Variables and Binding

October 28, 2017

Variables are central1 to programming languages, yet they’re often overlooked. Academic PL theory papers usually take for granted having proper implementations of variables. Most popular languages butcher variables, confusing them with assignables. Despite being taken for granted, implementing substitution on variables is easy to get wrong.

There are a number of different solutions for handling variables and binding within a programming language implementation. We’ll take a look at these three:

  • explicit variables,
  • de Bruijn indices, and
  • locally nameless terms

Before we get to solutions, we need to outline the problem. Implementing variables and binding reduces to implementing substitution (because variables are giving meaning by substitution!), and the trickiest part of substitution is variable capture.

Variable Capture

The most common way to get variables and binding wrong is to accidentally let variables be captured during substitution. Consider this example:

                  ◀────────────────┐
                         ┌──────┐  
                   (λx. λy. x + y) y
                     └──────┘

There are two distinct y variables here:

  • one which refers to the variable bound by the nested lambda
  • one which refers to some y in the surrounding scope

For this example, let’s say we choose to represent variables as string identifiers. If we step the function application, it steps to a substitution of y for x:

  (λx. λy. x + y) y
  # Apply the function, giving us:
 [y / x] (λy. x + y)
  # Traverse under the lambda:
 λy. [y / x] (x + y)
  # Distribute:
 λy. ([y / x] x) + ([y / x] y)
  # Substitute y where we found an x:
 λy. y + y

Note: [e₁ / x] e₂ is read as “substitute e₁ for x in e₂.”

We started with a function which would take two numbers and sum them. After partially applying that function, we’ve ended up with a function that doubles it’s argument. Whoops! We can look at the issue visually in this diagram:

       ◀─────┐                      ┌──┐
         λy. y + y                 λy. y + y
          └──────┘                  └──────┘

We were expecting to get out the binding structure on the left, but instead we got the binding structure on the right. This is called “variable capture” or just capture for short. The y that we applied to the summing function was captured by the binding site of the nested lambda.

Explicit Variables

When we’re implementing substitution (whether for terms, for types, or for any other sort of syntax), our primary goal is to implement capture-avoiding substitution. There are many internal representations we can pick from to achieve this. The strategy above where variables were simple strings is called explicit variables.

Explicit variables are nice because we can represent them directly with an algebraic data type. For example, for the lambda calculus we might have this:

datatype term
  = Var of string
  | Lam of string * term
  | App of term * term

Implementing capture-avoiding substitution using this representation isn’t pleasant, but it is possible. It uses the observation that there’s no difference between, say λx. x and λy. y. Our choice of variable names doesn’t matter—they’re both the identity function.

Being able to rename bound variables at will is called α-varying, and when two terms can be made identical by just α-varying them, we say they’re α-equivalent.

It only makes sense to α-vary bound variables, not free variables. If we have two functions like λx. x + y and λx. x + z, we can’t safely α-vary y to z, because we have no way of knowing whether y and z are the same! Their same-ness depends on the context.

We can implement capture-avoiding substitution for the explicit variable representation by α-varying whenever we detect that a variable might be captured. To revisit our example from earlier:

  (λx. λy. x + y) y
 [y / x] (λy. x + y)
  # our free 'y' will get captured by going under
  # this λ, so let's α-vary the bound 'y' to 'z':
 [y / x] (λz. x + z)
 λz. [y / x] (x + z)
 λz. x + z

The trick here is that by picking z we picked a name that doesn’t collide with any of the free variables with in λy. x + y. Namely, we’re glad we didn’t α-vary y to x! To ensure this, our implementation can either

  • calculate the set of free variables used in a subexpression and make sure not to use one of those, or
  • generate a globally unique name by incrementing a global counter, giving us names like x1, x2, x3, etc.

On the surface, explicit variables look rather naïve, and maybe they are. However, they work perfectly if you don’t need substitution in the first place! For example, a compiler never needs to substitute a term for a variable in another term because compilers don’t evaluate code: they translate one intermediate language into another.

On the other hand, interpreters use term substitution heavily, and even compilers need to substitute types for variables in other types and in terms. We’ll now look at some better solutions for implementing capture-avoiding substitution.

De Bruijn Indices

With explicit variables, we had to keep track of names in use and check whether to α-vary before a collision happened. The next representation we’ll look at sidesteps this problem by not giving names to variables at all! Let’s take a look at our picture from before:

                         ┌──────┐
                    λx. λy. x + y
                     └──────┘

In this picture, the only thing that’s really important to us is the binding structure; we don’t actually care that x is called x, we just care that applying this function sticks the argument everywhere the line on the bottom points to. We could omit the names entirely, as long as we can still remember where the lines should connect to:

                        ┌─────┐
                   (λ. λ.  + )
                     └────┘

One way of doing this is to count how many bindings sites up you have to go before you arrive at the location the variable is bound. Under this representation, variables are indices into a list of the binding sites; we call these indices de Bruijn indices:

                   (λ. λ.  + )

Note: I’m using circled numbers like for the variable with de Bruijn index 0.

Under this representation, a de Bruijn index of 1 means “skip over one lambda” and an index of 0 means “skip over zero lambdas” or simply “go to the closest lambda.” In code, de Bruijn terms can be represented with this datatype:

datatype term
  = Var of int
  | Lam of term
  | App of term * term

Var now takes an int instead of a string. Lam only takes the body of the lambda (it used to also take a name for it’s argument). To refer to argument of a lambda function, we count back the appropriate number of Lams to skip over.

Now that all variables are represented by indices, it’s much easier to know which variables are free and which are bound: a variable is free if its index is larger than the number of lambdas it’s under.

                  ◀───────────────┐
                        ┌──────┐  
                   (λ. λ.  + ) 
                     └────┘

The is free because it’s under zero lambdas. Put another way, if we were keeping a list of the binding sites we’d traverse under to reach our list would be empty, so accessing index 3 would be out of bounds.

With this representation, capture avoiding substitution becomes much more manageable.

  (λ. λ.  + ) 
 [ / ] (λ.  + )
# We increment free variables as we descend under binders
 λ. [ / ] ( + )
 λ. ([ / ] ) + ([ / ] )
 λ.  + 

Note how the changed to a : its new location in the program lies under one extra lambda than before. Thus to refer to the same position as at the start of the substitution, we increment to record that we’ll have to skip over that extra lambda. This process of adding one when going under a binder is called lifting (or sometimes, shifting).

Lifting takes the guesswork out of implementing substitution. As a bonus, we’ve actually forced α-equivalent terms to have identical structure! Checking for α-equivalence is now a straightforward tree traversal: we check that both nodes are pairwise equal, then that their children are α-equivalent.

De Bruijn Indices and Lifting

On the other hand, working with de Bruijn indices can still be tricky. It’s easy enough to remember to lift variables when substituting, but more generally, you have to remember to lift whenever you put a free variable into a context different from where it was defined. This can get really hairy; spotting when a usage context diverges from a definition context is a skill that’s often learned the hard way! Namely, by forgetting to lift somewhere, pouring over the code and the types for hours, then finally spotting the mistake.2

To make this a little more concrete, I’ll use a specific example. It comes from the judgement for deciding whether two type constructors are equivalent in System Fω. Focus on the variables and contexts in use (don’t pay too much attention to what the judgement actually is):

$$ \frac{ \Gamma, \alpha :: \kappa_1 \; \vdash \; c \, \alpha \iff c’ \, \alpha :: \kappa_2 }{ \Gamma \; \vdash \; c \iff c’ :: \kappa_1 \to \kappa_2 } $$

In words, “to check whether type constructors c and c' are equivalent, assume that α is a type constructor of kind κ₁, then apply α to c and c' and see if you get the same result in both cases.” Though again, understanding this judgement is beside the point.

The real tricky part here is obscured by the fact that we’re representing variables with names instead of de Bruijn indices. If we were to take a naive pass at translating this rule to use de Bruijn indices, we might end up with:

$$ \frac{ \Gamma, \kappa_1 \; \vdash \; c \, ⓪ \iff c’ \, ⓪ :: \kappa_2 }{ \Gamma \; \vdash \; c \iff c’ :: \kappa_1 \to \kappa_2 } $$

Note how Γ became a stack instead of a map because we’re mapping indices to kinds (instead of string keys to kinds). The element we just pushed on (κ₁) is on the top of the stack at index 0, and everything else in the context can now be found at index + 1. That means that above the line, refers to the κ₁ in the context.

But might also be in use at the top level of c or c'! In either of these terms, at the top level is a free variable referring to the first thing in Γ. The problem is that we’re checking c ⓪ <=> c' ⓪ with context Γ, κ₁ rather than Γ, so all our indices are off.

To make all the indices in c and c' route to the correct variable in the new context, we have to go through c and c' and lift all free variables by one to reflect the fact that we just injected something into the surrounding context:

$$ \frac{ \Gamma, \kappa_1 \; \vdash \; (c \uparrow) \, ⓪ \iff (c’ \uparrow) \, ⓪ :: \kappa_2 }{ \Gamma \; \vdash \; c \iff c’ :: \kappa_1 \to \kappa_2 } $$

In this rule, is the lifting operator, which traverses through a term’s free variables and increments them. After it’s run, there will be no free variables in c or c' with index 0, which gives us room to use for our own purposes.

In some sense, this is the opposite problem that we had when we used explicit variables. For that, we had to go through and rename bound variables so that nothing clashed. Now, we have to lift free variables so that nothing clashes. Put another way, explicit variables excel at dealing with free variables, while de Bruijn indices excel at representing bound variables.

The next representation we’ll look at, locally nameless terms, effectively steals the best of each, combining them into one representation.

Locally Nameless Terms

We identified that de Bruijn indices represent bound variables well at the expense of free variables. Locally nameless terms solve this by giving free variables explicit names, but using indices instead of names for bound (or “local”) variables, thus the name.3

Locally nameless terms might be represented by a data type like this:

datatype term
  = FV of string
  | BV of int
  | Lam of term
  | App of term * term

FV constructs a free variable, and similarly BV constructs a bound variable. FV takes a string, because free variables get names, and BV takes an int, because bound variables are nameless de Bruijn indices. As before, Lam only takes the body of the lambda function; we’ll use de Bruijn indices to count back to the appropriate binding site of a variable.

In practice, locally nameless terms are best provided through a library, where this internal implementation is hidden and the user interacts with an abstract interface:

(* The actual type of a locally nameless term with *)
(* a distinction between FV and BV is hidden       *)
type term

(* termView is only one level deep: after that, *)
(* you end up with a term, which is abstract    *)
datatype termView
  = Var of string
  | Lam of string * term
  | App of term * term

(* Convert between the abstract and view types *)
val out : term -> termView
val into : termView -> term

(* Substitution and alpha equivalence work on abstract terms *)
val subst : term -> string -> term
val aeq : term -> term -> bool

The fresh name generation from explicit variables is handled under the hood by out. Lifting is handled automatically every time we call into on a Lam. By only implementing operations like subst and aeq on the abstract representations, we’ve effectively forced the type system to check that we lift and generate fresh names in all the right places!

Closing Considerations

Locally nameless terms are generally pretty great. They blend the strengths of explicit variables and de Bruijn indices into a new structure that makes working with variables and binding hard to get wrong. That being said, I’d be remiss if I didn’t point out two drawbacks:

  • Locally nameless terms can be slow.
    • In most code, we’ll find ourselves converting between terms and termViews. This brings with it the overhead of the function call, allocating new memory for the new structures, and can even sometimes make a linear algorithm accidentally quadratic.
  • It’s more annoying to use pattern matching.
    • Most of the time we’ll have things of type term. Since term is abstract, we can’t pattern match on it directly; we have to instead call out and pattern match the result.

Despite these drawbacks, I still prefer locally nameless terms.

  • I’ll gladly trade correctness for performance, and it’s definitely easier to be correct when working with locally nameless terms. We can always optimize for performance later by profiling the code to find the slowness!

  • Calling out in a few places is a small ergonomic price to pay for correctness. When you forget to call out or into, the type checker will remind you. There are also some cool language extensions which can make calling out and in syntactically more pleasant, like View Patterns in Haskell.

Variables show up in the most interesting places, and I always smile when I find them being used in new and surprising ways. On the flip side, languages that implement variables and binding suffer no end of trouble and programmers are forced to cope with their absence.4

I think variables are just so cool!


  1. Nearly every interesting programming language feature derives its power from variables. Functions wouldn’t be functions if not for variables. Modularity and linking reduce to variables and substitution. I’ve written in the past about all sorts of cool variables in types, as well as how parametric polymorphism in System F is the result of using type variables in two ways within the same system.

  2. If it wasn’t clear, this has happened to me many times, and yes I’m still getting over it 😓

  3. We could, by analogy, refer to the de Bruijn index representation as the globally nameless representation, which is more descriptive but isn’t something you’ll hear used anywhere.

  4. It’s for this very reason that variables are the first topic we cover in 15-312 Principles of Programming Languages.

ABTs in Haskell

I’ve been learning and using Haskell on-and-off for the past couple of years. One of my early complaints was that I couldn’t find a good library for working with variables and binding that used locally nameless terms. Recently though, I found unbound-generics, which checks all my previously unfilled boxes. Continue reading

System Fω and Parameterization

Published on September 27, 2017

Variables in Types

Published on September 25, 2017