Operating Systems

PROCESS SYNCHRONIZATION
 A cooperating process is one that can affect or be affected by other processes
executing in the system. Cooperating processes can either directly share a logical
address space (that is, both code and data) or be allowed to share data only through
files or messages.
 Concurrent access to shared data may result in data inconsistency. To maintain data
consistency, various mechanisms is required to ensure the orderly execution of
cooperating processes that share a logical address space.

Producer- Consumer Problem

 A Producer process produces information that is consumed by consumer process.
 To allow producer and consumer process to run concurrently, A Bounded Buffer can
be used where the items are filled in a buffer by the producer and emptied by the
consumer.
 The original solution allowed at most BUFFER_SIZE - 1 item in the buffer at the
same time. To overcome this deficiency, an integer variable counter, initialized to 0
isadded.
 counter is incremented every time when a new item is added to the buffer and is
decremented every time when one item removed from thebuffer.

The code for the producer process can be modified as follows:

while (true) {

/* produce an item and put in nextProduced*/ while

(counter == BUFFER_SIZE)
; // do nothing
buffer [in] = nextProduced;
in = (in + 1) % BUFFER_SIZE;
counter++;
}

The code for the consumer process can be modified as follows:

while (true){
while (counter ==0)
; // donothing
nextConsumed =buffer[out];
out = (out + 1) % BUFFER_SIZE;
counter--;
/* consume the item in nextConsumed */
}

1
 Operating Systems

 Race Condition
When the producer and consumer routines shown above are correct separately, they
may not function correctly when executed concurrently.
 Illustration:
Suppose that the value of the variable counter is currently 5 and that the producer and
consumer processes execute the statements "counter++" and "counter--" concurrently.
The value of the variable counter may be 4, 5, or 6 but the only correct result is
counter == 5, which is generated correctly if the producer and consumer execute
separately.

The value of counter may be incorrect as shown below:

The statement counter++ could be implemented as
register1= counter
register1 = register1 + 1
counter =register1

The statement counter-- could be implemented as

register2 =counter
register2 = register2 – 1
count = register2

The concurrent execution of "counter++" and "counter--" is equivalent to a sequential

execution in which the lower-level statements presented previously are interleaved in some
arbitrary order. One such interleaving is

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 {count =6}
S5: consumer execute counter=register2 {count =4}

 Note: It is arrived at the incorrect state "counter == 4", indicating that four buffers
are full, when, in fact, five buffers are full. If we reversed the order of the statements
at T4 and T5, we would arrive at the incorrect state "counter==6".
 Definition Race Condition: A situation where several processes access and
manipulate the same data concurrently and the outcome of the execution depends on
the particular order in which the access takes place, is called a RaceCondition.
 To guard against the race condition, ensure that only one process at a time can be
manipulating the variable counter. To make such a guarantee, the processes are
synchronized in some way.

2
 Operating Systems

The Critical Section Problems

 Consider a system consisting of n processes {Po, P1 , ... ,Pn-1}.

 Each process has a segment of code, called a critical section in which the process
may be changing common variables, updating a table, writing a file, and soon
 The important feature of the system is that, when one process is executing in its
critical section, no other process is to be allowed to execute in its critical section.
That is, no two processes are executing in their critical sections at the sametime.
 The critical-section problem is to design a protocol that the processes can use to
cooperate.

The general structure of a typical process Pi is shown in below figure.

 Each process must request permission to enter its critical section. The section of code
implementing this request is the entry section.
 The critical section may be followed by an exit section. The remaining code is the
reminder section.

Figure: General structure of a typical process Pi

A solution to the critical-section problem must satisfy the following three requirements:

1. Mutual exclusion:If process Pi is executing in its critical section, then no other

processes can be executing in their criticalsections.

2. Progress:If no process is executing in its critical section and some processes wish to
enter their critical sections, then only those processes that are not executing in their
remainder sections can participate in deciding which will enter its critical section
next, and this selection cannot be postponedindefinitely.

3. Bounded waiting:There exists a bound, or limit, 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 isgranted.

3
 Operating Systems

PETERSON'S SOLUTION
 This is a classic software-based solution to the critical-section problem. There are
no guarantees that Peterson's solution will work correctly on modern computer
architectures
 Peterson's solution provides a good algorithmic description of solving the critical-
section problem and illustrates some of the complexities involved in designing
software that addresses the requirements of mutual exclusion, progress, and
bounded waiting.

Peterson's solution is restricted to two processes that alternate execution between their
critical sections and remainder sections. The processes are numbered Po and P1 or Pi and Pj
where j = 1-i
Peterson's solution requires the two processes to share two data items:
int turn;
boolean flag[2];

 turn: The variable turn indicates whose turn it is to enter its critical section. Ex:
if turn == i, then process Pi is allowed to execute in its criticalsection
 flag: The flag array is used to indicate if a process is ready to enter its critical
section. Ex: if flag [i] is true, this value indicates that Pi is ready to enter its
critical section.

do {
flag[i] = TRUE;
turn = j;
while (flag[j] && turn == j)
; // do nothing
critical section
flag[i] = FALSE;

remainder section

} while (TRUE);

Figure: The structure of process Pi in Peterson's solution

 To enter the critical section, process Pi first sets flag [i] to be true and then sets
turn to the value j, thereby asserting that if the other process wishes to enter the
critical section, it can doso.
 If both processes try to enter at the same time, turn will be set to both i and j at
roughly the same time. Only one of these assignments will last, the other will
occur but will be over written immediately.

4
 Operating Systems

 The eventual value of turn determines which of the two processes is allowed to
enter its critical sectionfirst

To prove that solution is correct, then we need to show that

1. Mutual exclusion ispreserved
2. Progress requirement is satisfied
3. Bounded-waiting requirement is met

1. To prove Mutual exclusion

 Each pi enters its critical section only if either flag [j] == false or turn ==i.
 If both processes can be executing in their critical sections at the same time, then
flag [0] == flag [1]==true.
 These two observations imply that Pi and Pj could not have successfully executed
their while statements at about the same time, since the value of turn can be either 0
or 1 but cannot be both. Hence, one of the processes (Pj) must have successfully
executed the while statement, whereas Pi had to execute at least one additional
statement ("turn==j").
 However, at that time, flag [j] == true and turn == j, and this condition will persist as
long as Pi is in its critical section, as a result, mutual exclusion ispreserved.

2. To prove Progress and Bounded-waiting

 A process Pi can be prevented from entering the critical section only if it is stuck in
the while loop with the condition flag [j] ==true and turn=== j; this loop is the only
onepossible.
 If Pj is not ready to enter the critical section, then flag [j] ==false, and Pi can enter its
criticalsection.
 If Pj has set flag [j] = true and is also executing in its while statement, then either
turn === i or turn ===j.
 If turn == i, then Pi will enter the criticalsection.
 If turn== j, then Pj will enter the criticalsection.
 However, once Pj exits its critical section, it will reset flag [j] = false, allowing Pi to
enter its criticalsection.
 If Pj resets flag [j] to true, it must also set turn to i.
 Thus, since Pi does not change the value of the variable turn while executing the
while statement, Pi will enter the critical section (progress) after at most one entry by
Pj (boundedwaiting).

5
 Operating Systems

SYNCHRONIZATIONHARDWARE
 The solution to the critical-section problem requires a simple tool-alock.
 Race conditions are prevented by requiring that critical regions be protected by
locks. That is, a process must acquire a lock before entering a critical section and
it releases the lock when it exits the critical section

do {
acquire lock
critical section
release lock
remainder section
} while (TRUE);

Figure: Solution to the critical-section problem using locks.

 The critical-section problem could be solved simply in a uniprocessor

environment if interrupts are prevented from occurring while a shared variable
was being modified. In this manner, the current sequence of instructions would be
allowed to execute in order without preemption. No other instructions would be
run, so no unexpected modifications could be made to the sharedvariable.
 But this solution is not as feasible in a multiprocessor environment. Disabling
interrupts on a multiprocessor can be time consuming, as the message is passed to
all the processors. This message passing delays entry into each critical section,
and system efficiency decreases.
TestAndSet ( ) and Swap( ) instructions
 Many modern computer systems provide special hardware instructions that
allowto test and modify the content of a word or to swap the contents of two
words atomically, that is, as one uninterruptibleunit.
 Special instructions such as TestAndSet () and Swap() instructions are used to
solve the critical-sectionproblem
 The TestAndSet () instruction can be defined as shown in Figure. The important
characteristic of this instruction is that it is executedatomically.

Definition:
booleanTestAndSet (boolean *target)
{
booleanrv = *target;
*target = TRUE;
return rv:
}
Figure: The definition of the TestAndSet () instruction.

6
 Operating Systems 18CS43

 Thus, if two TestAndSet () instructions are executed simultaneously, they will be

executed sequentially in some arbitrary order. If the machine supports the
TestAndSet () instruction, then implementation of mutual exclusion can be done by
declaring a Boolean variable lock, initialized to false.

do {
while ( TestAndSet (&lock ))
; // do nothing
// critical section
lock =FALSE;
// remaindersection
} while (TRUE);
Figure: Mutual-exclusion implementation with TestAndSet ()

 The Swap() instruction, operates on the contents of two words, it is defined as shown
below

Definition:
void Swap (boolean *a, boolean *b)
{
boolean temp = *a;
*a = *b;
*b = temp:
}
Figure: The definition of the Swap ( ) instruction
 Swap() it is executed atomically. If the machine supports the Swap() instruction, then
mutual exclusion can be provided as follows.
 A global Boolean variable lock is declared and is initialized to false. In addition, each
process has a local Boolean variable key. The structure of process Pi is shown in
below

do {
key = TRUE;
while ( key == TRUE) Swap
(&lock, &key );

// critical section
lock =FALSE;
// remaindersection
} while (TRUE);

Figure: Mutual-exclusion implementation with the Swap() instruction

 Operating Systems 18CS43

 These algorithms satisfy the mutual-exclusion requirement, they do not satisfy the
bounded- waiting requirement.
 Below algorithm using the TestAndSet () instruction that satisfies all the critical-
section requirements. The common data structures are

boolean waiting[n];
boolean lock;

These data structures are initialized to false.

do {
waiting[i] = TRUE;
key = TRUE;
while (waiting[i] && key)
key = TestAndSet(&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
waiting[j] = FALSE;
// remainder section
} while (TRUE);

Figure:Bounded-waiting mutual exclusion with TestAndSet ()

 Operating Systems

1. To prove the mutual exclusionrequirement

 Note that process Pi can enter its critical section only if either waiting [i] == false or
key ==false.
 The value of key can become false only if the TestAndSet( ) isexecuted.
 The first process to execute the TestAndSet( ) will find key== false; all others must
wait.
 The variable waiting[i] can become false only if another process leaves its critical
section; only one waiting[i] is set to false, maintaining the mutual-exclusion
requirement.

2. To prove the progressrequirement

Note that, the arguments presented for mutual exclusion also apply here, since a process
exiting the critical section either sets lock to false or sets waiting[j] to false. Both allow a
process that is waiting to enter its critical section to proceed.

3. To prove the bounded-waitingrequirement

 Note that, when a process leaves its critical section, it scans the array waiting in the
cyclic ordering (i + 1, i + 2, ... , n 1, 0, ... , i 1).
 It designates the first process in this ordering that is in the entry section (waiting[j]
==true) as the next one to enter the critical section. Any process waiting to enter its
critical section will thus do so within n - 1 turns.

SEMAPHORE

 A semaphore is a synchronization tool is used solve various synchronization

problem and can be implementedefficiently.
 Semaphore do not require busywaiting.
 A semaphore S is an integer variable that, is accessed only through two standard
atomic operations: wait () and signal (). The wait () operation was originally
termed P and signal() was calledV.
Definition of wait ():

wait (S) {
while S <= 0
; // no-op
S--;

Definition of signal ():

signal (S) {
S++;}
 Operating Systems

 All modifications to the integer value of the semaphore in the wait () and signal()
operations must be executed indivisibly. That is, when one process modifies the
semaphore value, no other process can simultaneously modify that same semaphore
value.

Binary semaphore
 The value of a binary semaphore can range only between 0 and1.
 Binary semaphores are known as mutex locks, as they are locks that provide
mutual exclusion. Binary semaphores to deal with the critical-section problem for
multiple processes. Then processes share a semaphore, mutex, initialized to1

Each process Pi is organized as shown in below figure

do {
wait (mutex);
// Critical Section
signal (mutex);
// remainder section
} while (TRUE);

Figure: Mutual-exclusion implementation with semaphores

Counting semaphore
 The value of a counting semaphore can range over an unrestricteddomain.
 Counting semaphores can be used to control access to a given resource
consisting of a finite number ofinstances.
 The semaphore is initialized to the number of resources available. Each process
that wishes to use a resource performs a wait() operation on the semaphore.
When a process releases a resource, it performs a signal()operation.
 When the count for the semaphore goes to 0, all resources are being used. After
that, processes that wish to use a resource will block until the count becomes
greater than 0.

Implementation
 The main disadvantage of the semaphore definition requires busywaiting.
 While a process is in its critical section, any other process that tries to enter its
critical section must loop continuously in the entry code.
 This continual looping is clearly a problem in a real multiprogramming system,
where a single CPU is shared among many processes.
 Operating Systems

 Busy waiting wastes CPU cycles that some other process might be able to use
productively. This type of semaphore is also called a spinlock because the process
"spins" while waiting for thelock.

Semaphore implementation with no busy waiting

 The definition of the wait() and signal() semaphore operations ismodified.
 When a process executes the wait () operation and finds that the semaphore value
is not positive, it mustwait.
 However, rather than engaging in busy waiting, the process can block itself. The
block operation places a process into a waiting queue associated with the
semaphore, and the state of the process is switched to the waiting state. Then
control is transferred to the CPU scheduler, which selects another process
toexecute.
 A process that is blocked, waiting on a semaphore S, should be restarted when
some other process executes a signal() operation. The process is restarted by a
wakeup( ) operation, which changes the process from the waiting state to the
ready state. The process is then placed in the readyqueue.

 To implement semaphores under this definition, we define a semaphore as a "C'

struct:

typedefstruct {
int value;
struct process *list;
} semaphore;
 Each semaphore has an integer value and a list of processes list. When a process must
wait on a semaphore, it is added to the list of processes. A signal() operation removes
one process from the list of waiting processes and awakens that process.

 The wait() semaphore operation can now be defined as:

wait(semaphore *S) {
S->value--;
if (S->value < 0) {
add this process to S-
>list; block();
}}
 Operating Systems

 The signal () semaphore operation can now be defined as

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

 The block() operation suspends the process that invokes it. The wakeup(P)
operation resumes the execution of a blocked process P. These two operations
are provided by the operating system as basic systemcalls.
 In this implementation semaphore values may be negative. If a semaphore value
is negative, its magnitude is the number of processes waiting on thatsemaphore.

Deadlocks and Starvation

 The implementation of a semaphore with a waiting queue may result in a situation

where two or more processes are waiting indefinitely for an event that can be caused
only by one of the waiting processes. The event in question is the execution of a
signal( ) operation. When such a state is reached, these processes are said to be
deadlocked.
 To illustrate this, consider a system consisting of two processes, Po and P1, each
accessing two semaphores, S and Q, set to the value 1

P0 P1
wait(S); wait(Q);
wait(Q); wait(S);
. .
. .
signal(S); signal(Q);
signal(Q); signal(S);

 Suppose that Po executes wait (S) and then P1 executes wait (Q). When Po
executes wait (Q), it must wait until P1 executes signal (Q). Similarly, when P1
executes wait (S), it must wait until Po executes signal(S). Since these signal()
operations cam1ot be executed, Po and P1 are deadlocked.
 Operating Systems

 Another problem related to deadlocks is indefinite blocking or starvation: A

situation in which processes wait indefinitely within the semaphore.
 Indefinite blocking may occur if we remove processes from the list associated with
a semaphore in LIFO (last-in, first-out) order.

CLASSICAL PROBLEMS OF SYNCHRONIZATION

 Bounded-BufferProblem
 Readers and WritersProblem
 Dining-PhilosophersProblem

Bounded-Buffer Problem
 N buffers, each can hold one item
 Semaphore mutexinitialized to the value 1
 Semaphore full initialized to the value0
 Semaphore empty initialized to the value N.

The structure of the producer process:

The structure of the consumerprocess:

 Operating Systems

Readers-Writers Problem
 A data set is shared among a number of concurrentprocesses
 Readers – only read the data set; they do not perform anyupdates
 Writers – can both read andwrite.
 Problem – allow multiple readers to read at the same time. Only one single writer
can access the shared data at the sametime.
 SharedData
 Dataset
 Semaphore mutexinitialized to 1.
 Semaphore wrtinitialized to1.
 Integer readcountinitialized to 0.

The structure of a writerprocess

The structure of a readerprocess

 Operating Systems

Dining-Philosophers Problem

Consider five philosophers who spend their lives thinking and eating. The philosophers
share a circular table surrounded by five chairs, each belonging to one philosopher. In the
center of the table is a bowl of rice, and the table is laid with five singlechopsticks.

A philosopher gets hungry and tries to pick up the two chopsticks that are closest to her
(the chopsticks that are between her and her left and right neighbors). A philosopher
may pick up only one chopstick at a time. When a hungry philosopher has both her
chopsticks at the same time, she eats without releasing the chopsticks. When she is
finished eating, she puts down both chopsticks and starts thinkingagain.
It is a simple representation of the need to allocate several resources among several
processes in a deadlock-free and starvation-freemanner.

Solution:One simple solution is to represent each chopstick with a semaphore. A

philosopher tries to grab a chopstick by executing a wait() operation on thatsemaphore.
She releases her chopsticks by executing the signal() operation on the appropriate
semaphores. Thus, the shared data are
semaphore chopstick[5];

where all the elements of chopstick are initialized to 1. The structure of

philosopher iis shown

Several possible remedies to the deadlock problem are replaced by:

 Allow at most four philosophers to be sitting simultaneously at thetable.
 Operating Systems

 Allowaphilosophertopickupherchopsticksonlyifbothchopsticksareavailable.
 Use an asymmetric solution—that is, an odd-numbered philosopher picks up
first her left chopstick and then her right chopstick, whereas an even numbered
philosopher picks up her right chopstick and then her leftchopstick.

Problems with Semaphores

Correct use of semaphore operations:
 signal (mutex) …. wait (mutex) : Replace signal with wait andvice-versa
 wait (mutex) … wait(mutex)
 Omitting of wait (mutex) or signal (mutex) (orboth)

Monitor
 An abstract data type—or ADT—encapsulates data with a set of functions to
operate on that data that are independent of any specific implementation of the ADT.
 A monitor typeis an ADT that includes a set of programmer defined operations that
are provided with mutual exclusion within the monitor. The monitor type also
declares the variables whose values define the state of an instance of that type, along
with the bodies of functions that operate on those variables. 
 The monitor construct ensures that only one process at a time is active within the
monitor.
 Operating Systems

 To have a powerful Synchronization schemes a condition construct is added to the

Monitor. So synchronization scheme can be defined with one or more variables of type
condition Two operations on a conditionvariable:
Condition x, y
 The only operations that can be invoked on a condition variable are wait() and signal().
The operation
x.wait () – a process that invokes the operation is suspended.
x.signal () – resumes one of processes (if any) that invoked x.wait ()

Fig: Monitor with Condition Variables

 Operating Systems

Solution to Dining Philosophers

Each philosopher I invokes the operations pickup() and putdown() in the following

 For each monitor, a semaphore mutex (initialized to 1) is provided. A process

must execute wait(mutex) before entering the monitor and must execute
signal(mutex) after leaving the monitor.
 Since a signaling process must wait until the resumed process either leaves or
waits, an additional semaphore, next, is introduced, initialized to 0. The
signaling processes can use next to suspend themselves. An integer variable
next_count is also provided to count the number of processes suspended on next.
Thus ,each external function F is replaced by
 Operating Systems

 For each condition x, we introduce a semaphore x sem and an integer variable x

count, both initialized to 0. The operation x.wait() can now be implemented as

 The operation x.signal() can be implementedas

Resuming Processes within a Monitor

If several processes are suspended on condition x, and an x.signal() operation is
executed by some process, then to determine which of the suspended processes should
be resumed next, one simple solution is to use a first-come, first-served (FCFS)
ordering, so that the process that has been waiting the longest is resumed first. For this
purpose, the conditional-wait construct can be used. This construct has theform
x.wait(c);
where c is an integer expression that is evaluated when the wait() operation is executed.
The value of c, which is called a priority number, is then stored with the name of the
process that is suspended. When x.signal() is executed, the process with the smallest
priority number is resumednext.
 Operating Systems

 The Resource Allocator monitor shown in the above Figure, which controls the
allocation of a single resource among competingprocesses.
 A process that needs to access the resource in question must observe the following
sequence:
R.acquire(t);
...
access the resource;
...
R.release();
where R is an instance of type ResourceAllocator.
 The monitor concept cannot guarantee that the preceding access sequence will be
observed. In particular, the following problems can occur:
 A process might access a resource without first gaining access permission to the
resource.
 A process might never release a resource once it has been granted access to the
resource.
 A process might attempt to release a resource that it neverrequested.
 A process might request the same resource twice (without first releasing the
resource).
Operating Systems