Chapter 5: Process

Synchronization

Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
 Chapter 5: Process Synchronization
 Background
 The Critical-Section Problem
 Peterson’s Solution
 Synchronization Hardware
 Mutex Locks
 Semaphores
 Classic Problems of Synchronization
 Monitors
 Synchronization Examples
 Alternative Approaches

Operating System Concepts – 9th Edition 5.2 Silberschatz, Galvin and Gagne ©2013
 Objectives

 To present the concept of process synchronization.

 To introduce the critical-section problem, whose solutions
can be used to ensure the consistency of shared data
 To present both software and hardware solutions of the
critical-section problem
 To examine several classical process-synchronization
problems
 To explore several tools that are used to solve process
synchronization problems

Operating System Concepts – 9th Edition 5.3 Silberschatz, Galvin and Gagne ©2013
 VXUIKYY3Y_TINXUTO`GZOUT 3XKUXJKXOTM3ZNK3VXUIKYYKY3YU3ZNGZ3UTR_3狣3[YK3ZNK3YNGXKJ3

Background
XKYU[XIK3

 Processes can execute concurrently

YKIUTJ3VXUHRKS3

 May be interrupted at any time, partially completing

execution
]XOZK3OY3SUXK3GII[XGZK3ZNGT3GIIKYY
 Concurrent access to shared data may result in data LOXYZ3VXUHRKS3

inconsistency
SGQK3JGZG3IUXXKIZ

 Maintaining data consistency requires mechanisms to ensure

the orderly execution of cooperating processes
 Illustration of the problem:
Suppose that we wanted to provide a solution to the
consumer-producer problem that fills all the buffers. We can
do so by having an integer counter that keeps track of the
number of full buffers. Initially, counter is set to 0. It is
incremented by the producer after it produces a new buffer
and is decremented by the consumer after it consumes a
buffer.

Operating System Concepts – 9th Edition 5.4 Silberschatz, Galvin and Gagne ©2013
 Producer

while (true) {
/* produce an item in next produced */

while (counter == BUFFER_SIZE) ; KJOZOTM3ZNK3RUUV3IUTJOZOUT

/* do nothing */
buffer[in] = next_produced;
in = (in + 1) % BUFFER_SIZE;
counter++; GJJY3IU[TZKX3OTIXKSKTZ3

IU[TZKX3OY3YNGXKJ3HKZ]KKT3VXUJ[IKX3GTJ3IUTY[SKX

Operating System Concepts – 9th Edition 5.5 Silberschatz, Galvin and Gagne ©2013
 IU[TZKX3OY3YNGXKJ3HKZ]KKT3VXUJ[IKX3GTJ3

IUTY[SKX

Consumer

while (true) {
while (counter == 0) KJOZOTM3ZNK3RUUV3IUTZOZOUT

; /* do nothing */
next_consumed = buffer[out];
out = (out + 1) % BUFFER_SIZE;
counter--; GJJOTM3IU[TZKX3JKIXKSKTZ

/* consume the item in next consumed */

}

Operating System Concepts – 9th Edition 5.6 Silberschatz, Galvin and Gagne ©2013
 Race Condition SGQOTM393UL3XKYU[XIKY3#393UL3VXUIKYYKY

SG_3RKGJ3ZU3JGZG3OTIUTYOYZKTI_

XKY[RZ3OY3TUZ3IUXXKIZ3GTJ3

RUMOIGR
 counter++ could be implemented as

register1 = counter
register1 = register1 + 1
counter = register1
 counter-- could be implemented as

register2 = counter
register2 = register2 - 1
counter = register2

 Consider this execution interleaving with “count = 5” initially:

S0: producer execute register1 = counter {register1 = 5}
S1: producer execute register1 = register1 + 1 {register1 = 6}
S2: consumer execute register2 = counter {register2 = 5}
S3: consumer execute register2 = register2 – 1 {register2 = 4}
S4: producer execute counter = register1 {counter = 6 }
S5: consumer execute counter = register2 {counter = 4}

VXKKSVZOUT 3IGT3I[Z3ZNK3ZGYQ3GTJ3MKZ3GTUZNKX3UTK3

Operating System Concepts – 9th Edition 5.7 Silberschatz, Galvin and Gagne ©2013
 Critical Section Problem
 Consider system of n processes {p0, p1, … pn-1}
 Each process has critical section segment of code
 Process may be changing common variables, updating
table, writing file, etc
 When one process in critical section, no other may be in its
critical section
 Critical section problem is to design protocol to solve this
 Each process must ask permission to enter critical section in
entry section, may follow critical section with exit section,
then remainder section
IG[YK3UL3VXUHRKS3
狣393UL3XKYU[XIKY3GXK3RKYY3ZNGT3T[SHKX3UL3VXUIKYYKY IUSVGXK3VXUIKYYKY3]OZN3IV[Y
狤3UY3SG_3]UXQ3OT3VXKKSVZOUT3SUJK

YUR[ZOUT3SGQK3UY3]UXQ3OT3TU3VXKKSVZOUT3SUJK NOMN3IUYZ

GTJ3SGQK393UL3XKYU[XIKY3IV[Y3#393UL3VXUIKYYKY

Operating System Concepts – 9th Edition 5.8 Silberschatz, Galvin and Gagne ©2013
 Critical Section

 General structure of process Pi

ROQK3G3JUUX3JKZKXSOTK3]NU3KTZKX3LOXYZ

S[YZ3K^KI[ZKJ3OT3YKXOGR
IGTZ3HK3K^KI[ZKJ3OT3VGXGRR GR]G_Y3VXUZKIZKJ VGXZ3UL3IUJK3TGSKJ3IXOZOIGR3

HKIG[YK3OZY3NGY3GT3KJOZ3UT3

YNGXKJ3XKYU[XIK
SGQOTM3Y[XK3]NU3]GOZY3U[ZYOJK3RKZY3

ZNKS3QTU]3TU]3OZY3ZNKOX3ZOSK

VGXZ3UL3IUJK3

JUKY3TUZ3NG\K3

YNGXKJ3XKYU[XIKY

Operating System Concepts – 9th Edition 5.9 Silberschatz, Galvin and Gagne ©2013
 Algorithm for Process Pi

do {

while (turn == j);

critical section
turn = j;

remainder section
} while (true);

Operating System Concepts – 9th Edition 5.10 Silberschatz, Galvin and Gagne ©2013
 Solution to Critical-Section Problem
UT3KTZX_3YKIZOUT

1. Mutual Exclusion - If process Pi is executing in its critical ROSOZKJ3GIIKYY3UX3YOTMRK3

section, then no other processes can be executing in their GIIKYY

critical sections
OL3GT_3VXUIKYYKY3KTJY3LXUS3IXOZOIGR3YKIZOUT3TK^Z3VXUIKYY3]ORR3HK3YKRKIZKJ3ZU3KTZKX3H_3ZKGS3SKSHKXY3

2. Progress - If no process is executing in its critical section and

there exist some processes that wish to enter their critical
section, then the selection of the processes that will enter the
critical section next cannot be postponed indefinitely
]GOZOTM3ZOSK3S[YZ3TUZ3HK3OTLOTOZ_33ZOSK3ROSOZ3S[YZ3K^OYZ

3. Bounded Waiting - A bound must exist on the number of

times that other processes are allowed to enter their critical
sections after a process has made a request to enter its critical
section and before that request is granted
 Assume that each process executes at a nonzero speed
 No assumption concerning relative speed of the n
processes

Operating System Concepts – 9th Edition 5.11 Silberschatz, Galvin and Gagne ©2013
 Critical-Section Handling in OS
Two approaches depending on if kernel is preemptive or non-
preemptive
 Preemptive – allows preemption of process when running
in kernel mode
 Non-preemptive – runs until exits kernel mode, blocks, or
voluntarily yields CPU
Essentially free of race conditions in kernel mode

Operating System Concepts – 9th Edition 5.12 Silberschatz, Galvin and Gagne ©2013
 Peterson’s Solution
 Good algorithmic description of solving the problem
 Two process solution
 Assume that the load and store machine-language
instructions are atomic; that is, cannot be interrupted
 The two processes share two variables:
 int turn;
 Boolean flag[2]

 The variable turn indicates whose turn it is to enter the critical

section
 The flag array is used to indicate if a process is ready to enter
the critical section. flag[i] = true implies that process Pi is
ready!

Operating System Concepts – 9th Edition 5.13 Silberschatz, Galvin and Gagne ©2013
 ]KGQ3狣3ZNOY3YUR[ZOUTY3UTR_3Y[VVUXZ3狤3VXUIKYYKY33]KGQ3狤3ZNKOX3OY3IUSVKZOZOUT3UT3ZKXS3

Algorithm for Process Pi

6O
do {
flag[i] = true;
turn = j;
while (flag[j] && turn = = j);
critical section
flag[i] = false;
remainder section
} while (true);
6P

JU3a3
3333333LRGMA3P3C3#3ZX[K!
3333333Z[XT3#3O!
3333333]NORK3LRGMA3O3C33 3Z[XT3##O!
33333333333333333IXOZOIGR3YKIZOUT
3333333LRGMA3P3C3#3LGRYK!
33333333333333333XKSOTJKX3YKIZOUT
c3]NORK3ZX[K!

Operating System Concepts – 9th Edition 5.14 Silberschatz, Galvin and Gagne ©2013
 Peterson’s Solution (Cont.)
 Provable that the three CS requirement are met:
1. Mutual exclusion is preserved
Pi enters CS only if:
either flag[j] = false or turn = i
2. Progress requirement is satisfied
3. Bounded-waiting requirement is met

Operating System Concepts – 9th Edition 5.15 Silberschatz, Galvin and Gagne ©2013
 Synchronization Hardware
 Many systems provide hardware support for implementing the
critical section code.
 All solutions below based on idea of locking
 Protecting critical regions via locks
 Uniprocessors – could disable interrupts
 Currently running code would execute without preemption
 Generally too inefficient on multiprocessor systems
 Operating systems using this not broadly scalable
 Modern machines provide special atomic hardware instructions
 Atomic = non-interruptible 3K^KI[ZKJ3YKXOGR3
UTR_3狣3ZOSK3K^KI[ZKJ3狣3IV[3GZ3ZOSK
 Either test memory word and set value
 Or swap contents of two memory words

Operating System Concepts – 9th Edition 5.16 Silberschatz, Galvin and Gagne ©2013
 Solution to Critical-section Problem Using Locks

do {
acquire lock KTZX_
critical section
release lock K^OZ
remainder section
} while (TRUE);

Operating System Concepts – 9th Edition 5.17 Silberschatz, Galvin and Gagne ©2013
 test_and_set Instruction
Definition: RUIQ3NGY3ZNOY3\GR[K

boolean test_and_set (boolean *target) 狢3SKGT3TU3RUIQ3狣3SKGTY3RUIQ

{
boolean rv = *target;
*target = TRUE;
return rv:
}
1. Executed atomically
2. Returns the original value of passed parameter
3. Set the new value of passed parameter to “TRUE”.

Operating System Concepts – 9th Edition 5.18 Silberschatz, Galvin and Gagne ©2013
 Solution using test_and_set()

 Shared Boolean variable lock, initialized to FALSE

 Solution:
do {
while (test_and_set(&lock)) KTZX_
; /* do nothing */
/* critical section */
lock = false;
/* remainder section */
} while (true);

Operating System Concepts – 9th Edition 5.19 Silberschatz, Galvin and Gagne ©2013
 compare_and_swap Instruction
Definition:
int compare _and_swap(int *value, int expected, int new_value) {
int temp = *value;

if (*value == expected)
*value = new_value;
return temp;
}
1. Executed atomically
2. Returns the original value of passed parameter “value”
3. Set the variable “value” the value of the passed parameter “new_value”
but only if “value” ==“expected”. That is, the swap takes place only under
this condition.

Operating System Concepts – 9th Edition 5.20 Silberschatz, Galvin and Gagne ©2013
 Solution using compare_and_swap
 Shared integer “lock” initialized to 0;
 Solution:
do {
while (compare_and_swap(&lock, 0, 1) != 0)
; /* do nothing */
/* critical section */
lock = 0;
/* remainder section */
} while (true);

Operating System Concepts – 9th Edition 5.21 Silberschatz, Galvin and Gagne ©2013
 Bounded-waiting Mutual Exclusion with test_and_set

YGZOYL_3ZNK3狥3IUTJOZOUTY 3狣S[ZGR3K^IR[YOUT33狤VXUMXGKYY3

do { 狥HUTJGJKJ3]GOZOTM

waiting[i] = true;
key = true; IUSVRK^33Y[VVUXZKJ3H_3NGXJ]GXK3SG_3
while (waiting[i] && key) TUZ3HK3K^KI[ZGHRK

key = test_and_set(&lock);
waiting[i] = false;
/* critical section */
j = (i + 1) % n;
while ((j != i) && !waiting[j])
j = (j + 1) % n;
if (j == i)
lock = false;
else
H[Y_3]GOZOTM3
waiting[j] = false;
/* remainder section */
} while (true);
TUZ3]OJKR_3[YKJ

Operating System Concepts – 9th Edition 5.22 Silberschatz, Galvin and Gagne ©2013
 S[ZK^ 3IRGYY3]OZN3(UURKGT3\GXOGHRK33狤3SKSHKX3L[TIZOUTY3GIW[OXK33XKRKGYK

Mutex Locks
S[Z[GR3K^IR[YOUT3
YKXOGRY3OTYZX[IZOUTY

 Previous solutions are complicated and generally inaccessible

to application programmers
 OS designers build software tools to solve critical section
problem
 Simplest is mutex lock MKZ3IXOZOIGR3YKIZOUT

 Protect a critical section by first acquire() a lock then

K^OYZ3YKIZOUT release() the lock
 Boolean variable indicating if lock is available or not
 Calls to acquire() and release() must be atomic
 Usually implemented via hardware atomic instructions
 But this solution requires busy waiting TUZ3OTZKXX[VZOHRK3

 This lock therefore called a spinlock

UTR_3狣3OTYZGTZ3

Operating System Concepts – 9th Edition 5.23 Silberschatz, Galvin and Gagne ©2013
 acquire() and release() TU3IUTZK^Z3Y]OZIN

VXUZKIZOUT
 acquire() {
while (!available) GZ3YZGXZ3OZ3OY3ZX[K
; /* busy wait */ VXUZKIZ3IXOZOIGR3YKIZOUT33IV[3ZNXU[MNV[Z3MUKY3JU]T3

available = false;
}
 release() {
available = true;
}
 do {
acquire lock
critical section
release lock
remainder section
} while (true);

Operating System Concepts – 9th Edition 5.24 Silberschatz, Galvin and Gagne ©2013
 YKSGVNUXK 3YGSK3GY3S[ZK^3

Semaphore XKGR3VXUZKIZOUT

 Synchronization tool that provides more sophisticated ways (than Mutex locks)
for process to synchronize their activities.
 Semaphore S – integer variable
 Can only be accessed via two indivisible (atomic) operations
wait() and signal() GZUSOI

 Originally called P() and V()

 Definition of the wait() operation

wait(S) { HKLUXK3IXOZOIGR3YKIZOUT
while (S <= 0) Y 3YKSGVNUXK

; // busy wait
S--;
}
 Definition of the signal() operation
signal(S) {
S++;
}

Operating System Concepts – 9th Edition 5.25 Silberschatz, Galvin and Gagne ©2013
 IGT3HK3[YKJ3]OZNU[Z3ZNK3IXOZOIGR3YKIZOUT3ZU3XKUXJKX3ZNK3IUJK

Semaphore Usage ZU3XKGXXGTMK3ZNK3IUJK

IRGYY3H[Z3OTOZOGR3\GR[K3LUX3IU[TZOTM3YKSGVNUXK3#3T[SHKX3UL3IUVOKY

 Counting semaphore – integer value can range over an unrestricted

domain
 Binary semaphore – integer value can range only between 0 and 1
 Same as a mutex lock
 Can solve various synchronization problems
 Consider P1 and P2 that require S1 to happen before S2
Create a semaphore “synch” initialized to 0
P1:
S1;
signal(synch);
P2:
wait(synch);
S2;
 Can implement a counting semaphore S as a binary semaphore

Operating System Concepts – 9th Edition 5.26 Silberschatz, Galvin and Gagne ©2013
 Semaphore Implementation
 Must guarantee that no two processes can execute the wait()
and signal() on the same semaphore at the same time
 Thus, the implementation becomes the critical section problem
where the wait and signal code are placed in the critical
section
 Could now have busy waiting in critical section
implementation
 But implementation code is short
 Little busy waiting if critical section rarely occupied
 Note that applications may spend lots of time in critical sections
and therefore this is not a good solution

Operating System Concepts – 9th Edition 5.27 Silberschatz, Galvin and Gagne ©2013
 Semaphore Implementation with no Busy waiting

 With each semaphore there is an associated waiting queue

 Each entry in a waiting queue has two data items:
 value (of type integer)
 pointer to next record in the list
 Two operations:
 block – place the process invoking the operation on the
appropriate waiting queue XKVRGIK3OZ3]OZN3]NORK3
 wakeup – remove one of processes in the waiting queue
and place it in the ready queue
 typedef struct{
int value; UVZOSGR3OSVRKSKTZGZOUT3LUX3YKSGVNUXK

struct process *list;

} semaphore;

Operating System Concepts – 9th Edition 5.28 Silberschatz, Galvin and Gagne ©2013
 Implementation with no Busy waiting (Cont.)

ZNKXK3GXK3IUTZK^Z3Y]OZIN3GTJ3
wait(semaphore *S) { W[K[K3K^ZXG3NGXJ]GXK

S->value--; JKIXKSKTZ3TU]3OY3GZ3ZNK3ZUV3UL3]GOZOTM3

if (S->value < 0) {
add this process to S->list;
block(); VXUIKYY3HRUIQ3OZYKRL

}
}

signal(semaphore *S) {
S->value++;
if (S->value <= 0) {
remove a process P from S->list;
wakeup(P); V3NKXK3OTJOIGZKY3ZNK3LOXYZ3VXUIKYY3OY3]GOZOTM3GZ3ZNK3ROYZ

}
}

Operating System Concepts – 9th Edition 5.29 Silberschatz, Galvin and Gagne ©2013
 VXUHRKSY3GVVKGX3ZU3VXUMXGSSKX3]OZN3TUZ3XOMNZ3[YK3YKSGVNUXK

Deadlock and Starvation

 Deadlock – two or more processes are waiting indefinitely for an
event that can be caused by only one of the waiting processes
 Let S and Q be two semaphores initialized to 1
P0 P1
wait(S); wait(Q);
wait(Q); wait(S);
... ...
signal(S); signal(Q);
signal(Q); signal(S);

 Starvation – indefinite blocking LUX3UTR_3狣3VXUIKYY

 A process may never be removed from the semaphore queue in which it is

suspended
 Priority Inversion – Scheduling problem when lower-priority process
holds a lock needed by higher-priority process
 Solved via priority-inheritance protocol

Operating System Concepts – 9th Edition 5.30 Silberschatz, Galvin and Gagne ©2013
 Classical Problems of Synchronization

 Classical problems used to test newly-proposed synchronization

schemes
 Bounded-Buffer Problem
 Readers and Writers Problem
 Dining-Philosophers Problem

GRR3UL3ZNKS3NGY3YNGXKJ3XKYU[XIKY3

Operating System Concepts – 9th Edition 5.31 Silberschatz, Galvin and Gagne ©2013
 Bounded-Buffer Problem

 n buffers, each can hold one item H[LLKX3YO`K

 Semaphore mutex initialized to the value 1 HOTGX_3Z_VK33狢3UX3狣3

 Semaphore full initialized to the value 0 INKIQ3NU]3SGT_3RUIGZOUT3OY3L[RR3GZ3YZGXZ3狢3

HKIG[YK3ZNKXK3OY3TUT3L[RR

 Semaphore empty initialized to the value n

INKIQ3NU]3SGT_3RUIGZOUTY3OY3KSVZ_3GZ3YZGXZ3T3HKIG[YK3GRR3RUIGZOUTY3GXK3KSVZ_

Operating System Concepts – 9th Edition 5.32 Silberschatz, Galvin and Gagne ©2013
 ROSOZKJ3H[LLKX

Bounded Buffer Problem (Cont.)

 The structure of the producer process

do {
...
/* produce an item in next_produced */
...
wait(empty); OL3狢3ZNKT3YZUV3OL3TUZ3IUTZOT[K3

wait(mutex); HRUIQ3LUX3GT_3UZNKX3VXUIKYY3]GTZ3ZU3GIIKYY

...
/* add next produced to the buffer */
...
signal(mutex); RKZ3MU3UZNKX3VXUIKYY3ZU3RKZ3ZNKS3QTU]3ZNKXK3OY3G3VRGIK3LUX3ZNKS

signal(full); L[RR
} while (true);

Operating System Concepts – 9th Edition 5.33 Silberschatz, Galvin and Gagne ©2013
 Bounded Buffer Problem (Cont.)
 The structure of the consumer process

Do {
wait(full); OL3T3IUTZOT[K3OL3狢3YZUV

wait(mutex); HRUIQ3LUX3GT_3UZNKX3VXUIKYY3]GTZ3ZU3GIIKYY

...
/* remove an item from buffer to next_consumed */
...
signal(mutex); RKZ3MU3UZNKX3VXUIKYY3ZU3RKZ3ZNKS3QTU]3ZNKXK3OY3G3VRGIK3LUX3ZNKS

signal(empty); KSVZ_
...
/* consume the item in next consumed */
...
} while (true);
IGT Z3ZKRR3OL3ZNKXK3H[Y_3]GOZOTM33ZNKXK3OY3S[Z[GR3K^IR[YOUT33ZNKXK3OY3VXUMXKYY33ZNKXK3OY3HU[TJKJ3]GOZOTM

LUX3VXUJ[IKX3IUJK3GTJ3IUTY[SKX3IUJK

Operating System Concepts – 9th Edition 5.34 Silberschatz, Galvin and Gagne ©2013
 Readers-Writers Problem
 A data set is shared among a number of concurrent processes
 Readers – only read the data set; they do not perform any updates
 Writers – can both read and write
 Problem – allow multiple readers to read at the same time
 Only one single writer can access the shared data at the same time
 Several variations of how readers and writers are considered – all
involve some form of priorities
 Shared Data
 Data set
 Semaphore rw_mutex initialized to 1
 Semaphore mutex initialized to 1
 Integer read_count initialized to 0

Operating System Concepts – 9th Edition 5.35 Silberschatz, Galvin and Gagne ©2013
 Readers-Writers Problem (Cont.)

 The structure of a writer process

do {
OL3狢3SKGTY3ZNKXK3 wait(rw_mutex); OTOZOGRO`KJ3ZU3狣
RUIQ3IXOZOIGR3YKIZOUT
OY3VXUIKYY3OT3
...
IXOZOIGR3YKIZOUT3
/* writing is performed */
...
signal(rw_mutex);
} while (true);

Operating System Concepts – 9th Edition 5.36 Silberschatz, Galvin and Gagne ©2013
 Readers-Writers Problem (Cont.)
 The structure of a reader process
do {
wait(mutex);
read_count++;
if (read_count == 1)
wait(rw_mutex);
signal(mutex);
...
/* reading is performed */
...
wait(mutex);
read count--;
if (read_count == 0)
signal(rw_mutex);
signal(mutex);
} while (true);

Operating System Concepts – 9th Edition 5.37 Silberschatz, Galvin and Gagne ©2013
 Readers-Writers Problem Variations

 First variation – no reader kept waiting unless writer has

permission to use shared object
 Second variation – once writer is ready, it performs the
write ASAP
 Both may have starvation leading to even more variations
 Problem is solved on some systems by kernel providing
reader-writer locks

Operating System Concepts – 9th Edition 5.38 Silberschatz, Galvin and Gagne ©2013
 T[SHKX3UL3IUJKY3#3T[SHKX3UL3)USVKZOZUXY

Dining-Philosophers Problem

NKXK3]K3]GTZ3狧3IUJKY

 Philosophers spend their lives alternating thinking and eating

 Don’t interact with their neighbors, occasionally try to pick up 2
chopsticks (one at a time) to eat from bowl
 Need both to eat, then release both when done
 In the case of 5 philosophers
 Shared data
 Bowl of rice (data set)
 Semaphore chopstick [5] initialized to 1

Operating System Concepts – 9th Edition 5.39 Silberschatz, Galvin and Gagne ©2013
 Dining-Philosophers Problem Algorithm
 The structure of Philosopher i:
do {
wait (chopstick[i] );
wait (chopStick[ (i + 1) % 5] );

// eat IXOZOIGR3YKIZOUT

signal (chopstick[i] );
signal (chopstick[ (i + 1) % 5] );

// think ]K3TKKJ3狧3YKSGVNUXKY3

} while (TRUE);
 What is the problem with this algorithm?

Operating System Concepts – 9th Edition 5.40 Silberschatz, Galvin and Gagne ©2013
 Dining-Philosophers Problem Algorithm (Cont.)

 Deadlock handling
 Allow at most 4 philosophers to be sitting
simultaneously at the table.
 Allow a philosopher to pick up the forks only if both
are available (picking must be done in a critical
section.
 Use an asymmetric solution -- an odd-numbered
philosopher picks up first the left chopstick and then
the right chopstick. Even-numbered philosopher picks
up first the right chopstick and then the left chopstick.

Operating System Concepts – 9th Edition 5.41 Silberschatz, Galvin and Gagne ©2013
 Problems with Semaphores

 Incorrect use of semaphore operations:

 signal (mutex) …. wait (mutex)

 wait (mutex) … wait (mutex)

 Omitting of wait (mutex) or signal (mutex) (or both)

 Deadlock and starvation are possible.

Operating System Concepts – 9th Edition

^
5.42 Silberschatz, Galvin and Gagne ©2013
 Monitors
 A high-level abstraction that provides a convenient and effective
mechanism for process synchronization
 Abstract data type, internal variables only accessible by code within the
procedure
 Only one process may be active within the monitor at a time
 But not powerful enough to model some synchronization schemes

monitor monitor-name
{
// shared variable declarations
procedure P1 (…) { …. }

procedure Pn (…) {……}

Initialization code (…) { … }

}
}

^ Silberschatz, Galvin and Gagne ©2013

Operating System Concepts – 9th Edition 5.43
 Schematic view of a Monitor

Operating System Concepts – 9th Edition

^
5.44 Silberschatz, Galvin and Gagne ©2013
 Condition Variables

 condition x, y;
 Two operations are allowed on a condition variable:
 x.wait() – a process that invokes the operation is
suspended until x.signal()
 x.signal() – resumes one of processes (if any) that
invoked x.wait()
 If no x.wait() on the variable, then it has no effect on
the variable

Operating System Concepts – 9th Edition

^
5.45 Silberschatz, Galvin and Gagne ©2013
 Monitor with Condition Variables

Operating System Concepts – 9th Edition

^
5.46 Silberschatz, Galvin and Gagne ©2013
 Condition Variables Choices
 If process P invokes x.signal(), and process Q is suspended in
x.wait(), what should happen next?
 Both Q and P cannot execute in paralel. If Q is resumed, then P
must wait
 Options include
 Signal and wait – P waits until Q either leaves the monitor or it
waits for another condition
 Signal and continue – Q waits until P either leaves the monitor or it
waits for another condition
 Both have pros and cons – language implementer can decide
 Monitors implemented in Concurrent Pascal compromise
 P executing signal immediately leaves the monitor, Q is
resumed
 Implemented in other languages including Mesa, C#, Java

Operating System Concepts – 9th Edition

^
5.47 Silberschatz, Galvin and Gagne ©2013
 Monitor Solution to Dining Philosophers
monitor DiningPhilosophers
{
enum { THINKING; HUNGRY, EATING) state [5] ;
condition self [5];

void pickup (int i) {

state[i] = HUNGRY;
test(i);
if (state[i] != EATING) self[i].wait;
}

void putdown (int i) {

state[i] = THINKING;
// test left and right neighbors
test((i + 4) % 5);
test((i + 1) % 5);
}

Operating System Concepts – 9th Edition

^
5.48 Silberschatz, Galvin and Gagne ©2013
 Solution to Dining Philosophers (Cont.)
void test (int i) {
if ((state[(i + 4) % 5] != EATING) &&
(state[i] == HUNGRY) &&
(state[(i + 1) % 5] != EATING) ) {
state[i] = EATING ;
self[i].signal () ;
}
}

initialization_code() {
for (int i = 0; i < 5; i++)
state[i] = THINKING;
}
}

Operating System Concepts – 9th Edition

^
5.49 Silberschatz, Galvin and Gagne ©2013
 Solution to Dining Philosophers (Cont.)

 Each philosopher i invokes the operations pickup() and

putdown() in the following sequence:

DiningPhilosophers.pickup(i);

EAT

DiningPhilosophers.putdown(i);

 No deadlock, but starvation is possible

Operating System Concepts – 9th Edition

^
5.50 Silberschatz, Galvin and Gagne ©2013
 Monitor Implementation Using Semaphores

 Variables

semaphore mutex; // (initially = 1)

semaphore next; // (initially = 0)
int next_count = 0;

 Each procedure F will be replaced by

wait(mutex);
…
body of F;
…
if (next_count > 0)
signal(next)
else
signal(mutex);

 Mutual exclusion within a monitor is ensured

Operating System Concepts – 9th Edition

^
5.51 Silberschatz, Galvin and Gagne ©2013
 Monitor Implementation – Condition Variables

 For each condition variable x, we have:

semaphore x_sem; // (initially = 0)

int x_count = 0;

 The operation x.wait can be implemented as:

x_count++;
if (next_count > 0)
signal(next);
else
signal(mutex);
wait(x_sem);
x_count--;

Operating System Concepts – 9th Edition

^5.52 Silberschatz, Galvin and Gagne ©2013
 Monitor Implementation (Cont.)

 The operation x.signal can be implemented as:

if (x_count > 0) {
next_count++;
signal(x_sem);
wait(next);
next_count--;
}

Operating System Concepts – 9th Edition

^5.53 Silberschatz, Galvin and Gagne ©2013
 Resuming Processes within a Monitor

 If several processes queued on condition x, and x.signal()

executed, which should be resumed?
 FCFS frequently not adequate
 conditional-wait construct of the form x.wait(c)
 Where c is priority number
 Process with lowest number (highest priority) is
scheduled next

Operating System Concepts – 9th Edition

^
5.54 Silberschatz, Galvin and Gagne ©2013
 Single Resource allocation
 Allocate a single resource among competing processes using
priority numbers that specify the maximum time a process
plans to use the resource

R.acquire(t);
...
access the resurce;
...

R.release;

 Where R is an instance of type ResourceAllocator

Operating System Concepts – 9th Edition

^
5.55 Silberschatz, Galvin and Gagne ©2013
 A Monitor to Allocate Single Resource
monitor ResourceAllocator
{
boolean busy;
condition x;
void acquire(int time) {
if (busy)
x.wait(time);
busy = TRUE;
}
void release() {
busy = FALSE;
x.signal();
}
initialization code() {
busy = FALSE;
}
}

Operating System Concepts – 9th Edition

^
5.56 Silberschatz, Galvin and Gagne ©2013
 Synchronization Examples

 Solaris
 Windows
 Linux
 Pthreads

^
Operating System Concepts – 9th Edition 5.57 Silberschatz, Galvin and Gagne ©2013
 Solaris Synchronization
 Implements a variety of locks to support multitasking, multithreading
(including real-time threads), and multiprocessing
 Uses adaptive mutexes for efficiency when protecting data from short
code segments
 Starts as a standard semaphore spin-lock
 If lock held, and by a thread running on another CPU, spins
 If lock held by non-run-state thread, block and sleep waiting for signal of
lock being released
 Uses condition variables
 Uses readers-writers locks when longer sections of code need
access to data
 Uses turnstiles to order the list of threads waiting to acquire either an
adaptive mutex or reader-writer lock
 Turnstiles are per-lock-holding-thread, not per-object
 Priority-inheritance per-turnstile gives the running thread the highest of
the priorities of the threads in its turnstile

Operating System Concepts – 9th Edition

^
5.58 Silberschatz, Galvin and Gagne ©2013
 Windows Synchronization

 Uses interrupt masks to protect access to global resources on

uniprocessor systems
 Uses spinlocks on multiprocessor systems
 Spinlocking-thread will never be preempted
 Also provides dispatcher objects user-land which may act
mutexes, semaphores, events, and timers
 Events
 An event acts much like a condition variable
 Timers notify one or more thread when time expired
 Dispatcher objects either signaled-state (object available)
or non-signaled state (thread will block)

Operating System Concepts – 9th Edition

^
5.59 Silberschatz, Galvin and Gagne ©2013
 Linux Synchronization
 Linux:
 Prior to kernel Version 2.6, disables interrupts to
implement short critical sections
 Version 2.6 and later, fully preemptive
 Linux provides:
 Semaphores
 atomic integers
 spinlocks
 reader-writer versions of both
 On single-cpu system, spinlocks replaced by enabling and
disabling kernel preemption

Operating System Concepts – 9th Edition

^
5.60 Silberschatz, Galvin and Gagne ©2013
 Pthreads Synchronization

 Pthreads API is OS-independent

 It provides:
 mutex locks
 condition variable
 Non-portable extensions include:
 read-write locks
 spinlocks

Operating System Concepts – 9th Edition

^
5.61 Silberschatz, Galvin and Gagne ©2013
 Alternative Approaches

 Transactional Memory

 OpenMP

 Functional Programming Languages

Operating System Concepts – 9th Edition

^
5.62 Silberschatz, Galvin and Gagne ©2013
 Transactional Memory
 A memory transaction is a sequence of read-write operations
to memory that are performed atomically.

void update()
{
/* read/write memory */
}

Operating System Concepts – 9th Edition

^
5.63 Silberschatz, Galvin and Gagne ©2013
 OpenMP
 OpenMP is a set of compiler directives and API that support
parallel progamming.

void update(int value)

{
#pragma omp critical
{
count += value
}
}

The code contained within the #pragma omp critical directive

is treated as a critical section and performed atomically.

Operating System Concepts – 9th Edition

^5.64 Silberschatz, Galvin and Gagne ©2013
 Functional Programming Languages

 Functional programming languages offer a different paradigm

than procedural languages in that they do not maintain state.

 Variables are treated as immutable and cannot change state

once they have been assigned a value.

 There is increasing interest in functional languages such as

Erlang and Scala for their approach in handling data races.

Operating System Concepts – 9th Edition

^5.65 Silberschatz, Galvin and Gagne ©2013
 End of Chapter 5

Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013