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8180319: Update Serialization spec to omit obsolete serialver -show and change history Reviewed-by: chegar
author rriggs
date Tue, 16 May 2017 09:42:38 -0400
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include-before: '[CONTENTS](index.html) | [PREV](index.html) | [NEXT](output.html)'
include-after: '[CONTENTS](index.html) | [PREV](index.html) | [NEXT](output.html)'

title: 'Java Object Serialization Specification: 1 - System Architecture'

-   [Overview](#overview)
-   [Writing to an Object Stream](#writing-to-an-object-stream)
-   [Reading from an Object Stream](#reading-from-an-object-stream)
-   [Object Streams as Containers](#object-streams-as-containers)
-   [Defining Serializable Fields for a
-   [Documenting Serializable Fields and Data for a
-   [Accessing Serializable Fields of a
-   [The ObjectOutput Interface](#the-objectoutput-interface)
-   [The ObjectInput Interface](#the-objectinput-interface)
-   [The Serializable Interface](#the-serializable-interface)
-   [The Externalizable Interface](#the-externalizable-interface)
-   [Serialization of Enum Constants](#serialization-of-enum-constants)
-   [Protecting Sensitive Information](#protecting-sensitive-information)


## 1.1 Overview

The ability to store and retrieve Java^TM^ objects is essential to building all
but the most transient applications. The key to storing and retrieving objects
in a serialized form is representing the state of objects sufficient to
reconstruct the object(s). Objects to be saved in the stream may support either
the `Serializable` or the `Externalizable` interface. For Java^TM^ objects, the
serialized form must be able to identify and verify the Java^TM^ class from
which the contents of the object were saved and to restore the contents to a
new instance. For serializable objects, the stream includes sufficient
information to restore the fields in the stream to a compatible version of the
class. For Externalizable objects, the class is solely responsible for the
external format of its contents.

Objects to be stored and retrieved frequently refer to other objects. Those
other objects must be stored and retrieved at the same time to maintain the
relationships between the objects. When an object is stored, all of the objects
that are reachable from that object are stored as well.

The goals for serializing Java^TM^ objects are to:

-   Have a simple yet extensible mechanism.
-   Maintain the Java^TM^ object type and safety properties in the serialized
-   Be extensible to support marshaling and unmarshaling as needed for remote
-   Be extensible to support simple persistence of Java^TM^ objects.
-   Require per class implementation only for customization.
-   Allow the object to define its external format.

## 1.2 Writing to an Object Stream

Writing objects and primitives to a stream is a straightforward process. For

// Serialize today's date to a file.
    FileOutputStream f = new FileOutputStream("tmp");
    ObjectOutput s = new ObjectOutputStream(f);
    s.writeObject(new Date());

First an `OutputStream`, in this case a `FileOutputStream`, is needed to
receive the bytes. Then an `ObjectOutputStream` is created that writes to the
`FileOutputStream`. Next, the string "Today" and a Date object are written to
the stream. More generally, objects are written with the `writeObject` method
and primitives are written to the stream with the methods of `DataOutput`.

The `writeObject` method (see [Section 2.3, "The writeObject
Method"](output.html#the-writeobject-method)) serializes the specified object
and traverses its references to other objects in the object graph recursively
to create a complete serialized representation of the graph. Within a stream,
the first reference to any object results in the object being serialized or
externalized and the assignment of a handle for that object. Subsequent
references to that object are encoded as the handle. Using object handles
preserves sharing and circular references that occur naturally in object
graphs. Subsequent references to an object use only the handle allowing a very
compact representation.

Special handling is required for arrays, enum constants, and objects of type
`Class`, `ObjectStreamClass`, and `String`. Other objects must implement either
the `Serializable` or the `Externalizable` interface to be saved in or restored
from a stream.

Primitive data types are written to the stream with the methods in the
`DataOutput` interface, such as `writeInt`, `writeFloat`, or `writeUTF`.
Individual bytes and arrays of bytes are written with the methods of
`OutputStream`. Except for serializable fields, primitive data is written to
the stream in block-data records, with each record prefixed by a marker and an
indication of the number of bytes in the record.

`ObjectOutputStream` can be extended to customize the information about classes
in the stream or to replace objects to be serialized. Refer to the
`annotateClass` and `replaceObject` method descriptions for details.

## 1.3 Reading from an Object Stream

Reading an object from a stream, like writing, is straightforward:

// Deserialize a string and date from a file.
    FileInputStream in = new FileInputStream("tmp");
    ObjectInputStream s = new ObjectInputStream(in);
    String today = (String)s.readObject();
    Date date = (Date)s.readObject();

First an `InputStream`, in this case a `FileInputStream`, is needed as the
source stream. Then an `ObjectInputStream` is created that reads from the
`InputStream`. Next, the string "Today" and a Date object are read from the
stream. Generally, objects are read with the `readObject` method and primitives
are read from the stream with the methods of `DataInput`.

The `readObject` method deserializes the next object in the stream and
traverses its references to other objects recursively to create the complete
graph of objects serialized.

Primitive data types are read from the stream with the methods in the
`DataInput` interface, such as `readInt`, `readFloat`, or `readUTF`. Individual
bytes and arrays of bytes are read with the methods of `InputStream`. Except
for serializable fields, primitive data is read from block-data records.

`ObjectInputStream` can be extended to utilize customized information in the
stream about classes or to replace objects that have been deserialized. Refer
to the `resolveClass` and `resolveObject` method descriptions for details.

## 1.4 Object Streams as Containers

Object Serialization produces and consumes a stream of bytes that contain one
or more primitives and objects. The objects written to the stream, in turn,
refer to other objects, which are also represented in the stream. Object
Serialization produces just one stream format that encodes and stores the
contained objects.

Each object that acts as a container implements an interface which allows
primitives and objects to be stored in or retrieved from it. These interfaces
are the `ObjectOutput` and `ObjectInput` interfaces which:

-   Provide a stream to write to and to read from
-   Handle requests to write primitive types and objects to the stream
-   Handle requests to read primitive types and objects from the stream

Each object which is to be stored in a stream must explicitly allow itself to
be stored and must implement the protocols needed to save and restore its
state. Object Serialization defines two such protocols. The protocols allow the
container to ask the object to write and read its state.

To be stored in an Object Stream, each object must implement either the
`Serializable` or the `Externalizable` interface:

-   For a `Serializable` class, Object Serialization can automatically save and
    restore fields of each class of an object and automatically handle classes
    that evolve by adding fields or supertypes. A serializable class can
    declare which of its fields are saved or restored, and write and read
    optional values and objects.

-   For an `Externalizable` class, Object Serialization delegates to the class
    complete control over its external format and how the state of the
    supertype(s) is saved and restored.

## 1.5 Defining Serializable Fields for a Class

The serializable fields of a class can be defined two different ways. Default
serializable fields of a class are defined to be the non-transient and
non-static fields. This default computation can be overridden by declaring a
special field in the `Serializable` class, `serialPersistentFields`. This field
must be initialized with an array of `ObjectStreamField` objects that list the
names and types of the serializable fields. The modifiers for the field are
required to be private, static, and final. If the field's value is null or is
otherwise not an instance of `ObjectStreamField[]`, or if the field does not
have the required modifiers, then the behavior is as if the field were not
declared at all.

For example, the following declaration duplicates the default behavior.

class List implements Serializable {
    List next;

    private static final ObjectStreamField[] serialPersistentFields
                 = {new ObjectStreamField("next", List.class)};


By using `serialPersistentFields` to define the Serializable fields for a
class, there no longer is a limitation that a serializable field must be a
field within the current definition of the `Serializable` class. The
`writeObject` and `readObject` methods of the `Serializable` class can map the
current implementation of the class to the serializable fields of the class
using the interface that is described in [Section 1.7, "Accessing Serializable
Fields of a Class"](#accessing-serializable-fields-of-a-class). Therefore, the
fields for a `Serializable` class can change in a later release, as long as it
maintains the mapping back to its Serializable fields that must remain
compatible across release boundaries.

**Note:** There is, however, a limitation to the use of this mechanism to
specify serializable fields for inner classes. Inner classes can only contain
final static fields that are initialized to constants or expressions built up
from constants. Consequently, it is not possible to set
`serialPersistentFields` for an inner class (though it is possible to set it
for static member classes). For other restrictions pertaining to serialization
of inner class instances, see section [Section 1.10, "The Serializable

## 1.6 Documenting Serializable Fields and Data for a Class

It is important to document the serializable state of a class to enable
interoperability with alternative implementations of a Serializable class and
to document class evolution. Documenting a serializable field gives one a final
opportunity to review whether or not the field should be serializable. The
serialization javadoc tags, `@serial`, `@serialField`, and `@serialData`,
provide a way to document the serialized form for a Serializable class within
the source code.

-   The `@serial` tag should be placed in the javadoc comment for a default
    serializable field. The syntax is as follows: `@serial` *field-description*
    The optional *field-description* describes the meaning of the field and its
    acceptable values. The *field-description* can span multiple lines. When a
    field is added after the initial release, a *@since* tag indicates the
    version the field was added. The *field-description* for `@serial` provides
    serialization-specific documentation and is appended to the javadoc comment
    for the field within the serialized form documentation.

-   The `@serialField` tag is used to document an `ObjectStreamField` component
    of a `serialPersistentFields` array. One of these tags should be used for
    each `ObjectStreamField` component. The syntax is as follows:
    `@serialField` *field-name field-type field-description*

-   The `@serialData` tag describes the sequences and types of data written or
    read. The tag describes the sequence and type of optional data written by
    `writeObject` or all data written by the `Externalizable.writeExternal`
    method. The syntax is as follows: `@serialData` *data-description*

The javadoc application recognizes the serialization javadoc tags and generates
a specification for each Serializable and Externalizable class. See [Section
C.1, "Example Alternate Implementation of"](
for an example that uses these tags.

When a class is declared Serializable, the serializable state of the object is
defined by serializable fields (by name and type) plus optional data. Optional
data can only be written explicitly by the `writeObject` method of a
`Serializable` class. Optional data can be read by the `Serializable` class'
`readObject` method or serialization will skip unread optional data.

When a class is declared Externalizable, the data that is written to the stream
by the class itself defines the serialized state. The class must specify the
order, types, and meaning of each datum that is written to the stream. The
class must handle its own evolution, so that it can continue to read data
written by and write data that can be read by previous versions. The class must
coordinate with the superclass when saving and restoring data. The location of
the superclasses data in the stream must be specified.

The designer of a Serializable class must ensure that the information saved for
the class is appropriate for persistence and follows the
serialization-specified rules for interoperability and evolution. Class
evolution is explained in greater detail in [Chapter
5](version.html#versioning-of-serializable-objects), "Versioning of
Serializable Objects".

## 1.7 Accessing Serializable Fields of a Class

Serialization provides two mechanisms for accessing the serializable fields in
a stream:

-   The default mechanism requires no customization
-   The Serializable Fields API allows a class to explicitly access/set the
    serializable fields by name and type

The default mechanism is used automatically when reading or writing objects
that implement the `Serializable` interface and do no further customization.
The serializable fields are mapped to the corresponding fields of the class and
values are either written to the stream from those fields or are read in and
assigned respectively. If the class provides `writeObject` and `readObject`
methods, the default mechanism can be invoked by calling `defaultWriteObject`
and `defaultReadObject`. When the `writeObject` and `readObject` methods are
implemented, the class has an opportunity to modify the serializable field
values before they are written or after they are read.

When the default mechanism cannot be used, the serializable class can use the
`putFields` method of `ObjectOutputStream` to put the values for the
serializable fields into the stream. The `writeFields` method of
`ObjectOutputStream` puts the values in the correct order, then writes them to
the stream using the existing protocol for serialization. Correspondingly, the
`readFields` method of `ObjectInputStream` reads the values from the stream and
makes them available to the class by name in any order. See [Section 2.2, "The
Class"](output.html#the-objectoutputstream.putfield-class) and [Section 3.2,
"The ObjectInputStream.GetField
Class"](input.html#the-objectinputstream.getfield-class) for a detailed
description of the Serializable Fields API.

## 1.8 The ObjectOutput Interface

The `ObjectOutput` interface provides an abstract, stream-based interface to
object storage. It extends the DataOutput interface so those methods can be
used for writing primitive data types. Objects that implement this interface
can be used to store primitives and objects.


public interface ObjectOutput extends DataOutput
    public void writeObject(Object obj) throws IOException;
    public void write(int b) throws IOException;
    public void write(byte b[]) throws IOException;
    public void write(byte b[], int off, int len) throws IOException;
    public void flush() throws IOException;
    public void close() throws IOException;

`The` `writeObject` method is used to write an object. The exceptions thrown
reflect errors while accessing the object or its fields, or exceptions that
occur in writing to storage. If any exception is thrown, the underlying storage
may be corrupted. If this occurs, refer to the object that is implementing this
interface for more information.

## 1.9 The ObjectInput Interface

The `ObjectInput` interface provides an abstract stream based interface to
object retrieval. It extends the `DataInput` interface so those methods for
reading primitive data types are accessible in this interface.


public interface ObjectInput extends DataInput
    public Object readObject()
        throws ClassNotFoundException, IOException;
    public int read() throws IOException;
    public int read(byte b[]) throws IOException;
    public int read(byte b[], int off, int len) throws IOException;
    public long skip(long n) throws IOException;
    public int available() throws IOException;
    public void close() throws IOException;

The `readObject` method is used to read and return an object. The exceptions
thrown reflect errors while accessing the objects or its fields or exceptions
that occur in reading from the storage. If any exception is thrown, the
underlying storage may be corrupted. If this occurs, refer to the object
implementing this interface for additional information.

## 1.10 The Serializable Interface

Object Serialization produces a stream with information about the Java^TM^
classes for the objects which are being saved. For serializable objects,
sufficient information is kept to restore those objects even if a different
(but compatible) version of the implementation of the class is present. The
`Serializable` interface is defined to identify classes which implement the
serializable protocol:


public interface Serializable {};

A Serializable class must do the following:

-   Implement the `` interface

-   Identify the fields that should be serializable

    (Use the `serialPersistentFields` member to explicitly declare them
    serializable or use the transient keyword to denote nonserializable

-   Have access to the no-arg constructor of its first nonserializable

The class can optionally define the following methods:

-   A `writeObject` method to control what information is saved or to append
    additional information to the stream

-   A `readObject` method either to read the information written by the
    corresponding `writeObject` method or to update the state of the object
    after it has been restored

-   A `writeReplace` method to allow a class to nominate a replacement object
    to be written to the stream

    (See [Section 2.5, "The writeReplace
    Method"](output.html#the-writereplace-method) for additional information.)

-   A `readResolve` method to allow a class to designate a replacement object
    for the object just read from the stream

    (See [Section 3.7, "The readResolve
    Method](input.html#the-readresolve-method) for additional information.)

`ObjectOutputStream` and `ObjectInputStream` allow the serializable classes on
which they operate to evolve (allow changes to the classes that are compatible
with the earlier versions of the classes). See [Section 5.5, "Compatible Java
Type Evolution"](version.html#compatible-java-type-evolution) for information
about the mechanism which is used to allow compatible changes.

**Note:** Serialization of inner classes (i.e., nested classes that are not
static member classes), including local and anonymous classes, is strongly
discouraged for several reasons. Because inner classes declared in non-static
contexts contain implicit non-transient references to enclosing class
instances, serializing such an inner class instance will result in
serialization of its associated outer class instance as well. Synthetic fields
generated by `javac` (or other Java^TM^ compilers) to implement inner classes
are implementation dependent and may vary between compilers; differences in
such fields can disrupt compatibility as well as result in conflicting default
`serialVersionUID` values. The names assigned to local and anonymous inner
classes are also implementation dependent and may differ between compilers.
Since inner classes cannot declare static members other than compile-time
constant fields, they cannot use the `serialPersistentFields` mechanism to
designate serializable fields. Finally, because inner classes associated with
outer instances do not have zero-argument constructors (constructors of such
inner classes implicitly accept the enclosing instance as a prepended
parameter), they cannot implement `Externalizable`. None of the issues listed
above, however, apply to static member classes.

## 1.11 The Externalizable Interface

For Externalizable objects, only the identity of the class of the object is
saved by the container; the class must save and restore the contents. The
`Externalizable` interface is defined as follows:


public interface Externalizable extends Serializable
    public void writeExternal(ObjectOutput out)
        throws IOException;

    public void readExternal(ObjectInput in)
        throws IOException, java.lang.ClassNotFoundException;

The class of an Externalizable object must do the following:

-   Implement the `` interface

-   Implement a `writeExternal` method to save the state of the object

    (It must explicitly coordinate with its supertype to save its state.)

-   Implement a `readExternal` method to read the data written by the
    `writeExternal` method from the stream and restore the state of the object

    (It must explicitly coordinate with the supertype to save its state.)

-   Have the `writeExternal` and `readExternal` methods be solely responsible
    for the format, if an externally defined format is written

    **Note:** The `writeExternal` and `readExternal` methods are public and
    raise the risk that a client may be able to write or read information in
    the object other than by using its methods and fields. These methods must
    be used only when the information held by the object is not sensitive or
    when exposing it does not present a security risk.

-   Have a public no-arg constructor

    **Note:** Inner classes associated with enclosing instances cannot have
    no-arg constructors, since constructors of such classes implicitly accept
    the enclosing instance as a prepended parameter. Consequently the
    `Externalizable` interface mechanism cannot be used for inner classes and
    they should implement the `Serializable` interface, if they must be
    serialized. Several limitations exist for serializable inner classes as
    well, however; see [Section 1.10, "The Serializable
    Interface"](#the-serializable-interface), for a full enumeration.

An Externalizable class can optionally define the following methods:

-   A `writeReplace` method to allow a class to nominate a replacement object
    to be written to the stream

    (See [Section 2.5, "The writeReplace
    Method"](output.html#the-writereplace-method) for additional information.)

-   A `readResolve` method to allow a class to designate a replacement object
    for the object just read from the stream

    (See [Section 3.7, "The readResolve
    Method"](input.html#the-readresolve-method) for additional information.)

## 1.12 Serialization of Enum Constants

Enum constants are serialized differently than ordinary serializable or
externalizable objects. The serialized form of an enum constant consists solely
of its name; field values of the constant are not present in the form. To
serialize an enum constant, `ObjectOutputStream` writes the value returned by
the enum constant's `name` method. To deserialize an enum constant,
`ObjectInputStream` reads the constant name from the stream; the deserialized
constant is then obtained by calling the `java.lang.Enum.valueOf` method,
passing the constant's enum type along with the received constant name as
arguments. Like other serializable or externalizable objects, enum constants
can function as the targets of back references appearing subsequently in the
serialization stream.

The process by which enum constants are serialized cannot be customized: any
class-specific `writeObject`, `readObject`, `readObjectNoData`, `writeReplace`,
and `readResolve` methods defined by enum types are ignored during
serialization and deserialization. Similarly, any `serialPersistentFields` or
`serialVersionUID` field declarations are also ignored--all enum types have a
fixed `serialVersionUID` of `0L`. Documenting serializable fields and data for
enum types is unnecessary, since there is no variation in the type of data

## 1.13 Protecting Sensitive Information

When developing a class that provides controlled access to resources, care must
be taken to protect sensitive information and functions. During
deserialization, the private state of the object is restored. For example, a
file descriptor contains a handle that provides access to an operating system
resource. Being able to forge a file descriptor would allow some forms of
illegal access, since restoring state is done from a stream. Therefore, the
serializing runtime must take the conservative approach and not trust the
stream to contain only valid representations of objects. To avoid compromising
a class, the sensitive state of an object must not be restored from the stream,
or it must be reverified by the class. Several techniques are available to
protect sensitive data in classes.

The easiest technique is to mark fields that contain sensitive data as *private
transient*. Transient fields are not persistent and will not be saved by any
persistence mechanism. Marking the field will prevent the state from appearing
in the stream and from being restored during deserialization. Since writing and
reading (of private fields) cannot be superseded outside of the class, the
transient fields of the class are safe.

Particularly sensitive classes should not be serialized at all. To accomplish
this, the object should not implement either the `Serializable` or the
`Externalizable` interface.

Some classes may find it beneficial to allow writing and reading but
specifically handle and revalidate the state as it is deserialized. The class
should implement `writeObject` and `readObject` methods to save and restore
only the appropriate state. If access should be denied, throwing a
`NotSerializableException` will prevent further access.


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