\chapter{Fundamentals and Related Work}
\label{cha:relwork}
The goal of this chapter is to provide an overview of equation learning or symbolic regression to establish common knowledge of the topic and problem this thesis is trying to solve. First the field of equation learning is explored which helps to contextualise the topic of this thesis. The main part of this chapter is split into two sub-parts. The first part is exploring research that has been done in the field of general purpose computations on the GPU (GPGPU) as well as the fundamentals of it. Focus lies on exploring how graphics processing units (GPUs) are used to achieve substantial speed-ups and when and where they can be effectively employed. The second part describes the basics of how interpreters and compilers are built and how they can be adapted to the workflow of programming GPUs. When discussing GPU programming concepts, the terminology used is that of Nvidia and may differ from that used for AMD GPUs.

\section{Equation learning}
Equation learning is a field of research that can be used for understanding and discovering equations from a set of data from various fields like mathematics and physics. Data is usually much more abundant while models often are elusive which is demonstrated by \textcite{guillemot_climate_2022} where they explain how validating the models against large amounts of data is a big part in creating such models. Because of this effort, generating equations with a computer can more easily lead to discovering equations that describe the observed data. In one instance \textcite{werner_informed_2021} described that they want to find an expression to predict the power loss of an electric machine based on known input values. They used four inputs, direct and quadratic current as well as temperature and motor speed, and they have an observed output which is the power loss. With the help of an equation learner, they were able to generate useful results. 

A more literal interpretation of equation learning is demonstrated by \textcite{pfahler_semantic_2020}. They use machine learning to learn the form of equations to simplify the discovery of relevant publications. Instead of searching for keywords which might differ from one field of research to another, they allow searching by the equations the publications use. This helps as the form of equations stay the same over different fields and are therefore not subject to specific terminology. However, this form of equation learning is not relevant for this thesis.

Symbolic regression is a subset of equation learning, that specialises more towards discovering mathematical equations. A lot of research is done in this field. Using the evolutionary algorithm genetic programming (GP) for different problems, including symbolic regression, was first popularised by \textcite{koza_genetic_1994}. He described that finding a computer program to solve a problem for a given input and output, can be done by traversing the search space of relevant solutions. This fits well for the goal of symbolic regression, where a mathematical expression needs to be found to describe a problem with specific inputs and outputs. Later, \textcite{koza_human-competitive_2010} provided an overview of results that were generated with the help of GP and were competitive with human solutions, showing how symbolic regression is a useful tool. In their book Symbolic Regression, \textcite{kronberger_symbolic_2024} show how symbolic regression can be applied for real world scenarios. One of these scenarios is finding simpler but still accurate models for hydrodynamic simulations to speed up the design process of ship hulls. Another one is finding an expression to find the remaining capacity of a Lithium-ion battery by measuring its voltage. In total, they described ten scenarios from different domains to show the capabilities of symbolic regression. 

\textcite{keijzer_scaled_2004}, \textcite{gustafson_improving_2005}, \textcite{korns_accuracy_2011}, \textcite{korns_extremely_2015}, \textcite{bruneton_enhancing_2025} and many more presented ways of improving the quality of symbolic regression algorithms, making symbolic regression more feasible for problem-solving. \textcite{bartlett_exhaustive_2024} describe an exhaustive approach for symbolic regression which can find the true optimum for perfectly optimised parameters while retaining simple and interpretable results. 

Alternatives to GP for symbolic regression also exist with for example Bayesian Symbolic Regression as proposed by \textcite{jin_bayesian_2020}. Their approach increased the quality of the results noticeably compared to GP alternatives by for example incorporating prior knowledge. In order to avoid overfitting, \textcite{bomarito_bayesian_2022} have proposed a way of using Bayesian model selection to combat overfitting and reduce the complexity of the generated expressions. This also helps with making the expressions more generalisable and therefore be applicable to unseen inputs. 

Another alternative to meta-heuristics like GP is the usage of neural networks. One such alternative has been introduced by \textcite{martius_extrapolation_2016} where they used a neural network for their equation learner with mixed results. Later, an extension has been provided by \textcite{sahoo_learning_2018}. They introduced the division operator, which led to much better results. Further improvements have been described by \textcite{werner_informed_2021} with their informed equation learner. By incorporating domain expert knowledge they could limit the search space and find better solutions for particular domains. One drawback of these three implementations is the fact that their neural networks are fixed. An equation learner which can change the network at runtime and therefore evolve over time is proposed by \textcite{dong_evolving_2024}. Their approach further improved the results of neural network equation learners. In their work, \textcite{lemos_rediscovering_2022} also used a neural network for symbolic regression. They were able to find an equivalent to Newton's law of gravitation and rediscovered Newton's second and third law only with trajectory data of bodies of our solar system. Although these laws were already known, this research has shown how neural networks and machine learning in general have great potential. 

An implementation for an equation learner in the physics domain is proposed by \textcite{brunton_discovering_2016}. Their algorithm was specifically designed for nonlinear dynamics often occurring in physical systems. An improvement to this approach was introduced by \textcite{sun_symbolic_2023} where they used Monte Carlo tree search. When compared to other implementations their equation learner was able to create better results but has the main drawback of high computational cost. 

% As seen by these publications, increasing the quality of generated equations and also increasing the speed of finding these equations is a central part in symbolic regression and equation learning in general. 

% A survey conducted by \textcite{dabhi_survey_2012} shows how overfitting is not desirable and why more generalisable solutions are preferred. 


To generate an equation, first the operators need to be defined that make up the equation. It is also possible to define a maximum length for an expression as proposed by \textcite{koza_genetic_1994}. Expressions also consist of constants as well as variables which represent the inputs. Assuming that a given problem has two variables and one parameter, the equation learner could generate an expression as seen in Equation \ref{eq:example} where $x_n$ are the variables, $p_1$ is the parameter and $O$ is the output which should correspond to the observed output for the given variables.

\begin{equation} \label{eq:example}
	O = 5 - \text{abs}(x_1) + x_2 \, \sqrt{p_1} / 10
\end{equation}

A typical equation learner generates multiple expressions at once. If for example the equation learner generates $300$ expressions per GP generation, each of these expressions needs to be evaluated at least once to determine how well they can produce the desired output. Each expression lies in a different part of the search space and with only the variables, it would not easily be possible to explore the surrounding search space. To perform for example local search in this area, the parameter $p_1$ can be used. This local search phase helps to find the local or even global optimum. For example $50$ local search steps can be used, meaning that each expression needs to be evaluated $50$ times with the same variables, but different parameters. As a result, one GP generation consequently requires a total $300 * 50 = 15\,000$ evaluations of the expressions. However, typically more than one GP generation is needed to find a good local optimum. While the exact number of generations is problem specific, for this example a total of $100$ generations can be assumed. Each generation again generates $300$ expressions and needs to perform $50$ local search steps. This results in a total of $300 * 50 * 100 = 1\,500\,000$ evaluations which need to be performed during the entire runtime of the GP algorithm. These values have been taken from the equation learner for predicting discharge voltage curves of batteries as described by \textcite{kronberger_symbolic_2024}. Their equation learner converged after 54 generations, resulting in $300 * 50 * 54 \approx 800\,000$ evaluations. Depending on the complexity of the generated expressions, performing all of these evaluations takes up a lot of the runtime. Their results took over two days to compute on an eight core desktop CPU. While they did not provide runtime information for all problems they tested, the voltage curve prediction was the slowest. The other problems were in the range of a few seconds and up to a day. Especially the problems that took several hours to days to finish show, that there is still room for performance improvements. While a better CPU with more cores can be used, it is interesting to determine, if using GPUs can yield noticeable better performance.

\section[GPGPU]{General Purpose Computation on Graphics Processing Units}
\label{sec:gpgpu}
Graphics cards (GPUs) are commonly used to increase the performance of many different applications. Originally they were designed to improve performance and visual quality in games. \textcite{dokken_gpu_2005} first described the usage of GPUs for general purpose programming (GPGPU). They have shown how the graphics pipeline can be used for GPGPU programming. Because this approach also requires the programmer to understand the graphics terminology, this was not a great solution. Therefore, Nvidia released CUDA\footnote{\url{https://developer.nvidia.com/cuda-toolkit}} in 2007 with the goal of allowing developers to program GPUs independent of the graphics pipeline and terminology. A study of the programmability of GPUs with CUDA and the resulting performance has been conducted by \textcite{huang_gpu_2008}. They found that GPGPU programming has potential, even for non-embarassingly parallel problems. 

Research is also done in making the low level CUDA development simpler. \textcite{han_hicuda_2011} have described a directive-based language to make development simpler and less error-prone, while retaining the performance of handwritten code. To drastically simplify CUDA development, \textcite{besard_effective_2019} showed that it is possible to develop with CUDA in the high level programming language Julia\footnote{\url{https://julialang.org/}} with similar performance to CUDA written in C. In a subsequent study \textcite{lin_comparing_2021} found, that high performance computing (HPC) on the CPU and GPU in Julia performs similar to HPC development in C. This means that Julia can be a viable alternative to Fortran, C and C++ in the HPC field. Additional Julia has the benefit of developer comfort since it is a high level language with modern features such as a garbage-collector. \textcite{besard_rapid_2019} have also shown how the combination of Julia and CUDA help in rapidly developing HPC software. While this thesis in general revolves around CUDA, there also exist alternatives by AMD called ROCm\footnote{\url{https://www.amd.com/de/products/software/rocm.html}} and a vendor independent alternative called OpenCL\footnote{\url{https://www.khronos.org/opencl/}}. 

If not specified otherwise, the following section and its subsections use the information presented by \textcite{nvidia_cuda_2025} in their CUDA programming guide. While in the early days of GPGPU programming a lot of research has been done to assess if this approach is feasible, it now seems obvious to use GPUs to accelerate algorithms. GPUs have been used early to speed up weather simulation models. \textcite{michalakes_gpu_2008} proposed a method for simulating weather with the Weather Research and Forecast (WRF) model on a GPU. With their approach, they reached a speed-up of 5 to 2 for the most compute intensive task, with little GPU optimisation effort. They also found that the GPU usage was low, meaning there are resources and potential for more detailed simulations. 

Generally, simulations are great candidates for using GPUs, as they can benefit heavily from a high degree of parallelism and data throughput. \textcite{koster_high-performance_2020} have developed a way of using adaptive time steps on the GPU to considerably improve the performance of numerical and discrete simulations. In addition to the performance gains they were able to retain the precision and constraint correctness of the simulation. Black hole simulations are crucial for science and education for a better understanding of our world. \textcite{verbraeck_interactive_2021} have shown that simulating complex Kerr (rotating) black holes can be done on consumer hardware in a few seconds. Schwarzschild black hole simulations can be performed in real-time with GPUs as described by \textcite{hissbach_overview_2022} which is especially helpful for educational scenarios. While both approaches do not have the same accuracy as detailed simulations on supercomputers, they show how a single GPU can yield similar accuracy at a fraction of the cost. 

Software network routing can also heavily benefit from GPU acceleration as shown by \textcite{han_packetshader_2010}, where they achieved a significantly higher throughput than with a CPU only implementation. 

Finite element structural analysis is an essential tool for many branches of engineering and can also heavily benefit from the usage of GPUs as demonstrated by \textcite{georgescu_gpu_2013}.

Generating test data for DeepQ learning can also significantly benefit from using the GPU \parencite{koster_macsq_2022}. 

However, it also needs to be noted, that GPUs are not always better performing than CPUs as illustrated by \textcite{lee_debunking_2010}, so it is important to consider if it is worth using GPUs for specific tasks.

\subsection{Programming GPUs}
The development process on a GPU is vastly different from a CPU. A CPU has tens or hundreds of complex cores with the AMD Epyc 9965\footnote{\url{https://www.amd.com/en/products/processors/server/epyc/9005-series/amd-epyc-9965.html}} having $192$ cores and twice as many threads. To demonstrate how a modern CPU works \textcite{knuth_mmix_1999} introduced the MMIX architecture. It is a 64-bit CPU architecture containing many concepts and design decisions to compete with other CPUs on the market at that time. He provides the information in great detail and demonstrates the complexity of CPU architectures. Current CPUs are even more complex, and often contain features like sophisticated branch prediction among other things to achieve higher and higher performance. This makes a CPU perfect for handling complex control flows on a single program thread and even multiple threads simultaneously \parencite{palacios_comparison_2011}. However, as seen in Section \ref{sec:gpgpu}, this often is not enough. On the other hand, a GPU contains thousands or even tens of thousands of cores. For example, the GeForce RTX 5090\footnote{\url{https://www.nvidia.com/en-us/geforce/graphics-cards/50-series/rtx-5090/}} contains a total of $21\,760$ CUDA cores. To achieve this enormous core count, a single GPU core has to be much simpler than a single CPU core. As described by \textcite{nvidia_cuda_2025}, a GPU designates much more transistors towards floating-point computations. This, however, results in less efficient integer arithmetic and control flow handling. There is also less Cache available per core and clock speeds are usually also much lower than those on a CPU. An overview of the differences of a CPU and a GPU architecture can be seen in Figure \ref{fig:cpu_vs_gpu}.

\begin{figure}
	\centering
	\includegraphics[width=1\textwidth]{nvidia_cpu_vs_gpu.png}
	\caption{Overview of the architecture of a CPU (left) and a GPU (right). Note the higher number of simpler and smaller cores on the GPU \parencite{nvidia_cuda_2025}.}
	\label{fig:cpu_vs_gpu}
\end{figure}

Despite these drawbacks, the sheer number of cores, makes a GPU a valid choice when considering improving the performance of an algorithm. Because of the high number of cores, GPUs are best suited for data parallel scenarios. This is due to the SIMD architecture of these cards. SIMD stands for Sinlge-Instruction Multiple-Data and states that there is a single stream of instructions that is executed on a huge number of data streams. \textcite{franchetti_efficient_2005} and \textcite{tian_compiling_2012} describe ways of using SIMD instructions on the CPU. Their approaches lead to noticeable speed-ups of 3.3 and 4.7 respectively by using SIMD instructions instead of serial computations. Extending this to GPUs which are specifically built for SIMD/data parallel calculations shows why they are so powerful despite having less complex and slower cores than a CPU. It is also important to note, that a GPU also always needs a CPU, as the CPU is responsible for sending the data to the GPU and starting the GPU program. In GPGPU programming, the CPU is usually called the host, while the GPU is usually called the device.

\subsubsection{Thread Hierarchy and Tuning}
\label{sec:thread_hierarchy}
The thousands of cores on a GPU, as well as the threads created by the developer, are grouped together in several categories. This is the so-called thread hierarchy of GPUs. The developer can influence this grouping to a degree which allows them to tune their algorithm for optimal performance. In order to develop a well performing algorithm, it is necessary to know how this grouping works. Tuning the grouping is unique to each algorithm and also dependent on the GPU used, which means it is important to test a lot of different configurations to achieve the best possible result. This section aims at exploring the thread hierarchy and how it can be tuned to fit an algorithm.

At the lowest level of a GPU exists a Streaming Multiprocessor (SM), which is a hardware unit responsible for scheduling and executing threads and also contains the registers used by these threads. An SM is always executing a group of 32 threads simultaneously, and this group is called a warp. The number of threads that can be started is virtually unlimited. However, threads must be grouped in a block, with one block typically containing a maximum of $1024$ threads but is often configured to be less. Therefore, if more than $1024$ threads are required, more blocks must be created. Blocks can also be grouped into thread block clusters which is optional, but can be useful in certain scenarios. All thread blocks or thread block clusters are part of a grid, which manifests as a dispatch of the code run on the GPU, also called kernel \parencite{amd_hip_2025}. All threads in one block have access to some shared memory, which can be used for L1 caching or communication between threads. It is important that the blocks can be scheduled independently, with no dependencies between them. This allows the scheduler to schedule blocks and threads as efficiently as possible. All threads within a warp are guaranteed to be part of the same block, and are therefore executed simultaneously and can access the same memory addresses. Figure \ref{fig:thread_hierarchy} depicts how threads in a block are grouped into warps for execution and how they shared memory. 

\begin{figure}
	\centering
	\includegraphics[width=.8\textwidth]{thread_hierarchy.png}
	\caption{An overview of the thread hierarchy with blocks being split into multiple warps and their shared memory \parencite{amd_hip_2025}.}
	\label{fig:thread_hierarchy}
\end{figure}

A piece of code that is executed on a GPU is written as a kernel which can be configured. The most important configuration is how threads are grouped into blocks. The GPU allows the kernel to allocate threads and blocks and block clusters in up to three dimensions. This is often useful because of the already mentioned shared memory, which will be explained in more detail in Section \ref{sec:memory_model}. Considering the case where an image needs to be blurred, it not only simplifies the development if threads are arranged in a 2D grid, it also helps with optimising memory access. As the threads in a block, need to access a lot of the same data, this data can be loaded in the shared memory of the block. This allows the data to be accessed much quicker compared to when threads are allocated in only one dimension. With one dimensional blocks it is possible that threads assigned to nearby pixels, are part of a different block, leading to a lot of duplicate data transfer. The size in each dimension of a block can be almost arbitrary within the maximum allowed number of threads. However, blocks that are too large might lead to other problems which are described in more detail in Section \ref{sec:occupancy}.

Once a kernel is dispatched, all threads start at the same point in a program. However, because a thread may encounter instructions, such as branches, where it can take a different path to the other threads, or in other words diverge, each thread has a unique instruction pointer. This allows threads to work independently, even if they are part of the same warp. However, because of the SIMD architecture, all threads in a warp must execute the same instructions and if threads start to diverge, the SM must pause threads with different instructions and execute them later. Figure \ref{fig:thread_divergence} shows how such divergences can impact performance. The situation described in the figure also shows, that the thread could re-converge after the divergence. On older hardware this does not happen and results in T2 being executed after T1 and T3 have finished. In situations where there is a lot of data dependent thread divergence, most of the benefits of using a GPU are likely to be lost. Threads not executing the same instruction is strictly speaking against the SIMD principle, but can happen in reality, due to data dependent branching. Consequently, this leads to poor resource utilisation, which in turn leads to poor performance. Another way in which threads can be paused (inactive threads) is the fact that sometimes, the number of threads started is not divisible by 32. In such cases, the last warp still contains 32 threads but only the threads with work are executed.

\begin{figure}
	\centering
	\includegraphics[width=.8\textwidth]{thread_divergence.png}
	\caption{Thread T2 wants to execute instruction B while T1 and T3 want to execute instruction A. Therefore T2 will be an inactive thread this cycle and active once T1 and T3 are finished. This means that now the divergent threads are serialised.}
	\label{fig:thread_divergence}
\end{figure}


Modern GPUs implement what is known as the Single-Instruction Multiple-Thread (SIMT) architecture. In many cases a developer does not need to know the details of SIMT and can design fast, correct and accurate programs with just the SIMD architecture in mind. However, leveraging the power of SIMT can yield substantial performance gains by re-converging threads after data-dependent divergence has occurred. SIMT can also help with increasing the occupancy of the GPU. Occupancy and its importance to performance is discussed in detail in Section \ref{sec:occupancy}.

A stack-less re-convergence algorithm was proposed by \textcite{collange_stack-less_2011} as an alternative to the default stack-based re-convergence algorithm. Their algorithm was able to achieve higher performance than the default one. Another approach for increasing occupancy using the SIMT architecture is proposed by \textcite{fung_thread_2011}. They introduced a technique for compacting thread blocks by moving divergent threads to new warps until they re-converge. This approach resulted in a noticeable speed-up between 17\% and 22\%. Another example where a SIMT aware algorithm can perform better was proposed by \textcite{koster_massively_2020}. While they did not implement techniques for thread re-convergence, they implemented a thread compaction algorithm. On data-dependent divergence it is possible for threads to end early, leaving a warp with only partial active threads. This means the inactive threads are still occupied and cannot be used for other work. Their thread compaction tackles this problem by moving active threads into a new thread block, releasing the inactive threads to perform other work. With this they were able to gain a speed-up of roughly 4 times compared to previous implementations. Adapting Multiple-Instruction Multiple-Data (MIMD) programs with synchronisation to run on SIMT architecture can be a difficult task, especially if the underlying architecture is not well understood. A static analysis tool and a transformer specifically designed to help avoid deadlocks with MIMD synchronisation is proposed by \textcite{eltantawy_mimd_2016}. In addition, they proposed a hardware re-convergence mechanism that supports MIMD synchronisation. A survey by \textcite{khairy_survey_2019} explores different aspects of improving GPGPU performance architecturally. Specifically, they have compiled a list of different publications discussing algorithms for thread re-convergence, thread compaction and much more. Their main goal was to give a broad overview of many ways to improve the performance of GPGPU programming to help other developers.

\subsubsection{Memory Model}
\label{sec:memory_model}
% If more is needed talk about the following: 
% - Memory allocation (with the one paper diving into dynamic allocations)
% - Memory transfer (with streams potentially)

On a GPU there are two parts that contribute to the performance of an algorithm. The one already looked at is the compute-portion of the GPU. This is necessary because if threads are serialised or run inefficiently, there is nothing that can make the algorithm execute faster. However, algorithms run on a GPU usually require huge amounts of data to be processed, as they are designed for exactly that purpose. The purpose of this section is to explain how the memory model of the GPU works and how it can influence the performance of an algorithm. In Figure \ref{fig:gpu_memory_layout} the memory layout and the kinds of memory available are depicted. The different parts will be explained in this section.

\begin{figure}
	\centering
	\includegraphics[width=.9\textwidth]{gpu_memory_layout.png}
	\caption{The layout of the memory in the GPU. The connections between the memory regions can be seen as well as the different kinds of memory available.}
	\label{fig:gpu_memory_layout}
\end{figure}

On a GPU there are multiple levels and kinds of memory available. All these levels and kinds have different purposes they are optimised for. This means that it is important to know what they are and how they can be best used for specific tasks. On the lowest level, threads have registers and local memory available. Registers are the fastest way to access memory, but they are also the least abundant memory with up to a maximum of 255 32-Bit registers per thread on Nvidia GPUs and 256 on AMD GPUs \parencite{amd_hardware_2025}. However, using all registers of a thread can lead to other problems which are described in more detail in Section \ref{sec:occupancy}. In contrast to registers, local memory is significantly slower. This is due to the fact, that local memory is actually stored in global memory and therefore has the same limitations as explained later. This means that it is important to try and avoid local memory as much as possible. Local memory is usually only used when a thread is using too many registers. The compiler will then spill the remaining data into local memory and load it into registers once needed, slowing down the application drastically.

Shared memory is the next tier of memory on a GPU. Unlike local memory and registers, shared memory is shared between all threads inside a block. The amount of shared memory is depending on the GPU architecture but for Nvidia it hovers at around 100 Kilobyte (KB) per block. While this memory is slower than registers, its primary use-case is communicating and sharing data between threads in a block. If all threads in a block access a lot of overlapping data this data can be loaded from global memory into faster shared memory once. It can then be accessed multiple times, further increasing performance. Loading data into shared memory and accessing that data has to be done manually. Because shared memory is part of the unified data cache, it can either be used as a cache or for manual use, meaning a developer can allocate more shared memory towards caching if needed. Another feature of shared memory are the so-called memory banks. Shared memory is always split into 32 equally sized memory modules also called memory banks. All available memory addresses lie in one of these banks. This means if two threads access two memory addresses which lie in different banks, the access can be performed simultaneously, increasing the throughput.

The most abundant and slowest memory is the global memory and resides in device memory. A key constraint of device memory and therefore global memory is, that can only be accessed in either 32, 64 or 128 byte chunks. This means if a thread wants to access 8 bytes from global memory, alongside the 8 bytes, the 24 bytes after the requested 8 bytes are also transferred. As a result, the throughput is only a fourth of the theoretical maximum. Therefore, it is important to follow optimal access patterns. What these optimal patterns are, are architecture dependent and are described in the according sections in the CUDA programming guide.

A small portion of device memory is allocated to constant memory. Constant memory is accessible by all threads and as the name implies, can not be written to by threads. It can be initialised by the CPU when starting a kernel if needed. As constant memory has a separate cache, it can be used to speed-up data access for constant and frequently accessed data.

Another special kind of memory is the texture and surface memory. According to \textcite{amd_hip_2025} texture memory is read-only memory, while surface memory can also be written to, which is the only difference between these two kinds of memory. Nvidia does not explicitly state this behaviour, but due to the fact that accessing textures is only performed via caches, it is implied that on Nvidia GPUs, texture memory is also read-only. As the name implies, this kind of memory is optimised for accessing textures. This means that threads of the same warp, accessing data which is spatially close together, will result in increased performance. As already mentioned, surface memory works the same way, with the difference, that it can be written to. It is therefore well suited for manipulating two- or three-dimensional data.


\subsubsection{Occupancy}
\label{sec:occupancy}
% Describe occupancy, why it is important and what can impact it. Maybe add a simplified version of this table: \url{https://docs.nvidia.com/cuda/cuda-c-programming-guide/#features-and-technical-specifications-technical-specifications-per-compute-capability} to explain the bounds and effects on occupancy

Occupancy describes the utilisation of a GPU. A high occupancy means, that there are Warps executing, or in other words, the cores are occupied with work. This is important, as a low occupancy means that the GPU is waiting for work to be scheduled and is therefore idle. As a result, it is desired to achieve high occupancy in order to increase the performance of an algorithm. It needs to be noted, that occupancy is not the only option for improving performance. As it is possible for the GPU to have a high occupancy while performing a lot of unnecessary or redundant work or utilising compute-resources that are slower. An example for the latter would be developing an algorithm that uses 64-bit floating point (FP64) numbers while 32-bit floating point (FP32) numbers would have sufficient accuracy. Because GPUs tend to have fewer FP64 compute-resources than they have FP32 compute-resources, performing FP64 operations will take longer. However, despite these drawbacks, having low occupancy will very likely result in performance degradation while high occupancy will either improve performance or do no harm otherwise. Ways of achieving high occupancy will be outlined in this section as most other performance problems can be solved algorithmically.

\begin{table}
	\centering
	\begin{tabular}{l|cc}
		Compute Capability & 8.9 & 10.x \\
		\hline
		Max. number of threads per block & \multicolumn{2}{c}{1\,024} \\
		Warp size & \multicolumn{2}{c}{32 threads} \\
		Max. number of warps per SM & 48 & 64 \\
		Max. number of blocks per SM & 24 & 32 \\
		Max. number of threads per SM & 1\,536 & 2\,048 \\
		Number of 32-bit registers per SM & \multicolumn{2}{c}{64\,000} \\
		Max. number of 32-bit registers per block & \multicolumn{2}{c}{64\,000} \\
		Max. number of 32-bit registers per thread & \multicolumn{2}{c}{255} \\
		Max. amount of shared memory per SM & 100 Kilobytes & 228 Kilobytes \\
		Max. amount of shared memory per block & 99 Kilobytes & 227 Kilobytes
	\end{tabular}
	\caption{A simplified version of the technical specifications for the Compute Capabilities 8.9 and 10.x \parencite{nvidia_cuda_2025}. These correspond to the Nvidia Ada Lovelace and Blackwell microarchitectures.}
	\label{tab:compute_capabilities}
\end{table}

When starting a kernel, the most important configuration is the number of threads and thread blocks that need to be started. This is important, as this has other effects on occupancy as well. In Table \ref{tab:compute_capabilities} the most notable limitations are presented that can affect occupancy. These limitations need to be considered when choosing a kernel configuration. It is important to note, that depending on the GPU and problem, the occupancy tuning might differ, and the same approach might perform well on one GPU but perform poorly on another GPU. Therefore, the things discussed here are only guidelines. 

Tools like Nvidia Nsight Compute\footnote{\url{https://developer.nvidia.com/nsight-compute}} and Nsight Systems\footnote{\url{https://developer.nvidia.com/nsight-systems}} are essential for performance tuning. Nsight compute also contains an occupancy calculator which takes a kernel and computes how the configuration performs in terms of occupancy and also lets the developer try out different configurations \parencite{nvidia_nsight_2025}.

In general, it is important to have as many warps as possible ready for execution. While this means that a lot of warps could be executed but are not, this is actually desired. A key feature of GPUs is so-called latency hiding, meaning that while a warp waits for data to be retrieved for example, another warp ready for execution can now be run. With low occupancy, and therefore little to no warps waiting for execution, latency hiding does not work, as now the hardware is idle. As a result, the runtime increases which also explains why high occupancy is not guaranteed to result in performance improvements while low occupancy can and often will increase the runtime.

As seen in Table \ref{tab:compute_capabilities}, there exist different limitations that can impact occupancy. The number of warps per SM is important, as this means this is the degree of parallelism achievable per SM. If due to other limitations, the number of warps per SM is below the maximum, there is idle hardware. One such limitation is the number of registers per block and SM. In the case of compute capability 8.9, one SM can handle $32 * 48 = 1\,536$ threads. This leaves $64\,000 / 1\,536 \approx 41$ registers per thread, which is lower than the theoretical maximum of $255$ registers per thread. Typically, one register is mapped to one variable in the kernel code, meaning a developer can use up to 41 variables in their code. However, if the variable needs 64 bits to store its value, the register usage doubles, as all registers on a GPU are 32-bit. On a GPU with compute capability 10.x a developer can use up to $64\,000 / 2\,048 \approx 31$ registers. Of course a developer can use more registers, but this results in less occupancy. However, depending on the algorithm using more registers might be more beneficial to performance than the lower occupancy, in which case occupancy is not as important. If a developer needs more than $255$ registers for their variables the additional variables will spill into local memory which is, as described in Section \ref{sec:memory_model}, not desirable.

Additionally, shared memory consumption can also impact the occupancy. If for example a block needs all the available shared memory, which is almost the same as the amount of shared memory per SM, this SM can only serve this block. On compute capability 10.x, this would mean that occupancy would be at maximum $50\%$ as a block can have up to $1\,024$ threads while an SM supports up to $2\,048$ threads. Again, in such cases it needs to be determined, if the performance gain of using this much shared memory is worth the lower occupancy.

Balancing these limitations and therefore the occupancy and performance often requires a lot of trial and error with help of the aforementioned tools. In cases where occupancy is already high and the amount of warps ready for execution is also high, other areas for performance improvements need to be explored. Algorithmic optimisation is always a good idea. Some performance improvements can be achieved by altering the computations to use different parts of the GPU. One of such optimisations is using FP32 operations wherever possible. Another well suited optimisation is to rewrite the algorithm to use as many Fused Multiply-Add (FMA) instructions. FMA is a special floating point instruction, that multiplies two values and adds a third, all in a single clock cycle \parencite{nvidia_cuda_2025-1}. However, the result might slightly deviate compared to performing these two operations separately, which means in accuracy sensitive scenarios, this instruction should be avoided. If the compiler detects a floating point operation with the FMA structure, it will automatically be compiled to an FMA instruction. To prevent this, in C++ the developer can call the functions \_\_fadd\_ and \_\_fmul\_ for addition and multiplication respectively.

\subsection[PTX]{Parallel Thread Execution}
\label{sec:ptx}
% https://docs.nvidia.com/cuda/parallel-thread-execution/
While in most cases a GPU can be programmed in a higher level language like C++ or even Julia\footnote{\url{https://juliagpu.org/}}, it is also possible to program GPUs with the low level language Parallel Thread Execution (PTX) developed by Nvidia. A brief overview of what PTX is and how it can be used to program GPUs is given in this section. Information in this section is taken from the PTX documentation \parencite{nvidia_parallel_2025} if not stated otherwise.

PTX defines a virtual machine with an own instruction set architecture (ISA) and is designed for data-parallel processing on a GPU. It is an abstraction of the underlying hardware instruction set, allowing PTX code to be portable across Nvidia GPUs. In order for PTX code to be usable for the GPU, the driver is responsible for compiling the code to the hardware instruction set of the GPU it is run on. A developer typically writes a kernel in CUDA using C++, for example, and the Nvidia compiler generates the PTX code for that kernel. This PTX code is then compiled by the driver once it is executed. The concepts for programming the GPU with PTX and CUDA are the same, apart from the terminology which is slightly different. For consistency, the CUDA terminology will continue to be used.

Syntactically, PTX is similar to assembler style code. Every PTX code must have a \verb|.version| directive which indicates the PTX version and an optional \verb|.target| directive which indicates the compute capability. If the program works in 64 bit addresses, the optional \verb|.address_size| directive can be used to indicate that, which simplifies the code for such applications. After these directives, the actual code is written. As each PTX code needs an entry point (the kernel) the \verb|.entry| directive indicates the name of the kernel and the parameters needed. It is also possible to write helper functions with the \verb|.func| directive. Inside the kernel or a helper function, normal PTX code can be written. Because PTX is very low level, it assumes an underlying register machine, therefore a developer needs to think about register management. This includes loading data from global or shared memory into registers if needed. Code for manipulating data like addition and subtraction generally follow the structure \verb|operation.datatype| followed by up to four parameters for that operation. For adding two FP32 values together and storing them in the register \%n, the code looks like the following:
\begin{GenericCode}[numbers=none]
add.f32		\%n, 0.1, 0.2;
\end{GenericCode}
Loops in the classical sense do not exist in PTX. Instead, a developer needs to define jump targets for the beginning and end of the loop. The Program in \ref{code:ptx_loop} shows how a function with simple loop can be implemented. The loop counts down to zero from the passed parameter $N$ which is loaded into the register \%n in line 6. If the value in the register \%n reached zero the loop branches at line 9 to the jump target at line 12 and the loop has finished. All other used directives and further information on writing PTX code can be taken from the PTX documentation \parencite{nvidia_parallel_2025}.

\begin{program}
\begin{GenericCode}
.func loop(.param .u32 N)
{
	.reg .u32 \%n;
	.reg .pred \%p;

	ld.param.u32 \%n, [N];
Loop: 
	setp.eq.u32 \%p, \%n, 0;
@\%p bra 		Done;
	sub.u32		\%n, \%n, 1;
	bra			Loop;
Done:
}
\end{GenericCode}
\caption{A PTX program fragment depicting how loops can be implemented.}
\label{code:ptx_loop}
\end{program}

\section{Compilers}
\label{sec:compilers}
Compilers are a necessary tool for many developers. If a developer wants to run their program it is very likely they need one. As best described by \textcite{aho_compilers_2006} in their dragon book, a compiler takes code written by a human in some source language and translates it into a destination language readable by a computer. This section briefly explores what compilers are and research done in this old field of computer science. Furthermore, the topics of transpilers and interpreters are explored, as their use-cases are very similar.

\textcite{aho_compilers_2006} and \textcite{cooper_engineering_2022} describe how a compiler can be developed, with the latter focusing on more modern approaches. They describe how a compiler consists of two parts, the analyser, also called frontend, and the synthesiser also called backend. The frontend is responsible for ensuring syntactic and semantic correctness and converts the source code into an intermediate representation, an abstract syntax tree (AST), for the backend. Generating code in the target language, from the intermediate representation is the job of the backend. This target code can be assembly or anything else that is needed for a specific use-case. This intermediate representation also makes it simple to swap out frontends or backends. The Gnu Compiler Collection \textcite{gcc_gcc_2025} takes advantage of using different frontends to provide support for many languages including C, C++, Ada and more. Instead of compiling source code for specific machines directly, many languages compile code for virtual machines instead. Notable examples are the Java Virtual Machine (JVM) \parencite{lindholm_java_2025} and the low level virtual machine (LLVM) \parencite{lattner_llvm_2004}. Such virtual machines provide a bytecode which can be used as a target language for compilers. A huge benefit of such virtual machines is the ability for one program to be run on all physical machines the virtual machine exists for, without the developer needing to change that program \parencite{lindholm_java_2025}. Programs written for virtual machines are compiled into their respective bytecode. This bytecode can then be interpreted or compiled to physical machine code and then be run. According to the JVM specification \textcite{lindholm_java_2025} the Java bytecode is interpreted and also compiled with a just-in-time (JIT) compiler to increase the performance of code blocks that are often executed. On the other hand, the common language runtime (CLR)\footnote{\url{https://learn.microsoft.com/en-us/dotnet/standard/clr}}, the virtual machine for languages like C\#, never interprets the generated bytecode. As described by \textcite{microsoft_overview_2023} the CLR always compiles the bytecode to physical machine code using a JIT compiler before it is executed.

% Is not relevant to thesis!!!!!
% A grammar describes how a language is structured. It not only describes the structure of natural language, but it can also be used to describe the structure of a programming language. \textcite{chomsky_certain_1959} found that grammars can be grouped into four levels, with regular and context-free grammars being the most relevant for programming languages. A regular grammar is of the structure $A = a\,|\,a\,B$ which is called a rule. The symbols $A$ and $B$ are non-terminal symbols and $a$ is a terminal symbol. A non-terminal symbol stands for another rule with the same structure and must only occur after a terminal symbol. Terminal symbols are fixed symbols or a value that can be found in the input stream, like literals in programming languages. Context-free grammars are more complex and are of the structure $A = \beta$. In this context $\beta$ stands for any combination of terminal and non-terminal symbols. Therefore, a rule like $A = a\,| a\,B\,a$ is allowed with this grammar level. This shows that with context-free grammars enclosing structures are possible. To write grammars for programming languages, other properties are also important to efficiently validate or parse some input to be defined by this grammar. However, these are not discussed here, but are described by \textcite{aho_compilers_2006}. They also described that generating a parser out of a grammar can be automated. This automation can be performed by parser generators like Yacc \parencite{johnson_yacc_1975} as described in their book. More modern alternatives are Bison\footnote{\url{https://www.gnu.org/software/bison/}} or Antlr\footnote{\url{https://www.antlr.org/}}. Before the parser can validate the input stream, a scanner is needed as described by \textcite{cooper_engineering_2022}. The scanner reads every character of the input stream and is responsible for removing white-spaces and ensures only valid characters and words are present. Flex \footnote{\url{https://github.com/westes/flex}} is a tool that allows generating a scanner and is often used in combination with Bison. A simplified version of the compiler architecture using Flex and Bison is depicted in Figure \ref{fig:compiler_layout}. It shows how source code is taken and transformed into the intermediate representation by the frontend, and how it is converted into executable machine code by the backend.

\begin{figure}
	\centering
	\includegraphics[width=.9\textwidth]{compiler_architecture.png}
	\caption{A simplified overview of how the architecture of a compiler looks, using Flex and Bison.}
	\label{fig:compiler_layout}
\end{figure}

% More references to JIT: https://dl.acm.org/doi/abs/10.1145/857076.857077

\subsection{Interpreters}
% What are interpreters; how they work; should mostly contain/reference gpu interpreters
Interpreters are a different kind of program for executing source code. Rather than compiling the code and executing the result, an interpreter executes the source code directly. Languages like Python and JavaScript are prominent examples of interpreted languages, but also Java, or more precise Java-Bytecode, is also interpreted before it gets compiled \parencite{lindholm_java_2025}. However, interpreters can not only be used for interpreting programming languages. It is also possible for them to be used in GP. \textcite{langdon_simd_2008} have shown how a SIMD interpreter can be efficiently used for evaluating entire GP populations on the GPU directly. In a later work \textcite{cano_gpu-parallel_2014} further improved this interpreter. They used the fact that a GP individual represents a tree which can be split into independent subtrees. These can be evaluated concurrently and with the help of communication via shared memory, they were able to evaluate the entire tree. With this they achieved a significant performance improvement over previous implementations. As shown by \textcite{dietz_mimd_2010}, it is even possible to develop an interpreter that can execute MIMD programs on a SIMD GPU. However, as noted by the authors, any kind interpretation comes with an overhead. This means that with the additional challenges of executing MIMD programs on SIMD hardware, their interpreter, while achieving reasonable efficiency, still suffers from performance problems. Another field where interpreters can be useful are rule-based simulations. \textcite{koster_massively_2020} has shown how they implemented a GPU interpreter for such simulations. In addition with other novel performance improvements in running programs on a GPU, they were able to gain a speed-up of 4 over non-interpreted implementations. While publications like \textcite{fua_comparing_2020} and \textcite{gherardi_java_2012} have shown, interpreted languages often trail behind in terms of performance compared to compiled languages, interpreters per se are not slow. And while they come with performance overhead as demonstrated by \textcite{dietz_mimd_2010} and \textcite{romer_structure_1996}, they can still be a very fast, easy and powerful alternative for certain tasks.

\subsection{Transpilers}
% talk about what transpilers are and how to implement them. If possible also gpu specific transpilation.
With the concepts already mentioned, it is possible to generate executable code from code written in a programming language. However, sometimes it is desired to convert a program from one programming language to another and therefore the major difference between these use-cases is the backend. A popular transpiler example is the TypeScript transpiler, which transforms TypeScript source code into JavaScript source code \parencite{microsoft_typescript_2025}. Other examples for transpilers are the C2Rust transpiler \parencite{ling_rust_2022} that transpiles C code into Rust code as well as the PyJL transpiler \parencite{marcelino_transpiling_2022} which transpiles Python code into Julia code. \textcite{chaber_effectiveness_2016} proposed a transpiler that takes MATLAB and C code and transforms it into pure and optimised C code for an STM32 microcontroller. An early example for a transpiler has been developed by \textcite{intel_mcs86_1978} where they built a transpiler for transforming assembly code for their 8080 CPU to assembly code for their 8086 CPU. Transpilers can also be used in parallelisation environments, like OpenMP \parencite{wang_automatic_2015}. There also exists a transpiler that transforms CUDA code into highly parallel CPU code. \textcite{moses_high-performance_2023} described this transpiler, and they found that the generated code performs noticeably better than doing this transformation by hand. When designing complex processors and accelerators, Register-transfer level (RTL) simulations are essential \parencite{wang_electronic_2009}. In a later study \textcite{zhang_opportunities_2020} have shown how RTL simulations can be performed on GPUs with a speed-up of 20. This led to \textcite{lin_rtl_2023} developing a transpiler to transform RTL into CUDA kernels instead of handwriting them. The compared their results with a CPU implementation running on 80 CPUs, where they found that the transpiled CUDA version was 40 times faster. Using transpilers for software backend and business logic has been proposed by \textcite{bastidas_fuertes_transpiler-based_2023}. Their approach implemented a programming language that can be transpiled into different programming languages, for usage in a multi-programming-language environment that share some business logic. In another study, \textcite{bastidas_fuertes_transpilers_2023} reviewed over 600 publications to map the use of transpilers alongside their implementations in different fields of research, demonstrating the versatility of transpiler use.
