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MODULE 2
Chapter 1: Multi threaded programming
1.1 Introduction:
A thread is a basic unit of CPU utilization. It consists of a thread ID, program counter, a
stack, and a set of registers.
Traditional processes have a single thread of control. It is also called as heavyweight
process. There is one program counter, and one sequence of instructions that can be
carried out at any given time.
A multi-threaded application have multiple threads within a single process, each having
their own program counter, stack and set of registers, but sharing common code, data,
and certain structures such as open files. Such process are called as lightweight
process.

1.1.1 Motivation

Threads are very useful in modern programming whenever a process has multiple tasks
to perform independently of the others.
This is particularly true when one of the tasks may block, and it is desired to allow the
other tasks to proceed without blocking.
For example in a word processor, a background thread may check spelling and grammar
while a foreground thread processes user input ( keystrokes ), while yet a third thread
loads images from the hard drive, and a fourth does periodic automatic backups of the
file being edited.
In a web server - Multiple threads allow for multiple requests to be served
simultaneously. A thread is created to service each request; meanwhile another thread
listens for more client request.
In a web browser one thread is used to display the images and another thread is used to
retrieve data from the network.
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1.1.2 Benefits

The four major benefits of multi-threading are:

1. Responsiveness - One thread may provide rapid response while other threads
are blocked or slowed down doing intensive calculations.
Multi threading allows a program to continue running even if part of it
is blocked or is performing a lengthy operation, thereby increasing
responsiveness to the user.
2. Resource sharing - By default threads share common code, data, and other
resources, which allows multiple tasks to be performed simultaneously in a
single address space.
3. Economy - Creating and managing threads is much faster than performing the
same tasks for processes. Context switching between threads takes less time.
4. Scalability, i.e. Utilization of multiprocessor architectures Multithreading
can be greatly utilized in a multiprocessor architecture. A single threaded
process can make use of only one CPU, whereas the execution of a multi-
threaded application may be split among the available processors.
Multithreading on a multi-CPU machine increases concurrency. In a single
processor architecture, the CPU generally moves between each thread so
quickly as to create an illusion of parallelism, but in reality only one thread is
running at a time.

Multicore Programming

A recent trend in computer architecture is to produce chips with

multiple cores, or CPUs on a single chip.
A multi-threaded application running on a traditional single-core chip, would
have to execute the threads one after another. On a multi-core chip, the threads
could be spread across the available cores, allowing true parallel processing.
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For operating systems, multi-core chips require new scheduling algorithms to

make better use of the multiple cores available.
For application programmers, there are five areas where multi-core chips
present new challenges:
1. Dividing activities - Examining applications to find activities that can
be performed concurrently.
2. Balance - Finding tasks to run concurrently that provide equal value.
I.e. don't waste a thread on trivial tasks.
3. Data splitting - To prevent the threads from interfering with one
another.
4. Data dependency - If one task is dependent upon the results of another,
then the tasks need to be synchronized to assure access in the proper
order.
5. Testing and debugging - Inherently more difficult in parallel
processing situations, as the race conditions become much more
complex and difficult to identify.

1.2 Multithreading Models

There are two types of threads to be managed in a modern system: User

threads and kernel threads.
User threads are the threads that application programmers would put into their
programs. They are supported above the kernel, without kernel support.
Kernel threads are supported within the kernel of the OS itself. All modern OS
support kernel level threads, allowing the kernel to perform multiple tasks
simultaneously.
In a specific implementation, the user threads must be mapped to kernel
threads, using one of the following models.
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a) Many-To-One Model

In the many-to-one model, many user-level threads are all mapped onto a
single kernel thread.

Thread management is handled by the thread library in user space, which is very efficient.
If a blocking system call is made by one of the threads, then the entire process blocks.
Thus blocking the other user threads from continuing the execution.
Only one user thread can access the kernel at a time, as there is only one kernel thread.
Thus the threads are unable to run in parallel on multiprocessors.
Green threads of Solaris and GNU Portable Threads implement the many-to- one model.

b) One-To-One Model

The one-to-one model creates a separate kernel thread to handle each user
thread.
One-to-one model overcomes the problems listed above involving blocking
system calls and the splitting of processes across multiple CPUs.
However the overhead of managing the one-to-one model is more significant,
involving more overhead and slowing down the system.
This model places a limit on the number of threads created.
Linux and Windows from 95 to XP implement the one-to-one model for
threads.

c) Many-To-Many Model

The many-to-many model multiplexes any number of user threads onto an

equal or smaller number of kernel threads, combining the best features of the
one-to-one and many-to-one models.
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Users have no restrictions on the number of threads created.

Blocking kernel system calls do not block the entire process.
Processes can be split across multiple processors.
Individual processes may be allocated variable numbers of kernel threads, depending on
the number of CPUs present and other factors.
This model is also called as two-tier model.
It is supported by operating system such as IRIX, HP-UX, and Tru64 UNIX.

1.3 Threading Issues

a) The fork( ) and exec( ) System Calls
The fork( ) system call is used to create a separate, duplicate process.
When a thread program calls fork( ),
The new process can be a copy of the parent, with all the threads
The new process is a copy of the single thread only (that invoked the
process)

If the thread invokes the exec( ) system call, the program specified in the
parameter to exec( ) will be executed by the thread created.

b) Cancellation
Terminating the thread before it has completed its task is called thread
cancellation. The thread to be cancelled is called target thread.
Example : Multiple threads required in loading a webpage is suddenly
cancelled, if the browser window is closed.

Threads that are no longer needed may be cancelled in one of two ways:
1. Asynchronous Cancellation - cancels the thread immediately.
2. Deferred Cancellation the target thread periodically check whether
it has to terminate, thus gives an opportunity to the thread, to terminate
itself in an orderly fashion.
In this method, the operating system will reclaim all the
resources before cancellation.
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c) Signal Handling
A signal is used to notify a process that a particular event has occurred.

All signals follow same path-

1) A signal is generated by the occurrence of a particular event.
2) A generated signal is delivered to a process.
3) Once delivered, the signal must be handled.

A signal can be invoked in 2 ways : synchronous or asynchronous.

Synchronous signal signal delivered to the same program. Eg illegal memory
access, divide by zero error.
Asynchronous signal signal is sent to another program. Eg Ctrl C

In a single-threaded program, the signal is sent to the same thread. But, in multi-
threaded environment, the signal is delivered in variety of ways, depending on the
type of signal
Deliver the signal to the thread, to which the signal applies.
Deliver the signal to every threads in the process.
Deliver the signal to certain threads in the process.
Deliver the signal to specific thread, which receive all the signals.

A signal can be handled by one of the two ways

Default signal handler - signal is handled by OS.
User-defined signal handler - User overwrites the OS handler.

d) Thread Pools
In multithreading process, thread is created for every service. Eg In web server,
thread is created to service every client request.
Creating new threads every time, when thread is needed and then deleting it when
it is done can be inefficient, as
Time is consumed in creation of the thread.
A limit has to be placed on the number of active threads in the system. Unlimited
thread creation may exhaust system resources.

An alternative solution is to create a number of threads when the process first starts,
and put those threads into a thread pool.
Threads are allocated from the pool when a request comes, and returned to the
pool when no longer needed(after the completion of request).
When no threads are available in the pool, the process may have to wait until
one becomes available.

Benefits of Thread pool

Thread creation time is not taken. The service is done by the thread existing in
the pool. Servicing a request with an existing thread is faster than waiting to
create a thread.
The thread pool limits the number of threads in the system. This is important
on systems that cannot support a large number of concurrent threads.
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The ( maximum ) number of threads available in a thread pool may be determined by

parameters like the number of CPUs in the system, the amount of memory and the
expected number of client request.

e) Thread-Specific Data
Data of a thread, which is not shared with other threads is called thread
specific data.
Most major thread libraries ( pThreads, Win32, Java ) provide support for
thread-specific data.

Example if threads are used for transactions and each transaction has an ID.
This unique ID is a specific data of the thread.

f) Scheduler Activations

Scheduler Activation is the technique used for communication between the user-
thread library and the kernel.
It works as follows:
the kernel must inform an application about certain events. This procedure
is known as an upcall.
Upcalls are handled by the thread library with an upcall handler, and
upcall handlers must run on a virtual processor.

Example - The kernel triggers an upcall occurs when an application thread is

about to block. The kernel makes an upcall to the thread library informing that a
thread is about to block and also informs the specific ID of the thread.

The upcall handler handles this thread, by saving the state of the blocking thread
and relinquishes the virtual processor on which the blocking thread is running.

The upcall handler then schedules another thread that is eligible to run on the
virtual processor. When the event that the blocking thread was waiting for occurs,
the kernel makes another upcall to the thread library informing it that the
previously blocked thread is now eligible to run. Thus assigns the thread to the
available virtual processor.
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1.4 Thread Libraries

Thread libraries provide an API for creating and managing threads.

Thread libraries may be implemented either in user space or in kernel space.
There are three main thread libraries in use
1. POSIX Pthreads - may be provided as either a user or kernel library, as
an extension to the POSIX standard.
2. Win32 threads - provided as a kernel-level library on Windows
systems.
3. Java threads - Since Java generally runs on a Java Virtual Machine, the
implementation of threads is based upon whatever OS and hardware
the JVM is running on, i.e. either Pthreads or Win32 threads depending
on the system.
The following sections will demonstrate the use of threads in all three systems
for calculating the sum of integers from 0 to N in a separate thread, and storing
the result in a variable "sum".

1.4.1 Pthreads

The POSIX standard ( IEEE 1003.1c ) defines the specification for pThreads,
not the implementation.
pThreads are available on Solaris, Linux, Mac OSX, Tru64, and via public
domain shareware for Windows.
Global variables are shared amongst all threads.
One thread can wait for the others to rejoin before continuing.
pThreads begin execution in a specified function, in this example the runner( )
function.
Pthread_create() function is used to create a thread.
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Figure 4.9

1.4.2 Win32 Threads

Similar to pThreads. Examine the code example to see the differences, which
are mostly syntactic & nomenclature.
Here summation() function is used to perform the separate thread function.
CreateThread() is the function to create a thread.
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1.4.3 Java Threads

ALL Java programs use Threads.

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The creation of new Threads requires to implement the Runnable Interface,

which contains a built-in method "public void run( )" . The Thread class will
have to overwrite the built-in function run( ), in which the thread code should be
written.
Creating a Thread Object does not start the thread running - To start the thread,
the built-in start( ) method should be invoked, which in turn call the run()
method(where statements to be executed by thread are written).
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Chapter 2: CPU SCHEDULING

2.1 BASIC CONCEPTS

In a single-processor system, only one process can run at a time; other processes must
wait until the CPU is free. The objective of multiprogramming is to have some process
running at all times in processor, to maximize CPU utilization.

In multiprogramming, several processes are kept in memory at one time. When one
process has to wait, the operating system takes the CPU away from that process and gives the
CPU to another process. This pattern continues. Every time one process has to wait, another
process can take over use of the CPU. Scheduling of this kind is a fundamental operating-
system function. Almost all computer resources are scheduled before use. The CPU is one of
the primary computer resources. Thus, its scheduling is central to operating-system design.

2.1.1 CPU-I/O Burst Cycle

Process execution consists of a cycle of CPU execution and I/O wait. The state of
process under execution is called CPU burst and the state of process under I/O request
& its handling is called I/O burst.
Processes alternate between these two states. Process execution begins with a CPU
burst. That is followed by an I/O burst, which is followed by another CPU burst, then
another I/O burst, and so on.
Eventually, the final CPU burst ends with a system request to terminate execution as
shown in the following figure:

Figure 2.6 Alternating sequence of CPU and I/O bursts

Figure 2.7 Histogram of CPU-burst durations

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2.1.2 CPU Scheduler

Whenever the CPU becomes idle, the operating system must select one of the processes from the
ready queue to be executed. The selection process is carried out by the short-term scheduler (or
CPU scheduler). The scheduler selects a process from the processes in memory that are ready to
execute and allocates the CPU to that process.
A ready queue can be implemented as a FIFO queue, a priority queue, a tree, or simply an
unordered linked list. All the processes in the ready queue are lined up waiting for a chance
to run on the CPU. The records in the queues are generally process control blocks (PCBs) of
the processes.
Non - Preemptive Scheduling once the CPU has been allocated to a process, the process
keeps the CPU until it releases the CPU either by terminating or by switching to the waiting
state.
Preemptive Scheduling The process under execution, may be released from the CPU, in
the middle of execution due to some inconsistent state of the process.
2.1.3 Preemptive Scheduling
CPU-scheduling decisions may take place under the following four circumstances:
1. When a process switches from the running state to the waiting state (for example, as the
result of an I/O request or an invocation of wait for the termination of one of the child
processes)
2. When a process switches from the running state to the ready state (ioi example, when an
interrupt occurs)
3. When a process switches from the waiting state to the ready state (for example, at
completion of I/O)
4. When a process terminates
When scheduling takes place only under circumstances 1 and 4, we say that the scheduling
scheme is non preemptive or cooperative; otherwise, it is preemptive

2.1.4 Dispatcher
Another component involved in the CPU-scheduling function is the dispatcher. The
dispatcher is the module that gives control of the CPU to the process selected by the short-
term scheduler. This function involves the following:

Switching context
Switching to user mode
Jumping to the proper location in the user program to restart that program

The dispatcher should be as fast as possible, since it is invoked during every process
switch. The time it takes for the dispatcher to stop one process and start another running is
known as the dispatch latency.

2.1.5 Scheduling Criteria

Different CPU scheduling algorithms have different properties, and the choice of a
particular algorithm may favour one class of processes over another. Many criteria have been
suggested for comparing CPU scheduling algorithms. The criteria include the following:

CPU utilization - The CPU must be kept as busy as possible. Conceptually, CPU
utilization can range from 0 to 100 percent. In a real system, it should range from 40 to 90
percent .
Throughput - If the CPU is busy executing processes, then work is done fast. One
measure of work is the number of processes that are completed per time unit, called
throughput.
Turnaround time - From the point of view of a particular process, the important
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criterion is how long it takes to execute that process. The interval from the time of
submission of a process to the time of completion is the turnaround time. Turnaround
time is the sum of the periods spent waiting to get into memory, waiting in the ready
queue, executing on the CPU, and doing I/O.
Time spent waiting (to get into memory + ready queue + execution + I/O)
Waiting time - The total amount of time the process spends waiting in the ready queue.
Response time - The time taken from the submission of a request until the first response
is produced is called the response time. It is the time taken to start responding. In
interactive system, response time is given criterion.

It is desirable to maximize CPU utilization and throughput and to minimize turnaround

time, waiting time, and response time.
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2.3 Scheduling Algorithms

CPU scheduling deals with the problem of deciding which of the processes in
the ready queue is to be allocated the CPU.

2.3.1 First-Come, First-Served Scheduling

Other names of this algorithm are:
First-In-First-Out (FIFO)
Run-to-Completion
Run-Until-Done

First-Come-First-Served algorithm is the simplest scheduling algorithm.

Processes are dispatched according to their arrival time on the ready queue.
This algorithm is always nonpreemptive, once a process is assigned to CPU, it
runs to completion.

Advantages :
more predictable than other schemes since it offers time
code for FCFS scheduling is simple to write and understand

Disadvantages:
Short jobs(process) may have to wait for long time
Important jobs (with higher priority) have to wait
cannot guarantee good response time
average waiting time and turn around time is often quite long
lower CPU and device utilization.

Example:-
Process Burst Time
P1 24
P2 3
P3 3
Suppose that the processes arrive in the order: P1, P2 , P3
The Gantt Chart for the schedule is:

P1 P2 P3
0 24 27 30

Waiting time for P1 = 0; P2 = 24; P3 = 27

Average waiting time: (0 + 24 + 27)/3 = 17

Suppose that the processes arrive in the order P2 , P3 , P1

The Gantt chart for the schedule is:

P2 P3 P1
0 3 6 30
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Waiting time for P1 = 6; P2 = 0; P3 = 3

Average waiting time: (6 + 0 + 3)/3 =
Much better than previous case

Here, there is a Convoy effect, as all the short processes wait for the completion of one
big process. Resulting in lower CPU and device utilization.

2.3.2 Shortest-Job-First Scheduling

The CPU is assigned to the process that has the smallest next CPU burst.
If two processes have the same length CPU burst, FCFS scheduling is used to break the tie.
For long-term scheduling in a batch system, we can use the process time limit specified by
the user,

SJF can't be implemented at the level of short-term scheduling, because there is no way to
know the length of the next CPU burst
Advantage:
The SJF is optimal, i.e. it gives the minimum average waiting time for a given set
of processes.
Disadvantage:
Determining the length of the next CPU burst.
SJF algorithm may be either 1) non-preemptive or
preemptive.
Non preemptive SJF
The current process is allowed to finish its CPU burst.
Preemptive SJF
If the new process has a shorter next CPU burst than what is left of the executing
process, that process is preempted.
It is also known as SRTF scheduling (Shortest-Remaining-Time-First).
Example (for non-preemptive SJF): Consider the following set of processes, with the length
of the CPU-burst time given in milliseconds.

For non-preemptive SJF, the Gantt Chart is as follows:

Waiting time for P1 = 3; P2 = 16; P3 = 9; P4=0

Average waiting time: (3 + 16 + 9 + 0)/4 = 7
Example (preemptive SJF): Consider the following set of processes, with the length of the
CPU-burst time given in milliseconds.

For preemptive SJF, the Gantt Chart is as follows:

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Process P1 is started at time 0, since it is the only process in the queue. Process P 2 arrives at
time 1. The remaining time for process P 1 (7 milliseconds) is larger than the time required by
process P2 (4 milliseconds), so process P1 is preempted, and process P2 is scheduled. The
average waiting time for this example is ((10 -1) + (1-1) + (17 - 2) + (5- 3))/4 = 26/4 = 6.5
milliseconds.

2.3.3 Priority Scheduling

A priority is associated with each process.
The CPU is allocated to the process with the highest priority.
Equal-priority processes are scheduled in FCFS order.
Priorities can be defined either internally or externally.
1) Internally-defined priorities.
Use some measurable quantity to compute the priority of a process.
For example: time limits, memory requirements, no. of open files.
Externally-defined priorities.
Set by criteria that are external to the OS
For example:
importance of the process
political factors
Priority scheduling can be either preemptive or nonpreemptive.
Preemptive
The CPU is preempted if the priority of the newly arrived process is higher than the
priority of the currently running process.
Non Preemptive
The new process is put at the head of the ready-queue
Advantage:
1) Higher priority processes can be executed first.
Disadvantage:
1) Indefinite blocking, where low-priority processes are left waiting indefinitely
for CPU.
Solution: Aging is a technique of increasing priority of processes that wait in system
for a long time.
Example: Consider the following set of processes, assumed to have arrived at time 0, in the
order PI, P2, ..., P5, with the length of the CPU-burst time given in milliseconds.

The Gantt chart for the schedule is as follows:

The average waiting time is 8.2 milliseconds.

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2.3.4 Round-Robin Scheduling

Designed especially for timesharing systems.
It is similar to FCFS scheduling, but with preemption.
A small unit of time is called a time quantum (or time slice).
Time quantum is ranges from 10 to 100 ms.
The ready-queue is treated as a circular queue.
The CPU scheduler
goes around the ready-queue and
allocates the CPU to each process for a time interval of up to 1 time quantum.
To implement:
The ready-queue is kept as a FIFO queue of processes
CPU scheduler
Picks the first process from the ready-queue.
Sets a timer to interrupt after 1 time quantum and
Dispatches the process.
One of two things will then happen.
The process may have a CPU burst of less than 1 time
quantum. In this case, the process itself will
release the CPU voluntarily.
If the CPU burst of the currently running process is longer than 1
time quantum, the timer will go off and will cause an interrupt to
the OS.
The process will be put at the tail of the ready-queue.
Advantage:
1) Higher average turnaround than SJF.
Disadvantage:
1) Better response time than SJF.
Example: Consider the following set of processes that arrive at time 0, with the length of the
CPU- burst time given in milliseconds.

The Gantt chart for the schedule is as follows:

The average waiting time is 17/3 = 5.66 milliseconds.

The RR scheduling algorithm is preemptive.
No process is allocated the CPU for more than 1 time quantum in a row. If a process'
CPU burst exceeds 1 time quantum, that process is preempted and is put back in the
ready-queue..
The performance of algorithm depends heavily on the size of the time quantum (Figure 2.8 &
2.9).
If time quantum=very large, RR policy is the same as the FCFS policy.
If time quantum=very small, RR approach appears to the users as though
each of n processes has its own processor running at l/n the speed of the real
processor.
In software, we need to consider the effect of context switching on the performance of RR
scheduling
Larger the time quantum for a specific process time, less time is spend on context
switching.
The smaller the time quantum, more overhead is added for the purpose of context-
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switching.

2.3.5 Multilevel Queue Scheduling

A multilevel queue scheduling algorithm partitions the ready queue into several
separate queues (Figure 2.10).
The processes are permanently assigned to one queue, generally based on some
property of the process, such as memory size, process priority, or process type. Each
queue has its own scheduling algorithm.
For example, separate queues might be used for foreground and background
processes.
The foreground queue might be scheduled by an RR algorithm, while the
background queue is scheduled by an FCFS algorithm.

There must be scheduling among the queues, which is commonly implemented as fixed-
priority preemptive scheduling.
For example, the foreground queue may have absolute priority over the background
queue.
Time slice: each queue gets a certain amount of CPU time which it can schedule amongst
its processes; i.e., 80% to foreground in RR
20% to background in FCFS
Let's look at an example of a multilevel queue scheduling algorithm with five
queues, listed below in order of priority:
1. System processes
2. Interactive processes
3. Interactive editing processes
4. Batch processes
5. Student processes

2.3.6 Multilevel Feedback-Queue Scheduling

A process may move between queues (Figure 2.11).

The basic idea:
Separate processes according to the features of their CPU bursts. For example
1) If a process uses too much CPU time, it will be moved to a lower-priority queue.
¤ This scheme leaves I/O-bound and interactive processes in the higher-priority
queues.
2) If a process waits too long in a lower-priority queue, it may be moved to a higher-
priority queue
¤ This form of aging prevents starvation.
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Figure 2.11 Multilevel feedback queues.

In general, a multilevel feedback queue scheduler is defined by the following parameters:

The number of queues.
The scheduling algorithm for each queue.
The method used to determine when to upgrade a process to a higher priority queue.
The method used to determine when to demote a process to a lower priority queue.
The method used to determine which queue a process will enter when that process needs service.
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2.4 MULTIPLE-PROCESSOR SCHEDULING

If multiple CPUs are available, the scheduling problem becomes more complex.

2.4.1 Approaches to Multiple-Processor Scheduling

1) Asymmetric Multiprocessing
The basic idea is:
A master server is a single processor responsible for all scheduling
decisions, I/O processing and other system activities.
The other processors execute only user code.
Advantage:
i) This is simple because only one processor accesses the system data
structures, reducing the need for data sharing.
2) Symmetric Multiprocessing
The basic idea is:
i) Each processor is self-scheduling.
ii) To do scheduling, the scheduler for each processor
Examines the ready-queue and
Selects a process to execute.
Restriction: We must ensure that two processors do not choose the same process
and that processes are not lost from the queue.

2.4.2 Processor Affinity

Consider what happens to cache memory when a process has been running on a specific
processor: The data most recently accessed by the process populates the cache for the
processor; and as a result, successive memory accesses by the process are often satisfied in
cache memory. Now, if the process migrates to another processor, the contents of cache
memory must be invalidated for the processor being migrated from, and the cache for the
processor being migrated to must be re-populated.
Because of the high cost of invalidating and re-populating caches, most SMP systems try
to avoid migration of processes from one processor to another and instead attempt to keep a
process running on the same processor. This is known as processor affinity, meaning that a
process has an affinity for the processor on which it is currently running.
Two forms:
Soft Affinity
When an OS try to keep a process on one processor because of policy, but cannot
guarantee it will happen.
It is possible for a process to migrate between processors.
Hard Affinity
When an OS have the ability to allow a process to specify that it is not to migrate to
other processors. Eg: Solaris OS

2.4.3 Load Balancing

This attempts to keep the workload evenly distributed across all processors in an SMP system.
Two approaches:
1)Push Migration
A specific task periodically checks the load on each processor and if it finds an
imbalance, it evenly distributes the load to idle processors.
2)Pull Migration
An idle processor pulls a waiting task from a busy processor.

2.4.4 Symmetric Multithreading

SMP systems allow several threads to run concurrently by providing multiple physical
processors. An alternative strategy is to provide multiple logical rather than physical
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processors.
Such a strategy is known as symmetric multithreading (or SMT). It has termed
hyperthreading technology.
The basic idea:
1) Create multiple logical processors on the same physical processor.
2) Present a view of several logical processors to the OS.
Each logical processor has its own architecture state, which includes general-purpose and
machine- state registers.
Each logical processor is responsible for its own interrupt handling.
SMT is a feature provided in hardware, not software.
The following figure illustrates a typical SMT architecture with two physical processors, each
housing two logical processors. From the operating system's perspective, four processors are
available for work on this system.

Fig: A typical SMT architecture

2.5 THREAD SCHEDULING

On operating systems that support user-level and kernel-level threads, it is kernel-

level threads not processes that are being scheduled by the operating system.
User-level threads are managed by a thread library, and the kernel is unaware of
them. To run on a CPU, user- level threads must ultimately be mapped to an
associated kernel-level thread, although this mapping may be indirect and may use a
lightweight process (LWP).
2.5.1 Contention Scope
One distinction between user-level and kernel-level threads lies in how they are scheduled.
On systems implementing the many-to-one and many-to-many models, the thread library
schedules user-level threads to run on an available LWP, a scheme known as process-
contention scope (PCS).
To decide which kernel thread to schedule onto a CPU, the kernel uses system-contention
scope (SCS). Competition for the CPU with SCS scheduling takes place among all threads in
the system.
Typically, PCS is done according to priority the scheduler selects the runnable thread with
the highest priority to run. User-level thread priorities are set by the programmer. PCS will
typically preempt the thread currently running in favor of a higher-priority thread.

2.5.2 Pthread Scheduling:

Pthreads identifies the following contention scope values:

 [OPERATING SYSTEMS-18CS43]

PTHREAD_SCOPE_PROCESS schedules threads using PCS scheduling.

PTHREAD_SCOPE_SYSTEM schedules threads using SCS scheduling.

On systems implementing the many-to-many model, the PTHREAD_SCOPE_PROCESS

policy schedules user-level threads onto available LWPs. The number of LWPs is maintained
by the thread library, perhaps using scheduler activations. The
PTHREAD_SCOPE_SYSTEM scheduling policy will create and bind an LWP for each user-
level thread on many-to-many systems, effectively mapping threads using the one-to-one
policy.
The Pthread IPC provides the following two functions for getting and setting the
contention scope policy;
pthread_attr_setscope (pthread_attr_t *attr, int scope)
pthread_attr_getscope (pthread_attr_t *attr, int *scope)

The first parameter for both functions contains a pointer to the attribute set for the thread.
The second parameter for the pthread_attr_setscope () function is passed either the
THREAD_SCOPE_SYSTEM or PTHREAD_SCOPE_PROCESS value, indicating how the
contention scope is to be set. In the case of pthread_attr_getscope(), this second parameter
contains a pointer to an int value that is set to the current value of the contention scope. If an
error occurs, each of these functions returns non-zero values.
 [OPERATING SYSTEM-18CS43]

Chapter 3: Process Synchronization

3.1Background
Co-operating process is one that can affect or be affected by other processes.
Co-operating processes may either
share a logical address-space (i.e. code & data) or
share data through files or
messages through threads.
Concurrent-access to shared-data may result in data-inconsistency.
To maintain data-consistency:
The orderly execution of co-operating processes is necessary.
Suppose that we wanted to provide a solution to producer-consumer problem that
fills all buffers. We can do so by having an variable counter that keeps track of the no.
of full buffers.
Initially, counter=0.
counter is incremented by the producer after it produces a new buffer.
counter is decremented by the consumer after it consumes a buffer.
Shared-data:

Producer Process: Consumer Process:

A situation where several processes access & manipulate same data concurrently and the
outcome of the execution depends on particular order in which the access takes place, is
called a race condition.
Example:
counter++ could be implemented as: counter may be implemented
as:

Consider this execution interleaving with counter = 5 initially:

The value of counter may be either 4 or 6, where the correct result should be 5. This is an
example for race condition.
 [OPERATING SYSTEM-18CS43]

To prevent race conditions, concurrent-processes must be synchronized.

3.2 The Critical-Section Problem

Consider a system consisting of n processes {P0, P1, ...,
of code, called a critical section, in which the process may be changing common variables,
updating a table, writing a file, and so on. when one process is executing in its critical section,
no other process is allowed to execute in its critical section.
Critical section is a segment-of-code in which a process may be
changing common variables
updating a table or
writing a file.
Each process has a critical-section in which the shared-data is accessed.
General structure of a typical process has following (Figure 2.12):
Entry-section
Requests permission to enter the critical-section.
Critical-section
Mutually exclusive in time i.e. no other process can execute in its critical-section.
Exit-section
Follows the critical-section.
Remainder-section

The general structure of a typical process Pi is shown in Figure

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 critical sections.

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 postponed indefinitely.
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 is granted.
 [OPERATING SYSTEM-18CS43]

Two general approaches are used to handle critical sections in operating systems:
Preemptive kernels: A preemptive kernel allows a process to be preempted while it
is running in kernel mode.
Nonpreemptive kernels.. A nonpreemptive kernel does not allow a process running
in kernel mode to be preempted; a kernel-mode process will run until it exits kernel
mode, blocks, or voluntarily yields control of the CPU.
6.3 Solution

A classic software-based solution to the critical-section problem known as

solution. It addresses the requirements of mutual exclusion, progress, and bounded waiting.
It Is two process solution.
Assume that the LOAD and STORE instructions are atomic; that is, cannot be
interrupted
The two processes share two variables:
int turn;
Boolean flag[2];
where turn = indicates whose turn it is to enter its critical-section.
(i.e., if turn==i, then process Pi is allowed to execute in its
critical-section). flag = used to indicate if a process is ready to
enter its critical-section.
(i.e. if flag[i]=true, then Pi is ready to enter its critical-section).
The structure of process Pi solution:

To enter the critical-section,

firstly process Pi sets flag[i] to be true and
then sets turn to the value j.
If both processes try to enter at the same time, turn will be set to both i and j at roughly the same time.
The final value of turn determines which of the 2 processes is allowed to enter its critical-section first.

It proves that
1. Mutual exclusion is preserved
2. Progress requirement is satisfied
3. Bounded-waiting requirement is met
 [OPERATING SYSTEM-18CS43]

3.4 Synchronization Hardware

Hardware based Solution for Critical-section Problem
Software-
architectures. Simple hardware instructions can be used effectively in solving the critical-
section problem. These solutions are based on the locking that is, protecting critical
regions through the use of locks.

Solution to Critical Section problem using locks

Hardware instructions for solving critical-section problem
Modern systems provide special hardware instructions
to test & modify the content of a word atomically or
to swap the contents of 2 words atomically.
Atomic-operation means an operation that completes in its entirety without interruption.

TestAndSet()
The definition of the test and set() instruction

Using test and set() instruction, mutual exclusion can be implemented by declaring a
boolean variable lock, initialized to false. The structure of process Pi is shown in
Figure:

Mutual-exclusion implementation with .

Using Swap() instruction, mutual exclusion can be provided as : A global Boolean

variable lock is declared and is initialized to false and each process has a local
Boolean variable key.
 [OPERATING SYSTEM-18CS43]

The definition of the Swap() instruction

Mutual exclusion implementation with Swap() instruction

Test and Set() instruction & Swap() Instruction do not satisfy the bounded-waiting requirement.

Fig: Bounded-waiting mutual exclusion with

3.5 Semaphores
 [OPERATING SYSTEM-18CS43]

The hardware-based solutions to the critical-section problem are complicated as well as generally
inaccessible to application programmers. So operating-systems designers build software tools to
solve the critical-section problem, and this synchronization tool called as Semaphore.
Semaphore S is an integer variable
Two standard operations modify S: wait() and signal()
Originally called P() and V()
Can only be accessed via two indivisible (atomic) operations

Must guarantee that no two processes can execute wait () and signal () on the same
semaphore at the same time.
3.5.1 Usage:
Semaphore classified into:
Counting semaphore: Value can range over an unrestricted domain.

Binary semaphore(Mutex locks): Value can range only between from 0 & 1. It provides
mutual exclusion.
Solution for Critical-section Problem using Binary Semaphores
Binary semaphores can be used to solve the critical-section problem for multiple processes.
The processes share a semaphore mutex initialized to 1 (Figure 2.20).

Figure 2.20 Mutual-exclusion implementation with semaphores

Use of Counting Semaphores

Counting semaphores can be used to control access to a given resource consisting of a finite
number o£ instances.
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 (thereby
 [OPERATING SYSTEM-18CS43]

decrementing the count).

When a process releases a resource, it performs a signal() operation (incrementing the count).
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.
Solving Synchronization Problems
Semaphores can also be used to solve synchronization problems.
For example, consider 2 concurrently running-processes:
P1 with a statement
S1 and P2 with a
statement S2.
Suppose we require that S2 be executed only after S1 has completed.
We can implement this scheme readily
by letting P1 and P2 share a common semaphore synch initialized to 0, and
by inserting the following statements in

process P1 and the following statements in

process P2

Because synch is initialized to 0, P2 will execute S2 only after P1 has invoked signal (synch), which is
after statement S1 has been executed.

3.5.2 Implementation:
Main disadvantage of semaphore: Busy waiting.
Busy waiting: 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.
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
the lock).
To overcome busy waiting, we can modify the definition of the wait() and signal() as follows:
When a process executes the wait() and finds that the semaphore-value is not
positive, it must wait. However, rather than engaging in busy waiting, the process can
block itself.
A process that is blocked (waiting on a semaphore S) should be restarted when some
other process executes a signal(). The process is restarted by a wakeup().
We assume 2 simple operations:
block() suspends the process that invokes it.
wakeup(P) resumes the execution of a blocked process P.
We define a semaphore as follows:
 [OPERATING SYSTEM-18CS43]

Definition of wait(): Definition of signal():

This (critical-section) problem can be solved in two ways:

In a uni-processor environment
¤ Inhibit interrupts when the wait and signal operations execute.
¤ Only current process executes, until interrupts are re-enabled & the scheduler
regains control.
In a multiprocessor environment
¤ Inhibiting interrupts doesn't work.
¤ Use the hardware / software solutions described above.

3.5.3.Deadlocks & Starvation

Deadlock occurs when 2 or more processes are waiting indefinitely for an event that can be
caused by only one of the waiting processes.
The event in question is the execution of a signal() operation.
To illustrate this, consider 2 processes, Po and P1, each accessing 2 semaphores, S and Q. Let S
and Q be initialized to 1.

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 cannot be executed, Po & P1 are deadlocked.
Starvation (indefinite blocking) is another problem related to deadlocks.
Starvation is 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.

3.6 Classic Problems of Synchronization

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

3.6.1The Bounded-Buffer Problem

The bounded-buffer problem is related to the producer consumer problem.
There is a pool of n buffers, each capable of holding one item.
Shared-data

where,
¤ mutex provides mutual-exclusion for accesses to the buffer-pool.
¤ empty counts the number of empty buffers.
¤ full counts the number of full buffers.
 [OPERATING SYSTEM-18CS43]

The symmetry between the producer and the consumer.

¤ The producer produces full buffers for the consumer.
¤ The consumer produces empty buffers for the producer.
Producer Process: Consumer Process:

3.6.2 The Readers Writers Problem

A data set is shared among a number of concurrent processes.
Readers are processes which want to only read the database (DB).
Writers are processes which want to update (i.e. to read & write) the DB.
Problem:
Obviously, if 2 readers can access the shared-DB simultaneously without any problems.
However, if a writer & other process (either a reader or a writer) access the shared-
DB simultaneously, problems may arise.
Solution:
The writers must have exclusive access to the shared-DB while writing to the DB.
Shared-data

where,
¤ mutex is used to ensure mutual-exclusion when the variable readcount is updated.
¤ wrt is common to both reader and writer processes.
wrt is used as a mutual-exclusion semaphore for the writers.
wrt is also used by the first/last reader that enters/exits the critical-section.
¤ readcount counts no. of processes currently reading the object.
Initialization
mutex = 1, wrt = 1, readcount = 0
Writer Process: Reader Process:

The readers-writers problem and its solutions are used to provide reader-writer locks on some
systems.
The mode of lock needs to be specified:
1) read mode
 [OPERATING SYSTEM-18CS43]

When a process wishes to read shared-data, it requests the lock in read mode.
2) write mode
When a process wishes to modify shared-data, it requests the lock in write mode.
Multiple processes are permitted to concurrently acquire a lock in read
mode, but only one process may acquire the lock for writing.
These locks are most useful in the following situations:
In applications where it is easy to identify
-data and
-data.
In applications that have more readers than writers.

3.6.3 The Dining-Philosophers Problem

Problem statement:
There are 5 philosophers with 5 chopsticks (semaphores).
A philosopher is either eating (with two chopsticks) or thinking.
The philosophers share a circular table (Figure 2.21).
The table has
a bowl of rice in the center and
5 single chopsticks.
From time to time, a philosopher gets hungry and tries to pick up the 2 chopsticks that are
closest to her.
A philosopher may pick up only one chopstick at a time.
Obviously, she cannot pick up a chopstick that is already in the hand of a neighbor.
When hungry philosopher has both her chopsticks at the same time, she eats without
releasing her chopsticks.
When she is finished eating, she puts down both of her chopsticks and starts thinking again.
Problem objective:
To allocate several resources among several processes in a deadlock-free & starvation-free
manner.
Solution:
Represent each chopstick with a semaphore (Figure 2.22).
A philosopher tries to grab a chopstick by executing a wait() on the semaphore.
The philosopher releases her chopsticks by executing the signal() on the semaphores.
This solution guarantees that no two neighbors are eating simultaneously.
Shared-data
semaphore chopstick[5];
Initialization
chopstick[5]={1,1,1,1,1}.

Figure 2.21 Situation of dining philosophers Figure 2.22 The structure of philosopher
Disadvantage:
 [OPERATING SYSTEM-18CS43]

Deadlock may occur if all 5 philosophers become hungry simultaneously and grab their left
chopstick. When each philosopher tries to grab her right chopstick, she will be delayed
forever.
Three possible remedies to the deadlock problem:
Allow at most 4 philosophers to be sitting simultaneously at the table.
Allow a philosopher to pick up her chopsticks only if both chopsticks are available.
Use an asymmetric solution; i.e. an odd philosopher picks up first her left chopstick and
then her right chopstick, whereas an even philosopher picks up her right chopstick and then her
left chopstick.

3.7 Monitors
Monitor is a high-level synchronization construct.
It provides a convenient and effective mechanism for process synchronization.
Need for Monitors
When programmers use semaphores incorrectly, following types of errors may occur:
Suppose that a process interchanges the order in which the wait() and signal() operations on
the semaphore utex are executed, resulting in the following execution:

In this situation, several processes may be executing in their critical-sections

simultaneously, violating the mutual-exclusion requirement.
Suppose that a process replaces signal(mutex) with wait(mutex). That is, it executes

In this case, a deadlock will occur.

Suppose that a process omits the wait(mutex), or the signal(mutex), or both.
In this case, either mutual-exclusion is violated or a deadlock will occur.

3.7.1 Usage
A monitor type presents a set of programmer-defined operations that are provided to ensure
mutual-exclusion within the monitor.
It also contains (Figure 2.23):
declaration of variables
bodies of procedures(or functions).
A procedure defined within a monitor can access only those variables declared locally within the
monitor and its formal-parameters.
Similarly, the local-variables of a monitor can be accessed by only the local-procedures.
 [OPERATING SYSTEM-18CS43]

Figure 2.23 Syntax of a monitor

Only one process at a time is active within the monitor (Figure 2.24).
To allow a process to wait within the monitor, a condition variable must be declared, as
Condition variable can only be used with the following 2 operations (Figure 2.25):
x.signal()
This operation resumes exactly one suspended process. If no process is suspended, then
the signal operation has no effect.
2) x.wait()
The process invoking this operation is suspended until another process invokes x.signal().

Figure 2.24 Schematic view of a monitor Figure 2.25 Monitor with condition variables
Suppose when the x.signal() operation is invoked by a process P, there exists a suspended process
Q associated with condition x.
Both processes can conceptually continue with their execution. Two possibilities exist:
Signal and wait
P either waits until Q leaves the monitor or waits for another condition.
Signal and continue
Q either waits until P leaves the monitor or waits for another condition.
 [OPERATING SYSTEM-18CS43]

3.7.2 Dining-Philosophers Solution Using Monitors

The restriction is
A philosopher may pick up her chopsticks only if both of them are available.
Description of the solution:
1. The distribution of the chopsticks is controlled by the monitor dp (Figure 2.26).
2. Each philosopher, before starting to eat, must invoke the operation pickup(). This act
may result in the suspension of the philosopher process.
3. After the successful completion of the operation, the philosopher may eat.
4. Following this, the philosopher invokes the putdown() operation.
5. Thus, philosopher i must invoke the operations pickup() and putdown() in the

following sequence:

Figure 2.26 A monitor solution to the dining-philosopher problem

3.7.3 Implementing a Monitor using Semaphores
A process
must execute wait(mutex) before entering the monitor and
must execute signal(mutex) after leaving the monitor.
Variables used:
semaphore mutex; //
(initially = 1) semaphore
next; //
(initially = 0) int next-count
 [OPERATING SYSTEM-18CS43]

= 0;
where
¤ mutex is provided for each monitor.
¤ next is used a signaling process to wait until the resumed process either leaves or waits
¤ next-count is used to count the number of processes suspended
Each external procedure F is replaced by

Mutual-exclusion within a monitor is ensured.

How condition variables are implemented ?
For each condition variable x, we have: semaphore x-sem; // (initially = 0) int x-count = 0;
Definition of x.wait() Definition of x.signal()

3.7.4 Resuming Processes within a Monitor

Problem:
If several processes are suspended, then how to determine which of the suspended processes
should be resumed next?
Solution-1: Use an FCFS ordering i.e. the process that has been waiting the longest is resumed
first. Solution-2: Use conditional wait construct i.e. x.wait(c)
¤ c is a integer expression evaluated when the wait operation is executed (Figure 2.27).
¤ Value of c (a priority number) is then stored with the name of the process that is
suspended.
¤ When x.signal is executed, process with smallest associated priority number
is resumed next.

Figure 2.27 A monitor to allocate a single resource

ResourceAllocator monitor controls the allocation of a single resource among competing processes.
 [OPERATING SYSTEM-18CS43]

Each process, when requesting an allocation of the resource, specifies the maximum time it plans
to
use the resource.
The monitor allocates the resource to the process that has the shortest time-allocation request.
A process that needs to access the resource in question must observe the following sequence:

where R is an instance of type ResourceAllocator.

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 never requested.
A process might request the same resource twice.