptually simple approach of merely following all reference chains from the root set until those chains (1) terminate, (2) reach an old-generation object outside the oldest train, or (3) reach an object in the oldest train. In the two-generation example, most of this work can be done readily by identifying references into the collection set from live young-generation objects during the young-generation collection. If one or more such chains reach the oldest train, that train includes reachable objects. It may also include reachable objects if the remembered-set-update operation has found one or more references into the oldest train from outside of it. Otherwise, that train contains only garbage, and the collector reclaims all of its car sections for reuse, as block 107 indicates. The collector may then return control to the mutator, which resumes execution, as FIG. 8B's block 108 indicates.
If the train contains reachable objects, on the other hand, the collector turns to evacuating potentially reachable objects from the collection set. The first operation, which block 110 represents, is to remove from the collection set any object that is reachable from the root set by way of a reference chain that does not pass through the part of the old generation that is outside of the collection set. In the illustrated arrangement, in which there are only two generations, and the young generation has previously been completely collected during the same interval, this means evacuating from a collection set any object that (1) is directly referred to by a reference in the root set, (2) is directly referred to by a reference in the young generation (in which no remaining objects have been found unreachable), or (3) is referred to by any reference in an object thereby evacuated. All of the objects thus evacuated are placed in cars in the youngest train, which was newly created during the collection cycle. Certain of the mechanics involved in the evacuation process are described in more detail in connection with similar evacuation performed, as blocks 112 and 114 indicate, in response to remembered-set entries.
FIG. 9 illustrates how the processing represented by block 114 proceeds. The entries identify heap regions, and, as block 116 indicates, the collector scans the thus-identified heap regions to find references to locations in the collection set. As blocks 118 and 120 indicate, that entry's processing continues until the collector finds no more such references. Every time the collector does find such a reference, it checks to determine whether, as a result of a previous entry's processing, the referred-to object has already been evacuated. If it has not, the collector evacuates the referred-to object to a (possibly new) car in the train containing the reference, as blocks 122 and 124 indicate.
As FIG. 10 indicates, the evacuation operation includes more than just object relocation, which block 126 represents. Once the object has been moved, the collector places a forwarding pointer in the collection-set location from which it was evacuated, for a purpose that will become apparent presently. Block 128 represents that step. (Actually, there are some cases in which the evacuation is only a “logical” evacuation: the car containing the object is simply re-linked to a different logical place in the collection sequence, but its address does not change. In such cases, forwarding pointers are unnecessary.) Additionally, the reference in response to which the object was evacuated is updated to point to the evacuated object's new location, as block 130 indicates. And, as block 132 indicates, any reference contained in the evacuated object is processed, in an operation that FIGS. 11A and 11B (“FIG. 11”) depict.
For each one of the evacuated object's references, the collector checks to see whether the location that it refers to is in the collection set. As blocks 134 and 136 indicate, the reference processing continues until all references in the evacuated object have been processed. In the meantime, if a reference refers to a collection-set location that contains an object not yet evacuated, the collector evacuates the referred-to object to the train to which the evacuated object containing the reference was evacuated, as blocks 138 and 140 indicate.
If the reference refers to a location in the collection set from which the object has already been evacuated, then the collector uses the forwarding pointer left in that location to update the reference, as block 142 indicates. Before the processing of FIG. 11, the remembered set of the referred-to object's car will have an entry that identifies the evacuated object's old location as one containing a reference to the referred-to object. But the evacuation has placed the reference in a new location, for which the remembered set of the referred-to object's car may not have an entry. So, if that new location is not as far forward as the referred-to object, the collector adds to that remembered set an entry identifying the reference's new region, as blocks 144 and 146 indicate. As the drawings indicate, the remembered set may similarly need to be updated even if the referred-to object is not in the collection set.
Now, some train-algorithm implementations postpone processing of the references contained in evacuated collection-set objects until after all directly reachable collection-set objects have been evacuated. In the implementation that FIG. 10 illustrates, though, the processing of a given evacuated object's references occurs before the next object is evacuated. So FIG. 11's blocks 134 and 148 indicate that the FIG. 11 operation is completed when all of the references contained in the evacuated object have been processed. This completes FIG. 10's object-evacuation operation, which FIG. 9's block 124 represents.
As FIG. 9 indicates, each collection-set object referred to by a reference in a remembered-set-entry-identified location is thus evacuated if it has not been already. If the object has already been evacuated from the referred-to location, the reference to that location is updated to point to the location to which the object has been evacuated. If the remembered set associated with the car containing the evacuated object's new location does not include an entry for the reference's location, it is updated to do so if the car containing the reference is younger than the car containing the evacuated object. Block 150 represents updating the reference and, if necessary, the remembered set.
As FIG. 8's blocks 112 and 114 indicate, this processing of collection-set remembered sets is performed initially only for entries that do not refer to locations in the oldest train. Those that do are processed only after all others have been, as blocks 152 and 154 indicate.
When this process has been completed, the collection set's memory space can be reclaimed, as block 164 indicates, since no remaining object is referred to from outside the collection set: any remaining collection-set object is unreachable. The collector then relinquishes control to the mutator.
FIGS. 12A–12J illustrate results of using the train algorithm. FIG. 12A represents a generation in which objects have been allocated in nine car sections. The oldest train has four cars, numbered 1.1 through 1.4. Car 1.1 has two objects, A and B. There is a reference to object B in the root set (which, as was explained above, includes live objects in the other generations). Object A is referred to by object L, which is in the third train's sole car section. In the generation's remembered sets 170, a reference in object L has therefore been recorded against car 1.1.
Processing always starts with the oldest train's earliest-added car, so the garbage collector refers to car 1.1's remembered set and finds that there is a reference from object L into the car being processed. It accordingly evacuates object A to the train that object L occupies. The object being evacuated is often placed in one of the selected train's existing cars, but we will assume for present purposes that there is not enough room. So the garbage collector evacuates object A into a new car section and updates appropriate data structures to identify it as the next car in the third train. FIG. 12B depicts the result: a new car has been added to the third train, and object A is placed in it.
FIG. 12B also shows that object B has been evacuated to a new car outside the first train. This is because object B has an external reference, which, like the reference to object A, is a reference from outside the first train, and one goal of the processing is to form trains into which there are no further references. Note that, to maintain a reference to the same object, object L's reference to object A has had to be rewritten, and so have object B's reference to object A and the inter-generational pointer to object B. In the illustrated example, the garbage collector begins a new train for the car into which object B is evacuated, but this is not a necessary requirement of the train algorithm. That algorithm requires only that externally referenced objects be evacuated to a newer train.
Since car 1.1 no longer contains live objects, it can be reclaimed, as FIG. 12B also indicates. Also note that the remembered set for car 2.1 now includes the address of a reference in object A, whereas it did not before. As was stated before, remembered sets in the illustrated embodiment include only references from cars further back in the order than the one with which the remembered set is associated. The reason for this is that any other cars will already be reclaimed by the time the car associated with that remembered set is processed, so there is no reason to keep track of references from them.
The next step is to process the next car, the one whose index is 1.2. Conventionally, this would not occur until some collection cycle after the one during which car 1.1 is collected. For the sake of simplicity we will assume that the mutator has not changed any references into the generation in the interim.
FIG. 12B depicts car 1.2 as containing only a single object, object C, and that car's remembered set contains the address of an inter-car reference from object F. The garbage collector follows that reference to object C. Since this identifies object C as possibly reachable, the garbage collector evacuates it from car set 1.2, which is to be reclaimed. Specifically, the garbage collector removes object C to a new car section, section 1.5, which is linked to the train to which the referring object F's car belongs. Of course, object F's reference needs to be updated to object C's new location. FIG. 12C depicts the evacuation's result.
FIG. 12C also indicates that car set 1.2 has been reclaimed, and car 1.3 is next to be processed. The only address in car 1.3's remembered set is that of a reference in object G. Inspection of that reference reveals that it refers to object F. Object F may therefore be reachable, so it must be evacuated before car section 1.3 is reclaimed. On the other hand, there are no references to objects D and E, so they are clearly garbage. FIG. 12D depicts the result of reclaiming car 1.3's space after evacuating possibly reachable object F.
In the state that FIG. 12D depicts, car 1.4 is next to be processed, and its remembered set contains the addresses of references in objects K and C. Inspection of object K's reference reveals that it refers to object H, so object H must be evacuated. Inspection of the other remembered-set entry, the reference in object C, reveals that it refers to object G, so that object is evacuated, too. As FIG. 12E illustrates, object H must be added to the second train, to which its referring object K belongs. In this case there is room enough in car 2.2, which its referring object K occupies, so evacuation of object H does not require that object K's reference to object H be added to car 2.2's remembered set. Object G is evacuated to a new car in the same train, since that train is where referring object C resides. And the address of the reference in object G to object C is added to car 1.5's remembered set.
FIG. 12E shows that this processing has eliminated all references into the first train, and it is an important part of the train algorithm to test for this condition. That is, even though there are references into both of the train's cars, those cars' contents can be recognized as all garbage because there are no references into the train from outside of it. So all of the first train's cars are reclaimed.
The collector accordingly processes car 2.1 during the next collection cycle, and that car's remembered set indicates that there are two references outside the car that refer to objects within it. Those references are in object K, which is in the same train, and object A, which is not. Inspection of those references reveals that they refer to objects I and J, which are evacuated.
The result, depicted in FIG. 12F, is that the remembered sets for the cars in the second train reveal no inter-car references, and there are no inter-generational references into it, either. That train's car sections therefore contain only garbage, and their memory space can be reclaimed.
So car 3.1 is processed next. Its sole object, object L, is referred to inter-generationally as well as by a reference in the fourth train's object M. As FIG. 12G shows, object L is therefore evacuated to the fourth train. And the address of the reference in object L to object A is placed in the remembered set associated with car 3.2, in which object A resides.
The next car to be processed is car 3.2, whose remembered set includes the addresses of references into it from objects B and L. Inspection of the reference from object B reveals that it refers to object A, which must therefore be evacuated to the fifth train before car 3.2 can be reclaimed. Also, we assume that object A cannot fit in car section 5.1, so a new car 5.2 is added to that train, as FIG. 12H shows, and object A is placed in its car section. All referred-to objects in the third train having been evacuated, that (single-car) train can be reclaimed in its entirety.
A further observation needs to be made before we leave FIG. 12G. Car 3.2's remembered set additionally lists a reference in object L, so the garbage collector inspects that reference and finds that it points to the location previously occupied by object A. This brings up a feature of copying-collection techniques such as the typical train-algorithm implementation. When the garbage collector evacuates an object from a car section, it marks the location as having been evacuated and leaves the address of the object's new location. So, when the garbage collector traces the reference from object L, it finds that object A has been removed, and it accordingly copies the new location into object L as the new value of its reference to object A.
In the state that FIG. 122H illustrates, car 4.1 is the next to be processed. Inspection of the fourth train's remembered sets reveals no inter-train references into it, but the inter-generational scan (possibly performed with the aid of FIG. 6's card tables) reveals inter-generational references into car 4.2. So the fourth train cannot be reclaimed yet. The garbage collector accordingly evacuates car 4.1's referred-to objects in the normal manner, with the result that FIG. 12I depicts.
In that state, the next car to be processed has only inter-generational references into it. So, although its referred-to objects must therefore be evacuated from the train, they cannot be placed into trains that contain references to them. Conventionally, such objects are evacuated to a train at the end of the train sequence. In the illustrated implementation, a new train is formed for this purpose, so the result of car 4.2's processing is the state that FIG. 12J depicts.
Processing continues in this same fashion. Of course, subsequent collection cycles will not in general proceed, as in the illustrated cycles, without any reference changes by the mutator and without any addition of further objects. But reflection reveals that the general approach just described still applies when such mutations occur.
A question that arises in connection with incremental collection is what the rate is at which collection should occur. Too much collection can interfere unduly with mutator operation. Too little collection can result in the heap's being filled up. The latter result typically necessitates a whole-heap collection and, often, an unacceptably long interruption in the mutator's operation. Although the collection-rate question arises for all incremental collectors independently of whether they employ the train algorithm and, to some extent, independently of whether they collect by generations, generational train-algorithm collectors exemplify conventional approaches to the problem.
Consider such a collector that operates, in a “stop-the-world” manner, as was described above in connection with FIGS. 8A and 8B: the mutator is stopped until the collector has completed collecting a collection set. In a typical two-generation collector of this type, in which most objects are allocated in the young generation initially and the train algorithm is employed to manage the old generation, into which the survivors are later promoted, mutator execution is interrupted for a collector interval whenever the young generation has run out of free space or soon will. During the ensuing interval, the entire young generation is collected, as was explained above. In this sense, the rate of allocation in the young generation is what determines the collection rate.
As was also explained above, though, at least some collection intervals include collection not only of the young generation but also of a car section in the old generation. So the rate of old-generation collection must be decided separately. The basic approach described in the original train-algorithm paper (Hudson and Moss, “Incremental Collection of Mature Objects,” 1992 Proceedings of the International Workshop on Memory Management 1992 (Springer-Verlag) is simply to have one partial old-generation collection for each complete young-generation collection. That is, every collection interval includes collection of the entire young generation and one car section of the old generation. The rate of old-generation collection per unit of allocation is therefore established by the relationship between the car-section and young-generation sizes.
But performance may be improved by having the rate of old-generation collection vary dynamically in accordance with run-time conditions. An approach suggested in an M. Sc thesis by Grarup and Seligmann, “Incremental Mature Garbage Collection,” is therefore not to have a partial old-generation collection occur during every collection interval but rather to have one occur only during each Nth collection interval, where N is a function of how much garbage recent old-generation collections found.
Another approach, the one used in the HotSpot Java Virtual Machine, is to vary N in accordance with how many bytes of object promotion have occurred during young-generation collections and to vary the size of the young generation in accordance with that amount, too. Specifically, a quantity M, which has a range of −2 to 4, is decremented during each collection interval in which objects that exceed some threshold number of bytes have been promoted. M is incremented in other intervals. If M>1, then a collection interval including old-generation collection occurs once every M collection intervals. If M≦1, old-generation collection occurs every collection interval. The size of the young generation is reduced to 1/(2−M) of its normal size if M<1. In an application in which more objects tend to be promoted into the old generation, therefore, the rate of old-generation collection is relatively high, whereas applications that have higher “infant mortality” and thus tend to promote objects into the old generation at a lower rate will have a rate of old-generation collection that is lower.
SUMMARY OF THE INVENTION
But I have recognized that better performance can be obtained if train-managed-generation collection is not triggered simply by how much new allocation occurs in a younger generation. If the basis on which such collection is triggered is instead the amount newly allocated in the train-algorithm-managed generation itself, the rate of that generation's collection can be made to match the amount of allocation in that generation more accurately, and the trigger mechanism is readily applicable to single-generation collection.
Some embodiments of the invention will exploit the resultant flexibility by repeatedly updating the trigger criterion. It can be updated once each collection increment, for example. This could be done, say, to arrive at the maximum amount of inter-increment that is consistent with acceptable pause-time limits, as will be explained below.
I have also found that it is preferable if the determination of whether the trigger criterion has been met is itself triggered by direct allocation of objects in the train-algorithm-managed generation. That is, when an object is allocated in the generation, the collector determines whether the amount of allocation since the last collection increment or interval has thereby been caused to meet a trigger criterion that it uses for deciding whether further collection of the generation should be initiated.
It might seem that the cost of making such a determination when objects are allocated into the generation would be prohibitive. But I have taken advantage of the train-algorithm feature that allocation occurs at two levels: at the higher level, space in the generation is allocated in units of car sections, and, at the lower level, space within the car sections are allocated to objects. While it would in most cases be prohibitive to determine upon each object allocation whether collection of the generation should be initiated, the cost of making such a determination only when a new car section is allocated is not.



DESCRIPTION OF THE DRAWINGS
The invention description below refers to the accompanying drawings, of which:
FIG. 1, discussed above, is a block diagram of a computer system in which the present invention's teachings can be practiced;
FIG. 2 is, discussed above, is a block diagram that illustrates a compiler's basic functions;
FIG. 3, discussed above, is a block diagram that illustrates a more-complicated compiler/interpreter organization;
FIG. 4, discussed above, is a diagram that illustrates a basic garbage-collection mechanism;
FIG. 5, discussed above, is a similar diagram illustrating that garbage-collection approach's relocation operation;
FIG. 6, discussed above, is a diagram that illustrates a garbage-collected heap's organization into generations;
FIG. 7, discussed above, is a diagram that illustrates a generation organization employed for the train algorithm;
FIGS. 8A and 8B, discussed above, together constitute a flow chart that illustrates a garbage-collection interval that includes old-generation collection;
FIG. 9, discussed above, is a flow chart that illustrates in more detail the remembered-set processing included in FIG. 8A;
FIG. 10, discussed above, is a block diagram that illustrates in more detail the referred-to-object evacuation that FIG. 9 includes;
FIGS. 11A and 11B, discussed above, together form a flow chart that illustrates in more detail the FIG. 10 flow chart's step of processing evacuated objects' references;
FIGS. 12A–12J, discussed above, are diagrams that illustrate a collection scenario that can result from using the train algorithm;
FIGS. 13A and 13B together constituted a flow chart that illustrates a collection interval, as FIGS. 8A and 8B do, but illustrates optimizations that FIGS. 8A and 8B do not include;
FIG. 14 is a block diagram that illustrates a routine that a garbage collector employing the present invention's teaches may use to allocate objects directly into the train-algorithm-managed generation;
FIG. 15 is a block diagram illustrating a routine that may be used to determine an allocation threshold used by the collector to determine when to initiate collection of the train-algorithm-managed generation.



DETAILED DESCRIPTION OF AN ILLUSTRATIVE EMBODIMENT
It will become apparent that the application's broader aspects are applicable to essentially any collector that employs the train algorithm. The collector's sequence does not need to perform all of the train-managed generation's collection in collection intervals, that of FIG. 8 does. It can instead perform most of the collection concurrently with mutator operation, for instance.
Even if the collector does perform all of the train-managed generation's collection in collection intervals, I prefer to use an operational sequence that, although similar to the one that FIG. 8 illustrates, includes some optimizations. FIGS. 13A and 13B (together, “FIG. 13”) illustrate this sequence. Whereas it was tacitly assumed in the train-algorithm discussion above that, as is conventional, only a single car section would be collected in any given collection increment, FIG. 13 reflects the possibility of multiple-car collection sets.
Blocks 172, 176, and 178 represent operations that correspond to those that FIG. 8's blocks 102, 106, and 108 do, and dashed line 174 represents the passage of control from the mutator to the collector, as FIG. 8's dashed line 104 does. For the sake of efficiency, though, the collection operation of FIG. 13 includes a step represented by block 180. In this step, the collector needs to determine the collection-set size, but we will postpone the discussion of that determination until after the overview of FIG. 13's incremental collection is finished. With that determination made, the collector reads the remembered set of each car in the collection set to determine the location of each reference into the collection set from a car outside of it, it places the address of each reference thereby found into a scratch-pad list associated with the train that contains that reference, and it places the scratch-pad lists in reverse-train order. Block 180 represents all those operations. As blocks 182 and 184 indicate, the collector then processes the entries in all scratch-pad lists but the one associated with the oldest train.
Before the collector processes references in that train's scratch-pad list, the collector evacuates any objects referred to from outside the old generation, as block 186 indicates. To identify such objects, the collector scans the root set. In some generational collectors, it may also have to scan other generations for references into the collection set. For the sake of example, though, we have assumed the particularly common scheme in which a generation's collection in a given interval is always preceded by complete collection of every (in this case, only one) younger generation in the same interval. If, in addition, the collector's promotion policy is to promote all surviving younger-generation objects into older generations, it is necessary only to scan older generations, of which there are none in the example; i.e., some embodiments may not require that any other generation be scanned in the block-186 operation.
For those that do, though, the scanning may actually involve inspecting each surviving object in the young generation, or the collector may expedite the process by using card-table entries. Regardless of which approach it uses, the collector immediately evacuates into another train any collection-set object to which it thereby finds an external reference. The typical policy is to place the evacuated object into the youngest such train. As before, the collector does not attempt to evacuate an object that has already been evacuated, and, when it does evacuate an object to a train, it evacuates to the same train each collection-set object to which a reference in the thus-evacuated object refers. In any case, the collector updates the reference to the evacuated object.
When the inter-generational references into the generation have thus been processed, the garbage collector determines whether there are any references into the oldest train from outside that train. If not, the entire train can be reclaimed, as blocks 188 and 190 indicate.
As block 192 indicates, the collector interval typically ends when a train has thus been collected. If the oldest train cannot be collected in this manner, though, the collector proceeds to evacuate any collection-set objects referred to by references whose locations the oldest train's scratch-pad list includes, as blocks 194 and 196 indicate. It removes them to younger cars in the oldest train, again updating references, avoiding duplicate evacuations, and evacuating any collection-set objects to which the evacuated objects refer. When this process has been completed, the collection set can be reclaimed, as block 198 indicates, since no remaining object is referred to from outside the collection set: any remaining collection-set object is unreachable. The collector then relinquishes control to the mutator.
As was mentioned above, not all of the illustrated embodiment's collection intervals include collection of the old, train-algorithm-managed generation. To determine whether old-generation collection is to occur, the collector considers how much space has been allocated in the old generation since the end of the previous collection increment.
Now, one of the occasions on which the collector will make such a determination occurs at the end of a young-generation collection. During a young-generation collection, a number of objects are typically promoted from the young-generation into the old generation, and this adds to the volume of objects that have been allocated in the old generation since the last old-generation collection increment.
But promotion from the young generation is not the only way in which objects become allocated in the old generation. In some embodiments, for instance, there is no young generation: there is only a single generation, into which all dynamically allocated objects are allocated directly. Even in collectors that do employ a young generation, some direct allocation into the old generation may occur. Indeed, particularly in applications that use a large number of large objects or arrays, direct allocation may predominate over promotion. Since the determination of whether to trigger old-generation collection is based on how much allocation has occurred in that generation, direct allocations trigger such determinations in the illustrated embodiment.
Now, this might seem to be prohibitively expensive. Indeed, it would be if every object allocation were accompanied by a determination of whether collection of the train-algorithm-managed generation should be initiated. So, as FIG. 14 indicates, the only direct allocations that trigger those determinations in the illustrated embodiment are those that necessitate allocating a new car. As that drawing's block 200 indicates, direct object allocation begins with a determination of whether there is room for the object in an existing allocation car. If there is, then the new object is simply placed in that allocation car, as block 202 indicates, and the allocation operation is complete. Otherwise, the collector must allocate a new car and place the object in it.
In some embodiments of the invention, not every such car allocation will be accompanied by a determination of whether to trigger old-generation collection; the determination may be made only upon, say, every fifth car allocation, for instance. Or a collector that employs car sections of varying sizes may cause the determination to be made only when car sections of at least a minimum size are allocated. In the illustrated embodiment, though, a determination is made every time a direct object allocation requires allocation of a new car section. As blocks 204 and 206 indicate, the collector determines whether the total amount of new allocation in the train-algorithm-managed generation meets a predetermined trigger criterion. In particular, it determines whether the amount of new allocation has reached an allocation maximum that has been computed in a manner that will be described in due course.
As will be seen in due course, what is meant by “the amount of new allocation” can differ among different embodiments. Initially, though, we will assume the simplest meaning. For example, in an embodiment that follows the sequence depicted in FIG. 13, i.e., in which each old-generation collection increment occurs entirely within a single collection interval, the amount of new allocation is the number of bytes that have been allocated in the train-algorithm-managed generation since the previous collection increment. The same measure typically would also be used for collectors that perform most collection concurrently with mutator operation rather than in dedicated collection intervals. In the case of a collector that divides a collection increment among a plurality of collection intervals, on the other hand, the value used most simply for this purpose would typically be the amount of allocation in that generation that has occurred since the last interval in which collection occurred in the train-algorithm-managed generation. Again, we will assume such values for the “amount of allocation” initially, but another example of a possible value will be given in due course.
In most cases, the trigger criterion will not have been met, so the allocation routine is over when the determination that block 206 represents has been made. If the amount of new allocation does meet that criterion, though, old-generation collection is triggered, as block 208 indicates. In the illustrated embodiment, in which all collection activity occurs during collection intervals, this causes a collection interval to begin.
In that particular embodiment, the triggered collection of the train-algorithm-managed generation does not immediately ensue. It is instead preceded by young-generation collection. But other embodiments will proceed to collection of the train-algorithm-managed generation directly, without preceding it with a younger generation's collection. This will be true of embodiments that use only one generation, of course. And it may be true of some embodiments that do use a second, young generation. Some such embodiments will divide an old, train-algorithm-managed generation's collection increment among multiple intervals, for instance, and the second and subsequent intervals of an increment typically will not start with young-generation collection. On the other hand, they may precede the triggered collection with some other activity. In short, the allocation total's meeting the trigger criterion triggers collection of the train-algorithm-managed generation, but some preliminary activity may precede the actual collection activity.
As blocks 210 and 212 indicate, the routine ends with a new car's being allocated and the new object's being placed in it.
In most embodiments, the criterion applied in the test represented by block 206 will simply be whether the number of bytes of objects newly allocated into the train-algorithm-managed generation has reached some threshold value. Preferably, the threshold value will depend on run-time conditions. In the illustrated embodiment, for example, the threshold value is updated once during each collection increment in accordance with data that the collector has taken up to that point. FIG. 15 represents a routine that the illustrated embodiment employs for this purpose.
Block 214 is largely conceptual. It represents establishing an acceptable pause time. Ordinarily, this is not a value that is updated during an application's execution; it will usually be hard coded or fixed for the particular application being run. But FIG. 15 includes block 214 to emphasize what the illustrated embodiment uses as a starting point for determining the allocation maximum.
The next step is to compute how much collection can be performed within that pause time. For this purpose, a collector will typically have been keeping track of how much time it has been taking to process remembered-set entries and evacuate objects. For example, the collector may note the times at which it starts and stops generating a scratch-pad list from remembered-set entries, take the difference between these times, and divide the result by the number of remembered-set entries processed. By taking such values over a number of remembered sets, the collector can obtain a good estimate of how much time remembered-set processing requires per entry. It makes similar measurements of how long the evacuation operations take per collection-set byte.
Having thus obtained the duration data for remembered-set processing and evacuation, the collector infers from the number of bytes contained and the remembered-set size how long it will take to collect the next collection increment's first car. The collector then proceeds to the next car, makes a similar estimate for it, and adds that to the first car's estimate. This continues until addition of a car's estimate would cause the result to exceed the acceptable pause time. The resultant set of cars will be the initial collection set for the next increment, and the total of those cars' contents is an expected amount of collection. Block 216 represents computing that amount.
As was mentioned above, some embodiments will divide a given collection increment among a plurality of intervals. For such embodiments, a routine corresponding to that of FIG. 15 would compute the amount of allocation to be performed between intervals rather than between increments. Now, since the increment might seem divisible among an arbitrarily large number of intervals, one might conclude that the pause time would not impose a limit on collection-set size in such embodiments. But, although such embodiments will typically divide a collection set's remembered-set processing among a plurality of intervals, most will need to perform all of the evacuation in a single interval. Indeed, even embodiments that perform most of their collection concurrently with mutator operation will typically “stop the world” for a collection interval when they come to the evacuation operation. So collection-set size typically would still be constrained by allowable pause time, although the limitation would not be as severe as it is in embodiments in which the extra collection increment must be performed in a single collection interval.
After the size of the collection set has been determined, the collector projects from the amount that will be collected how much memory space will thereby be reclaimed, as block 218 indicates. The rationale for doing this is that, if collection is to keep pace with allocation, the amount of memory space allocated before the next collection increment should not exceed the amount of space that the next collection increment is projected to reclaim. Of course, the actual amount of reclamation in which the next increment will result will rarely be exactly equal to the projected amount. Indeed, it will often differ from it greatly. So the memory space allowed to be allocated in the train-algorithm-managed generation between a given increment and the next one may end up being much more (or less) than the space reclaimed therein during that next increment. As will become apparent, though, the reclamation amount can be projected in a manner that will tend, over many increments, to keep allocation from outstripping reclamation if inter-increment allocation is in each case kept below the amount of reclamation projected for the next increment.
The particular manner in which the collector makes the reclamation projection is not critical. But the illustrated embodiment uses the following formula for that purpose:




  
    
      
        
          B
          =
          
            G
            
              
                [
                
                  1
                  +
                  s
                  +
                  
                    
                      s
                      ⁡
                      
                        (
                        
                          1
                          -
                          δ
                        
                        )
                      
                    
                    2
                  
                
                ]
              
              ⁢
              K
            
          
        
        ,
      
    
    
      
        (
        1
        )
      
    
  




where B is the maximum number of bytes of allocation that should be permitted to occur before the next increment, G is the number of bytes in the next collection set, s is a value that represents the rate at which objects tend to survive collection in the train-algorithm-managed generation, and δ and K are distance and proportionality values to be explained below.

Although that formula tells how much allocation can be permitted if allocation is not to outpace a given amount of collection, we derive that formula by considering the reverse problem, i.e., that of determining what initial collection-set size is needed to keep up with a given amount of inter-increment allocation. The most-straightforward way of arriving at an initial collection-set size G is merely to multiply the allocation amount B by some coefficient C:

G=CB.  (2)

As was explained above, the cars initially in the collection set are culled of reachable objects, if necessary, to enable their space to be reclaimed. But cars that can be reclaimed without culling may be added to the initial collection set whose size is used in the calculations. So the amount reclaimed in a collection increment can actually be greater than the initial collection-set size. This happens only infrequently, though, so the value of C should be greater than unity, since some objects survive collection; i.e., since not as much space is reclaimed as is collected.
If a fraction s′ of the bytes in a collection set are expected to survive on the average, for example, the average amount expected to be reclaimed will be (1−s′) G. The goal is that the amount reclaimed should, on a steady-state basis, equal the amount allocated, so the proportionality coefficient C is related to the survival rate in the following manner.




  
    
      
        C
        =
        
          1
          
            1
            -
            
              s
              ′
            
          
        
      
    
    
      
        (
        3
        )
      
    
  




Of course, the survival rate varies from application to application and from time to time within the same application. Many embodiments will therefore monitor the survival rate and adapt the proportionality coefficient to it. Survival rate is readily determined from the fact that any objects added to cars during an old-generation collection increment are evacuated objects, i.e., objects that survived that collection increment. Suppose, for example, that at the beginning of a collection a given train contains four cars and that the value of the fourth car's free pointer at that time shows that objects occupy 800 bytes in that car. Suppose further that, at the end of the collection increment, that train has six cars and that the fourth, fifth, and sixth cars' free pointers show that objects occupy 900, 700, and 200 bytes, respectively, at that time. Then that train has received 900−800+700+200=1000 bytes of surviving objects. Similar calculations for all other trains yield the total survival amount, and the ratio of this value to the total number of bytes that collection-set objects occupied at the beginning of the collection increment gives the survival rate. Preferably, the rate for a given increment is averaged in some fashion with the rates for previous increments to arrive at a recent survival rate s.
This value could be substituted in equation (3) to produce the proportionality coefficient. But that calculation involves a subtraction in the numerator, so the resultant collection-set size could end up being impracticably large if s approaches unity, as it may in some increments. Of course, averaging the survival rates over a large number of old-generation collection increments will tend to reduce that danger, but taking the average over too many increments may prevent the calculation from being responsive enough to the survival rate.
I therefore prefer a calculation approach that retains some measure of responsiveness but eliminates the possibility of excessively high proportionality values. This approach is based on recognizing that, if the monitored survival rate s replaces the expected survival rate s′ in equation (2), the Taylor-series expansion of that equation becomes




  
    
      
        C
        =
        
          1
          +
          
            
              ∑
              
                k
                =
                1
              
              ∞
            
            ⁢
            
              
            
            ⁢
            
              
                s
                k
              
              .
            
          
        
      
    
    
      
        (
        4
        )
      
    
  




By truncating that series and substituting the result into equation (2), we obtain

G=(1+s)B.  (5)

That calculation is not susceptible to the exceedingly large values that can result from subtraction in a numerator. Since it does result from truncating the Taylor series, though, it will tend to undershoot the desired collection-set size, so I employ a coefficient K to make the undershoot less likely:

G=KB(1+s)  (6)

K's value is chosen to reverse the expected undershoot. That is, if s′ is the expected survival rate, then the value for K that results from taking the reciprocal of the undershoot ratio is given by:




  
    
      
        K
        =
        
          
            
              1
              
                1
                -
                
                  s
                  ′
                
              
            
            
              1
              +
              
                s
                ′
              
            
          
          =
          
            1
            
              1
              -
              
                s
                ′2
              
            
          
        
      
    
    
      
        (
        7
        )
      
    
  




The expected survival rate is treated as a fixed quantity in the above discussion, and it may indeed be fixed in some embodiments; a value of about 0.6, for example, seems to work well for a wide variety of applications. But other embodiments that use these equations may update s′ by averaging over a longer period of time the same data they use to update s. To avoid storing excessively long records for this purpose, embodiments that take this approach may use an exponential average.
The relationship between allocation amount and collection-set size can additionally be made dependent on other run-time quantities. In the case of a collector that employs the train algorithm, for example, one may attempt to take into account some measure of how effectively the collector's use of the train algorithm is currently grouping garbage structures together. A metric that can be helpful in this context is the “distance” by which evacuated objects are moved. As was explained above, the train ordering and the ordering of cars within trains impose an overall order on the generation's cars. When an object is evacuated, it may be evacuated all the way back to the end of that sequence: it may be moved a relatively large distance. If it ends up near the front of the sequence, on the other hand, the distance it has moved is relatively small.
One way to arrive at a normalized distance value involves numbering the cars in accordance with their sequence positions, the car farthest to the rear being given the highest number. The number of bytes of objects evacuated to a given car during the collection increment is multiplied by that car's sequence number, and the results for all cars are added together and divided by the product of the highest sequence number and the total number of evacuated-object bytes. An alternative to using car-sequence numbers as multipliers is to use the number of bytes of object storage contained by cars that precede the locations to which objects are evacuated. Although this approach adds more complexity, it also yields greater accuracy, since not all cars contain the same object volume. The resultant value δ is an indicator of how far on average the evacuated objects have been moved. As is the case with the other quantities, the distance value used in the calculation may actually be the result of averaging distance values over a number of previous increments.
Observation of train-algorithm operation reveals that short evacuation distances tend to be symptomatic of a local topology that requires a relatively large amount of work to group a data structure properly. An example occurs when the oldest train includes a lot of references from its younger cars to its older cars but the only references into the train from outside of it are (initially) located in its youngest car. In such a situation, it takes a lot of short-distance evacuations to collect the cars at the beginning of the train, and it is only after collection reaches what had been the end of the train that the train becomes garbage or that the objects that it contains get removed to younger trains. In such a situation, the collector is in a part of the car sequence that requires a lot of “straightening,” i.e., a lot of placing referred-to objects behind the references to them. For a given amount of reclamation, the amount of collection required to obtain much reclamation in such a situation is relatively large. A shorter distance value therefore implies a higher collection-set size, so one may employ a function such as the following:

G=KB(1+s)(2−δ)  (8)

Although I have employed that function, I have found that distance effects are most pronounced at short distances, so squaring 1−δ yields an improvement. Instead of substituting (1−δ)2 for 1−δ in equation (8), though, I have used the following function:

G=KB[1+s+s(1−δ)2],  (9)

effectively making the distance factor's contribution depend on the object volume that moved the measured distance. Solving equation (9) for the allocation amount B yields equation (1), i.e., the equation used to project reclamation amount from collection-set size.

Having thus projected how much reclamation will result from the next collection increment (or interval), the collector finishes the operation of FIG. 15 by performing the step that block 220 represents, namely, that of determining how much allocation to permit between increments (or intervals). Exactly how a given embodiment will set the allocation threshold in response to the projected reclamation amount is a design choice that will depend on various factors such as how tolerable it is for incremental collection occasionally to fail to keep up with allocation, how accurate the formula used to project the amount of reclamation has tended to be, whether it tends to overshoot or undershoot, etc. Typically, the maximum allocation amount is chosen to be less than or equal to the projected amount of reclamation. Also, although the threshold used for making the determination of whether collection of the train-algorithm-managed generation should occur will often be fixed throughout the time between successive collection increments, it may be adjusted to take into account various factors, such as the amount of additional allocation that promotion will likely cause before collection of the train-algorithm-managed generation actually begins.
Having considered how to arrive at the allocation threshold, we return to the step that FIG. 14's block 204, namely, that of determining the current allocation total to be compared with the threshold thus determined. As was stated above, the simplest way of making this determination is simply to take the total amount of allocation that has occurred since the last increment or interval. When allocation is “bursty,” though, possibly because of occasional allocation of unusually large objects, this simple approach can cause garbage collection to occur too soon to allow many objects to “die.” This would tend to make the collection less efficient than is preferable. To reduce this effect, the amount that is compared to the threshold can be adjusted in accordance history and with the allocated objects' sizes.
One way to do this is to divide objects into size ranges, keep histories of the different ranges' allocations, and use those histories to adjust the allocation values. Suppose, for instance, that the size ranges are (1) less than 64 kilobytes, (2) between 64 kilobytes and 256 kilobytes, (3) allocations between 256 kilobytes and 1 megabyte, and (4) in excess of 1 megabyte. Also suppose that, for each range, the collector maintains a buffer whose entries indicate how many bytes of objects within that range were allocated between a respective pair of successive collection increments or intervals. Suppose further that the buffer for the first range consists of only three (22−1) entries, the one for the second range's buffer consists of seven (23−1) entries, the third range's buffer consists of fifteen (24−1) entries, and the fourth range's buffer consists of thirty-one (25−1) entries. At the beginning of each collection increment or interval, the allocation amounts since the last increment or interval replace respective least-recent buffer entries.
In accordance with this approach, the allocation total to be compared with the threshold is calculated by totaling the results of averaging each range's volume since the last increment or interval with the entries in the corresponding buffer. This tends to reduce the variation in inter-increment or inter-interval duration and thereby maintain collection efficiency.
In contrast to various prior-art schemes, the approach used by the illustrated embodiment to determine when to trigger collection is based only on quantities that are local to the train-algorithm-managed generation. So the invention lends itself to being used even in a single-generation system, i.e., in one in which the train algorithm is employed for the entire garbage-collected heap. And, because determinations of whether to trigger collection are made in response to direct-allocation operations, high rates of direct allocation are relatively unlikely to cause failure of the collector to keep up with the rate of allocation. The present invention therefore constitutes a significant advance in the art.

## Claims

1. A method for employing a computer system, which includes memory of which at least some is used as a heap for dynamic allocation, to perform as a garbage collector that collects an incrementally collected generation of the heap in collection increments in which the generation is treated as divided into allocation regions, a method comprising:
A) allocating objects in the generation between increments of collection of the generation;
B) responding to some allocations of objects in the generation by making a determination of whether the amount of allocation has met a predetermined trigger criterion, the allocation of a given object in the generation causing an evaluation of whether the amount of allocation has met the trigger criterion only when that object is allocated in a new allocation region; and
C) initiating a collection increment when the amount of allocation is thereby found to meet the trigger criterion.

2. A method as defined in claim 1 wherein:
D) the method further includes:
i) computing a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment; and
ii) determining a maximum allocation amount from the projected amount of reclamation; and

E) the determination of whether the amount of allocation has met a predetermined trigger criterion includes computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount.

3. A method as defined in claim 2 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.

4. A method as defined in claim 1 wherein:
D) the collector treats the generation as divided into car sections organized into trains and collects the generation in accordance with the train algorithm; and
E) the allocation regions are the car sections.

5. A method for employing a computer system, which includes memory of which at least some is used as a heap for dynamic allocation, to perform garbage collection on an incrementally collected generation of the heap in collection increments in which respective collection sets are collected, a method comprising:
A) computing a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment;
B) determining a maximum allocation amount from the projected amount of reclamation;
C) making a determination, by computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount, of whether to trigger a collection increment; and
D) triggering a collection increment in response to an affirmative result of such a determination.

6. A method as defined in claim 5 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.

7. A computer system comprising:
A) processor circuitry operable to execute processor instructions; and
B) memory circuitry, to which the processor circuitry is responsive, that contains processor instructions readable by the processor circuitry to configure the processor circuitry to:
i) treat at least a portion of the memory as a heap, in which dynamic allocation occurs,
ii) act as a garbage collector that collects an incrementally collected generation of the heap in collection increments in which the generation is treated as divided into allocation regions; and
iii)
a) allocate objects in the generation between increments of collection of the generation;
b) respond to some allocations of objects in the generation by making a determination of whether the amount of allocation has met the trigger criterion, the allocation of a given object in the generation causing an evaluation of whether the amount of allocation has met the trigger criterion only when that object is allocated in a new car section; and


C) initiate a collection increment when the amount of allocation is thereby found to meet the trigger criterion.

8. A computer system as defined in claim 7 wherein:
D) the instructions further configure the processor circuitry to:
i) compute a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment; and
ii) determine a maximum allocation amount from the projected amount of reclamation; and

E) the determination of whether the amount of allocation has met a predetermined trigger criterion includes computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount.

9. A computer system as defined in claim 8 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.

10. A computer system as defined in claim 7 wherein:
D) the collector treats the generation as divided into car sections organized into trains and collects the generation in accordance with the train algorithm; and
E) the allocation regions are the car sections.

11. A computer system comprising:
A) a processor circuitry operable to execute processor instructions; and
B) memory circuitry, to which the processor circuitry is responsive, that contains processor instructions readable by the processor circuitry to configure the processor circuitry to:
i) treat at least some of the memory as a heap, in which dynamic allocation occurs;
ii) perform garbage collection on an incrementally collected generation of the heap in collection increments in which respective collection sets are collected;
iii) compute a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment;
iv) determine a maximum allocation amount from the projected amount of reclamation;
v) make a determination, by computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount, of whether to trigger a collection increment; and
vi) trigger a collection increment in response to an affirmative result of such a determination.

12. A computer system as defined in claim 11 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.

13. A storage medium containing instructions readable by processor circuitry in a computer system including memory to configure the processor circuitry to:
A) treat at least a portion of the memory as a heap, in which dynamic allocation occurs,
B) act as a garbage collector that collects an incrementally collected generation of the heap in collection increments in which the generation is treated as divided into allocation regions; and
C)
i) allocate objects in the generation between increments of collection of the generation;
ii) respond to some allocations of objects in the generation by making a determination of whether the amount of allocation has met the trigger criterion, the allocation of a given object in the generation causing an evaluation of whether the amount of allocation has met the trigger criterion only when that object is allocated in a new car section; and
iii) initiate a collection increment when the amount of allocation is thereby found to meet the trigger criterion.

14. A storage medium as defined in claim 13 wherein:
D) the instructions further configure the processor circuitry to:
i) compute a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment; and
ii) determine a maximum allocation amount from the projected amount of reclamation; and

E) the determination of whether the amount of allocation has met a predetermined trigger criterion includes computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount.

15. A storage medium as defined in claim 14 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.

16. A storage medium as defined in claim 13 wherein:
D) the collector treats the generation as divided into car sections organized into trains and collects the generation in accordance with the train algorithm; and
E) the allocation regions are the car sections.

17. A storage medium containing instructions readable by processor circuitry in a computer system that also includes memory to configure the processor circuitry to:
A) treat at least some of the memory as a heap, in which dynamic allocation occurs;
B) perform garbage collection on an incrementally collected generation of the heap in collection increments in which respective collection sets are collected;
C) compute a projected amount of reclamation from the size of a collection set projected to be collected in an upcoming collection increment;
D) determine a maximum allocation amount from the projected amount of reclamation;
E) make a determination, by computing an allocation amount from the amount of allocation that has occurred since the most-recent collection increment and comparing the allocation amount thus computed with the maximum allocation amount, of whether to trigger a collection increment; and
F) trigger a collection increment in response to an affirmative result of such a determination.

18. A storage medium as defined in claim 17 wherein the projected amount of reclamation is computed by computing the size of the collection set projected to be collected in an upcoming collection increment from an allowed pause time.