RFC:  813
 
 
              
                WINDOW AND ACKNOWLEDGEMENT STRATEGY IN TCP
 
                             David D. Clark
                  MIT Laboratory for Computer Science
               Computer Systems and Communications Group
                               July, 1982
 
 
     1.  Introduction
 
 
     This  document describes implementation strategies to deal with two
 
mechanisms in TCP, the window and the acknowledgement.  These mechanisms
 
are described in the specification document, but it is  possible,  while
 
complying with the specification, to produce implementations which yield
 
very  bad  performance.    Happily,  the pitfalls possible in window and
 
acknowledgement strategies are very easy to avoid.
 
 
     It is a much more difficult exercise to verify the performance of a
 
specification than the correctness.  Certainly, we have less  experience
 
in  this  area,  and  we  certainly  lack  any  useful formal technique.
 
Nonetheless, it is important to attempt a specification  in  this  area,
 
because  different  implementors  might  otherwise  choose superficially
 
reasonable algorithms  which  interact  poorly  with  each  other.  This
 
document  presents  a  particular  set of algorithms which have received
 
testing in the field, and which appear to work properly with each other.
 
With more experience, these algorithms may become  part  of  the  formal
 
specification:  until such time their use is recommended.

                                   2
 
 
2.  The Mechanisms
 
 
     The acknowledgement mechanism is at the heart of TCP.  Very simply,
 
when  data  arrives at the recipient, the protocol requires that it send
 
back an acknowledgement of this data.  The protocol specifies  that  the
 
bytes  of  data  are  sequentially  numbered,  so that the recipient can
 
acknowledge data by naming the highest numbered  byte  of  data  it  has
 
received,  which  also  acknowledges  the  previous  bytes (actually, it
 
identifies the first byte of data which it has  not  yet  received,  but
 
this is a small detail).  The protocol contains only a general assertion
 
that  data  should  be acknowledged promptly, but gives no more specific
 
indication as to how quickly an acknowledgement must  be  sent,  or  how
 
much data should be acknowledged in each separate acknowledgement.
 
 
     The window mechanism is a flow control tool.  Whenever appropriate,
 
the  recipient of data returns to the sender a number, which is (more or
 
less) the size of the buffer which the receiver currently has  available
 
for  additional  data.   This number of bytes, called the window, is the
 
maximum which the sender is permitted to  transmit  until  the  receiver
 
returns  some  additional  window.  Sometimes, the receiver will have no
 
buffer space available, and will return a window value of zero.    Under
 
these  circumstances,the  protocol  requires  the sender to send a small
 
segment to the receiver now and then, to see if more data  is  accepted.
 
If  the  window  remains closed at zero for some substantial period, and
 
the sender can obtain  no  response  from  the  receiver,  the  protocol
 
requires  the  sender  to  conclude that the receiver has failed, and to
 
close  the  connection.    Again,  there  is  very  little   performance

                                   3
 
 
information  in  the  specification, describing under what circumstances
 
the window should be increased, and how the  sender  should  respond  to
 
such revised information.
 
 
     A  bad implementation of the window algorithm can lead to extremely
 
poor performance overall.  The degradations which  occur  in  throughput
 
and  CPU  utilizations  can easily be several factors of ten, not just a
 
fractional increase.  This particular phenomenon is specific enough that
 
it has been given the name of Silly Window Syndrome, or  SWS.    Happily
 
SWS  is  easy  to  avoid  if  a few simple rules are observed.  The most
 
important function of this memo is to describe SWS, so that implementors
 
will understand the general nature  of  the  problem,  and  to  describe
 
algorithms  which  will  prevent  its  occurrence.    This document also
 
describes   performance   enhancing   algorithms   which    relate    to
 
acknowledgement,  and  discusses  the  way  acknowledgement  and  window
 
algorithms interact as part of SWS.
 
 
     3.  SILLY WINDOW SYNDROME
 
 
     In order to understand SWS, we must first  define  two  new  terms.
 
Superficially,  the window mechanism is very simple:  there is a number,
 
called "the window", which is returned from the receiver to the  sender.
 
However,  we  must have a more detailed way of talking about the meaning
 
of this number.  The receiver of data computes a  value  which  we  will
 
call  the  "offered  window".    In  a  simple  case, the offered window
 
corresponds to the amount of buffer space  available  in  the  receiver.
 
This  correspondence  is  not necessarily exact, but is a suitable model
 
for the discussion to follow.    It  is  the  offered  window  which  is

                                   4
 
 
actually  transmitted  back from the receiver to the sender.  The sender
 
uses the offered window  to  compute  a  different  value,  the  "usable
 
window",  which  is  the  offered window minus the amount of outstanding
 
unacknowledged data.  The usable window is less than  or  equal  to  the
 
offered window, and can be much smaller.
 
 
     Consider  the  following  simple  example.   The receiver initially
 
provides an offered window of 1,000.  The sender uses up this window  by
 
sending  five  segments  of 200 bytes each.  The receiver, on processing
 
the first of these  segments,  returns  an  acknowledgement  which  also
 
contains  an  updated  window value.  Let us assume that the receiver of
 
the data has removed the first 200 bytes from the buffer,  so  that  the
 
receiver once again has 1,000 bytes of available buffer.  Therefore, the
 
receiver would return, as before, an offered window of 1,000 bytes.  The
 
sender,  on  receipt  of  this  first  acknowledgement, now computes the
 
additional number of bytes which may be sent.  In  fact,  of  the  1,000
 
bytes  which  the recipient is prepared to receive at this time, 800 are
 
already in transit, having been sent in response to the previous offered
 
window.  In this case, the usable window is only 200 bytes.
 
 
     Let us now consider how SWS  arises.    To  continue  the  previous
 
example,  assume  that at some point, when the sender computes a useable
 
window of 200 bytes, it has only 50 bytes to send  until  it  reaches  a
 
"push"  point.   It thus sends 50 bytes in one segment, and 150 bytes in
 
the next segment. Sometime later, this 50-byte segment  will  arrive  at
 
the recipient, which will process and remove the 50 bytes and once again
 
return  an  offered window of 1,000 bytes.  However, the sender will now

                                   5
 
 
compute  that there are 950 bytes in transit in the network, so that the
 
useable window is now only 50 bytes.  Thus, the sender will  once  again
 
send  a  50  byte  segment,  even  though  there  is no longer a natural
 
boundary to force it.
 
 
     In fact, whenever the acknowledgement  of  a  small  segment  comes
 
back, the useable window associated with that acknowledgement will cause
 
another  segment  of  the  same  small  size  to  be  sent,  until  some
 
abnormality breaks the pattern.  It is easy to see  how  small  segments
 
arise,  because  natural  boundaries  in the data occasionally cause the
 
sender to take a computed useable window and divide it  up  between  two
 
segments.   Once that division has occurred, there is no natural way for
 
those useable window allocations to be recombined; thus the breaking  up
 
of the useable window into small pieces will persist.
 
 
     Thus,  SWS  is a degeneration in the throughput which develops over
 
time, during a long data transfer.  If the sender  ever  stops,  as  for
 
example  when  it runs out of data to send, the receiver will eventually
 
acknowledge all  the  outstanding  data,  so  that  the  useable  window
 
computed  by  the  sender  will  equal  the  full  offered window of the
 
receiver.  At this point the situation will  have  healed,  and  further
 
data  transmission  over  the  link will occur efficiently.  However, in
 
large file transfers, which occur without interruption,  SWS  can  cause
 
appalling  performance.  The network between the sender and the receiver
 
becomes clogged with  many  small  segments,  and  an  equal  number  of
 
acknowledgements,  which  in  turn  causes lost segments, which triggers
 
massive retransmission.  Bad cases of SWS have been seen  in  which  the

                                   6
 
 
average  segment  size was one-tenth of the size the sender and receiver
 
were prepared to deal with, and the average number of retransmission per
 
successful segments sent was five.
 
 
     Happily, SWS is trivial to avoid.  The following sections  describe
 
two  algorithms,  one  executed  by the sender, and one by the receiver,
 
which appear to eliminate SWS completely.  Actually, either algorithm by
 
itself is sufficient to prevent SWS, and thus  protect  a  host  from  a
 
foreign  implementation  which  has  failed  to  deal properly with this
 
problem.  The  two  algorithms  taken  together  produce  an  additional
 
reduction  in  CPU  consumption, observed in practice to be as high as a
 
factor of four.
 
 
     4.  Improved Window Algorithms
 
 
     The receiver of data can take a very simple step to eliminate  SWS.
 
When  it  disposes of a small amount of data, it can artificially reduce
 
the offered window in subsequent acknowledgements, so that  the  useable
 
window computed by the sender does not permit the sending of any further
 
data.     At  some  later  time,  when  the  receiver  has  processed  a
 
substantially larger amount of incoming data, the artificial  limitation
 
on  the  offered  window  can be removed all at once, so that the sender
 
computes a sudden large jump rather than a sequence of  small  jumps  in
 
the useable window.
 
 
     At  this  level,  the  algorithm  is  quite simple, but in order to
 
determine exactly when the window should  be  opened  up  again,  it  is
 
necessary  to  look  at some of the other details of the implementation.

                                   7
 
 
Depending  on whether the window is held artificially closed for a short
 
or long time, two problems will  develop.    The  one  we  have  already
 
discussed  -- never closing the window artificially -- will lead to SWS.
 
On the other hand, if  the  window  is  only  opened  infrequently,  the
 
pipeline  of data in the network between the sender and the receiver may
 
have emptied out while the sender was being held off, so that a delay is
 
introduced before additional data arrives from the sender.   This  delay
 
does reduce throughput, but it does not consume network resources or CPU
 
resources  in  the  process, as does SWS.  Thus, it is in this direction
 
that one ought to overcompensate.  For a simple implementation,  a  rule
 
of  thumb  that  seems to work in practice is to artificially reduce the
 
offered window until the reduction constitutes one half of the available
 
space, at which point increase the window to advertise the entire  space
 
again.  In any event, one ought to make the chunk by which the window is
 
opened  at  least permit one reasonably large segment.  (If the receiver
 
is so short of buffers that it can never advertise a large enough buffer
 
to permit at least one large segment, it is hopeless to expect any  sort
 
of high throughput.)
 
 
     There  is  an algorithm that the sender can use to achieve the same
 
effect described above:  a very simple and elegant rule first  described
 
by  Michael  Greenwald  at MIT.  The sender of the data uses the offered
 
window to compute a useable window, and then compares the useable window
 
to the offered window, and refrains from sending anything if  the  ratio
 
of  useable to offered is less than a certain fraction.  Clearly, if the
 
computed useable window is small compared to the  offered  window,  this
 
means  that a substantial amount of previously sent information is still

                                   8
 
 
in  the  pipeline  from  the sender to the receiver, which in turn means
 
that the sender can count on being granted a larger  useable  window  in
 
the  future.    Until  the  useable window reaches a certain amount, the
 
sender should simply refuse to send anything.
 
 
     Simple experiments suggest that the exact value of the ratio is not
 
very important, but that a value of about 25 percent  is  sufficient  to
 
avoid  SWS  and  achieve reasonable throughput, even for machines with a
 
small offered window.    An  additional  enhancement  which  might  help
 
throughput  would be to attempt to hold off sending until one can send a
 
maximum size segment.  Another enhancement would be to send anyway, even
 
if the ratio is small, if the useable window is sufficient to  hold  the
 
data available up to the next "push point".
 
 
     This algorithm at the sender end is very simple.  Notice that it is
 
not  necessary  to  set  a timer to protect against protocol lockup when
 
postponing the  send  operation.    Further  acknowledgements,  as  they
 
arrive,  will  inevitably change the ratio of offered to useable window.
 
(To see this, note that when all the data in the  catanet  pipeline  has
 
arrived  at  the  receiver,  the resulting acknowledgement must yield an
 
offered window and  useable  window  that  equal  each  other.)  If  the
 
expected  acknowledgements  do  not arrive, the retransmission mechanism
 
will come into play to assure that something finally happens.  Thus,  to
 
add  this  algorithm  to an existing TCP implementation usually requires
 
one line of code.  As part of the send algorithm it is already necessary
 
to compute the useable window from the offered window.  It is  a  simple
 
matter  to add a line of code which, if the ratio is less than a certain

                                   9
 
 
percent,  sets  the  useable  window to zero.  The results of SWS are so
 
devastating that no sender  should  be  without  this  simple  piece  of
 
insurance.
 
 
     5.  Improved Acknowledgement Algorithms
 
 
     In the beginning of this paper, an overly simplistic implementation
 
of  TCP  was described, which led to SWS.  One of the characteristics of
 
this implementation was that the  recipient  of  data  sent  a  separate
 
acknowledgement  for  every  segment  that it received.  This compulsive
 
acknowledgement  was  one  of  the   causes   of   SWS,   because   each
 
acknowledgement provided some new useable window, but even if one of the
 
algorithms  described  above  is  used to eliminate SWS, overly frequent
 
acknowledgement still has  a  substantial  problem,  which  is  that  it
 
greatly  increases the processing time at the sender's end.  Measurement
 
of TCP implementations, especially on large operating systems,  indicate
 
that  most  of  the  overhead  of  dealing  with a segment is not in the
 
processing at the TCP or IP level, but simply in the scheduling  of  the
 
handler which is required to deal with the segment.  A steady dribble of
 
acknowledgements  causes a high overhead in scheduling, with very little
 
to show for it.  This waste is to be avoided if possible.
 
 
     There are two reasons  for  prompt  acknowledgement.    One  is  to
 
prevent  retransmission.  We will discuss later how to determine whether
 
unnecessary  retransmission  is  occurring.    The  other   reason   one
 
acknowledges  promptly  is  to permit further data to be sent.  However,
 
the previous section makes quite clear that it is not  always  desirable
 
to send a little bit of data, even though the receiver may have room for

                                   10
 
 
it.    Therefore,  one  can  state  a  general  rule  that  under normal
 
operation, the receiver of data need not,  and  for  efficiency  reasons
 
should  not,  acknowledge  the data unless either the acknowledgement is
 
intended to produce an increased useable window, is necessary  in  order
 
to  prevent  retransmission  or  is  being  sent  as  part  of a reverse
 
direction segment being sent for some other reason.  We will consider an
 
algorithm to achieve these goals.
 
 
     Only the recipient of  the  data  can  control  the  generation  of
 
acknowledgements.    Once  an  acknowledgement  has  been  sent from the
 
receiver back to the sender, the sender must process it.   Although  the
 
extra overhead is incurred at the sender's end, it is entirely under the
 
receiver's  control.  Therefore, we must now describe an algorithm which
 
occurs at the receiver's end.  Obviously, the algorithm  must  have  the
 
following  general form; sometimes the receiver of data, upon processing
 
a segment, decides not to send an acknowledgement now, but  to  postpone
 
the  acknowledgement until some time in the future, perhaps by setting a
 
timer.  The peril of this approach  is  that  on  many  large  operating
 
systems  it  is  extremely costly to respond to a timer event, almost as
 
costly as to respond to an incoming segment.  Clearly, if  the  receiver
 
of  the data, in order to avoid extra overhead at the sender end, spends
 
a great deal of time responding to timer interrupts, no overall  benefit
 
has been achieved, for efficiency at the sender end is achieved by great
 
thrashing  at  the  receiver end.  We must find an algorithm that avoids
 
both of these perils.
 
 
     The following scheme seems a good compromise.  The receiver of data

                                   11
 
 
will   refrain   from   sending   an   acknowledgement   under   certain
 
circumstances, in which case it must set a timer which  will  cause  the
 
acknowledgement  to be sent later.  However, the receiver should do this
 
only where it is a reasonable guess that some other event will intervene
 
and prevent the necessity of the timer  interrupt.    The  most  obvious
 
event  on  which  to depend is the arrival of another segment.  So, if a
 
segment arrives, postpone sending an  acknowledgement  if  both  of  the
 
following  conditions  hold.    First,  the  push  bit is not set in the
 
segment, since it is a reasonable assumption that  there  is  more  data
 
coming  in  a  subsequent  segment.   Second, there is no revised window
 
information to be sent back.
 
 
     This algorithm will insure that the timer, although set, is  seldom
 
used.    The  interval  of  the  timer is related to the expected inter-
 
segment delay, which is in turn a function  of  the  particular  network
 
through  which  the  data  is  flowing.    For the Arpanet, a reasonable
 
interval seems to be 200 to 300 milliseconds.  Appendix A  describes  an
 
adaptive algorithm for measuring this delay.
 
 
     The section on improved window algorithms described both a receiver
 
algorithm  and  a  sender  algorithm,  and suggested that both should be
 
used.  The reason for this is now clear.  While the sender algorithm  is
 
extremely  simple,  and  useful  as insurance, the receiver algorithm is
 
required in order that this improved acknowledgement strategy work.   If
 
the  receipt  of every segment causes a new window value to be returned,
 
then of necessity  an  acknowledgement  will  be  sent  for  every  data
 
segment.    When, according to the strategy of the previous section, the

                                   12
 
 
receiver  determines  to artificially reduce the offered window, that is
 
precisely the circumstance under which an acknowledgement  need  not  be
 
sent.      When   the   receiver   window  algorithm  and  the  receiver
 
acknowledgement algorithm are  used  together,  it  will  be  seen  that
 
sending  an  acknowledgement  will  be triggered by one of the following
 
events.  First, a push bit has been received.  Second, a temporary pause
 
in the data stream is detected.  Third,  the  offered  window  has  been
 
artificially reduced to one-half its actual value.
 
 
     In the beginning of this section, it was pointed out that there are
 
two  reasons  why  one must acknowledge data.  Our consideration at this
 
point has been concerned only with the first,  that  an  acknowledgement
 
must  be  returned as part of triggering the sending of new data.  It is
 
also necessary to acknowledge  whenever  the  failure  to  do  so  would
 
trigger retransmission by the sender.  Since the retransmission interval
 
is  selected  by  the  sender,  the  receiver  of the data cannot make a
 
precise  determination  of  when  the  acknowledgement  must  be   sent.
 
However,   there   is   a  rough  rule  the  sender  can  use  to  avoid
 
retransmission, provided that the receiver is reasonably well behaved.
 
 
     We will assume that sender of the data uses the optional  algorithm
 
described  in  the  TCP  specification,  in which the roundtrip delay is
 
measured using an exponential decay smoothing algorithm.  Retransmission
 
of a segment occurs if the measured delay for that segment  exceeds  the
 
smoothed  average  by  some  factor.  To see how retransmission might be
 
triggered, one must consider the pattern  of  segment  arrivals  at  the
 
receiver.   The goal of our strategy was that the sender should send off

                                   13
 
 
a  number of segments in close sequence, and receive one acknowledgement
 
for the whole burst.  The  acknowledgement  will  be  generated  by  the
 
receiver  at  the time that the last segment in the burst arrives at the
 
receiver.  (To ensure the prompt  return  of  the  acknowledgement,  the
 
sender  could  turn on the "push" bit in the last segment of the burst.)
 
The delay observed at the sender between the initial transmission  of  a
 
segment  and  the  receipt  of the acknowledgement will include both the
 
network transit time, plus the  holding  time  at  the  receiver.    The
 
holding  time  will be greatest for the first segments in the burst, and
 
smallest for the last segments  in  the  burst.    Thus,  the  smoothing
 
algorithm  will  measure  a  delay  which is roughly proportional to the
 
average roundtrip delay for all the segments in  the  burst.    Problems
 
will  arise  if  the  average  delay  is  substantially smaller than the
 
maximum delay  and  the  smoothing  algorithm  used  has  a  very  small
 
threshold  for  triggering retransmission.  The widest variation between
 
average and maximum delay  will  occur  when  network  transit  time  is
 
negligible, and all delay is processing time.  In this case, the maximum
 
will  be  twice  the  average  (by simple algebra) so the threshold that
 
controls retransmission should be somewhat more than a factor of two.
 
 
     In practice, retransmission of the first segments of  a  burst  has
 
not  been  a  problem because the delay measured consists of the network
 
roundtrip  delay,  as  well  as  the  delay  due  to   withholding   the
 
acknowledgement,  and the roundtrip tends to dominate except in very low
 
roundtrip time situations (such as when sending to one's self  for  test
 
purposes).    This low roundtrip situation can be covered very simply by
 
including a minimum value below which  the  roundtrip  estimate  is  not
 
permitted to drop.

                                   14
 
 
     In  our  experiments  with  this  algorithm,  retransmission due to
 
faulty calculation of the roundtrip delay occurred only once,  when  the
 
parameters  of  the exponential smoothing algorithm had been misadjusted
 
so that they were only  taking  into  account  the  last  two  or  three
 
segments  sent.   Clearly, this will cause trouble since the last two or
 
three segments of any burst are the  ones  whose  holding  time  at  the
 
receiver is minimal, so the resulting total estimate was much lower than
 
appropriate.   Once the parameters of the algorithm had been adjusted so
 
that the number of segments taken into account was  approximately  twice
 
the  number  of  segments  in  a burst of average size, with a threshold
 
factor of 1.5, no further retransmission has ever been identified due to
 
this problem, including when sending to ourself and  when  sending  over
 
high delay nets.
 
 
     6.  Conservative Vs. Optimistic Windows
 
 
     According  to the TCP specification, the offered window is presumed
 
to have some relationship to the amount of data which  the  receiver  is
 
actually  prepared  to receive.  However, it is not necessarily an exact
 
correspondence.  We will use the term "conservative window" to  describe
 
the case where the offered window is precisely no larger than the actual
 
buffering  available.  The drawback to conservative window algorithms is
 
that they can produce very low throughput in long delay situations.   It
 
is easy to see that the maximum input of a conservative window algorithm
 
is  one  bufferfull  every  roundtrip  delay  in the net, since the next
 
bufferfull cannot be launched until the  updated  window/acknowledgement
 
information from the previous transmission has made the roundtrip.

                                   15
 
 
     In  certain  cases,  it  may  be  possible  to increase the overall
 
throughput of the transmission by increasing the offered window over the
 
actual buffer available at the receiver.  Such a strategy we  will  call
 
an  "optimistic  window" strategy.  The optimistic strategy works if the
 
network delivers the data to the recipient sufficiently slowly  that  it
 
can  process  the  data fast enough to keep the buffer from overflowing.
 
If the receiver is faster than the sender, one could, with luck,  permit
 
an infinitely optimistic window, in which the sender is simply permitted
 
to send full-speed.  If the sender is faster than the receiver, however,
 
and the window is too optimistic, then some segments will cause a buffer
 
overflow,  and  will  be  discarded.  Therefore, the correct strategy to
 
implement an optimistic window is to  increase  the  window  size  until
 
segments  start to be lost.  This only works if it is possible to detect
 
that the segment has been lost.  In  some  cases,  it  is  easy  to  do,
 
because  the  segment  is  partially processed inside the receiving host
 
before it is thrown away.  In other cases, overflows may actually  cause
 
the network interface to be clogged, which will cause the segments to be
 
lost  elsewhere  in the net.  It is inadvisable to attempt an optimistic
 
window strategy unless one is certain that the algorithm can detect  the
 
resulting  lost  segments.  However, the increase in throughput which is
 
possible from optimistic windows is quite substantial.  Any systems with
 
small buffer space should seriously consider  the  merit  of  optimistic
 
windows.
 
 
     The  selection  of an appropriate window algorithm is actually more
 
complicated than even the above  discussion  suggests.    The  following
 
considerations  are  not  presented  with  the  intention  that  they be

                                   16
 
 
incorporated  in  current  implementations of TCP, but as background for
 
the sophisticated designer who is attempting to understand how  his  TCP
 
will  respond  to  a variety of networks, with different speed and delay
 
characteristics.  The particular pattern of windows and acknowledgements
 
sent from receiver to sender influences two characteristics of the  data
 
being  sent.    First, they control the average data rate.  Clearly, the
 
average rate of the  sender  cannot  exceed  the  average  rate  of  the
 
receiver,  or  long-term  buffer  overflow  will  occur.    Second, they
 
influence the burstiness of the data coming from the sender.  Burstiness
 
has both advantages and disadvantages.  The advantage of  burstiness  is
 
that  it  reduces  the  CPU processing necessary to send the data.  This
 
follows from the observed fact, especially on large machines, that  most
 
of  the  cost  of sending a segment is not the TCP or IP processing, but
 
the scheduling overhead of getting started.
 
 
     On the other hand, the disadvantage of burstiness is  that  it  may
 
cause  buffers  to overflow, either in the eventual recipient, which was
 
discussed above, or in an intermediate gateway,  a  problem  ignored  in
 
this paper.  The algorithms described above attempts to strike a balance
 
between  excessive  burstiness,  which  in  the  extreme cases can cause
 
delays because a burst is  not  requested  soon  enough,  and  excessive
 
fragmentation   of  the  data  stream  into  small  segments,  which  we
 
identified as Silly Window Syndrome.
 
 
     Under conditions of extreme delay  in  the  network,  none  of  the
 
algorithms   described   above   will   achieve   adequate   throughput.
 
Conservative window algorithms  have  a  predictable  throughput  limit,

                                   17
 
 
which  is one windowfull per roundtrip delay.  Attempts to solve this by
 
optimistic window strategies may  cause  buffer  overflows  due  to  the
 
bursty  nature  of the arriving data.  A very sophisticated way to solve
 
this is for the receiver, having measured by some  means  the  roundtrip
 
delay  and  intersegment  arrival rate of the actual connection, to open
 
his window, not in one optimistic increment of gigantic proportion,  but
 
in  a number of smaller optimistic increments, which have been carefully
 
spaced using a timer so that the resulting smaller bursts  which  arrive
 
are each sufficiently small to fit into the existing buffers.  One could
 
visualize this as a number of requests flowing backwards through the net
 
which trigger in return a number of bursts which flow back spaced evenly
 
from  the  sender  to  the  receiver.    The  overall result is that the
 
receiver uses the window mechanism to  control  the  burstiness  of  the
 
arrivals, and the average rate.
 
 
     To  my knowledge, no such strategy has been implemented in any TCP.
 
First, we do not normally have delays high enough to require  this  kind
 
of  treatment.    Second,  the  strategy described above is probably not
 
stable unless it is very carefully balanced.  Just as buses on a  single
 
bus  route tend to bunch up, bursts which start out equally spaced could
 
well end up piling into each other, and forming the single  large  burst
 
which  the  receiver was hoping to avoid.  It is important to understand
 
this extreme case, however, in order to  understand  the  limits  beyond
 
which  TCP,  as normally implemented, with either conservative or simple
 
optimistic windows can be expected to  deliver  throughput  which  is  a
 
reasonable percentage of the actual network capacity.

                                   18
 
 
     7.  Conclusions
 
 
     This  paper  describes  three  simple  algorithms  for  performance
 
enhancement in TCP, one at the sender end and two at the receiver.   The
 
sender  algorithm  is  to  refrain from sending if the useable window is
 
smaller than 25 percent of the offered window.  The receiver  algorithms
 
are first, to artificially reduce the offered window when processing new
 
data  if  the  resulting  reduction  does  not  represent more than some
 
fraction, say 50 percent, of the actual space available, and second,  to
 
refrain  from  sending an acknowledgment at all if two simple conditions
 
hold.
 
 
     Either of these algorithms will prevent the worst aspects of  Silly
 
Window  Syndrome, and when these algorithms are used together, they will
 
produce substantial improvement in CPU utilization, by  eliminating  the
 
process of excess acknowledgements.
 
 
     Preliminary  experiments  with  these  algorithms suggest that they
 
work, and work very well.  Both the sender and receiver algorithms  have
 
been  shown  to  eliminate  SWS,  even  when  talking  to  fairly  silly
 
algorithms at the other end.  The Multics  mailer,  in  particular,  had
 
suffered substantial attacks of SWS while sending large mail to a number
 
of  hosts.   We believe that implementation of the sender side algorithm
 
has  eliminated  every  known  case  of  SWS  detected  in  our  mailer.
 
Implementation  of  the  receiver  side  algorithm  produced substantial
 
improvements of CPU time when Multics was the sending system.    Multics
 
is  a  typical  large  operating system, with scheduling costs which are
 
large compared to the actual  processing  time  for  protocol  handlers.

                                   19
 
 
Tests were done sending from Multics to a host which implemented the SWS
 
suppression  algorithm,  and  which  could  either  refrain  or not from
 
sending acknowledgements on each segment.  As predicted, suppressing the
 
return acknowledgements did not influence the throughput for large  data
 
transfer  at  all,  since the throttling effect was elsewhere.  However,
 
the CPU time required to process the data at the Multics end was cut  by
 
a  factor  of  four  (In  this experiment, the bursts of data which were
 
being sent were approximately eight  segments.    Thus,  the  number  of
 
acknowledgements in the two experiments differed by a factor of eight.)
 
 
     An  important  consideration in evaluating these algorithms is that
 
they must not cause the protocol implementations to deadlock.    All  of
 
the  recommendations  in this document have the characteristic that they
 
suggest one refrain  from  doing  something  even  though  the  protocol
 
specification  permits one to do it.  The possibility exists that if one
 
refrains from doing something now one may never get to do it later,  and
 
both  ends will halt, even though it would appear superficially that the
 
transaction can continue.
 
 
     Formally, the idea that things continue to work is referred  to  as
 
"liveness".    One  of  the  defects  of ad hoc solutions to performance
 
problems is the possibility that two different approaches will  interact
 
to  prevent  liveness.   It is believed that the algorithms described in
 
this paper are always live, and that is one of the reasons why there  is
 
a strong advantage in uniform use of this particular proposal, except in
 
cases where it is explicitly demonstrated not to work.
 
 
     The  argument  for liveness in these solutions proceeds as follows.

                                   20
 
 
First,  the sender algorithm can only be stopped by one thing, a refusal
 
of the receiver to acknowledge sent data.    As  long  as  the  receiver
 
continues  to  acknowledge  data, the ratio of useable window to offered
 
window will approach one, and eventually the  sender  must  continue  to
 
send.    However,  notice  that the receiver algorithm we have advocated
 
involves refraining from acknowledging.  Therefore, we certainly do have
 
a situation where improper  operation  of  this  algorithm  can  prevent
 
liveness.
 
 
     What  we  must show is that the receiver of the data, if it chooses
 
to refrain from acknowledging, will do so only for a short time, and not
 
forever.  The design of the algorithm described above  was  intended  to
 
achieve  precisely  this  goal:  whenever the receiver of data refrained
 
from sending an acknowledgement it was required to set  a  timer.    The
 
only  event  that  was  permitted to clear that timer was the receipt of
 
another segment, which essentially reset the timer, and started it going
 
again.  Thus, an acknowledgement will be sent as soon  as  no  data  has
 
been received.  This has precisely the effect desired:  if the data flow
 
appears to be disrupted for any reason, the receiver responds by sending
 
an  up-to-date  acknowledgement.    In  fact,  the receiver algorithm is
 
designed  to  be  more  robust  than  this,  for  transmission   of   an
 
acknowledgment is triggered by two events, either a cessation of data or
 
a  reduction in the amount of offered window to 50 percent of the actual
 
value.    This  is  the  condition  which  will  normally  trigger   the
 
transmission of this acknowledgement.

                                   21
 
 
 
 
 
                               APPENDIX A
 
 
     Dynamic Calculation of Acknowledgement Delay
 
 
     The  text  suggested  that  when  setting  a  timer to postpone the
 
sending  of  an  acknowledgement,  a  fixed  interval  of  200  to   300
 
milliseconds  would  work  properly  in  practice.    This  has not been
 
verified over a wide variety of network delays, and clearly if there  is
 
a  very  slow  net  which stretches out the intersegment arrival time, a
 
fixed interval will fail.  In a sophisticated TCP, which is expected  to
 
adjust   dynamically   (rather   than   manually)  to  changing  network
 
conditions, it would be appropriate to measure this interval and respond
 
dynamically.  The following algorithm, which has been  relegated  to  an
 
Appendix,  because  it  has not been tested, seems sensible.  Whenever a
 
segment arrives which does not have the push  bit  on  in  it,  start  a
 
timer,  which  runs  until  the  next  segment  arrives.   Average these
 
interarrival intervals, using an exponential  decay  smoothing  function
 
tuned  to take into account perhaps the last ten or twenty segments that
 
have come in.  Occasionally, there will be a long  interarrival  period,
 
even  for  a  segment  which is does not terminate a piece of data being
 
pushed, perhaps because a window has gone to zero or some glitch in  the
 
sender  or  the  network  has held up the data.  Therefore, examine each
 
interarrival interval, and discard it from the smoothing algorithm if it
 
exceeds the current estimate by some amount, perhaps a ratio of  two  or
 
four times.  By rejecting the larger intersegment arrival intervals, one
 
should obtain a smoothed estimate of the interarrival of segments inside

                                   22
 
 
a  burst.   The number need not be exact, since the timer which triggers
 
acknowledgement can add a fairly generous fudge factor to  this  without
 
causing  trouble  with  the  sender's  estimate  of  the  retransmission
 
interval, so long as the fudge factor is constant.