1. © Janice Regan, CMPT 300, May 2007 0 CMPT 300 Introduction to Operating Systems Mutual Exclusion Mutexes, Semaphores

2. © Janice Regan, CMPT 300, 2007-2016 1 General form, mutual exclusion  No matter how we implement mutual exclusion, conceptually the following happens in each process using the resource protected my mutal exclusion NonCriticalRegion() StartCriticalRegion() CriticalRegion() EndCriticalRegion() NonCritical Regtion()

3. © Janice Regan, CMPT 300, 2007-2016 2 Implementation  Now we have the basic ideas we need  How do we actually implement mutual exclusion?  There are several approaches  Interrupt disabling  Lock variables  Strict alternation  Special instructions  Peterson’s solution  Message passing  Semaphores and Mutexes  Monitors

4. © Janice Regan, CMPT 300, 2007-2016 3 More about implementation  We have looked at the first five approaches (both hardware and software solutions). All these solutions  Are based on indirect sharing  Processes do not directly communicate  Processes may be competing or indirectly collaborating  Busy waiting (or interrupt disabling) is used to prevent processes from entering critical zones when the resource is busy.  Priority inversion is a possible problem  How does our solution change when we find methods that will avoid busy waiting

5. © Janice Regan, CMPT 300, 2007-2016 4 No busy waiting: sleep/wakeup  How do we avoid busy waiting?  For cooperating processes can use sleep/wakeup (based on signaling)  Need some method to make a process wait for another process to finish its critical region  Put process to ‘sleep’, suspend the process and stop execution  Process does not use CPU while it is ‘asleep’ and waiting its turn  When the process’s turn arrives then ‘wakeup’ the process and allow it to enter and execute its critical region

6. © Janice Regan, CMPT 300, 2007-2016 5 How to  How to we put a process to ‘sleep’, or ‘wakeup’ a process?  Use signaling to a mutual exclusion structure (variable) called a mutex (a binary semaphore) or semaphore (counting semaphore)  The Semaphore (mutex) is the structure including the shared variable that is shared between processes. The execution of a semaphore is an atomic action.  Use system calls (or thread library) to suspend or restart the process  Two signaling functions are needed (to make system calls) one to put a process to sleep one to wake it up

7. © Janice Regan, CMPT 300, 2007-2016 6 Mutex vs Semaphore  When using a mutex (binary semaphore)  Only a single resource can be managed (for example one DMA)  Only useful for mutual exclusion  A mutex is a special case of a semaphore  When using a semaphore  May manage more than one device of the same type with a counting semaphore  Can be used for queuing (sharing or multiple similar resources)

8. © Janice Regan, CMPT 300, 2007-2016 7 Counting semaphore signals Struct semaphore{ int countblocked; queueType queueUpOrDown; }; void semWait( semaphore s) { s.countblocked--; if(s.countblocked < 0) { /*put process in blocked.queue block process */ } void semSignal( semaphore s) { s.countblocked++; if(s.countblocked <= 0) { /* remove a process from blocked.queue put process in ready queue*/ }

9. © Janice Regan, CMPT 300, 2007-2016 8 Semaphore wait operation: go to sleep  The semWait operation  Decrements the semaphore value  If the value is >=0, the process is allowed to run its critical region  If the value is negative then the process is blocked (put to sleep) and placed in the blocked queue

10. © Janice Regan, CMPT 300, 2007-2016 9 Semaphore signal operation: wakeup  The semSignal operation  Increments the semaphore value  If the semaphore value is not positive (<=0) the first process in the blocked queue is woken up and placed in the ready queue

11. © Janice Regan, CMPT 300, 2007-2016 10 Example: counting semaphore  Assume 4 processes A, B, C, D  Processes A B C and D share a single resource  semWait(A) // A claims resource or queues for it  A uses resource  semSignal(A) // A gives back resource  Before beginning process A has run and is presently using the resource (may be waiting for interrupt, or ready to continue)  Process A reaches the end of its time slice and is replaced by D  Begin with D running. D executes a semWait( ) while preparing to use the shared resource.  The semWait( ) decrements the semaphore. Because the semaphore is now -1(<0) process D is blocked and placed in the blocked queue. (D has not yet accessed the resource)

12. © Janice Regan, CMPT 300, 2007-2016 11 Counting semaphore operation C D processor A Semaphore 1 Blocked queue Ready queue B C D processor A Semaphore 0 Blocked queue Ready queue SemWait for A: Step 1 Decrement semaphore B

13. © Janice Regan, CMPT 300, 2007-2016 12 Counting semaphore operation B C processor D Semaphore 0 Blocked queue Ready queue D A B processor C Semaphore Blocked queue Ready queue After SemWait for D A Proc A ready to use resource but swapped at end of time slice

14. © Janice Regan, CMPT 300, 2007-2016 13 Example: counting semaphore  This allows Process C to be loaded into CPU  C executes a semWait( ) while preparing to access the shared resource  The semWait( ) decrements the semaphore.  Because the semaphore is now -2(<0) the process is blocked and placed in the blocked queue.  This allows Process B to be loaded into the CPU  B executes a semWait( ) while preparing to access the shared resource  The semWait( ) decrements the semaphore.  Because the semaphore is now -3(<0) the process is blocked and placed in the blocked queue.

15. © Janice Regan, CMPT 300, 2007-2016 14 Counting semaphore operation C D A processor B semaphore -2 Blocked queue Ready queue C B D processor A semaphore -3 Blocked queue Ready queue After semWait for C After semWait for B

16. © Janice Regan, CMPT 300, 2007-2016 15 Example: counting semaphore  This allows Process A to be loaded into the CPU.  Process A has already completed its semWait() and is ready to complete use the resource.  A uses the resource and then executes a semSignal( ) to indicate that it no longer needs the resource  The semSignal( ) increments the semaphore.  Because the semaphore is now -2(<=0) the first process in the blocked queue, D, is woken up and placed at the end of the ready queue.  Process A continues until it is removed by the scheduler an replaced with process D (from the ready queue).

17. © Janice Regan, CMPT 300, 2007-2016 16 Counting Semaphore operation B C D processor A Semaphore -2 Blocked queue Ready queue B C A processor D Semaphore -2 Blocked queue Ready queue After semSignal for A After A completes its time slice

18. © Janice Regan, CMPT 300, 2007-2016 17 Example: counting semaphore  This allows Process D to be loaded into the CPU.  Process D has already completed its semWait() and is ready to use the resource.  D uses the resource and then executes a semSignal( ) to indicate that it no longer needs the resource  The semSignal( ) increments the semaphore.  Because the semaphore is now -1(<=0) the first process in the blocked queue, C, is woken up and placed at the end of the ready queue.  Process D continues until it is removed by the scheduler an replaced with process A (from the ready queue). D is placed at the end of the ready queue.

19. © Janice Regan, CMPT 300, 2007-2016 18 Counting Semaphore operation B C A processor D Semaphore Blocked queue Ready queue B D C processor A Semaphore Blocked queue Ready queue After semSignal for D After D completes its time slice

20. © Janice Regan, CMPT 300, 2007-2016 19 Example: counting semaphore  This allows Process A to be loaded into the CPU.  Process A continues until it is removed by the scheduler an replaced with process C (from the ready queue). A goes to the end of the ready queue  Process C has already completed its semWait() and is ready to use the resource.  C uses the resource and then executes a semSignal( ) to indicate that it no longer needs the resource  The semSignal( ) increments the semaphore.  Because the semaphore is now 0(<=0) the first process in the blocked queue, B, is woken up and placed at the end of the ready queue.

21. © Janice Regan, CMPT 300, 2007-2016 20 Counting Semaphore operation B A D processor C Semaphore Blocked queue Ready queue A B D processor C Semaphore 0 Blocked queue Ready queue After A completes its time slice After C’s semSignal

22. © Janice Regan, CMPT 300, 2007-2016 21 Example: counting semaphore  Process C continues until it is removed by the scheduler and replaced with process D (from the ready queue). Process C will be placed at the end of the ready queue  Process D continues until it is removed by the scheduler an replaced with process A (from the ready queue). Process D will be placed at the end of the ready queue  Process A continues until it is removed by the scheduler an replaced with process B (from the ready queue). Process A will be placed at the end of the ready queue  Process B has already completed its semWait() and is ready to use the resource. After using the resource process C executes a semSignal().  The semSignal( ) increments the semaphore.  Because the semaphore is now 1 (not <=0) execution of process B continues

23. © Janice Regan, CMPT 300, 2007-2016 22 Counting semaphore operation B C A processor D Semaphore 0 Blocked queue Ready queue C D B processor A Semaphore 1 Blocked queue Ready queue After C completes its time slice After D completes its time slice

24. © Janice Regan, CMPT 300, 2007-2016 23 Counting semaphore operation D A C processor B Semaphore 0 Blocked queue Ready queue D A C processor B Semaphore 1 Blocked queue Ready queue semSignal for B After A completes its time slice

25. Using Semaphores  In the previous example we started with the semaphore value being 1.  If we were sharing 5 DMAs, we could have set the initial value of the semaphore to 5. Then each time a process asked for a DMA it would be given one and the number of available DMAs would be decremented. When the number of available DMAs reached 0 subsequent processes would be blocked until one of the DMAs completed and signaled the semaphore © Janice Regan, CMPT 300, 2007-2016 24

26. © Janice Regan, CMPT 300, 2007-2016 25 Mutex signals Struct mutex{ enum[zero, one] runBlock; queueType queueRunOrBlock; }; void mutexWait( mutex s) { if(s.runBlock == 1) { s.runBlock = 0; } else { //put process in sleep.queue //block process } void mutexSignal( mutex s) { if(sleepQueueEmpty() ) { s.runBlock= 1; } else { // remove a process from sleep.queue //put process in ready queue }

27. © Janice Regan, CMPT 300, 2007-2016 26 Mutex wait operation: go to sleep  The mutexWait operation  Checks the semaphore value  If the value is 1, the value is changed to 0 and the process is allowed to run its critical region  If the value is 0 then the process is blocked (put to sleep) and placed in the blocked queue

28. © Janice Regan, CMPT 300, 2007-2016 27 Mutex signal operation: wakeup  The mutexSignal operation  Checks if there are any processes that are presently blocked (in the blocked queue)  If there are processes in the blocked queue,unblock the first process in the queue  If there are no processes in the blocked queue set the semaphore value to 1

29. © Janice Regan, CMPT 300, 2007-2016 28 Mutex operation C D processor idle Mutex 1 Blocked queue Ready queue B C processor D Mutex 1 Blocked queue Ready queue I nitial State D begins to run A B A

30. © Janice Regan, CMPT 300, 2007-2016 29 Mutex operation B C processor D Mutex 0 Blocked queue Ready queue A A B processor C Mutex 0 Blocked queue Ready queue MutexWait for D: Step 1 Check and Set Mutex to 0 D Proc D ready to use resource but swapped at end of time slice Check mutex value then set to 0

31. © Janice Regan, CMPT 300, 2007-2016 30 Mutex operation A B processor C Mutex 0 Blocked queue Ready queue D C D A processor B Mutex 0 Blocked queue Ready queue MutexWait for C: Step 1 Check Mutex is 0 Mutex wait for C: step 2 Add C to blocked queue Check mutex value

32. © Janice Regan, CMPT 300, 2007-2016 31 Mutex operation C D A processor B Mutex 0 Blocked queue Ready queue B C D processor A Mutex 0 Blocked queue Ready queue MutexWait for B: Step 1 Check Mutex is 0 Mutex wait for B step 2 Add B to blocked queue Check mutex value

33. © Janice Regan, CMPT 300, 2007-2016 32 Mutex operation B C D processor A Mutex 0 Blocked queue Ready queue B C processor D Mutex 0 Blocked queue Ready queue MutexWait for A: Step 1 Check Mutex is 0 A Mutex wait for A step 2 Add A to blocked queue Check mutex value

34. © Janice Regan, CMPT 300, 2007-2016 33 Mutex operation B A C processor D Mutex 0 Blocked queue Ready queue A B C processor D Mutex 0 Blocked queue Ready queue D uses resource: MutexSignal D: step1 MutexSignal for D step 2 move process to ready queue Check for processes in blocked queue

35. © Janice Regan, CMPT 300, 2007-2016 34 Mutex operation A B D processor C Mutex 0 Blocked queue Ready queue Time slice for D complete

36. © Janice Regan, CMPT 300, 2007-2016 35 Mutex operation A B D processor C Mutex 0 Blocked queue Ready queue A B D processor C Mutex 0 Blocked queue Ready queue C uses resource: MutexSignal C: step1 MutexSignal for C step 2 move to ready queue Check for processes in blocked queue

37. © Janice Regan, CMPT 300, 2007-2016 36 Mutex operation A C B processor D Mutex 0 Blocked queue Ready queue Time slice for C complete A D C processor B Mutex 0 Blocked queue Ready queue Time slice for D complete

38. Check for processes in blocked queue © Janice Regan, CMPT 300, 2007-2016 37 Mutex operation A D C processor B Mutex 0 Blocked queue Ready queue D A C processor B Mutex 0 Blocked queue Ready queue B uses resource: MutexSignal B: step1 MutexSignal for B step 2 move process to ready queue

39. © Janice Regan, CMPT 300, 2007-2016 38 Mutex operation A B D processor C Mutex 0 Blocked queue Ready queue Time slice for B complete B C A processor D Mutex 0 Blocked queue Ready queue Time slice for C complete

40. Check for processes in blocked queue © Janice Regan, CMPT 300, 2007-2016 39 Mutex operation C D B processor A Mutex 0 Blocked queue Ready queue C D B processor A Mutex 1 Blocked queue Ready queue Auses resource: MutexSignalA: step1 MutexSignal for A step 2 set mutex value to 1