Chapter 7: Process Synchronization

 Background
 The Critical-Section Problem
 Semaphores
 Classical Problems of Synchronization
 Background

 Concurrent access to shared data may result in data

inconsistency.
 Maintaining data consistency requires mechanisms to
ensure the orderly execution of cooperating processes.
 Shared-memory solution to bounded-butter problem
(Chapter 4) allows at most n – 1 items in buffer at the
same time. A solution, where all N buffers are used is not
simple.
 Suppose that we modify the producer-consumer code by
adding a variable counter, initialized to 0 and incremented
each time a new item is added to the buffer
 Bounded-Buffer
 Shared data

#define BUFFER_SIZE 10
typedef struct {
...
} item;
item buffer[BUFFER_SIZE];
int in = 0;
int out = 0;
int counter = 0;
 Bounded-Buffer

 Producer process

item nextProduced;

while (1) {
while (counter == BUFFER_SIZE)
; /* do nothing */
buffer[in] = nextProduced;
in = (in + 1) % BUFFER_SIZE;
counter++;
}
 Bounded-Buffer

 Consumer process

item nextConsumed;

while (1) {
while (counter == 0)
; /* do nothing */
nextConsumed = buffer[out];
out = (out + 1) % BUFFER_SIZE;
counter--;
}
 Bounded Buffer

 The statements

counter++;
counter--;

must be performed atomically.

 Atomic operation means an operation that completes in

its entirety without interruption.
 Bounded Buffer

 The statement “count++” may be implemented in

machine language as:

register1 = counter
register1 = register1 + 1
counter = register1

 The statement “count—” may be implemented as:

register2 = counter
register2 = register2 – 1
counter = register2
 Bounded Buffer

 If both the producer and consumer attempt to update the

buffer concurrently, the assembly language statements
may get interleaved.

 Interleaving depends upon how the producer and

consumer processes are scheduled.
 Bounded Buffer

 Assume counter is initially 5. One interleaving of

statements is:

producer: register1 = counter (register1 = 5)

producer: register1 = register1 + 1 (register1 = 6)
consumer: register2 = counter (register2 = 5)
consumer: register2 = register2 – 1 (register2 = 4)
producer: counter = register1 (counter = 6)
consumer: counter = register2 (counter = 4)

 The value of count may be either 4 or 6, where the

correct result should be 5.
 Race Condition

 Race condition: The situation where several processes

access – and manipulate shared data concurrently. The
final value of the shared data depends upon which
process finishes last.

 To prevent race conditions, concurrent processes must

be synchronized.
 The Critical-Section Problem

 n processes all competing to use some shared data

 Each process has a code segment, called critical section,
in which the shared data is accessed.
 Problem – ensure that when one process is executing in
its critical section, no other process is allowed to execute
in its critical section.
Solution to Critical-Section Problem
1. Mutual Exclusion. If process Pi is executing in its critical
section, then no other processes can be executing in their
critical sections.
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.
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.
 Initial Attempts to Solve Problem

 Only 2 processes, P0 and P1

 General structure of process Pi (other process Pj)
do {
entry section
critical section
exit section
reminder section
} while (1);
 Processes may share some common variables to
synchronize their actions.
 Algorithm 1
 Shared variables:
 int turn;
initially turn = 0
 turn =0  P0 can enter its
critical section
 Process P0  Process P1

do do
{ {
while (turn != 0) ; while (turn != 1) ;
critical section critical section
turn = 1; turn = 0;
reminder section reminder section
} while (1); } while (1);

 Satisfies mutual exclusion,

but not progress
 Algorithm 2
 Shared variables
 boolean flag[2];
initially flag [0] = flag
[1] = false.
 flag [0] = true  P0
ready to enter its critical
section
 Process P0  Process P1
do { do {
flag[0] := true; flag[1] := true;
while (flag[1]); while (flag[0]);
critical section critical section
flag [0] = false; flag [1] = false;
remainder section remainder section
} while (1); } while (1);
 Satisfies mutual
exclusion, but not
progress requirement.
 Algorithm 3
 Combined shared variables of
algorithms 1 and 2.
 Process P0  Process P1
do { do {
flag [0]:= true; flag [1]:= true;
turn = 1; turn = 0;
while (flag [1] and turn = 1) ; while (flag [0] and turn = 0) ;
critical section critical section
flag [0] = false; flag [1] = false;
remainder section remainder section
} while (1); } while (1);
 Meets all three requirements;
solves the critical-section
problem for two processes.
 Semaphores

 Synchronization tool that does not require busy waiting.

 Semaphore S – integer variable
 can only be accessed via two indivisible (atomic)
operations
wait (S):
while S 0 do no-op;
S--;

signal (S):
S++;
 Critical Section of n Processes

 Shared data:
semaphore mutex; //initially mutex = 1

 Process Pi:

do {
wait(mutex);
critical section
signal(mutex);
remainder section
} while (1);
 Semaphore Implementation

 Define a semaphore as a record

typedef struct {
int value;
struct process *L;
} semaphore;

 Assume two simple operations:

 block suspends the process that invokes it.
 wakeup(P) resumes the execution of a blocked process P.
 Implementation

 Semaphore operations now defined as

wait(S):
S.value--;
if (S.value < 0) {
add this process to S.L;
block;
}

signal(S):
S.value++;
if (S.value <= 0) {
remove a process P from S.L;
wakeup(P);
}
Semaphore as a General Synchronization Tool

 Execute B in Pj only after A executed in Pi

 Use semaphore flag initialized to 0
 Code:
Pi Pj
 
A wait(flag)
signal(flag) B
 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. A process may never be
removed from the semaphore queue in which it is suspended.
 Two Types of Semaphores

 Counting semaphore – integer value can range over

an unrestricted domain.
 Binary semaphore – integer value can range only
between 0 and 1; can be simpler to implement.
 Can implement a counting semaphore S as a binary
semaphore.
 Implementing S as a Binary Semaphore

 Data structures:
binary-semaphore S1, S2;
int C:
 Initialization:
S1 = 1
S2 = 0
C = initial value of semaphore S
 Implementing S
 wait operation
wait(S1);
C--;
if (C < 0) {
signal(S1);
wait(S2);
}
signal(S1);

 signal operation
wait(S1);
C ++;
if (C <= 0)
signal(S2);
else
signal(S1);
Classical Problems of Synchronization

 Bounded-Buffer Problem

 Readers and Writers Problem

 Dining-Philosophers Problem
 Bounded-Buffer Problem

 Shared data

semaphore full, empty, mutex;

Initially:

full = 0, empty = n, mutex = 1

Bounded-Buffer Problem Producer Process

do {
…
produce an item in nextp
…
wait(empty);
wait(mutex);
…
add nextp to buffer
…
signal(mutex);
signal(full);
} while (1);
Bounded-Buffer Problem Consumer Process

do {
wait(full)
wait(mutex);
…
remove an item from buffer to nextc
…
signal(mutex);
signal(empty);
…
consume the item in nextc
…
} while (1);
 Readers-Writers Problem

 Shared data

semaphore mutex, wrt;

Initially

mutex = 1, wrt = 1, readcount = 0

Readers-Writers Problem Writer Process

wait(wrt);
…
writing is performed
…
signal(wrt);
Readers-Writers Problem Reader Process

wait(mutex);
readcount++;
if (readcount == 1)
wait(rt);
signal(mutex);
…
reading is performed
…
wait(mutex);
readcount--;
if (readcount == 0)
signal(wrt);
signal(mutex):
 Dining-Philosophers Problem

 Shared data
semaphore chopstick[5];
Initially all values are 1
 Dining-Philosophers Problem

 Philosopher i:
do {
wait(chopstick[i])
wait(chopstick[(i+1) % 5])
…
eat
…
signal(chopstick[i]);
signal(chopstick[(i+1) % 5]);
…
think
…
} while (1);
 Chapter 8: Deadlocks

 System Model
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock
 Combined Approach to Deadlock Handling
 The Deadlock Problem

 A set of blocked processes each holding a resource and

waiting to acquire a resource held by another process in
the set.
 Example
 System has 2 tape drives.
 P1 and P2 each hold one tape drive and each needs another
one.
 Example
 semaphores A and B, initialized to 1

P0 P1
wait (A); wait(B)
wait (B); wait(A)
 Bridge Crossing Example

 Traffic only in one direction.

 Each section of a bridge can be viewed as a resource.
 If a deadlock occurs, it can be resolved if one car backs
up (preempt resources and rollback).
 Several cars may have to be backed up if a deadlock
occurs.
 Starvation is possible.
 System Model

 Resource types R1, R2, . . ., Rm

CPU cycles, memory space, I/O devices
 Each resource type Ri has Wi instances.
 Each process utilizes a resource as follows:
 request
 use
 release
 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.

 Mutual exclusion: only one process at a time can use a

resource.
 Hold and wait: a process holding at least one resource
is waiting to acquire additional resources held by other
processes.
 No preemption: a resource can be released only
voluntarily by the process holding it, after that process
has completed its task.
 Circular wait: there exists a set {P0, P1, …, P0} of
waiting processes such that P0 is waiting for a resource
that is held by P1, P1 is waiting for a resource that is held
by
P2, …, Pn–1 is waiting for a resource that is held by
Pn, and P0 is waiting for a resource that is held by P0.
 Resource-Allocation Graph

A set of vertices V and a set of edges E.

 V is partitioned into two types:
 P = {P1, P2, …, Pn}, the set consisting of all the processes in
the system.

 R = {R1, R2, …, Rm}, the set consisting of all resource types

in the system.
 request edge – directed edge P1  Rj
 assignment edge – directed edge Rj  Pi
 Resource-Allocation Graph (Cont.)

 Process

 Resource Type with 4 instances

 Pi requests instance of Rj
Pi
Rj
 Pi is holding an instance of Rj

Pi
Rj
Example of a Resource Allocation Graph
Resource Allocation Graph With A Deadlock
Resource Allocation Graph With A Cycle But No Deadlock
 Basic Facts

 If graph contains no cycles  no deadlock.

 If graph contains a cycle 

 if only one instance per resource type, then deadlock.
 if several instances per resource type, possibility of
deadlock.
 Methods for Handling Deadlocks

 Ensure that the system will never enter a deadlock state.

 Allow the system to enter a deadlock state and then

recover.

 Ignore the problem and pretend that deadlocks never

occur in the system; used by most operating systems,
including UNIX.
 Deadlock Prevention

Restrain the ways request can be made.

 Mutual Exclusion – not required for sharable resources;
must hold for nonsharable resources.

 Hold and Wait – must guarantee that whenever a

process requests a resource, it does not hold any other
resources.
 Require process to request and be allocated all its
resources before it begins execution, or allow process to
request resources only when the process has none.
 Low resource utilization; starvation possible.
 Deadlock Prevention (Cont.)

 No Preemption –
 If a process that is holding some resources requests
another resource that cannot be immediately allocated to it,
then all resources currently being held are released.
 Preempted resources are added to the list of resources for
which the process is waiting.
 Process will be restarted only when it can regain its old
resources, as well as the new ones that it is requesting.

 Circular Wait – impose a total ordering of all resource

types, and require that each process requests resources
in an increasing order of enumeration.
 Deadlock Avoidance

Requires that the system has some additional a priori information

available.
 Simplest and most useful model requires that each
process declare the maximum number of resources of
each type that it may need.

 The deadlock-avoidance algorithm dynamically examines

the resource-allocation state to ensure that there can
never be a circular-wait condition.

 Resource-allocation state is defined by the number of

available and allocated resources, and the maximum
demands of the processes.
 Safe State
 When a process requests an available resource, system must
decide if immediate allocation leaves the system in a safe state.

 System is in safe state if there exists a safe sequence of all

processes.

 Sequence <P1, P2, …, Pn> is safe if for each Pi, the resources
that Pi can still request can be satisfied by currently available
resources + resources held by all the Pj, with j<I.
 If Pi resource needs are not immediately available, then Pi can wait
until all Pj have finished.
 When Pj is finished, Pi can obtain needed resources, execute,
return allocated resources, and terminate.
 When Pi terminates, Pi+1 can obtain its needed resources, and so
on.
 Basic Facts

 If a system is in safe state  no deadlocks.

 If a system is in unsafe state  possibility of deadlock.

 Avoidance  ensure that a system will never enter an

unsafe state.
Safe, Unsafe , Deadlock State
 Resource-Allocation Graph Algorithm

 Claim edge Pi  Rj indicated that process Pj may request

resource Rj; represented by a dashed line.

 Claim edge converts to request edge when a process

requests a resource.

 When a resource is released by a process, assignment

edge reconverts to a claim edge.

 Resources must be claimed a priori in the system.

Resource-Allocation Graph For Deadlock Avoidance
Unsafe State In Resource-Allocation Graph
 Banker’s Algorithm

 Multiple instances.

 Each process must a priori claim maximum use.

 When a process requests a resource it may have to wait.

 When a process gets all its resources it must return them

in a finite amount of time.
 Data Structures for the Banker’s Algorithm

Let n = number of processes, and m = number of resources types.

 Available: Vector of length m. If available [j] = k, there are

k instances of resource type Rj available.
 Max: n x m matrix. If Max [i,j] = k, then process Pi may
request at most k instances of resource type Rj.
 Allocation: n x m matrix. If Allocation[i,j] = k then Pi is
currently allocated k instances of Rj.
 Need: n x m matrix. If Need[i,j] = k, then Pi may need k
more instances of Rj to complete its task.

Need [i,j] = Max[i,j] – Allocation [i,j].

 Safety Algorithm

1. Let Work and Finish be vectors of length m and n,

respectively. Initialize:
Work = Available
Finish [i] = false for i - 1,3, …, n.
2. Find and i such that both:
(a) Finish [i] = false
(b) Needi  Work
If no such i exists, go to step 4.
3. Work = Work + Allocationi
Finish[i] = true
go to step 2.
4. If Finish [i] == true for all i, then the system is in a safe
state.
Resource-Request Algorithm for Process Pi

Request = request vector for process Pi. If Requesti [j] = k

then process Pi wants k instances of resource type Rj.
1. If Requesti  Needi go to step 2. Otherwise, raise error
condition, since process has exceeded its maximum claim.
2. If Requesti  Available, go to step 3. Otherwise Pi must
wait, since resources are not available.
3. Pretend to allocate requested resources to Pi by modifying
the state as follows:
Available = Available = Requesti;
Allocationi = Allocationi + Requesti;
Needi = Needi – Requesti;;
• If safe  the resources are allocated to Pi.
• If unsafe  Pi must wait, and the old resource-allocation
state is restored
 Example of Banker’s Algorithm

 5 processes P0 through P4; 3 resource types A

(10 instances),
B (5instances, and C (7 instances).
 Snapshot at time T0:
Allocation Max Available
ABC ABC ABC
P0 010 753 332
P1 200 322
P2 302 902
P3 211 222
P4 002 433
 Example (Cont.)

 The content of the matrix. Need is defined to be Max –

Allocation.
Need
ABC
P0 743
P1 122
P2 600
P3 011
P4 431
 The system is in a safe state since the sequence < P1, P3, P4,
P2, P0> satisfies safety criteria.
 Example P1 Request (1,0,2) (Cont.)

 Check that Request  Available (that is, (1,0,2)  (3,3,2) 

true.
Allocation Need Available
ABC ABC ABC
P0 0 1 0 743 230
P1 3 0 2 020
P2 3 0 1 600
P3 2 1 1 011
P4 0 0 2 431
 Executing safety algorithm shows that sequence <P1, P3, P4,
P0, P2> satisfies safety requirement.
 Can request for (3,3,0) by P4 be granted?
 Can request for (0,2,0) by P0 be granted?
 Deadlock Detection

 Allow system to enter deadlock state

 Detection algorithm

 Recovery scheme
Single Instance of Each Resource Type

 Maintain wait-for graph

 Nodes are processes.
 Pi  Pj if Pi is waiting for Pj.

 Periodically invoke an algorithm that searches for a cycle

in the graph.

 An algorithm to detect a cycle in a graph requires an

order of n2 operations, where n is the number of vertices
in the graph.
Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

 Several Instances of a Resource Type

 Available: A vector of length m indicates the number of

available resources of each type.

 Allocation: An n x m matrix defines the number of

resources of each type currently allocated to each
process.

 Request: An n x m matrix indicates the current request

of each process. If Request [ij] = k, then process Pi is
requesting k more instances of resource type. Rj.
 Detection Algorithm

1. Let Work and Finish be vectors of length m and n,

respectively Initialize:
(a) Work = Available
(b) For i = 1,2, …, n, if Allocationi  0, then
Finish[i] = false;otherwise, Finish[i] = true.
2. Find an index i such that both:
(a) Finish[i] == false
(b) Requesti  Work

If no such i exists, go to step 4.

 Detection Algorithm (Cont.)

3. Work = Work + Allocationi

Finish[i] = true
go to step 2.

4. If Finish[i] == false, for some i, 1  i  n, then the system is in

deadlock state. Moreover, if Finish[i] == false, then Pi is
deadlocked.

Algorithm requires an order of O(m x n2) operations to detect

whether the system is in deadlocked state.
 Example of Detection Algorithm

 Five processes P0 through P4; three resource types

A (7 instances), B (2 instances), and C (6 instances).
 Snapshot at time T0:
Allocation Request Available
ABC ABC ABC
P0 0 1 0 000 000
P1 2 0 0 202
P2 3 0 3 000
P3 2 1 1 100
P4 0 0 2 002
 Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true
for all i.
 Example (Cont.)

 P2 requests an additional instance of type C.

Request
ABC
P0 0 0 0
P1 2 0 1
P2 0 0 1
P3 1 0 0
P4 0 0 2
 State of system?
 Can reclaim resources held by process P0, but insufficient
resources to fulfill other processes; requests.
 Deadlock exists, consisting of processes P1, P2, P3, and P4.
 Detection-Algorithm Usage

 When, and how often, to invoke depends on:

 How often a deadlock is likely to occur?
 How many processes will need to be rolled back?
 one for each disjoint cycle

 If detection algorithm is invoked arbitrarily, there may be

many cycles in the resource graph and so we would not
be able to tell which of the many deadlocked processes
“caused” the deadlock.
 Recovery from Deadlock: Process Termination

 Abort all deadlocked processes.

 Abort one process at a time until the deadlock cycle is

eliminated.

 In which order should we choose to abort?

 Priority of the process.
 How long process has computed, and how much longer to
completion.
 Resources the process has used.
 Resources process needs to complete.
 How many processes will need to be terminated.
 Is process interactive or batch?
 Recovery from Deadlock: Resource Preemption

 Selecting a victim – minimize cost.

 Rollback – return to some safe state, restart process for

that state.

 Starvation – same process may always be picked as

victim, include number of rollback in cost factor.
Combined Approach to Deadlock Handling

 Combine the three basic approaches

 prevention
 avoidance
 detection
allowing the use of the optimal approach for each of
resources in the system.

 Partition resources into hierarchically ordered classes.

 Use most appropriate technique for handling deadlocks

within each class.
 Reference

ABRAHAM SILBERSCHATZ, PETER BAER GALVIN,

GREG GAGNE, “OPERATING SYSTEM CONCEPTS”, Sixth
Edition, JOHN WILEY & SONS, INC, 2002.