CSE 316 Chapter 1 To 3 PDF

Operating System
By:Dr. P.S.Tanwar
O.S.
Definition
Goals of Operating System
Functions of Operating System
Efficiency Measures of O.S.
Types of O.S.
By:Dr. P.S.Tanwar
Definition
O.S. is a system software that
manages the computer H/W.
It also provides a basis for

application program and is used as
an intermediary between user and
hardware of computer.
By:Dr. P.S.Tanwar
Components of OS
Hardware
OS
Application S/W
User
By:Dr. P.S.Tanwar
Components of OS
End User
Application
Program
O.S.
H/W
By:Dr. P.S.Tanwar
OS
By:Dr. P.S.Tanwar
Goals of O.S.
convenient to user and
efficient for hardware.
By:Dr. P.S.Tanwar
Definition
O.S. is a system software which is
used as an interface between user
and hardware of computer so that
it is convenient for user and
efficient for hardware.
By:Dr. P.S.Tanwar
O.S.
Always resides in the memory.
O.S. is a control program.
Control program controls the

execution of user program to
prevent errors and improper use of
the computer.
By:Dr. P.S.Tanwar
O.S.
O.S. is a resource manager.
It manages CPU time, memory

space, file storage space, I/P-O/P
Devices.
By:Dr. P.S.Tanwar
Bootstrap Program
For a computer to start running it needs to have an initial
program to run that initial program is known as boot strap
program.
It is stored in ROM or EEPROM
It initializes all aspects of the system from CPU registers to

device controllers to memory contents.
It know how to load OS and to start executing that system.
OS then starts executing the first process such as “init” and

waits for some event to occur.
By:Dr. P.S.Tanwar
Functions of Operating
System
1. Process Management
2. Memory Management
3. I/P and O/P Management
4. Security & Protection
5. File Management
6. Job priority System
By:Dr. P.S.Tanwar
Functions of Operating
System
7. Job switching
8. Understand the meaning of commands and

instruction
9. Provide easier user interface
10. Resource allocation
11. Error Detection:

• Generation of traces, error messages and other
debugging and error detecting facilities.
By:Dr. P.S.Tanwar
Early Systems (Without OS)
hardware is a very expensive;
no operating systems exist

One user at console
• One function at a time (computation, I/O, user
think/response)
• Program loaded via card deck
• Libraries of device drivers (for I/O)
• User debugs at console
By:Dr. P.S.Tanwar
Early Systems (Without
batchprocessing)
By:Dr. P.S.Tanwar
Early Systems
Drawbacks
Low throughput
More turn around time
By:Dr. P.S.Tanwar
Batch Processing OS
hardware is expensive,
humans are cheap
Simple batch processing: load program, run, print results, dump,

repeat
• User gives program (cards or tape) to the operator, who schedules
the jobs
• Resident monitor automatically loads, runs, dumps user jobs
• Requires memory management (relocation) and protection
• More efficient use of hardware, but debugging is more difficult (from

dumps)
By:Dr. P.S.Tanwar
Batch Processing OS
Jobs with similar requirements were
batched together and run through the
computer as a group.
By:Dr. P.S.Tanwar
Batch Processing OS
By:Dr. P.S.Tanwar
Batch Processing OS
Job Cards
Job Control Language (JCL)

$COB-Execute the Cobol Compiler
$JOB-First Card of Job
$END-Last Card of Job
$LOAD-Load the prog
$RUN-Execute the user Prog.

By:Dr. P.S.Tanwar
Batch Processing OS
Resident Monitor
It is always resident in the memory
It automatically arrange similar job in a

sequence
Loader
Job Sequencing
Control Card Interpreter
By:Dr. P.S.Tanwar
Batch Processing OS
Main Memory
Loader
Resident Monitor Job sequencing
Control card interpreter
User
program area
By:Dr. P.S.Tanwar
Batch Processing OS
Drawbacks
Inefficient use of CPU
• Speed mismatch between Fast CPU and slow I/O devices
Not user friendly
If error occurs while a Job is in execution It can be found

only after the execution of all jobs
Resource utilization is not optimum
Strict Job Sequencing is required
By:Dr. P.S.Tanwar
Efficiency Measures of O.S.
Throughput
num. of processes per unit time
CPU Burst time

Actual Time req. to complete the process by CPU
Turn around time

Time interval between job submission and job completion by CPU
Waiting time
Total Waiting time in the Ready Queue to be executed by CPU
Response time
Time interval between Job submission and First Response time given
by CPU
By:Dr. P.S.Tanwar
Types of O.S.
Batch processing O.S.
Multiprogramming O.S.
Multitasking O.S.( Time Sharing OS)
Multiprocessing O.S.( Parallel Systems)
Real time O.S.
Distributed O.S.
Network O.S.
By:Dr. P.S.Tanwar
SPOOLing
Simultaneous Peripheral Operation
On-Line
It is the process from which more

than one input or output devices
can interact with disk
simultaneously via CPU.
By:Dr. P.S.Tanwar
SPOOLing
By:Dr. P.S.Tanwar
Multiprogramming
More than one job resides in the
memory at the same time.
But CPU can use one job at a time.
SPOOLing concept is used.
During I/O operation there is no need for

CPU to wait for that Job. CPU can took
next job and start executing it.
By:Dr. P.S.Tanwar
Multiprogramming
OS
Job1(wait or
blocked)
Job2 (running)
Job3 (ready)
By:Dr. P.S.Tanwar
Multiprogramming
States of Process
exit
Ready(queue)
Running
Block(Wait)
New job
By:Dr. P.S.Tanwar
Multiprogramming OS
CPU Scheduling
Job Scheduling
Memory Mgmt.
By:Dr. P.S.Tanwar
Multiprogramming
Advantages
Increased Throughput
Reduced Turnaround time
Reduced Waiting time
Reduced Response time
Increased CPU utilization
By:Dr. P.S.Tanwar
Time Sharing OS
MultiTasking OS
Time Slice Concept is used
It is logical Extension of Multiprogramming.
Multiple jobs are executed by the CPU

switching between them.
but the switches occur so frequently that the

user may interact with each program while it is
running
By:Dr. P.S.Tanwar
Time Sharing OS
Time slice is given to each process after
expiree of time, process comes out from
execution by CPU and it will move to ready
queue. And next scheduled process will come
for execution by CPU.
P1 P2 P3 P1 P2 P3 P1 P3 P3 P3
(t) (t) (t) (t) (t) (t) (t) (t) (t) (t)
By:Dr. P.S.Tanwar
TimeSharing
States of Process
New
Ready
Running
Block(Waiting)
terminated
By:Dr. P.S.Tanwar
Time Sharing OS
Advantages
Increased Throughput
Reduced Turnaround time
Reduced Response time
Reduced waiting time
Increased CPU utilization
By:Dr. P.S.Tanwar
Parallel Systems
Tightly coupled Systems
More than one processors are in close communication,
sharing the computer bus,the clock and sometimes the
memory and peripheral devices.
n Processors
Speed increases but less than n times
If one processor fails it will not halt the system
By:Dr. P.S.Tanwar
Parallel Systems
Types of Parallel System
Symmetric multiprocessing OS
Assymmetric multiprocessing OS
By:Dr. P.S.Tanwar
Symmetric Multiprocessing
Systems
Each processor runs an identical copy
of the OS and these copies
communicate with one another as
needed.
Ex Sun OS ver. 5(Solaris 2)
By:Dr. P.S.Tanwar
Assymmetric
Multiprocessing Systems
Each processor is assigned a specific task.
A master processor controls the system.
Master processor schedules and allocate work
to the slave processors.
Ex Sun OS ver. 4
By:Dr. P.S.Tanwar
Distributed OS
Loosely coupled Systems
More than one processors are not in close
communication,
They are not sharing the clock and the memory.
Each processor has its own local memory.
The Processors communicate with each other by high

speed buses or telephone lines.
By:Dr. P.S.Tanwar
Distributed OS
Loosely coupled Systems
Processors may vary in size and function.
They may include microprocessor, workstations,

minicomputers and large general purpose computers.
These processors are referred as sites, nodes,

computers etc.
By:Dr. P.S.Tanwar
Distributed OS
Node3
Node1
Network
Node2
Node4
By:Dr. P.S.Tanwar
Distributed OS
Functions
Resource Sharing
Computation Speedup
Reliability
Communication
By:Dr. P.S.Tanwar
Real time OS
Rigid time requirement on the operation
of a processor or the flow of data
Real time OS has well defined, fixed

time constraints.
Processing must be done with in the

defined constraints or the system will
fail.
By:Dr. P.S.Tanwar
Real time OS
Use
Scientific Experiment
Medical imaging system
Industrial control system
Home appliance controller
Weapon system
Flight simulators
By:Dr. P.S.Tanwar
Real time OS
Types
Soft Real time O.S.:
• Less restrictive type of OS
• Use: Multimedia, VR, scientific projects
Hard Real time O.S.

• Guarantees that criticals task complete on time.
• ROM is used no virtual memory
• Use: Flight simulation
By:Dr. P.S.Tanwar
Computer System
By:Dr. P.S.Tanwar
Storage device Hierarchy
By:Dr. P.S.Tanwar
Dual Mode Operation
To protect OS from malfuntion
hardware mode protection is
provided by many OS.
Two types of mode

Supervisor Mode or Monitor Mode or
System mode or Privileged mode
User Mode
By:Dr. P.S.Tanwar
Dual Mode Operation
Mode bit is added to the hardware of the
computer to indicate the mode
Monitor mode(0)
• Executing on behalf of OS
User mode(1)
• Executing on behalf of user
By:Dr. P.S.Tanwar
Dual Mode Operation
At boot time hardware starts in monitor
mode
then OS loaded
Then OS starts the user processes in

user mode
By:Dr. P.S.Tanwar
Dual Mode Operation
By:Dr. P.S.Tanwar
Dual Mode Operation
By:Dr. P.S.Tanwar
Dual Mode Operation
By:Dr. P.S.Tanwar
System Calls
By: Dr. P.S.Tanwar

System Calls
System Calls
System Calls provide the interface between a
process and the operating System.
Process
Program in execution is called Process
By: Dr. P.S.Tanwar

System Calls
They are generally available as
assembly language instructions.
Some systems allows system calls to be

made directly from higher level lang.
like C, Bliss BCPL,PL/360
By: Dr. P.S.Tanwar

Q/A
What is a system call?
A. It is an interface between process and OS.
B. It is an interface between user and OS.
C. It is an interface between user and

hardware.
D. It is an interface between user and System.
By: Dr. P.S.Tanwar

Mode of Process
Modes
User Mode
• No direct access to resources like memory
or hardware
Kernel Mode
• Direct access to resources like memory or
hardware
By: Dr. P.S.Tanwar
System Call
Process
(Program in Execution)
System Calls
OS
Kernel
Hardware
By: Dr. P.S.Tanwar

System Call
User Mode
Call the Return from
Process
System Call System Call
Kernel Mode
Execute the
System Call
Process =Program in execution
By: Dr. P.S.Tanwar

Q/A
In which mode system calls are
executed?
A. User Mode.
B. Kernel Mode.
C. User and Kernel Mode Both
D. None of the above.
By: Dr. P.S.Tanwar

System Calls
Example
By: Dr. P.S.Tanwar

Types of System Call
1. Process control
2. File manipulation
3. Device manipulation
4. Information Maintenance
5. Communication
By: Dr. P.S.Tanwar

1. Process control
end/abort
load/execute
Create process /terminate process
Get process attributes /set process attributes
wait for specified time
wait event, signal event
Allocate and free memory
By: Dr. P.S.Tanwar

2. File Manipulation
Create file/ delete file
Open / close
Read/ Write /Reposition
Get file attributes /set file attributes
By: Dr. P.S.Tanwar

3. Device manipulation
Request devices/release devices
Logically attach or detach devices
Read/ Write /Reposition
Get device attributes /set device attributes
By: Dr. P.S.Tanwar

4. Information Maintenance
Get time or date /set time or date
Get system data/set system data
Get process/file/device attributes
Set process/file/device attributes
By: Dr. P.S.Tanwar

5. Communication
Create or delete communication connection
Send, receive messages
Transfer status information
Attach or detach remote devices
By: Dr. P.S.Tanwar

Q/A
Specify the category of ‘wait for
specified time’ system call ?
A. Process control
B. File manipulation
C. Device manipulation
D. Information Maintenance
By: Dr. P.S.Tanwar

POSIX and Win32 Calls
Comparison
POSIX Win32 Description
fork CreateProcess Create a new process
wait WaitForSingleObject The parent process may wait for the child to finish
execve -- CreateProcess = fork + execve
exit ExitProcess Terminate process
open CreateFile Create a new file or open an existing file
close CloseHandle Close a file
read ReadFile Read data from an open file
write WriteFile Write data into an open file
lseek SetFilePointer Move read/write offset in a file (file pointer)
stat GetFileAttributesExt Get information on a file
mkdir CreateDirectory Create a file directory
rmdir RemoveDirectory Remove a file directory
link -- Win32 does not support “links” in the file system
unlink DeleteFile Delete an existing file
chdir SetCurrentDirectory Change working directory
System Programs
System programs exists between OS and Appl.
Program
System programs provide more convenient

environment for program development and
execution.
Some of them are simply user interfaces for

System calls
By: Dr. P.S.Tanwar

System Programs
End User
Application Program
System program
O.S.
H/W
By: Dr. P.S.Tanwar

System Programs
File Manipulation
Status Information
File Modification
Programming Language Support
Program loading and execution
Communication
Application Programs
By: Dr. P.S.Tanwar

System Programs
File Manipulation: These programs …
Create files and directories
Delete files and directories
Copy files and directories
Rename files and directories
Print files and directories
Dump files and directories
List files and directories
By: Dr. P.S.Tanwar

System Programs
Status Information: These Programs
Ask for System date and time
Amt of available memory or disk or space
Num. of users or similar status information
By: Dr. P.S.Tanwar

System Programs
File Modification: These programs
Are text editors which are available to create and modify
the contents of files stored on disk or tape.
By: Dr. P.S.Tanwar

System Programs
Programming Language Support
For common programming languages like C, Pascal Cobol
etc
Compilers
Assemblers
Interpreters
are provided to the user with OS and many of these

programs are now priced and provided separately.
By: Dr. P.S.Tanwar

System Programs
Program loading and execution
Once a program is assembled or compiled or interpreted
it must be loaded into memory to be executed.
The system may provide

• absolute Loaders
• Relocatable loaders
• Linkage editors
• Overlay editors
• Debugging system for High level lang.
By: Dr. P.S.Tanwar

System Programs
Communication
Provide virtual connections among processes, users and
different computers system.
They allow users

• to send messages to each other’s screens.
• to Send large messages like email
• to Remote login(use others computer remotely)
By: Dr. P.S.Tanwar

System Programs
Application Programs
Most OS provides programs useful to solve common
problems or to perform common operations.
• Compiler compilers
• Text formatters
• Plotting packages
• Database systems
• spreadsheets
• Statistical analysis packages
• Games
By: Dr. P.S.Tanwar

System Programs
Command interpreter is most imp. System
program for an OS
By: Dr. P.S.Tanwar

Processes
By: Dr. P.S.Tanwar

Processes
Process Concept
Process Scheduling
Operations on Processes
Interprocess Communication
Examples of IPC Systems
Communication in Client-Server Systems
By: Dr. P.S.Tanwar

Process Concept
An operating system executes a variety of
programs:
Batch system –jobs
Time-shared systems –user programs or tasks
Process: A program in execution is called

process.
process execution must progress in sequential

fashion
By: Dr. P.S.Tanwar
Process Concept
A process includes:
Program counter
Stack ( containing temp data i.e. subroutine parameters,

return addresses and temp variables)
Data section (global variables)
Program – Passive entity(Text Code)
Process –Active Entity
By: Dr. P.S.Tanwar

Q/A
What is Process?
A. Process is a program.
B. Process is a program in execution.
C. Process is a method
D. All of these
By: Dr. P.S.Tanwar

Process in Memory
By: Dr. P.S.Tanwar

Process States
As a process executes, it changes state
new: The process is being created
running: Instructions are being executed
waiting: The process is waiting for some event to occur
ready: The process is waiting to be assigned to a

processor
terminated: The process has finished execution
By: Dr. P.S.Tanwar

Dinner
P1 P2 P3 P4 P5
By: Dr. P.S.Tanwar

Dinner
P1 P2 P3 P4 P5
By: Dr. P.S.Tanwar

Dinner
P1 P2 P3 P4 P5
By: Dr. P.S.Tanwar

Process States
admitted
new p1
Interrupt Exit terminated
ready running
Scheduler Dispatch
I/O or Event I/O or event
Completion wait
waiting
By: Dr. P.S.Tanwar

Process States
admitted
new Interrupt Exit terminated
p2
p3
ready running
p1
Scheduler Dispatch
Completion wait
waiting
By: Dr. P.S.Tanwar

Process States
admitted
ready running
p2 p1 p3
Scheduler Dispatch
Completion wait
waiting
By: Dr. P.S.Tanwar

Process States
admitted
ready running
p3 p2
Ready Queue
Scheduler Dispatch
Completion wait
waiting
I/O Queue1
By: Dr. P.S.Tanwar

Process Control Block(PCB)
Information associated with each process
Process state
Program counter
CPU registers
CPU scheduling information
Memory-management information
Accounting information
I/O status information
By: Dr. P.S.Tanwar

Q/A
By: Dr. P.S.Tanwar

Q/A
By: Dr. P.S.Tanwar

CPU switch from process to process
By: Dr. P.S.Tanwar

Process Scheduling
Queues
By: Dr. P.S.Tanwar

Process Scheduling
By: Dr. P.S.Tanwar

Schedulers
Long-term scheduler(or job scheduler) –
selects which processes should be brought
into the ready queue
Short-term scheduler(or CPU scheduler) –

selects which process should be executed
next and allocates CPU
Medium Term Schedular
By: Dr. P.S.Tanwar

Schedulers
By: Dr. P.S.Tanwar

Schedulars
Short-term scheduler is invoked very frequently (milliseconds)
(must be fast)
Long-term scheduler is invoked very infrequently (seconds,

minutes) (may be slow)
The long-term scheduler controls the degree of

multiprogramming
Processes can be described as either:

I/O-bound process–spends more time doing I/O than computations, many short
CPU bursts
CPU-bound process–spends more time doing computations; few very long CPU
bursts
By: Dr. P.S.Tanwar

Q/A
Which Process scheduler takes
less time?
A. Long Term Scheduler
B. Medium Term Scheduler
C. Short Term Scheduler
D. None of these
By: Dr. P.S.Tanwar

Q/A
Partially Completed Processes are
considered in which type of process
scheduler?
A. Long Term Scheduler
B. Medium Term Scheduler
C. Short Term Scheduler
D. None of these
By: Dr. P.S.Tanwar

Context Switch
When CPU switches to another process, the system
must save the state of the old process and load the
saved state for the new process via a context switch
Context of a process represented in the PCB
Context-switch time is overhead; the system does no

useful work while switching
Time dependent on hardware support
By: Dr. P.S.Tanwar

Q/A
What is the full form of PCB?
A. Process Common Block
B. Program Common Block
C. Process Control Block
D. Program Control Block
By: Dr. P.S.Tanwar

Q/A
In Multiprogramming more than
one process are executing by CPU
at the same time.
True
False
By: Dr. P.S.Tanwar

Process Creation
Parent process create children processes, which, in turn
create other processes, forming a tree of processes
Generally, process identified and managed via a process

identifier (pid)
Resource sharing
Parent and children share all resources
Children share subset of parent’s resources
Parent and child share no resources
Execution
Parent and children execute concurrently
Parent waits until children terminate

By: Dr. P.S.Tanwar
Process Creation
Address space
Child duplicate of parent
Child has a program loaded into it
UNIX examples
fork system call creates new process
exec system call used after a fork to replace the process’ memory space with a
new program
By: Dr. P.S.Tanwar

Process Creation
By: Dr. P.S.Tanwar

Process Termination
Process executes last statement and asks the operating
system to delete it (exit)
Output data from child to parent (via wait)
Process’ resources are deallocated by operating system
Parent may terminate execution of children processes (abort)

Child has exceeded allocated resources
Task assigned to child is no longer required
If parent is exiting
Some operating system do not allow child to continue if its parent
terminates
• All children terminated - cascading termination
By: Dr. P.S.Tanwar

Inter-process
Communication
Processes within a system may be independent or cooperating
Cooperating process can affect or be affected by other processes,

including sharing data
Reasons for cooperating processes:

Information sharing
Computation speedup
Modularity
Convenience
Cooperating processes need interprocess communication (IPC)
Two models of IPC

Shared memory
Message passing
Communications Models
(a) Message passing. (b) shared memory.
Cooperating Processes
Independent process cannot affect or be affected by the
execution of another process
Cooperating process can affect or be affected by the

execution of another process
Advantages of process cooperation

Information sharing
Computation speed-up
Modularity
Convenience
Interprocess Communication –
Shared Memory
An area of memory shared among the
processes that wish to communicate
The communication is under the control of the

users processes not the operating system.
Major issues is to provide mechanism that will

allow the user processes to synchronize their
actions when they access shared memory.
Interprocess Communication –
Message Passing
Mechanism for processes to communicate and to
synchronize their actions
Message system – processes communicate with each

other without resorting to shared variables
IPC facility provides two operations:

send(message)
receive(message)
The message size is either fixed or variable

Message Passing (Cont.)
If processes P and Q wish to communicate, they need to:

Establish a communication link between them
Exchange messages via send/receive
Implementation issues:
How are links established?
Can a link be associated with more than two processes?
How many links can there be between every pair of communicating

processes?
What is the capacity of a link?
Is the size of a message that the link can accommodate fixed or

variable?
Is a link unidirectional or bi-directional?

Threads
By:Dr. Prakash
SinghTanwar
Overview
Threads are light weight process
Processes are Heavy weight processes(process with

one thread)
Thread is a fundamental unit of CPU utilization and

consists of a
Program counter
A register set and
A stack
that forms the basis of multithreaded computer systems
By:Dr. Prakash SinghTanwar

Threads

Advantages of Threads
Responsiveness
Resource Sharing
Economy
Scalability

Multicore
Programming
Multicore systems putting pressure on
programmers, challenges include
Dividing activities
Balance
Data splitting
Data dependency
Testing and debugging

Multithreaded Server
Architecture

Concurrent Execution on
a Single-core System

Parallel Execution on a
Multicore System

Q/A
In MultiProgramming
A. More than one program are running at the
same time
B. More than one program resides in the

memory at the same time
C. A and B Both
D. None of these

Q/A
In Multi tasking
A. More than one processes are executed by
CPU simultaneously at different time slots.

C. Time Sharing concept (time slices) exists
D. All of the above

Q/A
In Multi Threading
A. More than one threads are executed by CPU
simultaneously at different time slots.

C. Multitasking concept also exists
D. All of the above

Q/A
In a multithreaded system
A. A separate register set and stack and,
common data and files.
B. A separate register set and data and,
common stack and files.
C. A separate files and data and,
common stack and set of registers.
D. A separate stack and data and,
common register set and files.

User Threads
Thread management done by user-
level threads library
Three primary thread libraries:

POSIX Pthreads
Win32 threads
Java threads
Kernel Threads
Supported by the Kernel
Examples
Windows XP/2000
Solaris
Linux
Tru64 UNIX
Mac OS X
Multithreading Models
Many-to-One
One-to-One
Many-to-Many

Many-to-One Model
Many user-level threads mapped

to single kernel thread Examples:
Solaris Green Threads
GNU Portable Threads

Many-to-One Model

One-to-One Model
One user-level thread maps to

kernel thread Examples:
Examples
Windows NT/XP/2000
Linux
Solaris 9 and later

One-to-One Model

Many-to-Many Model
Allows many user level threads to be mapped
to many kernel threads Allows the operating
system to create a sufficient number of kernel
threads
Solaris prior to version 9
Windows NT/2000 with the ThreadFiber

package

Many-to-Many Model

Two-level Model
Similar to M:M, except that it allows a user
thread to be
bound to kernel thread
Examples
IRIX
HP-UX
Tru64 UNIX
Solaris 8 and earlier

Two-level Model

Q/A
In Many to One Model
A. Many Kernel threads are mapped with One user
thread
B. Many user threads are mapped with One Kernel

thread
C. One user thread is mapped with One Kernel thread
D. Many user threads are mapped with Many Kernel

thread

Thread Libraries
Thread library provides programmer
with API for creating and managing
threads
Two primary ways of implementing

Library entirely in user space
Kernel-level library supported by the OS

Pthreads
May be provided either as user-level or kernel-
level
A POSIX standard (IEEE 1003.1c) API for thread
creation and synchronization
API specifies behaviour of the thread library,

implementation is up to development of the library
Common in UNIX operating systems (Solaris, Linux,

Mac OS X)

Java Threads
Java threads are managed by the JVM
Typically implemented using the

threads model provided by underlying
OS
Java threads may be created by

Extending Thread class
Implementing the Runnable interface

Threading Issues
Semantics of fork() and exec() system calls
Thread cancellation of target thread

Asynchronous or deferred
Signal handling
Thread pools
Thread-specific data
Scheduler activations

Threading Issues
Semantics of fork() and exec() system calls
Does fork() duplicate only the calling thread or all
threads?

Threading Issues
Thread cancellation of target thread
Terminating a thread before it has finished
Two general approaches:

• Asynchronous cancellation terminates the target thread
immediately
• Deferred cancellation allows the target thread to periodically check

if it should be cancelled

Threading Issues
Signal handling
Signals are used in UNIX systems to notify a process that a
particular event has occurred
A signal handler is used to process signals

• 1. Signal is generated by particular event
• 2. Signal is delivered to a process
• 3. Signal is handled
Options:
• Deliver the signal to the thread to which the signal applies
• Deliver the signal to every thread in the process
• Deliver the signal to certain threads in the process
• Assign a specific thread to receive all signals for the process

Threading Issues
Thread pools
Create a number of threads in a pool where they await
work
Advantages:
• Usually slightly faster to service a request with an existing thread
than create a new thread
• Allows the number of threads in the application(s) to be bound to

the size of the pool

Threading Issues
Thread Specific Data
Allows each thread to have its own copy of data
Useful when you do not have control over the

thread creation process (i.e., when using a
thread pool)

Threading Issues
Scheduler activations
Both M:M and Two-level models require communication to
maintain the appropriate number of kernel threads allocated to
the application
Scheduler activations provide upcalls - a communication

mechanism from the kernel to the thread library
This communication allows an application to maintain the

correct number kernel threads

Operating System
Examples
Windows XP Threads
Linux Threads

Windows XP Threads
Implements the one-to-one mapping, kernel-level
Each thread contains

A thread id
Register set
Separate user and kernel stacks
Private data storage area
The register set, stacks, and private storage area are known as
the context of the threads
The primary data structures of a thread include:
ETHREAD (executive thread block)
KTHREAD (kernel thread block)
TEB (thread environment block)

Linux Threads
Linux refers to them as tasks rather than
threads
Thread creation is done through clone()

system call
clone() allows a child task to share the address

space of the parent task (process)

Q/A
Which of the following is 2 level
Model in threading concept
A. One to Many and One to One
B. One to One and Many to Many
C. Many to Many and One to Many
D. Many to One and One to Many

CPU Scheduling
By: Dr. Prakash Singh Tanwar

CPU Burst & I/O Burst

Efficiency Measures
CPU Utilization
Keeps the CPU as busy as possible
Throughput
number of processes per unit time
CPU Burst time

The actual time req. to complete the process by CPU
Turn around time

The time interval between job submission and job completion by CPU
Waiting time
Total Waiting time in the Ready Queue to be executed by CPU
Response time
The time interval between Job submission and first response time given by CPU

Scheduling Criteria
CPU utilization – keep the CPU as busy as possible
Throughput – number of processes that complete their

execution per time unit
Turnaround time – amount of time to execute a particular

process
Waiting time – amount of time a process has been waiting in

the ready queue
Response time – amount of time it takes from when a request

was submitted until the first response is produced, not output
(for time-sharing environment)

Q/A
We want to keep the CPU as busy as possible
it is related to which performance measure
A. CPU utilization
B. Throughput
C. Turnaround time
D. Response time
E. Waiting time

Q/A
We want to keep the CPU as busy as possible
it is related to which performance measure
A. CPU utilization
B. Throughput
C. Turnaround time
D. Response time
E. Waiting time

Q/A
Number of processes per unit of time is
A. CPU utilization
B. Throughput
C. Turnaround time
D. Response time
E. Waiting time

Q/A
Number of processes per unit of time is
A. CPU utilization
B. Throughput
C. Turnaround time
D. Response time
E. Waiting time

CPU Scheduling
Pre-emptive Scheduling
To forcely put the process out from
running state
Non Pre-emptive Scheduling

OS can’t forcely put the process out from
running state.

CPU Scheduler
Selects from among the processes in memory that are ready to
execute, and allocates the CPU to one of them
CPU scheduling decisions may take place when a process:
1. Switches from running to waiting state
2. Switches from running to ready state
3. Switches from waiting to ready
4. Terminates
Scheduling under 1 and 4 is non-preemptive
All other scheduling is preemptive – implications for data

sharing between threads/processes

CPU Scheduler
Selects from among the processes in memory that are ready to
execute, and allocates the CPU to one of them
CPU scheduling decisions may take place when a process:
1. Switches from running to waiting state
2. Switches from running to ready state
3. Switches from waiting to ready
4. Terminates
Scheduling under 1 and 4 is non-preemptive
All other scheduling is preemptive – implications for data

sharing between threads/processes

Dispatcher
Dispatcher module gives control of the CPU to the
process selected by the scheduler; this involves:
switching context
switching to user mode
jumping to the proper location in the user program to

restart that program
Dispatch latency – time it takes for the dispatcher to

stop one process and start another running

Scheduling Algorithm Optimization
Criteria
Max CPU utilization
Max throughput
Min turnaround time
Min waiting time
Min response time

Q/A
It is desirable to
maximize the turnaround time and minimize the waiting
time and response time
maximize the waiting time and minimize the turnaround

maximize the response time, turnaround time and

waiting time
minimize the waiting time, turnaround time and

response time

Q/A
It is desirable to
maximize the turnaround time and minimize the waiting
maximize the waiting time and minimize the turnaround

maximize the response time, turnaround time and

waiting time
minimize the waiting time, turnaround time and

response time

Scheduling Algorithms
First Come First Serve
Shortest Job First
Priority scheduling
Round robin scheduling
Multilevel queue
Multilevel feedback queue.

FCFS
First Come First Serve
The process comes first in the ready queue will
be served first.

First-Come, First-Served (FCFS)
Scheduling
Ex1: Suppose that the processes arrive in

the order: P1 , P2 , P3.
Process Burst Time
Arrival time=0
P1 24
P2 3
P3 3
Gantt Chart
P1 P2 P3
0 24 27 30

Scheduling
Process Burst Gantt Chart

Time
P1 24 P1 P2 P3
P2 3
P3 3 0 24 27 30
a)Throughput
Throughput=
= = 0.10

Scheduling

Time P1 P2 P3
P1 24
P2 3 0 24 27 30
P3 3
b)Turnaround Time
Turnaround time for P1= 24
( )
Average Turnaround time = =
= 27

Scheduling

Time P1 P2 P3
P1 24
P2 3 0 24 27 30
P3 3
c)Waiting Time
Waiting time for P1= 0
( )
Average Waiting time = =
= 17

Scheduling

Time P1 P2 P3
P1 24
P2 3 0 24 27 30
P3 3
d)Response Time
Response time for P1= 0
( )
Average Response time = =
= 17

Scheduling
Ex2:
Suppose that the processes arrive in the
order: P2 , P3 , P1.
Process Burst Time
P1 24 Arrival time=0
P2 3
P3 3
P2 P3 P1
0 3 6 30
Scheduling

Time P2 P3 P1
P1 24
P2 3 0 3 6 30
P3 3
Turnaround Time
Turnaround time for P1 =30-0=30
Average T.a.t.=(30+3+6)/3=39/3=13
Scheduling
Process Burst
Gantt Chart
Time P2 P3 P1
P1 24
P2 3 0 3 6 30
P3 3 Waiting Time
Waiting time for P1 =6
Average waiting time
=(6+0+3)/3= 9/3 = 3 unit time

Scheduling
Process Burst
Gantt Chart
Time P2 P3 P1
P1 24
P2 3 0 3 6 30
P3 3 Response Time
Response time for P1 =6
Average Response time=(6+0+3)/3=9/3
=3 unit time
Shortest-Job-First (SJF)
Scheduling
Associate with each process the length of its
next CPU burst. Use these lengths to schedule
the process with the shortest time.
SJF is optimal – gives minimum average

waiting time for a given set of processes
The difficulty is knowing the length of the next

CPU request.

Example of SJF
SJF scheduling chart
Process ArriBurst Time Arrival Time
P1 6 0
P2 2.0 8 0
P34.0 7 0
P4 3 0
Gantt Chart
P4 P1 P3 P2
0 3 9 16 24

Example of SJF
(Non preemptive) Process iBurst Time Arrival Time
P1 6 0
SJF scheduling chart P2 2.0 8 0
P34.0 7 0
P4 3 0
Gantt Chart
P4 P1 P3 P2
a). Throughput
Throughput= =0.16 0 3 9 16 24
b). Turnaround Time c). Waiting Time d). Response Time
Turnaround time for P1= 9 Waiting time for P1= 3 Response time for P1= 3
Average Turnaround time = Average Waiting time = Average Response time =

( ) ( ) ( )
= = = = = =
= 13 =7 =7

SJF
P4 P1 P3 P2
0 3 9 16 24
Turnaround Time
=Job Completion Time - Job Submission Time
Average T.a.t.=(9+24+16+3)/4=13 unit time

Q/A
Turnaround time of P2 (SJF)
3
9 P1 6 0
P2 2.0 8 0
16 P34.0 7 0
P4 3 0
24

Q/A
A. 3
B. 9 P1 6 0
P2 2.0 8 0
C. 16 P34.0 7 0
P4 3 0
D. 24

Q/A
A. 3
B. 9 P1 6 0
P2 2.0 8 0
C. 16 P34.0 7 0
P4 3 0
D. 24

SJF (Pre-emptive)
Shortest Remaining Time First
Process Arrival Burst
At 1 unit time At 2 unit time At 3 unit time Time Time
P1: 7 P1: 7 P1: 7 P1 0 8
At 0 unit time P2: 4 P2: 3 P2: 2
P1: 8 P3: 9 P3: 9 P2 1 4
P4: 5 P3 2 9
P4 3 5
P1 P2 P4 P1 P3
0 1 2 3 5 10 17 26
At 5 unit time At 10 unit time
P1: 7 P1: 7 At 17 unit time
P3: 9 P3: 9 P3: 9
P4: 5
SJF Pre-emptive
P1 P2 P4 P1 P3
0 1 2 3 5 10 17 26
Turnaround Time(Completion time-Arrival time)

Turnaround time for P1 =17-0=17 Process Arrival Burst
Time Time
Turnaround time for P2 =5-1=4 P1 0 8
P2 1 4
Turnaround time for P3 =26-2=24 P3 2 9
P4 3 5
Average T.a.t.=(17+4+24+7)/4=52/4=13 unit time

SJF Pre-emptive
P1 P2 P4 P1 P3
0 1 2 3 5 10 17 26
Time Time
b). Turnaround Time P1 0 8

P2 1 4
Turnaround time for P1= 17-0=17
P3 2 9
Turnaround time for P2= 5-1=4 P4 3 5
Average Turnaround time =

( )
= =
= 13

SJF Pre-emptive
P1 P2 P4 P1 P3
0 1 2 3 5 10 17 26
Time Time
c). Waiting Time P1 0 8

P2 1 4
Waiting time for P1= (0-0)+(10-1)=9
P2 arrived at 1 and P3 2 9
started at 1 Waiting time for P2= (1-1)=0 P4 3 5
Waiting time for P3= 17-2=15
Waiting time for P4= (5-3)=2
Average Waiting time =

( )
= =
= 6.5

SJF Pre-emptive
P1 P2 P4 P1 P3
0 1 2 3 5 10 17 26
Time Time
d). Response Time P1 0 8

P2 1 4
Response time for P1= (0-0)=0
P2 arrived at 1 and P3 2 9
started at 1 Response time for P2= (1-1)=0 P4 3 5
Response time for P3= 17-2=15
Response time for P4= (5-3)=2
Average response time =

( )
= =
= 4.25

Preemptive SJF Process Arrival
Time
Burst
Time
P1 0 8
P2 1 4
Pre-emptive SJF
P3 2 9
Gantt Chart P4 3 5
P1 P2 P4 P1 P3
a). Throughput
Throughput= =0.15 0 1 2 3 5 10 17 26
(0-0)+
Turnaround time for P1= 17 Waiting time for P1= 10-1=9 Response time for P1= 0
Turnaround time for P2= 4 Waiting time for P2= (1-1)=0 Response time for P2= 0

( ) ( ) ( )
= = = = = =
= 13 = 6.5 = 4.25

Q/A
Waiting time for P2 in pre-emptive
P1 P2 P4 P1 P3
SJF? 0 1 2 3 5 10 17 26
A. 0
Time Time
B. 1 P1 0 8
P2 1 4
P3 2 9
C. 2 P4 3 5
D. 3

Q/A
P1 P2 P4 P1 P3
SJF? 0 1 2 3 5 10 17 26
A. 17
Time Time
B. 10 P1 0 8
P2 1 4
P3 2 9
C. 15 P4 3 5
D. 26

Q/A
P1 P2 P4 P1 P3
SJF? 0 1 2 3 5 10 17 26
A. 5
Time Time
B. 2 P1 0 8
P2 1 4
P3 2 9
C. 3 P4 3 5
D. 6

Q/A
Response time for P1 pre-emptive
P1 P2 P4 P1 P3
SJF 0 1 2 3 5 10 17 26
A. 0
Time Time
B. 1 P1 0 8
P2 1 4
P3 2 9
C. 2 P4 3 5
D. 10

Priority Scheduling
A priority number (integer) is associated with each process
The CPU is allocated to the process with the highest priority (smallest
integer  highest priority)
Preemptive
Non-preemptive
Note that SJF is a priority scheduling where priority is the predicted

next CPU burst time
Problem  Starvation – low priority processes may never execute
Solution  Aging – as time progresses increase the priority of the

process

Priority Scheduling
Ex Process Burst Priority
Time
P1 10 3
P2 1 1
P3 2 4
P4 1 5
P5 5 2
Gantt Chart
P2 P5 P1 P3 P4
0 1 6 16 18 19

Process Burst
Time
Priority
Priority Scheduling
P1 10 3
P2 1 1
P3 2 4
Priority Scheduling
P4 1 5
P5 5 2
Gantt Chart
P2 P5 P1 P3 P4
a). Throughput
Throughput= =0.26 0 1 6 16 18 19
( ) ( ) ( )
= = = = = == =
12 = 8.5 = 8.5
Q/A
Waiting time for P1 (according to
Priority Scheduling) Process Burst Priority
Time
P1 10 3
A. 0
P2 1 1
P3 2 4
B. 1
P4 1 5
P5 5 2
C. 6
D. 3 P2 P5 P1 P3 P4
0 1 6 16 18 19

Q/A
Time
P1 10 3
A. 0
P2 1 1
P3 2 4
B. 1
P4 1 5
P5 5 2
C. 3
D. 19 P2 P5 P1 P3 P4
0 1 6 16 18 19

Q/A
Time
P1 10 3
A. 16
P2 1 1
P3 2 4
B. 2
P4 1 5
P5 5 2
C. 15
D. 4 P2 P5 P1 P3 P4
0 1 6 16 18 19

Q/A
Time
A. 5 P1 10 3
P2 1 1
B. 18 P3 2 4
P4 1 5
C. 19 P5 5 2
D. 4 P2 P5 P1 P3 P4
0 1 6 16 18 19

Q/A
Time
A. 0 P1 10 3
P2 1 1
B. 1 P3 2 4
P4 1 5
C. 6 P5 5 2
D. 14 P2 P5 P1 P3 P4
0 1 6 16 18 19

Priority Scheduling
P2 P5 P1 P3 P4
0 1 6 16 18 19
Turnaround Time
Process Burst Priority
Turnaround time for P1 =(16-0)=16 Time
P1 10 3
Turnaround time for P2 =(1-0)=1
P2 1 1
Turnaround time for P3 =(18-0)=18 P3 2 4
P4 1 5
P5 5 2
Average Turnaround =
=(16+1+18+19+6)/5=60/5=12 unit time
Priority Scheduling
P2 P5 P1 P3 P4
0 1 6 16 18 19
Waiting Time
Waiting time for P1 =(6-0)=6 Time
P1 10 3
Waiting time for P2 =(0-0)=0
P2 1 1
Waiting time for P3 =(16-0)=16 P3 2 4
P4 1 5
P5 5 2
Waiting time for P5= =(1-0)=1
Average waiting.t= =(6+0+16+18+1)/5=41/5=8.2 unit time

Priority Scheduling
P2 P5 P1 P3 P4
0 1 6 16 18 19
Response Time
Response time for P1 =(6-0)=6 Time
P1 10 3
Response time for P2 =(0-0)=16
P2 1 1
Response time for P3 =(16-0)=16 P3 2 4
P4 1 5
Response time for P4 =(18-0)=18 P5 5 2
Average Response time=(6+0+16+18+1)/5
=41/5=8.2 unit time

Round Robin (RR)
Each process gets a small unit of CPU time
time quantum or time slice
Time slice=10-100 milliseconds.
After this time has elapsed, the process is

preempted and added to the end of the ready
queue.

Round Robin (RR)
We can predict wait time:
If there are n processes in the ready queue and the time quantum is q, then each
process gets 1/n of the CPU time in chunks of at most q time units at once. No
process waits more than (n-1)q time units.
Performance
q (time slice) large  FCFS
q (time slice) small  overhead is too high
In this scheduling context switch occurs, so it may hit the

context switch wall: but q must be sufficient large with respect
to context switch, otherwise overhead is high

Example of RR
Time Quantum = 4 Process Burst Time
P1 24
Gantt Chart P2 3
P3 3
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
What is waiting time for P1?
0 Process Burst Time
P1 24
6 P2 3
30 P3 3
10
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
P1 24
6 P2 3
4 P3 3
7
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
P1 24
6 P2 3
4 P3 3
7
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
What is turn around time for P1?
P1 24
6 P2 3
30 P3 3
10
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
P1 24
6 P2 3
7 P3 3
4
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

Q/A
P1 24
6 P2 3
7 P3 3
10
P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

RR Scheduling
Process Burst Time
P1 P2 P3 P1 P1 P1 P1 P1
P1 24
0 4 7 10 14 18 22 26 30
P2 3
Waiting Time
P3 3

Average waiting.t=
=(6+4+7)/3=17/3=5.66 unit time

RR Scheduling
Process Burst Time
P1 P2 P3 P1 P1 P1 P1 P1 P1 24
0 4 7 10 14 18 22 26 30 P2 3
Turn around Time P3 3
Turn around time for P1 =(30-0)=30

Average Turn around =

=(30+7+10)/3=47/3=15.33 unit time

RR Scheduling
Process Burst Time
P1 P2 P3 P1 P1 P1 P1 P1 P1 24
0 4 7 10 14 18 22 26 30 P2 3
Response Time P3 3

Average Response time=

=(0+4+7)/3=11/3=3.66 unit time

RR Scheduling
Process Burst Time
P1 24
RR Scheduling P2 3
P3 3
Gantt Chart
a). Throughput P1 P2 P3 P1 P1 P1 P1 P1
Throughput= =0.1 0 4 7 10 14 18 22 26 30

( ) ( ) ( )
= = = = == =
= 15. = 5.66 = 3.66

Assignment of RR
Example Process Burst Time
P1 24
Time Quantum = 1 P2 3
P3 3
Gantt Chart
P1 P2 P3 P1 P2 P3 P1 P2 P3 P1 P1 P1 P1 P1 P1 P1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1
16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

Assignment
Find average turn around time, average waiting
time, and average response time for the RR
scheduling(for quantum=1,2 and 3)
Process Burst Time

P1 24
P2 3
P3 3

Time Quantum and Context Switch
Time

Turnaround Time Varies With
The Time Quantum

Multilevel Queue
In Multilevel Queue Scheduling multiple queues are created
from ready queue.
Ready queue is partitioned into separate queues: for example
foreground (interactive)
background (batch)
Each queue has its own scheduling algorithm:
foreground – RR
background – FCFS

Multilevel Queue
Scheduling must be done between the queues:
Fixed priority scheduling; (i.e., serve all from

foreground then from background). Possibility
of starvation.
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

Multilevel Queue
Scheduling

Multilevel Feedback
Queue
A process can move between the various queues; aging
can be implemented this way.
Multilevel-feedback-queue scheduler defined by the

following parameters:
number of queues
scheduling algorithms for each queue
method used to determine when to upgrade a process
method used to determine when to demote a process
method used to determine which queue a process will enter

when that process needs service
Example of Multilevel
Feedback Queue
Three queues:
Q0 – RR with time quantum 8 milliseconds
Q1 – RR time quantum 16 milliseconds
Q2 – FCFS
Scheduling
A new job enters queue Q0 which is served FCFS. When it gains CPU,
job receives 8 milliseconds. If it does not finish in 8 milliseconds, job is
moved to queue Q1.
At Q1 job is again served FCFS and receives 16 additional milliseconds.

If it still does not complete, it is preempted and moved to queue Q2.

Multilevel Feedback
Queues

Thread Scheduling
Distinction between user-level and kernel-level threads
Many-to-one and many-to-many models, thread library

schedules user-level threads to run on LWP
Known as process-contention scope (PCS) since scheduling
competition is within the process
Kernel thread scheduled onto available CPU is system-

contention scope (SCS) – competition among all threads
in system

Pthread Scheduling
API allows specifying either PCS or SCS
during thread creation
PTHREAD SCOPE PROCESS schedules
threads using PCS scheduling
PTHREAD SCOPE SYSTEM schedules

threads using SCS scheduling.

Multiple-Processor
Scheduling
CPU scheduling more complex when multiple CPUs are available
Homogeneous processors within a multiprocessor
Asymmetric multiprocessing – only one processor accesses the

system data structures, alleviating the need for data sharing
Symmetric multiprocessing (SMP) – each processor is self-scheduling,

all processes in common ready queue, or each has its own private
queue of ready processes
Processor affinity – process has affinity for processor on which it is

currently running
soft affinity
hard affinity

NUMA and CPU
Scheduling
Non-Uniform Memory Access

Multicore Processors
Recent trend to place multiple
processor cores on same physical chip
Faster and consume less power
Multiple threads per core also growing

Takes advantage of memory stall to make
progress on another thread while memory
retrieve happens
Multithreaded Multicore
System

Operating System
Examples
Solaris scheduling
Windows XP scheduling
Linux scheduling

Solaris Dispatch Table

Solaris Scheduling

Windows XP Priorities

Linux Scheduling
Constant order O(1) scheduling time
Two priority ranges:
time-sharing and real-time
Real-time : range from 0 to 99 and
Other tasks(time sharing) from 100 to 140

List of Tasks Indexed
According to Priorities

Algorithm Evaluation
Deterministic modeling – takes a
particular predetermined workload
and defines the performance of
each algorithm for that workload
Queuing models
Implementation
Evaluation of CPU Schedulers
by Simulation

Q/A
With round robin scheduling algorithm in a time
shared system ____________
using very large time slices converts it into First come
First served scheduling algorithm
using very small time slices converts it into First come

First served scheduling algorithm
using extremely small time slices increases performance
using very small time slices converts it into Shortest Job

First algorithm
Chapter 6: Process
Syncronization
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
Chapter 6: Process Syncronization
Background
The Critical-Section Problem
Peterson’s Solution
Synchronization Hardware
Mutex Locks
Semaphores
Classic Problems of Synchronization
Monitors
Synchronization Examples
Alternative Approaches
Operating System Concepts – 9th Edition 5.2 Silberschatz, Galvin and Gagne ©2013
Objectives
To introduce the critical-section problem, whose solutions can be used to
ensure the consistency of shared data
To present both software and hardware solutions of the critical-section problem
To examine several classical process-synchronization problems
To explore several tools that are used to solve process synchronization

problems
Background
Processes can execute concurrently

May be interrupted at any time, partially completing execution
Concurrent access to shared data may result in data inconsistency
Maintaining data consistency requires mechanisms to ensure the orderly

execution of cooperating processes
Illustration of the problem:

Suppose that we wanted to provide a solution to the consumer-producer
problem that fills all the buffers. We can do so by having an integer counter
that keeps track of the number of full buffers. Initially, counter is set to 0. It
is incremented by the producer after it produces a new buffer and is
decremented by the consumer after it consumes a buffer.
Producer
while (true) {
/* produce an item in next produced */
while (counter == BUFFER SIZE) ;

/* do nothing */
buffer[in] = next produced;
in = (in + 1) % BUFFER SIZE;
counter++;
}
Consumer
while (true) {
while (counter == 0)
; /* do nothing */
next consumed = buffer[out];
out = (out + 1) % BUFFER SIZE;
counter--;
/* consume the item in next consumed */
}
Race Condition
counter++ could be implemented as
register1 = counter
register1 = register1 + 1
counter = register1
counter-- could be implemented as
register2 = counter
register2 = register2 - 1
counter = register2
Consider this execution interleaving with “count = 5” initially:

S0: producer execute register1 = counter {register1 = 5}
S1: producer execute register1 = register1 + 1 {register1 = 6}
S2: consumer execute register2 = counter {register2 = 5}
S3: consumer execute register2 = register2 – 1 {register2 = 4}
S4: producer execute counter = register1 {counter = 6 }
S5: consumer execute counter = register2 {counter = 4}
Critical Section Problem
Consider system of n processes {p0, p1, … pn-1}
Each process has critical section segment of code

Process may be changing common variables, updating table, writing file, etc
When one process in critical section, no other may be in its critical section
Critical section problem is to design protocol to solve this
Each process must ask permission to enter critical section in entry section, may
follow critical section with exit section, then remainder section
Critical Section
General structure of process pi is
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
Two approaches depending on if kernel is preemptive or non-preemptive

Preemptive – allows preemption of process when running in kernel mode
Non-preemptive – runs until exits kernel mode, blocks, or voluntarily yields CPU
Essentially free of race conditions in kernel mode
’s Solution
Peterson’
Good algorithmic description of solving the problem
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]
The variable turn indicates whose turn it is to enter the critical section
The flag array is used to indicate if a process is ready to enter the critical
section. flag[i] = true implies that process Pi is ready!
Algorithm for Process Pi
do {
flag[i] = true;
turn = j;
while (flag[j] && turn == j);
critical section
flag[i] = false;
remainder section
} while (true);
Provable that
1. Mutual exclusion is preserved
2. Progress requirement is satisfied
3. Bounded-waiting requirement is met
Synchronization Hardware
Many systems provide hardware support for critical section code
All solutions below based on idea of locking

Protecting critical regions via locks
Uniprocessors – could disable interrupts

Currently running code would execute without preemption
Generally too inefficient on multiprocessor systems
Operating systems using this not broadly scalable
Modern machines provide special atomic hardware instructions

Atomic = non-interruptible
Either test memory word and set value
Or swap contents of two memory words
Solution to Critical-section Problem Using Locks
do {
acquire lock
critical section
release lock
remainder section
} while (TRUE);
test_and_set Instruction
Definition:
boolean test_and_set (boolean *target)

{
boolean rv = *target;
*target = TRUE;
return rv:
}
Solution using test_and_set()
Shared boolean variable lock, initialized to FALSE

Solution:
do {
while (test_and_set(&lock))
; /* do nothing */
/* critical section */
lock = false;
/* remainder section */
} while (true);
compare_and_swap Instruction
Definition:
int compare and swap(int *value, int expected, int new

value) {
int temp = *value;
if (*value == expected)
*value = new value;
return temp;
}
Solution using compare_and_swap
Shared Boolean variable lock initialized to FALSE; Each process has a local
Boolean variable key
Solution:
do {
while (compare and swap(&lock, 0, 1) != 0)
; /* do nothing */
/* critical section */
lock = 0;
/* remainder section */
} while (true);
Mutex Locks
Previous solutions are complicated and generally inaccessible to application
programmers
OS designers build software tools to solve critical section problem
Simplest is mutex lock
Product critical regions with it by first acquire() a lock then release() it
Boolean variable indicating if lock is available or not
Calls to acquire() and release() must be atomic

Usually implemented via hardware atomic instructions
But this solution requires busy waiting

This lock therefore called a spinlock
acquire() and release()
acquire() {
while (!available)
; /* busy wait */
available = false;;
}
release() {
available = true;
}
do {
acquire lock
critical section
release lock
remainder section
} while (true);
Semaphore
Synchronization tool that does not require busy waiting
Semaphore S – integer variable
Two standard operations modify S: wait() and signal()
Originally called P() and V()
Can only be accessed via two indivisible (atomic) operations
Original definitions of wait() and signal() proposed by Dijsktra
Busy waiting version
wait (S) { signal (S) {

while (S <= 0) S++;
; // busy wait }
S--;
}
Semaphore Usage
Counting semaphore – integer value can range over an unrestricted domain
Binary semaphore – integer value can range only between 0 and 1
Then a mutex lock
Can implement a counting semaphore S as a binary semaphore
Can solve various synchronization problems
Consider P1 and P2 that require S1 to happen before S2
P1:
S1;
signal(synch);
P2:
wait(synch);
S2;
Semaphore Implementation
Must guarantee that no two processes can execute wait () and signal ()
on the same semaphore at the same time
Thus, implementation becomes the critical section problem where the wait and
signal code are placed in the critical section
Could now have busy waiting in critical section implementation
But implementation code is short
Little busy waiting if critical section rarely occupied
Note that applications may spend lots of time in critical sections and therefore
this is not a good solution
Semaphore Implementation
with no Busy waiting
With each semaphore there is an associated waiting queue

Each entry in a waiting queue has two data items:
value (of type integer)
pointer to next record in the list
Two operations:
block – place the process invoking the operation on the appropriate
waiting queue
wakeup – remove one of processes in the waiting queue and place it in
the ready queue
Semaphore Implementation with
no Busy waiting (Cont.)
typedef struct{
int value;
struct process *list;
} semaphore;
wait(semaphore *S) {
S->value--;
if (S->value < 0) {
add this process to S->list;
block();
}
}
signal(semaphore *S) {
S->value++;
if (S->value <= 0) {
remove a process P from S->list;
wakeup(P);
}
}
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
Priority Inversion – Scheduling problem when lower-priority process holds a lock
needed by higher-priority process
Solved via priority-inheritance protocol
Classical Problems of Synchronization
Classical problems used to test newly-proposed synchronization schemes
Bounded-Buffer Problem
Readers and Writers Problem
Dining-Philosophers Problem
Bounded-Buffer Problem
n buffers, each can hold one item
Semaphore mutex initialized to the value 1
Semaphore full initialized to the value 0
Semaphore empty initialized to the value n
Bounded Buffer Problem (Cont.)
The structure of the producer process
do {
...
/* produce an item in next_produced */
...
wait(empty);
wait(mutex);
...
/* add next produced to the buffer */
...
signal(mutex);
signal(full);
} while (true);
Bounded Buffer Problem (Cont.)
The structure of the consumer process
do {
wait(full);
wait(mutex);
...
/* remove an item from buffer to next_consumed */
...
signal(mutex);
signal(empty);
...
/* consume the item in next consumed */
...
} while (true);
Readers-Writers Problem
A data set is shared among a number of concurrent processes
Readers – only read the data set; they do not perform any updates
Writers – can both read and write
Problem – allow multiple readers to read at the same time
Only one single writer can access the shared data at the same time
Several variations of how readers and writers are treated – all involve priorities
Shared Data
Data set
Semaphore rw_mutex initialized to 1
Semaphore mutex initialized to 1
Integer read_count initialized to 0
Readers-Writers Problem (Cont.)
The structure of a writer process
do {
wait(rw mutex);
...
/* writing is performed */
...
signal(rw mutex);
} while (true);
Readers-Writers Problem (Cont.)
The structure of a reader process
do {
wait(mutex);
read count++;
if (read count == 1)
wait(rw mutex);
signal(mutex);
...
/* reading is performed */
...
wait(mutex);
read count--;
if (read count == 0)
signal(rw mutex);
signal(mutex);
} while (true);
Readers-Writers Problem Variations
First variation – no reader kept waiting unless writer has permission to use shared
object
Second variation – once writer is ready, it performs write asap
Both may have starvation leading to even more variations
Problem is solved on some systems by kernel providing reader-writer locks
Dining-Philosophers Problem
Philosophers spend their lives thinking and eating

Don’t interact with their neighbors, occasionally try to pick up 2 chopsticks (one at a
time) to eat from bowl
Need both to eat, then release both when done
In the case of 5 philosophers
Shared data
Bowl of rice (data set)
Semaphore chopstick [5] initialized to 1
Dining-Philosophers Problem Algorithm
The structure of Philosopher i:
do {
wait ( chopstick[i] );
wait ( chopStick[ (i + 1) % 5] );
// eat
signal ( chopstick[i] );
signal (chopstick[ (i + 1) % 5] );
// think
} while (TRUE);
What is the problem with this algorithm?
Problems with Semaphores
Incorrect use of semaphore operations:
signal (mutex) …. wait (mutex)
wait (mutex) … wait (mutex)
Omitting of wait (mutex) or signal (mutex) (or both)
Deadlock and starvation
Monitors
A high-level abstraction that provides a convenient and effective mechanism for
process synchronization
Abstract data type, internal variables only accessible by code within the procedure
Only one process may be active within the monitor at a time
But not powerful enough to model some synchronization schemes
monitor monitor-name
{
// shared variable declarations
procedure P1 (…) { …. }
procedure Pn (…) {……}
Initialization code (…) { … }

}
}
Schematic view of a Monitor
Condition Variables
condition x, y;
Two operations on a condition variable:

x.wait () – a process that invokes the operation is suspended until x.signal ()
x.signal () – resumes one of processes (if any) that invoked x.wait ()
If no x.wait () on the variable, then it has no effect on the variable
Monitor with Condition Variables
Condition Variables Choices
If process P invokes x.signal (), with Q in x.wait () state, what should happen
next?
If Q is resumed, then P must wait
Options include
Signal and wait – P waits until Q leaves monitor or waits for another
condition
Signal and continue – Q waits until P leaves the monitor or waits for
another condition
Both have pros and cons – language implementer can decide
Monitors implemented in Concurrent Pascal compromise
P executing signal immediately leaves the monitor, Q is resumed
Implemented in other languages including Mesa, C#, Java
Solution to Dining Philosophers
monitor DiningPhilosophers
{
enum { THINKING; HUNGRY, EATING) state [5] ;
condition self [5];
void pickup (int i) {

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

state[i] = THINKING;
// test left and right neighbors
test((i + 4) % 5);
test((i + 1) % 5);
}
Solution to Dining Philosophers (Cont.)
void test (int i) {

if ( (state[(i + 4) % 5] != EATING) &&
(state[i] == HUNGRY) &&
(state[(i + 1) % 5] != EATING) ) {
state[i] = EATING ;
self[i].signal () ;
}
}
initialization_code() {
for (int i = 0; i < 5; i++)
state[i] = THINKING;
}
}
Solution to Dining Philosophers (Cont.)
Each philosopher i invokes the operations pickup() and putdown() in the following
sequence:
DiningPhilosophers.pickup (i);
EAT
DiningPhilosophers.putdown (i);
No deadlock, but starvation is possible
Monitor Implementation Using Semaphores
Variables
semaphore mutex; // (initially = 1)
semaphore next; // (initially = 0)
int next_count = 0;
Each procedure F will be replaced by
wait(mutex);
…
body of F;
…
if (next_count > 0)
signal(next)
else
signal(mutex);
Mutual exclusion within a monitor is ensured
Resuming Processes within a Monitor
If several processes queued on condition x, and x.signal() executed, which should be
resumed?
FCFS frequently not adequate
conditional-wait construct of the form x.wait(c)

Where c is priority number
Process with lowest number (highest priority) is scheduled next
A Monitor to Allocate Single Resource
monitor ResourceAllocator
{
boolean busy;
condition x;
void acquire(int time) {
if (busy)
x.wait(time);
busy = TRUE;
}
void release() {
busy = FALSE;
x.signal();
}
initialization code() {
busy = FALSE;
}
}
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insert it again.
Chapter 7: Deadlocks!
Chapter 7: Deadlocks!
■  The Deadlock Problem"

■  System Model"
■  Deadlock Characterization"
■  Methods for Handling Deadlocks"
■  Deadlock Prevention"
■  Deadlock Avoidance"
■  Deadlock Detection "
■  Recovery from Deadlock "
Operating System Concepts! 7.2! Silberschatz, Galvin and Gagne ©2005!

Chapter Objectives!
■  To develop a description of deadlocks, which prevent

sets of concurrent processes from completing their tasks"
■  To present a number of different methods for preventing
or avoiding deadlocks in a computer system."
"

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."
●  P0 and P1 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!
"
R j!
■  Pi is holding an instance of Rj!
Pi"
R j!

Example of a Resource Allocation Graph!

Will there be a deadlock here?!

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."

The Methods (continued)!
■  Deadlock Prevention"
■  Deadlock Avoidance"
■  Deadlock Detection"

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."

Deadlock Detection!
■  Allow system to enter deadlock state  

"
■  Detection algorithm 
"
■  Recovery scheme"

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!
Assignment Edge Request Edge
Claim Edge
Claim Edge

Unsafe State In Resource-Allocation Graph!
Assignment Edge Request Edge
Claim Edge Claim Edge

Example formal algorithms!
■  Banker’s Algorithm"
■  Resource-Request Algorithm"
■  Safety Algorithm"

Stop Here!

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 = 1,2,3,...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 P!i
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!
! ! !A B C !A B C !A B C!
" "P0 "0 10 "7 5 3 "3 3 2"
" " P1 "2 00 "3 2 2 "
" " P2 "3 0 2 "9 0 2"
" " P3 "2 1 1 "2 2 2"
" " P4 "0 0 2 "4 3 3 ""

Example (Cont.)!
■  The content of the matrix. Need is defined to be Max – Allocation."

" " "Need"
" " "A B C!
" " P0 "7 43"
" " P1 "1 22"
" " P2 "6 0 0 "
" " P3 "0 1 1"
" " P4 "4 3 1  
"
■  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!
! ! !A B C !A B C !A B C !
" "P0 "0 1 0 "7 4 3 "2 3 0"
" "P1 "3 0 2 "0 2 0 ""
" "P2 "3 0 1 "6 0 0 "
" "P3 "2 1 1 "0 1 1"
" "P4 "0 0 2 "4 3 1 "
■  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!
" " "A B C !A B C !A B C!
" "P0 "0 1 0 "0 0 0 "0 0 0"
" "P1 "2 0 0 "2 0 2"
" "P2 "3 0 3 "0 0 0 "
" "P3 "2 1 1 "1 0 0 "
" "P4 "0 0 2 "0 0 2"
■  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!
! ! !A B C!
" " 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."

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End of Chapter 7!
Deadlock
Banker’s Algorithm
By: Dr. P.S.Tanwar

Q/A
The circular wait condition can be
prevented by ____________
a) defining a linear ordering of resource types
b) using thread
c) using pipes
d) all of the mentioned
By: Dr. P.S.Tanwar

Deadlock
Deadlock Avoidance
• The banker’s algorithm is a resource allocation and
deadlock avoidance algorithm
• It tests for safety by simulating the allocation for

predetermined maximum possible amounts of all resources,
• then makes an “s-state” check to test for possible activities,

before deciding whether allocation should be allowed to
continue.
By: Dr. P.S.Tanwar

Deadlock
Deadlock Avoidance
• This name is given because it is used in banking system.
• Bank checks whether loan can be sanctioned to a person or

not.
– Suppose there are n number of account holders in a bank and the total
sum of their money is S. If a person applies for a loan then the bank
first subtracts the loan amount from the total money that bank has and
if the remaining amount is greater than S then only the loan is
sanctioned. It is done because if all the account holders comes to
withdraw their money then the bank can easily do it.
By: Dr. P.S.Tanwar

Data Structure of
By: Dr. P.S.Tanwar

Safety Algorithm
By: Dr. P.S.Tanwar

Resource Request Algorithm
By: Dr. P.S.Tanwar

Example
5 processes : P0 through P4;
3 resource types: A   (10 instances), B (5instances, and C (7 instances).
Need[i,j] = Max[i,j]-Allocation[i,j]
Allocation Max Available Need
A B C A B C
A B C A B C
P0 0 1 0 7 5 3
3 3 2 7 4 3
P1 2 0 0 3 2 2 1 2 2
P2 3 0 2 9 0 2
6 0 0
P3 2 1 1 2 2 2
0 1 1
P4 0 0 2 4 3 3
4 3 1
By: Dr. P.S.Tanwar

Example
p1 p3 p4
A B C A B C A B C A B C
Available
P0 0 1 0 7 5 3 3 3 2 7 4 3 A B
A B C C
P1 2 0 0 3 2 2 1 2 2 3+
3+ 3+
3+ 2+
2+
P2 3 0 2 9 0 2 6 0 0 2+ 0+ 0+
2
2+ 0
0+ 0
0+
P3 2 1 1 2 2 2 0 1 1 2+
=5
2 1+
=3
1 1+
=2
1
0
=7 0
=4 2
=3
P4 0 0 2 4 3 3 4 3 1 =7 =4 =5
By: Dr. P.S.Tanwar

We claims that it is in safe state because Seq. P1 P3 P4 P2 P0

<p1,p3,p4,p2,p0> satisfies the safety criteria finish finish finish Finish Finish

Available
P0 0 1 0 7 5 3 3 3 2 7 4 3
A B C
P1 2 0 0 3 2 2 1 2 2
3+ 3+ 2+
P2 3 0 2 9 0 2 6 0 0 2+ 0+ 0+
P3 2 1 1 2 2 2 0 1 1 2+ 1+ 1+
P4 0 0 2 4 3 3 4 3 1 0+
0 0+
0 2+
2
3=
3+
=7 0=4
0+ 2=5
2+
Current state is safe state 10
0= =4
1 =7
0
10 =5 =7
By: Dr. P.S.Tanwar
Q/A
Which of the following is safe
sequence? Current Max
Need
Allocated Required
P0,P1,P2 Resources Resources
P0 5 10 5
P1,P0, P2 P1 2 4 2
P2 2 9 7
P2,P0,P1
Current
P1,P2,P0 Available
Resources
3
By: Dr. P.S.Tanwar

Q/A
Banker’s Algorithm is
Deadlock prevention algorithm
Deadlock Avoidance algorithm
Deadlock Recovery algorithm
Deadlock Ignorance algorithm
By: Dr. P.S.Tanwar

If P1 Requests (1,0,2)
Request Means P1 requests for A=1,B=0, and C=2
request1[j]<=Available1
(1,0,2) <=(3,3,2)

P0 0 1 0 7 5 3 33 3
2 02 2 7 4 3
P1 32 2 0 200 3 2 2 011 2 02 2
P2 3 0 2 9 0 2 6 0 0
P3 2 1 1 2 2 2 0 1 1
P4 0 0 2 4 3 3 4 3 1
By: Dr. P.S.Tanwar

request1[j]<=Available1
(1,0,2) <=(3,3,2)

P0 0 1 0 7 5 3 2 3 0 7 4 3
P1 3 0 2 3 2 2 0 2 0
P2 3 0 2 9 0 2 6 0 0
P3 2 1 1 2 2 2 0 1 1
P4 0 0 2 4 3 3 4 3 1
By: Dr. P.S.Tanwar

By: Dr. P.S.Tanwar

RAG and Wait-for Graph
RAG Wait for Graph
By: Dr. P.S.Tanwar

Deadlock Detection
Algorithm
By: Dr. P.S.Tanwar

Q/A
A deadlock avoidance algorithm dynamically
examines the __________ to ensure that a
circular wait condition can never exist.
resource allocation state
system storage state
operating system
resources
By: Dr. P.S.Tanwar

Q/A
A system is in the safe state if ____________
a) the system can allocate resources to each process in
some order and still avoid a deadlock
b) there exist a safe sequence
c) all of the mentioned
d) none of the mentioned
By: Dr. P.S.Tanwar

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Operating System

Goals of Operating System

Functions of Operating System

Efficiency Measures of O.S.

It also provides a basis for

efficient for hardware.

efficient for hardware.

O.S. is a control program.

Control program controls the

It manages CPU time, memory

It is stored in ROM or EEPROM

It initializes all aspects of the system from CPU registers to

It know how to load OS and to start executing that system.

OS then starts executing the first process such as “init” and

3. I/P and O/P Management

4. Security & Protection

6. Job priority System

8. Understand the meaning of commands and

9. Provide easier user interface

10. Resource allocation

11. Error Detection:

no operating systems exist

• Program loaded via card deck

• Libraries of device drivers (for I/O)

• User debugs at console

More turn around time

humans are cheap

Simple batch processing: load program, run, print results, dump,

• Resident monitor automatically loads, runs, dumps user jobs

• Requires memory management (relocation) and protection

• More efficient use of hardware, but debugging is more difficult (from

Job Control Language (JCL)

$JOB-First Card of Job

$END-Last Card of Job

$LOAD-Load the prog

$RUN-Execute the user Prog.

It automatically arrange similar job in a

Control Card Interpreter

Not user friendly

If error occurs while a Job is in execution It can be found

Resource utilization is not optimum

Strict Job Sequencing is required

CPU Burst time

Turn around time

Multitasking O.S.( Time Sharing OS)

Multiprocessing O.S.( Parallel Systems)

Real time O.S.

It is the process from which more

But CPU can use one job at a time.

SPOOLing concept is used.

During I/O operation there is no need for

Reduced Turnaround time

Reduced Waiting time

Reduced Response time

Increased CPU utilization

Time Slice Concept is used

It is logical Extension of Multiprogramming.

Multiple jobs are executed by the CPU

but the switches occur so frequently that the

Reduced Turnaround time

Reduced Response time

Reduced waiting time

Increased CPU utilization