...
During
...
initialization of a shared object,
...
the
...
object must be accessible only to the thread constructing it. However, the object can be published safely (that is, made visible to other threads) once its initialization is complete. The Java memory model (JMM) allows multiple threads to observe the object after its initialization has begun but before it has concluded. Consequently, programs must prevent publication of partially initialized objects.
This rule prohibits publishing a reference to a partially initialized member object instance before initialization has concluded. It specifically applies to safety in multithreaded code. TSM01-J. Do not let the this reference escape during object construction prohibits the this
reference of the current object from escaping its constructor. OBJ11-J. Be wary of letting constructors throw exceptions describes the consequences of publishing partially initialized objects even in single-threaded programs.
Noncompliant Code Example
This noncompliant code example constructs a Helper
object in the initialize()
method of the Foo
class. The Helper
object's fields are initialized by its constructor.
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must remain exclusive to the thread constructing it, However, once the object is initialized, it can be published, that is, made visible to other threads. The Java Memory Model permits a compiler to modify the order of execution instructions in such a way that a seemingly innocuous publication results in multiple threads observing the object after its initialization has begun, but before it has concluded. This guideline is similar to [CON14-J. Do not let the "this" reference escape during object construction]. The difference is that in this guideline, a reference to a partially constructed object instance is published instead of the {{this}} reference of the current object. h2. Noncompliant Code Example This noncompliant code example initializes a {{Helper}} object inside class {{Foo}}. {code:bgColor=#FFCCCC} class Foo { private Helper helper; public Helper getHelper() { return helper; } public void initialize() { helper = new Helper(42); } } public class Helper { private int n; public Helper(int n) { this.n = n; } // ... } {code} Suppose two threads have access to the same {{Foo}} object through the use of the {{getHelper()}} method, and {{initialize()}} has not been called yet. Both threads will see the {{helper}} field as uninitialized. Subsequently, if one thread calls {{initialize()}}, and the other calls {{getHelper()}}, the second thread may either see the {{helper}} reference as {{null}}, observe a fully-initialized {{Helper}} object with the {{n}} field set to 42, or observe a partially-initialized {{Helper}} object with an uninitialized {{n}} (default value of {{n}} being {{0}}). In particular, the JMM permits compilers to allocate memory for the new {{Helper}} object and assign it to the {{helper}} field before initializing it. This introduces a race window during which other threads may see a partially-initialized {{helper}} object. h2. Compliant Solution ({{volatile}}) If the {{helper}} field is declared as {{volatile}}, it is guaranteed to be fully constructed (properly initialized) before the reference is made visible. {code:bgColor=#CCCCFF} |
If a thread were to access helper
using the getHelper()
method before the initialize()
method executed, the thread would observe an uninitialized helper
field. Later, if one thread calls initialize()
and another calls getHelper()
, the second thread could observe one of the following:
- The
helper
reference asnull
- A fully initialized
Helper
object with then
field set to 42 - A partially initialized
Helper
object with an uninitializedn
, which contains the default value0
In particular, the JMM permits compilers to allocate memory for the new Helper
object and to assign a reference to that memory to the helper
field before initializing the new Helper
object. In other words, the compiler can reorder the write to the helper
instance field and the write that initializes the Helper
object (that is, this.n = n
) so that the former occurs first. This can expose a race window during which other threads can observe a partially initialized Helper
object instance.
There is a separate issue: if more than one thread were to call initialize()
, multiple Helper
objects would be created. This is merely a performance issue—correctness would be preserved. The n
field of each object would be properly initialized and the unused Helper
object (or objects) would eventually be garbage-collected.
Compliant Solution (Synchronization)
Appropriate use of method synchronization can prevent publication of references to partially initialized objects, as shown in this compliant solution:
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class Foo { private volatile Helper helper; public synchronized Helper getHelper() { return helper; } public synchronized void initialize() { helper = new Helper(42); } } {code} Objects of primitive types such as {{Integer}} can also be safely published using a {{java.util.concurrent.atomic. |
Synchronizing both methods guarantees that they cannot execute concurrently. If one thread were to call initialize()
just before another thread called getHelper()
, the synchronized initialize()
method would always finish first. The synchronized
keywords establish a happens-before relationship between the two threads. Consequently, the thread calling getHelper()
would see either the fully initialized Helper
object or an absent Helper
object (that is, helper
would contain a null reference). This approach guarantees proper publication both for immutable and mutable members.
Compliant Solution (Final Field)
The JMM guarantees that the fully initialized values of fields that are declared final are safely published to every thread that reads those values at some point no earlier than the end of the object's constructor.
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AtomicReference<V>}} field. h2. Compliant Solution ({{final}}) If the {{helper}} field is declared as {{final}}, then it is guaranteed to be fully constructed before the reference is made visible. {code:bgColor=#CCCCFF} class Foo { private final Helper helper; public Helper getHelper() { return helper; } public Foo() { // Point 1 helper = new Helper(42); } // Point 2 } {code} |
However, this solution requires the assignment of a new Helper
instance to helper
from Foo's constructor. According to The Java Language Specification, §17.5.2, "Reading Final Fields During Construction" [JLS 2015]:
A read of a final field of an object within the thread that constructs that object is ordered with respect to the initialization of that field within the constructor by the usual happens-before rules. If the read occurs after the field is set in the constructor, it sees the value the final field is assigned; otherwise, it sees the default value.
Consequently, the reference to the helper
instance should remain unpublished until the Foo
class's constructor has completed (see TSM01-J. Do not let the this reference escape during object construction for additional information).
Compliant Solution (Final Field and Thread-Safe Composition)
Some collection classes provide thread-safe access to contained elements. When a Helper
object is inserted into such a collection, it is guaranteed to be fully initialized before its reference is made visible. This compliant solution encapsulates the helper
field in a Vector<Helper>
.
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class Foo now the compiler disallows setting the {{helper}} field to a new object using the {{initialize()}} method. Instead, a constructor must be used to initialize {{helper}}. According to the Java Language Specification \[[JLS 05|AA. Java References#JLS 05]\], section 17.5.2 "Reading Final Fields During Construction": {quote} A read of a {{final}} field of an object within the thread that constructs that object is ordered with respect to the initialization of that field within the constructor by the usual happens-before rules. If the read occurs after the field is set in the constructor, it sees the value the {{final}} field is assigned, otherwise it sees the default value. {quote} Consequently, the reference to the {{helper}} field should not be published before class {{Foo}}'s constructor has finished its initialization. h2. Compliant Solution ({{immutable}}) If the {{Helper}} class is [immutable|BB. Definitions#immutable], it is guaranteed to be fully constructed before its reference is made visible. The {{Helper}} object must be truly immutable; it is not sufficient for the program to refrain from modifying the object. {code:bgColor=#CCCCFF} public class Helper { private final intVector<Helper> nhelper; public HelperFoo(int n) { this.nhelper = new nVector<Helper>(); } // ... } {code} For reasons cited in the previous compliant solution, it is critical to ensure that any fields present within class {{Helper}} are not prematurely published. This is an essential condition for constructing [immutable|BB. Definitions#immutable] objects. Additionally, the {{helper}} field in {{Foo}} must be declared as {{final}} and subject to the same safe publication requirement. Note that if the {{Helper}} object was mutable, in addition to the problem of visibility of a reference to a partially-constructed object, another problem would ensue. The state of the object may be modified after its construction and publication, causing subtle thread-safety issues. For more information see [CON11-J. Do not assume that declaring an object volatile guarantees visibility of its members]. h2. Compliant Solution ({{synchronized}}) The reference of a partially-constructed object can be prevented from being made visible by using method synchronization. {code:bgColor=#CCCCFF} public Helper getHelper() { if (helper.isEmpty()) { initialize(); } return helper.elementAt(0); } public synchronized void initialize() { if (helper.isEmpty()) { helper.add(new Helper(42)); } } } |
The helper
field is declared final to guarantee that the vector is always created before any accesses take place. It can be initialized safely by invoking the synchronized initialize()
method, which ensures that only one Helper
object is ever added to the vector. If invoked before initialize()
, the getHelper()
avoids the possibility of a null-pointer dereference by conditionally invoking initialize()
. Although the isEmpty()
call in getHelper()
is made from an unsynchronized context (which permits multiple threads to decide that they must invoke initialize
) race conditions that could result in addition of a second object to the vector are nevertheless impossible. The synchronized initialize()
method also checks whether helper
is empty before adding a new Helper
object, and at most one thread can execute initialize()
at any time. Consequently, only the first thread to execute initialize()
can ever see an empty vector and the getHelper()
method can safely omit any synchronization of its own.
Compliant Solution (Static Initialization)
In this compliant solution, the helper
field is initialized statically, ensuring that the object referenced by the field is fully initialized before its reference becomes visible:
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// Immutable Foo
final class Foo {
private static final Helper helper = new Helper(42);
public static Helper getHelper() {
return helper;
}
}
|
The helper
field should be declared final to document the class's immutability.
According to JSR-133, Section 9.2.3, "Static Final Fields" [JSR-133 2004]:
The rules for class initialization ensure that any thread that reads a
static
field will be synchronized with the static initialization of that class, which is the only place where static final fields can be set. Thus, no special rules in the JMM are needed for static final fields.
Compliant Solution (Immutable Object - Final Fields, Volatile Reference)
The JMM guarantees that any final fields of an object are fully initialized before a published object becomes visible [Goetz 2006a]. By declaring n
final, the Helper
class is made immutable. Furthermore, if the helper
field is declared volatile in compliance with VNA01-J. Ensure visibility of shared references to immutable objects, Helper
's reference is guaranteed to be made visible to any thread that calls getHelper()
only after Helper
has been fully initialized.
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class Foo { private volatile Helper helper; public synchronized Helper getHelper() { return helper; } public synchronized void initialize() { helper = new Helper(42); } } {code} Synchronizing both methods guarantees that they will never run simultaneously in different threads. If one thread were to call {{initialize()}} just before another thread calls {{getHelper()}}, the synchronized {{initialize()}} method will always finish first, fully initializing the {{Helper}} object on its way. This forbids {{getHelper()}} from retrieving a {{ // Immutable Helper public final class Helper { private final int n; public Helper(int n) { this.n = n; } // ... } |
This compliant solution requires that helper
be declared volatile and that class Helper
is immutable. If the helper
field were not volatile, it would violate VNA01-J. Ensure visibility of shared references to immutable objects.
Providing a public static factory method that returns a new instance of Helper
is both permitted and encouraged. This approach allows the Helper
instance to be created in a private constructor.
Compliant Solution (Mutable Thread-Safe Object, Volatile Reference)
When Helper
is mutable but thread-safe, it can be published safely by declaring the helper
field in the Foo
class volatile:
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Helper}} object that is partially initialized. h2. Compliant Solution (thread-safe composition) Some collection classes provide thread-safety of accesses to contained elements. If the {{helper}} field is contained in such a collection, the {{Helper}} object is guaranteed to be fully constructed before its reference is made visible. This compliant solution encases the {{helper}} field in a {{Vector}}. {code:bgColor=#CCCCFF} class Foo { private Vector<Helper>volatile Helper helper; public Helper getHelper() { return helper.elementAt(0); } public void initialize() { helper = new Vector<Helper>(); helper.add(new Helper(42)); } } {code} h2. Compliant Solution (static initialization) In this compliant solution, the {{helper}} field is initialized in a {{static}} block. When initialized statically, any object is guaranteed to be fully constructed before its reference is made visible. {mc} cite JLS section here {mc} {code:bgColor=#CCCCFF} class Foo { private static Helper helper = new Helper(42); public static Helper getHelper() { return helper; } } {code} This requires the {{helper}} field to be declared {{static}}. h2. Risk Assessment Failing to synchronize access to shared mutable data can cause different threads to observe different states of the object or a partially initialized object. || Rule || Severity || Likelihood || Remediation Cost || Priority || Level || | CON26-J | medium | probable | medium | {color:#cc9900}{*}P8{*}{color} | {color:#cc9900}{*}L2{*}{color} | h3. Automated Detection TODO h3. Related Vulnerabilities Search for vulnerabilities resulting from the violation of this rule on the [CERT website|https://www.kb.cert.org/vulnotes/bymetric?searchview&query=FIELD+KEYWORDS+contains+CON26-J]. h2. References \[[API 06|AA. Java References#API 06]\] \[[Bloch 01|AA. Java References#Bloch 01]\] Item 48: "Synchronize access to shared mutable data" \[[Goetz 06|AA. Java References#Goetz 06]\] Section 3.5.3 "Safe Publication Idioms" \[[Goetz 07|AA. Java References#Goetz 07]\] Pattern #2: "one-time safe publication" \[[Pugh 04|AA. Java References#Pugh 04]\] ---- [!The CERT Sun Microsystems Secure Coding Standard for Java^button_arrow_left.png!|FIO36-J. Do not create multiple buffered wrappers on an InputStream] [!The CERT Sun Microsystems Secure Coding Standard for Java^button_arrow_up.png!|09. Input Output (FIO)] [!The CERT Sun Microsystems Secure Coding Standard for Java^button_arrow_right.png!|09. Input Output (FIO)] // Mutable but thread-safe Helper public class Helper { private volatile int n; private final Object lock = new Object(); public Helper(int n) { this.n = n; } public void setN(int value) { synchronized (lock) { n = value; } } } |
Synchronization is required to ensure the visibility of mutable members after initial publication because the Helper
object can change state after its construction. This compliant solution synchronizes the setN()
method to guarantee the visibility of the n
field.
If the Helper
class were synchronized incorrectly, declaring helper
volatile in the Foo
class would guarantee only the visibility of the initial publication of Helper
; the visibility guarantee would exclude visibility of subsequent state changes. Consequently, volatile references alone are inadequate for publishing objects that are not thread-safe.
If the helper
field in the Foo
class is not declared volatile, the n
field must be declared volatile to establish a happens-before relationship between the initialization of n
and the write of Helper
to the helper
field. This is required only when the caller (class Foo
) cannot be trusted to declare helper
volatile.
Because the Helper
class is declared public, it uses a private lock to handle synchronization in conformance with LCK00-J. Use private final lock objects to synchronize classes that may interact with untrusted code.
Exceptions
TSM03-J-EX0: Classes that prevent partially initialized objects from being used may publish partially initialized objects. This could be implemented, for example, by setting a volatile Boolean flag in the last statement of the initializing code and checking whether the flag is set before allowing class methods to execute.
The following compliant solution shows this technique:
Code Block | ||
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public class Helper {
private int n;
private volatile boolean initialized; // Defaults to false
public Helper(int n) {
this.n = n;
this.initialized = true;
}
public void doSomething() {
if (!initialized) {
throw new SecurityException(
"Cannot use partially initialized instance");
}
// ...
}
// ...
}
|
This technique ensures that if a reference to the Helper
object instance were published before its initialization was complete, the instance would be unusable because each method within Helper
checks the flag to determine whether the initialization has finished.
Risk Assessment
Failure to synchronize access to shared mutable data can cause different threads to observe different states of the object or to observe a partially initialized object.
Rule | Severity | Likelihood | Remediation Cost | Priority | Level |
---|---|---|---|---|---|
TSM03-J | Medium | Probable | Medium | P8 | L2 |
Automated Detection
Tool | Version | Checker | Description |
---|
Bibliography
[API 2006] | |
Item 48, "Synchronize Access to Shared Mutable Data" | |
Section 3.5.3, "Safe Publication Idioms" | |
Pattern #2, "One-Time Safe Publication" | |
[JPL 2006] | Section 14.10.2, "Final Fields and Security" |
...