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  <title>Mutual exclusion and synchronization</title>
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  <title>Mutual exclusion and synchronization</title>
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  <section>
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  <section>
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    <title>Introduction</title>
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    <title>Introduction</title>
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    <para>The HelenOS operating system is designed to make use of parallelism
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    <para>The HelenOS operating system is designed to make use of the
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    offered by hardware and to exploit concurrency of both the kernel and
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    parallelism offered by the hardware and to exploit concurrency of both the
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    userspace tasks. This is achieved through multiprocessor support and
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    kernel and userspace tasks. This is achieved through multiprocessor
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    several levels of multiprogramming (i.e. multitasking, multithreading and
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    support and several levels of multiprogramming such as multitasking,
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    through userspace pseudo threads). However, such a highly concurrent
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    multithreading and also through userspace pseudo threads. However, such a
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    environment needs safe and efficient ways to handle mutual exclusion and
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    highly concurrent environment needs safe and efficient ways to handle
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    synchronization of many execution flows.</para>
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    mutual exclusion and synchronization of many execution flows.</para>
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  </section>
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  </section>
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18
 
19
  <section>
19
  <section>
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    <title>Active kernel primitives</title>
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    <title>Active kernel primitives</title>
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    <section>
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    <section>
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      <title>Spinlocks</title>
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      <title>Spinlocks</title>
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      <para>The basic mutual exclusion primitive is the spinlock. Spinlock
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      <para>The basic mutual exclusion primitive is the spinlock. The spinlock
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      implements busy waiting for an availability of a memory lock (i.e.
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      implements active waiting for the availability of a memory lock (i.e.
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      simple variable) in a multiprocessor-safe manner. This safety is
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      simple variable) in a multiprocessor-safe manner. This safety is
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      achieved through the use of a specialized, architecture-dependent,
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      achieved through the use of a specialized, architecture-dependent,
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      atomic test-and-set operation which either locks the spinlock (i.e. sets
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      atomic test-and-set operation which either locks the spinlock (i.e. sets
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      the variable) or, provided that it is already locked, leaves it
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      the variable) or, provided that it is already locked, leaves it
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      unaltered. In any case, the test-and-set operation returns a value, thus
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      unaltered. In any case, the test-and-set operation returns a value, thus
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      signalling either success (i.e. zero return value) or failure (i.e.
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      signalling either success (i.e. zero return value) or failure (i.e.
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      non-zero value) in acquiring the lock. Note that this makes the
33
      non-zero value) in acquiring the lock. Note that this makes a
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      fundamental difference between the naive algorithm that doesn't use the
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      fundamental difference between the naive algorithm that doesn't use the
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      atomic operation and the spinlock algortihm. While the naive algorithm
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      atomic operation and the spinlock algortihm. While the naive algorithm
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      is prone to race conditions on SMP configuratinos and thus is completely
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      is prone to race conditions on SMP configurations and thus is completely
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      SMP-unsafe, the spinlock algorithm eliminates the possibility of race
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      SMP-unsafe, the spinlock algorithm eliminates the possibility of race
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      conditions and is suitable for mutual exclusion use.</para>
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      conditions and is suitable for mutual exclusion use.</para>
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      <para>The semantics of the test-and-set operation is that the spinlock
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      <para>The semantics of the test-and-set operation is that the spinlock
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      remains unavailable until this operation called on the respective
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      remains unavailable until this operation called on the respective
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      spinlock returns zero. HelenOS builds two functions on top of
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      spinlock returns zero. HelenOS builds two functions on top of the
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      test-and-set operation. The first is the unconditional attempt to
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      test-and-set operation. The first function is the unconditional attempt
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      acquire the spinlock and is called <emphasis>spinlock_lock</emphasis>.
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      to acquire the spinlock and is called
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      <emphasis>spinlock_lock</emphasis>. It simply loops until the
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      It simply loops until test-and-set returns zero. The other operation,
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      test-and-set returns a zero value. The other function,
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      <emphasis>spinlock_trylock</emphasis>, is the conditional lock operation
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      <emphasis>spinlock_trylock</emphasis>, is the conditional lock operation
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      and calls the test-and-set only once to find out wheter it managed to
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      and calls the test-and-set only once to find out whether it managed to
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      acquire the spinlock or not. The conditional operation is useful in
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      acquire the spinlock or not. The conditional operation is useful in
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      situations in which an algorithm cannot acquire more spinlocks in the
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      situations in which an algorithm cannot acquire more spinlocks in the
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      proper order and a deadlock cannot be avoided. In such a case, the
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      proper order and a deadlock cannot be avoided. In such a case, the
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      algorithm would detect the danger and instead of possibly deadlocking
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      algorithm would detect the danger and instead of possibly deadlocking
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      the system it would simply release some spinlocks it already holds and
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      the system it would simply release some spinlocks it already holds and
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      retry the whole operation with the hope that it will succeed next time.
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      retry the whole operation with the hope that it will succeed next time.
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      The unlock operation, <emphasis>spinlock_unlock</emphasis>, is quite
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      The unlock function, <emphasis>spinlock_unlock</emphasis>, is quite easy
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      easy - it merely clears the spinlock variable.</para>
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      - it merely clears the spinlock variable.</para>
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      <para>Nevertheless, there is a special issue related to hardware
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      <para>Nevertheless, there is a special issue related to hardware
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      optimizations that modern processors implement. Particularily
59
      optimizations that modern processors implement. Particularly problematic
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      problematic is the out-of-order execution of instructions within the
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      is the out-of-order execution of instructions within the critical
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      critical section protected by a spinlock. The processors are always
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      section protected by a spinlock. The processors are always
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      self-consistent so that they can carry out speculatively executed
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      self-consistent so that they can carry out speculatively executed
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      instructions in the right order with regard to dependencies among those
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      instructions in the right order with regard to dependencies among those
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      instructions. However, the dependency between instructions inside the
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      instructions. However, the dependency between instructions inside the
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      critical section and those that implement locking and unlocking of the
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      critical section and those that implement locking and unlocking of the
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      respective spinlock is not implicit on some processor architectures and
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      respective spinlock is not implicit on some processor architectures. As
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      the processor needs to be explicitly told about each occurrence of such
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      a result, the processor needs to be explicitly told about each
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      a dependency. Therefore, HelenOS adds architecture-specific hooks to all
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      occurrence of such a dependency. Therefore, HelenOS adds
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      <emphasis>spinlock_lock</emphasis>,
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      architecture-specific hooks to all <emphasis>spinlock_lock</emphasis>,
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      <emphasis>spinlock_trylock</emphasis> and
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      <emphasis>spinlock_trylock</emphasis> and
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      <emphasis>spinlock_unlock</emphasis> to prevent the instructions inside
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      <emphasis>spinlock_unlock</emphasis> functions to prevent the
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      the critical section from bleeding out. On some architectures, these
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      instructions inside the critical section from permeating out. On some
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      hooks can be a no-op because the dependencies are implicitly there
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      architectures, these hooks can be void because the dependencies are
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      because of the special properties of locking and unlocking instructions.
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      implicitly there because of the special properties of locking and
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      However, other architectures need to instrument these hooks with
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      unlocking instructions. However, other architectures need to instrument
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      different memory barriers, depending on what operations can bleed
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      these hooks with different memory barriers, depending on what operations
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      out.</para>
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      could permeate out.</para>
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      <para>Spinlocks have one significant drawback: when held for longer time
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      <para>Spinlocks have one significant drawback: when held for longer time
79
      periods, they harm both parallelism and concurrency. Processor executing
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      periods, they harm both parallelism and concurrency. The processor
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      <emphasis>spinlock_lock</emphasis> does not do any fruitful work and is
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      executing <emphasis>spinlock_lock</emphasis> does not do any fruitful
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      effectively halted until it can grab the lock and proceed. Similarily,
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      work and is effectively halted until it can grab the lock and proceed.
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      other threads cannot execute on the processor that holds the spinlock
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      Similarily, other execution flows cannot execute on the processor that
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      because the kernel disables preemption on that processor when a spinlock
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      holds the spinlock because the kernel disables preemption on that
84
      is held. The reason behind disabling preemption is priority inversion
85
      processor when a spinlock is held. The reason behind disabling
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      problem avoidance. For the same reason, threads are strongly discouraged
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      preemption is priority inversion problem avoidance. For the same reason,
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      threads are strongly discouraged from sleeping when they hold a
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      from sleeping when they hold a spinlock.</para>
88
      spinlock.</para>
87
 
89
 
88
      <para>To summarize, spinlocks represent very simple and essential mutual
90
      <para>To summarize, spinlocks represent very simple and essential mutual
89
      exclusion primitive for SMP systems. On the other hand, spinlocks scale
91
      exclusion primitive for SMP systems. On the other hand, spinlocks scale
90
      poorly because of the active loop they are based on. Therefore,
92
      poorly because of the active loop they are based on. Therefore,
91
      spinlocks are used in HelenOS only for a short-time mutual exclusion and
93
      spinlocks are used in HelenOS only for short-time mutual exclusion and
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      in cases where the mutual exclusion is required out of thread context.
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      in cases where the mutual exclusion is required out of thread context.
93
      Lastly, spinlocks are used in the construction of passive
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      Lastly, spinlocks are used in the construction of passive
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      synchronization primitives.</para>
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      synchronization primitives.</para>
95
    </section>
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    </section>
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  </section>
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  </section>
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    <section>
103
    <section>
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      <title>Wait queues</title>
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      <title>Wait queues</title>
103
 
105
 
104
      <para>A wait queue is the basic passive synchronization primitive on
106
      <para>A wait queue is the basic passive synchronization primitive on
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      which all other passive synchronization primitives build. Simply put, it
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      which all other passive synchronization primitives are built. Simply
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      allows a thread to sleep until an event associated with the particular
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      put, it allows a thread to sleep until an event associated with the
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      wait queue occurs. Multiple threads are notified about incoming events
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      particular wait queue occurs. Multiple threads are notified about
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      in first come, first served fashion. Moreover, should the event come
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      incoming events in a first come, first served fashion. Moreover, should
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      before any thread waits for it, it is recorded in the wait queue as a
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      the event come before any thread waits for it, it is recorded in the
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      missed wakeup and later forwarded to the first thread that decides to
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      wait queue as a missed wakeup and later forwarded to the first thread
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      wait in the queue. The inner structures of the wait queue are protected
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      that decides to wait in the queue. The inner structures of the wait
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      by a spinlock.</para>
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      queue are protected by a spinlock.</para>
113
 
115
 
114
      <para>The thread that wants to wait for a wait queue event uses the
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      <para>The thread that wants to wait for a wait queue event uses the
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      <emphasis>waitq_sleep_timeout</emphasis> function. The algorithm then
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      <emphasis>waitq_sleep_timeout</emphasis> function. The algorithm then
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      checks the wait queue's counter of missed wakeups and if there are any
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      checks the wait queue's counter of missed wakeups and if there are any
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      missed wakeups, the call returns immediately. The call also returns
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      missed wakeups, the call returns immediately. The call also returns
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      <orderedlist>
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      <orderedlist>
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        <listitem>
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        <listitem>
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          <para>another thread calls <emphasis>waitq_wakeup</emphasis> and the
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          <para>another thread calls <emphasis>waitq_wakeup</emphasis> and the
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          thread is the first thread in the wait queue's list of sleeping
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          thread is the first thread in the wait queue's list of sleeping
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          threads</para>
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          threads;</para>
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        </listitem>
130
        </listitem>
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130
        <listitem>
132
        <listitem>
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          <para>another thread calls
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          <para>another thread calls
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          <emphasis>waitq_interrupt_sleep</emphasis> on the sleeping
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          <emphasis>waitq_interrupt_sleep</emphasis> on the sleeping
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          thread</para>
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          thread;</para>
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        </listitem>
136
        </listitem>
135
 
137
 
136
        <listitem>
138
        <listitem>
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          <para>the sleep timeouts provided that none of the previous occurred
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          <para>the sleep times out provided that none of the previous
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          within a specified time limit; the limit can be infinity</para>
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          occurred within a specified time limit; the limit can be
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          infinity.</para>
139
        </listitem>
142
        </listitem>
140
      </orderedlist>
143
      </orderedlist>
141
 
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142
      <para>All five possibilities (immediate return on success, immediate
145
      <para>All five possibilities (immediate return on success, immediate
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      return on failure, wakeup after sleep, interruption and timeout) are
146
      return on failure, wakeup after sleep, interruption and timeout) are
144
      distinguishable by the return value of
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      distinguishable by the return value of
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      <emphasis>waitq_sleep_timeout</emphasis>. The ability to interrupt a
148
      <emphasis>waitq_sleep_timeout</emphasis>. Being able to interrupt a
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      sleeping thread is essential for externally initiated thread termination
149
      sleeping thread is essential for externally initiated thread
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      and the ability to wait only for a certain amount of time is used, for
150
      termination. The ability to wait only for a certain amount of time is
148
      instance, to passively delay thread execution by several microseconds or
151
      used, for instance, to passively delay thread execution by several
149
      even seconds in <emphasis>thread_sleep</emphasis> function. Because all
152
      microseconds or even seconds in <emphasis>thread_sleep</emphasis>
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      other passive kernel synchronization primitives are based on wait
153
      function. Due to the fact that all other passive kernel synchronization
151
      queues, they also have the option of being interrutped and, more
154
      primitives are based on wait queues, they also have the option of being
152
      importantly, can timeout. All of them also implement the conditional
155
      interrutped and, more importantly, can timeout. All of them also
153
      operation. Furthemore, this very fundamental interface reaches up to the
156
      implement the conditional operation. Furthemore, this very fundamental
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157
      interface reaches up to the implementation of futexes - userspace
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      implementation of futexes - userspace synchronization primitive, which
158
      synchronization primitive, which makes it possible for a userspace
155
      makes it possible for a userspace thread to request synchronization
159
      thread to request a synchronization operation with a timeout or a
156
      operation with a timeout or a conditional operation.</para>
160
      conditional operation.</para>
157
 
161
 
158
      <para>From the description above, it should be apparent, that when a
162
      <para>From the description above, it should be apparent, that when a
159
      sleeping thread is woken by <emphasis>waitq_wakeup</emphasis> or when
163
      sleeping thread is woken by <emphasis>waitq_wakeup</emphasis> or when
160
      <emphasis>waitq_sleep_timeout</emphasis> succeeds immediatelly, the
164
      <emphasis>waitq_sleep_timeout</emphasis> succeeds immediately, the
161
      thread can be sure the event has come and the thread need not and should
165
      thread can be sure that the event has occurred. The thread need not and
162
      not verify this fact. This approach is called direct hand-off and is
166
      should not verify this fact. This approach is called direct hand-off and
163
      characteristic for all passive HelenOS synchronization primitives with
167
      is characteristic for all passive HelenOS synchronization primitives,
164
      one exception described below.</para>
168
      with the exception as described below.</para>
165
    </section>
169
    </section>
166
 
170
 
167
    <section>
171
    <section>
168
      <title>Semaphores</title>
172
      <title>Semaphores</title>
169
 
173
 
170
      <para>The interesting point about wait queues is that the number of
174
      <para>The interesting point about wait queues is that the number of
171
      missed wakeups is equal to the number of threads that will not block in
175
      missed wakeups is equal to the number of threads that will not block in
172
      <emphasis>watiq_sleep_timeout</emphasis> and would immediately succeed
176
      <emphasis>watiq_sleep_timeout</emphasis> and would immediately succeed
173
      instead. On the other hand, semaphores are synchronization primitives
177
      instead. On the other hand, semaphores are synchronization primitives
174
      that will let predefined amount of threads in its critical section and
178
      that will let predefined amount of threads into its critical section and
175
      block any other threads above this count. However, these two cases are
179
      block any other threads above this count. However, these two cases are
176
      exactly the same. Semaphores in HelenOS are therefore implemented as
180
      exactly the same. Semaphores in HelenOS are therefore implemented as
177
      wait queues with a single semantic change: their wait queue is
181
      wait queues with a single semantic change: their wait queue is
178
      initialized to have so many missed wakeups as is the number of threads
182
      initialized to have so many missed wakeups as is the number of threads
179
      that the semphore intends to let into its critical section
183
      that the semphore intends to let into its critical section
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    </section>
194
    </section>
191
 
195
 
192
    <section>
196
    <section>
193
      <title>Mutexes</title>
197
      <title>Mutexes</title>
194
 
198
 
195
      <para>Mutexes are are sometimes referred to as binary sempahores. That
199
      <para>Mutexes are sometimes referred to as binary sempahores. That means
196
      means that mutexes are like semaphores that allow only one thread in its
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      that mutexes are like semaphores that allow only one thread in its
197
      critical section. Indeed, mutexes in HelenOS are implemented exactly in
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      critical section. Indeed, mutexes in HelenOS are implemented exactly in
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      this way: they are built atop semaphores. From another point of view,
202
      this way: they are built on top of semaphores. From another point of
199
      they can be viewed as spinlocks without busy waiting. Their semaphore
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      view, they can be viewed as spinlocks without busy waiting. Their
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      heritage provides good basics for both conditional operation and
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      semaphore heritage provides good basics for both conditional operation
201
      operation with timeout. The locking operation is called
205
      and operation with timeout. The locking operation is called
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      <emphasis>mutex_lock</emphasis>, the conditional locking operation is
206
      <emphasis>mutex_lock</emphasis>, the conditional locking operation is
203
      called <emphasis>mutex_trylock</emphasis> and the unlocking operation is
207
      called <emphasis>mutex_trylock</emphasis> and the unlocking operation is
204
      called <emphasis>mutex_unlock</emphasis>.</para>
208
      called <emphasis>mutex_unlock</emphasis>.</para>
205
    </section>
209
    </section>
206
 
210
 
207
    <section>
211
    <section>
208
      <title>Reader/writer locks</title>
212
      <title>Reader/writer locks</title>
209
 
213
 
210
      <para>Reader/writer locks, or rwlocks, are by far the most complicated
214
      <para>Reader/writer locks, or rwlocks, are by far the most complicated
211
      synchronization primitive within the kernel. The goal of these locks is
215
      synchronization primitive within the kernel. The goal of these locks is
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      to improve concurrency of applications in which threads need to
216
      to improve concurrency of applications, in which threads need to
213
      synchronize access to a shared resource and that access can be
217
      synchronize access to a shared resource, and that access can be
214
      partitioned into a read-only mode and a write mode. Reader/writer locks
218
      partitioned into a read-only mode and a write mode. Reader/writer locks
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      should make it possible for several, possibly many, readers to enter the
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      should make it possible for several, possibly many, readers to enter the
216
      critical section, provided that no writer is currently in the critical
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      critical section, provided that no writer is currently in the critical
217
      section, or to be in the critical section contemporarily. Writers are
221
      section, or to be in the critical section contemporarily. Writers are
218
      allowed to enter the critical section only individually, provided that
222
      allowed to enter the critical section only individually, provided that
219
      no reader is in the critical section already. Applications in which the
223
      no reader is in the critical section already. Applications, in which the
220
      majority of operations can be done in the read-only mode can benefit
224
      majority of operations can be done in the read-only mode, can benefit
221
      from increased concurrency created by reader/writer locks.</para>
225
      from increased concurrency created by reader/writer locks.</para>
222
 
226
 
223
      <para>During reader/writer locks construction, a decision should be made
227
      <para>During reader/writer lock construction, a decision should be made
224
      whether readers will be prefered over writers or whether writers will be
228
      whether readers will be prefered over writers or whether writers will be
225
      prefered over readers in cases when the lock is not currently held and
229
      prefered over readers in cases when the lock is not currently held and
226
      both a reader and a writer want to gain the lock. Some operating systems
230
      both a reader and a writer want to gain the lock. Some operating systems
227
      prefer one group over the other, creating thus a possibility for
231
      prefer one group over the other, creating thus a possibility for
228
      starving the unprefered group. In the HelenOS operating system, none of
232
      starving the unprefered group. In the HelenOS operating system, none of
229
      the two groups is prefered. The lock is granted on the first come, first
233
      the two groups is prefered. The lock is granted on a first come, first
230
      served basis with the additional note that readers are granted the lock
234
      served basis with the additional note that readers are granted the lock
231
      in biggest possible batches.</para>
235
      in the biggest possible batch.</para>
232
 
236
 
233
      <para>With this policy and the timeout modes of operation, the direct
237
      <para>With this policy and the timeout modes of operation, the direct
234
      hand-off becomes much more complicated. For instance, a writer leaving
238
      hand-off becomes much more complicated. For instance, a writer leaving
235
      the critical section must wake up all leading readers in the rwlock's
239
      the critical section must wake up all leading readers in the rwlock's
236
      wait queue or one leading writer or no-one if no thread is waiting.
240
      wait queue or one leading writer or no-one if no thread is waiting.
237
      Similarily, the last reader leaving the critical section must wakeup the
241
      Similarily, the last reader leaving the critical section must wakeup the
238
      sleeping writer, if there are any sleeping threads at all. As another
242
      sleeping writer if there are any sleeping threads left at all. As
239
      example, if a writer at the beginning of the rwlock's wait queue
243
      another example, if a writer at the beginning of the rwlock's wait queue
240
      timeouts and the lock is held by at least one reader, the timeouting
244
      times out and the lock is held by at least one reader, the writer which
241
      writer must first wake up all readers that follow him in the queue prior
245
      has timed out must first wake up all readers that follow him in the
242
      to signalling the timeout itself and giving up.</para>
246
      queue prior to signalling the timeout itself and giving up.</para>
243
 
247
 
244
      <para>Because of the issues mentioned in the previous paragraph, the
248
      <para>Due to the issues mentioned in the previous paragraph, the
245
      reader/writer locks imlpementation needs to walk the rwlock wait queue's
249
      reader/writer lock imlpementation needs to walk the rwlock wait queue's
246
      list of sleeping threads directly in order to find out the type of
250
      list of sleeping threads directly, in order to find out the type of
247
      access that the queueing threads demand. This makes the code difficult
251
      access that the queueing threads demand. This makes the code difficult
248
      to understand and dependent on the internal implementation of the wait
252
      to understand and dependent on the internal implementation of the wait
249
      queue. Nevertheless, it remains unclear to the authors of HelenOS
253
      queue. Nevertheless, it remains unclear to the authors of HelenOS
250
      whether a simpler but equivalently fair solution exists.</para>
254
      whether a simpler but equivalently fair solution exists.</para>
251
 
255
 
Line 256... Line 260...
256
      and is used to synchronize writers. The writer's lock operation,
260
      and is used to synchronize writers. The writer's lock operation,
257
      <emphasis>rwlock_write_lock_timeout</emphasis>, simply tries to acquire
261
      <emphasis>rwlock_write_lock_timeout</emphasis>, simply tries to acquire
258
      the exclusive mutex. If it succeeds, the writer is granted the rwlock.
262
      the exclusive mutex. If it succeeds, the writer is granted the rwlock.
259
      However, if the operation fails (e.g. times out), the writer must check
263
      However, if the operation fails (e.g. times out), the writer must check
260
      for potential readers at the head of the list of sleeping threads
264
      for potential readers at the head of the list of sleeping threads
261
      associated with the mutex's wait queue and proceed according to the
265
      associated with the mutex's wait queue and then proceed according to the
262
      procedure outlined above.</para>
266
      procedure outlined above.</para>
263
 
267
 
264
      <para>The exclusive mutex plays an important role in reader
268
      <para>The exclusive mutex plays an important role in reader
265
      synchronization as well. However, a reader doing the reader's lock
269
      synchronization as well. However, a reader doing the reader's lock
266
      operation, <emphasis>rwlock_read_lock_timeout</emphasis>, may bypass
270
      operation, <emphasis>rwlock_read_lock_timeout</emphasis>, may bypass
267
      this mutex when it detects that:</para>
271
      this mutex when it detects that:</para>
268
 
272
 
269
      <orderedlist>
273
      <orderedlist>
270
        <listitem>
274
        <listitem>
271
          <para>there are other readers in the critical section</para>
275
          <para>there are other readers in the critical section and</para>
272
        </listitem>
276
        </listitem>
273
 
277
 
274
        <listitem>
278
        <listitem>
275
          <para>there are no sleeping threads waiting for the exclusive
279
          <para>there are no sleeping threads waiting for the exclusive
276
          mutex</para>
280
          mutex.</para>
277
        </listitem>
281
        </listitem>
278
      </orderedlist>
282
      </orderedlist>
279
 
283
 
280
      <para>If both conditions are true, the reader will bypass the mutex,
284
      <para>If both conditions are true, the reader will bypass the mutex,
281
      increment the number of readers in the critical section and enter the
285
      increment the number of readers in the critical section and then enter
282
      critical section. Note that if there are any sleeping threads at the
286
      the critical section. Note that if there are any sleeping threads at the
283
      beginning of the wait queue, the first of them must be a writer. If the
287
      beginning of the wait queue, the first must be a writer. If the
284
      conditions are not fulfilled, the reader normally waits until the
288
      conditions are not fulfilled, the reader normally waits until the
285
      exclusive mutex is granted to it.</para>
289
      exclusive mutex is granted to it.</para>
286
    </section>
290
    </section>
287
 
291
 
288
    <section>
292
    <section>