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Chapters 3&5 Process- Concept &Process Scheduling

OPERATING SYSTEMS
Prescribed Text Book –
Operating System Principles, Seventh Edition
By
Abraham Silberschatz, Peter Baer Galvin and Greg Gagne

Aslesha L.Akkineni
Assistant Professor, CSE
VNR VJIET

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Chapters 3&5 Process- Concept &Process Scheduling

PROCESS MANAGEMENT
Current day computer systems allow multiple programs to be loaded into memory and executed
concurrently. Process is nothing but a program in execution. A process is the unit of work in a
modern time sharing system. A system is a collection of processes: operating system processes
executing operating system code and user processes executing user code. By switching CPU
between processes, the operating system can make the computer more productive.

Overview
A batch system executes jobs whereas a time shared system has user programs or tasks. On a
single user system, user may be able to run several programs at one time: a word processor, a
web browser and an e-mail package. All of these are called processes.

The Process

A process is a program in execution. A process is more than a program code sometimes known
as text section. It also includes the current activity as represented by the value of the program
counter and the contents of the processor’s registers. A process generally also includes the
process stack which contains temporary data and a data section which contains global variables.
A process may also include a heap which is memory that is dynamically allocated during
process run time.

Program itself is not a process, a program is a passive entity such as a file containing a list of
instructions stored on disk (called an executable file) whereas process is an active entity with a
program counter specifying the next instruction to execute and a set of associated resources. A
program becomes a process when an executable file is loaded into memory. Although two
processes may be associated with the same program, they are considered two separate execution
sequences.

Process State

As a process executes, it changes state. The state of a process is defined in part by the current
activity of that process. Each process may be in one of the following states-

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Chapters 3&5 Process- Concept &Process Scheduling

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 the processor.

Terminated: The process has finished execution.

Process Control Block

Each process is represented in the operating system by a process control block also called task
control block. It contains many pieces of information associated with a specific process
including:

Process State: The state may be new, ready, running, waiting, halted etc.

Program Counter: The counter indicates the address of the next instruction to be executed for this
process.

CPU registers: The registers vary in number and type depending on the computer architecture.

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Chapters 3&5 Process- Concept &Process Scheduling

CPU scheduling information: This information includes a process priority, pointers to scheduling
queues, and other scheduling parameters.

Memory management information: This information may include such information as the value
of base and limit registers etc.

Accounting information: This information includes the amount of CPU and real time used, time
limits etc.

I/O status information: This information includes the list of I/O devices allocated to the process,
etc.

Threads

Process is a program that performs a single thread of execution. A single thread of control
allows the process to perform only one task at one time.

Process Scheduling

The objective of multi programming is to have some process running at all times to maximize
CPU utilization. The objective of time sharing is to switch the CPU among processes so
frequently that users can interact with each program while it is running. To meet these
objectives, the process scheduler selects an available process for program execution on the
CPU. For a single processer system, there will never be more than one running process.

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Chapters 3&5 Process- Concept &Process Scheduling

Scheduling Queues

As processes enter the system, they are put inside the job queue, which consists of all processes
in the system. The processes that are residing in main memory and are ready and waiting to
execute are kept on a list called the ready queue. This queue is stored as a linked list. A ready
queue header contains pointers to the first and final PCB’s in the list. Each PCB includes a
pointer field that points to the next PCB in the ready queue.

When a process is allocated the CPU, it executes for a while and eventually quits, is interrupted
or waits for the occurrence of a particular event such as the completion of an I/O request. The list
of processes waiting for a particular I/O device is called a device queue. Each device has its own
device queue.

Example-

A common representation for process scheduling is queuing diagram. Each rectangular box
represents a queue. Two types of queues are present: ready queue and a set of device queues.
Circles represent the resources that serve the queues and the arrows indicate the flow of
processes in the system.

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Chapters 3&5 Process- Concept &Process Scheduling

A new process is initially put in the ready queue. It waits there until it is selected for execution or
is dispatched. Once the process is allocated the CPU and is executing, one of the following
events might occur –

a) The process could issue and I/O request and then be placed in the I/O queue.
b) The process could create a new sub process and wait for the sub process’s termination.
c) The process could be removed forcibly from the CPU as a result of an interrupt and be
put back in the ready queue.

Schedulers
A process migrated among the various scheduling queues throughout its life time. The OS must
select for scheduling purposes, processes from these queues and this selection is carried out by
scheduler.

In a batch system, more processes are submitted than can be executed immediately. These
processes are spooled to a mass storage device (disk) where they are kept for later execution. The
long term scheduler or job scheduler selects processes from this pool and loads them into
memory for execution. The short term scheduler or CPU scheduler selects from among the
processes that are ready to execute and allocates the CPU to one of them.

The distinction between these two lies in the frequency of execution. The long term scheduler
controls the degree of multi programming (the number of processes in memory).

Most processes can be described as either I/O bound or CPU bound. An I/O bound process is one
that spends more of its time doing I/O than it spends doing computations. A CPU bound process
generates I/O requests infrequently using more of its time doing computations. Long term
scheduler must select a good mix of I/O bound and CPU bound processes. A system with best
performance will have a combination of CPU bound and I/O bound processes.

Some operating systems such as time sharing systems may introduce additional/intermediate
level of scheduling. Idea behind medium term scheduler is that sometimes it can be
advantageous to remove processes from memory and thus reduce the degree of multi
programming. Later the process can be reintroduced into memory and its execution can be
continued where it left off. This scheme is called swapping. The process is swapped out and is
later swapped in by the medium term scheduler.

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Chapters 3&5 Process- Concept &Process Scheduling

Context switch
Interrupts cause the OS to change a CPU from its current task and to run a kernel routine. When
an interrupt occurs, the system needs to save the current context of the process currently running
on the CPU so that it can restore that context when its processing is done, essentially suspending
the process and then resuming it. The context is represented in the PCB of the process, it
includes the value of CPU registers, process state and memory management information. We
perform a state save of the current state of the CPU and then state restore to resume operations.

Switching the CPU to another process requires performing a state save of the current process and
a state restore of a different process. This task is known as context switch. Kernel saves the
context of the old process in its PCB and loads the saved context of the new process scheduled to
run. Context switch time is pure overhead. Its speed varies from machine to machine depending
on the memory speed, the number of registers that must be copied and the existence of special
instructions. Context switch times are highly dependent on hardware support.

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Chapters 3&5 Process- Concept &Process Scheduling

PROCESS SCHEDULING
Process is an executing program with a single thread of control. Most operating systems provide
features enabling a process to contain multiple threads of control. A thread is a basic unit of CPU
utilization; it comprises of a thread ID, a program counter, a register set and a stack. It shares
with other threads belonging to the same process its code section, data section and other
operating system resources such as open files and signals. A traditional or heavy weight process
has a single thread of control.

Benefits of multi threaded programming are:

Responsiveness: Multi threading an interactive application may allow a program to continue

running even if part of it is blocked or is performing a lengthy operation, thereby increasing
responsiveness to the user.

Resource interaction: Threads share the memory and the resources of the process to which they
belong. The benefit of sharing code and data is that it allows an application to have several
different threads of activity within the same address space.

Economy: Allocating memory and resources for process creation is costly. Because threads share
resources of the process to which they belong, it is more economical to create and context switch
threads.

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Utilization of multi processor architecture: The benefits of multi threading can be greatly
increased in a multi processor architecture where threads may be running in parallel on different
processors. Multi threading on a multi CPU machine increases concurrency.

User threads are supported above the kernel and are managed without kernel support whereas
kernel threads are supported and managed directly by the operating system.

CPU scheduling is the basis of multi programmed operating systems. By switching CPU among
processes, the OS can make the computer more productive. On operating systems that support
threads, it is kernel level threads and not processes that are scheduled by operating system. But
process scheduling and thread scheduling are often used interchangeably.

In a single processor system, only one process can run at a time; others must wait until CPU is
free and can be rescheduled. The objective of multi programming is to have some process
running at all times to maximize CPU utilization. Under multi programming, several processes
are kept in memory at one time. When one process has to wait, the OS takes the CPU away from
that process and gives the CPU to another process. As CPU is one of the primary computer
resources, its scheduling is central to operating system design.

CPU – I/O burst cycle:

Process execution consists of a cycle of CPU execution and I/O wait. Processes alternate
between these two states. Process execution begins with CPU burst followed by an I/O burst and
so on. The final CPU burst ends with a system request to terminate execution.

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An I/O bound program has many short CPU bursts. A CPU bound program might have a few
long CPU bursts.

CPU scheduler
Whenever the CPU becomes idle, the operating system must select one of the processes in the
ready queue to be executed. The selection process is carried out by the short term scheduler or
CPU scheduler. The scheduler selects a process from the processes in memory that are ready to
execute and allocates the CPU to that process.

The ready queue is not necessarily a first in first out queue. A ready queue can be implemented
as a FIFO queue, a priority queue, a tree or an unordered linked list. All the processes in the
ready queue are lined up waiting for a chance to run on the CPU. The records in the queue are
process control blocks of the processes.

Pre-emptive scheduling
CPU scheduling decisions may take place under the following four conditions-

a) When a process switches from the running state to the waiting state
b) When a process switches from the running state to the ready state
c) When a process switches from the waiting state to the ready state
d) When a process terminates

When scheduling takes place under conditions 1 and 4, scheduling scheme is non - pre emptive
or co-operative. Else it is called pre emptive.

Under non pre emptive scheduling, once the CPU has been allocated to a process, the process
keeps the CPU until it releases the CPU either by terminating or by switching to the waiting
state. Pre emptive scheduling incurs cost associated with access to shared data. Pre emption also
affects the design of the operating system kernel.

Dispatcher
The dispatcher is the module that gives control of the CPU to the process selected by the short
term scheduler. This function involves-

a) Switching context
b) Switching to user mode
c) Jumping to the proper location in the user program to restart that program

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

Scheduling criteria
Different CPU scheduling algorithms have different properties. Criteria for comparing CPU
scheduling algorithms-

a) CPU utilization: Keep the CPU as busy as possible

b) Through put: One measure of work of CPU is the number of processes that are completed
per time unit called through put.

c) Turnaround time: The interval from the time of submission of a process to the time of
completion is the turnaround time. Turnaround time is the sum of the periods spent
waiting to get into memory, waiting in the ready queue, executing on the CPU and doing
I/O.

d) Waiting time: It is the sum of the periods spent waiting in the ready queue.

e) Response time: The time it takes for the process to start responding but is not the time it
takes to output the response.

It is desirable to maximize CPU utilization and through put and to minimize turnaround time,
waiting time and response time.

Scheduling algorithms
First Come First Serve:

This is the simplest CPU scheduling algorithm. The process that requests the CPU first is
allocated the CPU first. The implementation of FCFS is managed with a FIFO queue. When a
process enters the ready queue, its PCB is linked onto the tail of the queue. When the CPU is
free, it is allocated to the process at the head of the queue. The running process is then removed
from the queue.

The average waiting time under FCFS is often quite long. The FCFS scheduling algorithm is non
pre-emptive.

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Once the CPU has been allocated to a process, that process keeps the CPU until it releases the
CPU either by terminating or by requesting I/O. It is simple, fair, but poor performance.
Average queuing time may be long.

Average wait = ( (8-0) + (12-1) + (21-2) + (26-3) )/4 = 61/4 = 15.25

Shortest Job First:

This algorithm associates with each process the length of the process’s next CPU burst. When
the CPU is available, it is assigned to the process that has the smallest next CPU burst. If the next
CPU bursts of two processes are the same, FCFS scheduling is used to break the tie.

t( n+1 ) = w * t( n ) + ( 1 - w ) * T( n )

Here: t(n+1) is time of next burst.

t(n) is time of current burst.

T(n) is average of all previous bursts .

W is a weighting factor emphasizing current or previous bursts.

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SJF algorithm is optimal in that it gives the minimum average waiting time for a given set of
processes. The real difficulty with SJF is knowing the length of the next CPU request. SJF
scheduling is used frequently in long term scheduling. It cannot be implemented at the level of
short term scheduling as there is no way to know the length of the next CPU burst.

The SJF algorithm can be either pre emptive or non pre emptive. This choice arises when a new
process arrives at the ready queue while a previous process is still executing. The next CPU burst
of the newly arrived process may be shorter than what is left of the currently executing process.
A pre emptive SJF will preempt the currently executing process where as non preemptive SJF
algorithm will allow the currently running process to finish its CPU burst. Preemptive SJF is
sometimes called shortest remaining time first scheduling.

Priority

The SJF is a special case of the general priority scheduling algorithm. A priority is associated
with each process and CPU is allocated to the process with highest priority. Equal priority
processes are scheduled in FCFS order. An SJF algorithm is simply a priority algorithm where
the priority is the inverse of the predicted next CPU burst. The larger the CPU burst, the lower
the priority. Priorities are generally indicated by some fixed range of numbers usually 0 to 7.

Priorities can be defined either internally or externally. Internally defined priorities use some
measurable quantity to computer the priority of a process. External priorities are set by criteria
outside the operating system.

Priority scheduling can be either pre emptive or non pre emptive. When a process arrives at the
ready queue, its priority is compared with the priority of the currently running process. A
preemptive priority scheduling algorithm will preempt the CPU is the priority of the newly
arrived process is higher than the priority of the currently running process. A non preemptive
priority scheduling algorithm will put the new process at the head of the ready queue.

The major problem with priority scheduling algorithm is indefinite blocking or starvation. A
process that is ready to run but waiting for the CPU can be considered blocked. A priority
scheduling algorithm can leave some low priority processes waiting indefinitely. A solution to
the problem of indefinite blockage of low priority processes is aging. Aging is a technique of
gradually increasing the priority of processes that wait in the system for a long time.

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Round Robin

The round robin scheduling algorithm is designed for time sharing systems. It is similar to FCFS
scheduling but preemption is added to switch between processes. A small unit of time called a
time quantum or time slice is defined. A time quantum is generally from 10 to 100 milli seconds.
The ready queue is treated as a circular queue. The CPU scheduler goes around the ready queue
allocating the CPU to each process for a time interval of up to 1 time quantum. To implement
RR scheduling, ready queue is implemented as a FIFO queue. New processes are added to the
tail of ready queue. The CPU scheduler picks the first process from the ready queue, sets the
timer to interrupt after 1 time quantum and dispatches the process.

The process may either have a CPU burst of less than 1 time quantum. Then, the process itself
will release the CPU voluntarily. The scheduler will then proceed to the next process in the ready
queue. Else if the CPU burst of the currently running process is longer than 1 time quantum, the
timer will go off and will cause an interrupt to the operating system. A context switch will be
executed and the process will be put at the tail of the ready queue. The CPU scheduler will then
select the next process in the ready queue.

In the RR scheduling algorithm, no process is allocated the CPU for more than 1 time quantum
in a row. If a process’s CPU burst exceeds 1 time quantum, that process is preempted and is put
back in the ready queue. Thus this algorithm is preemptive.

The performance of the RR algorithm depends heavily on the size of time quantum. If the time
quantum is extremely large, the RR policy is same as the FCFS policy. If the time quantum is
extremely small, the RR approach is called processor sharing.

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Algorithm evaluation
Selection of an algorithm is difficult. The first problem is defining the criteria to be used in
selecting an algorithm. Criteria are often defined in terms of CPU utilization, response time or
through put. Criteria includes several measures such as-

a) Maximizing CPU utilization under the constraint that the maximum response time is 1
second.
b) Maximizing through put such that turnaround time is linearly proportional to total
execution time.

Various evaluation methods that can be used-

I. Deterministic modeling-

One major class of evaluation methods is analytic evaluation. Analytic evaluation uses the
given algorithm and the system work load to produce a formula or number that evaluates the
performance of the algorithm for that workload. One type of analytic evaluation is deterministic
modeling. This method takes a particular pre determined work load and defines the performance
of each algorithm for that work load.

Deterministic modeling is simple and fast. It returns exact numbers allowing for comparison of
algorithms. The main uses of deterministic modeling are in describing scheduling algorithms and
providing examples.

II. Queuing models-

On many systems, the processes that run vary from day to day so there is no static set of
processes to use for deterministic modeling. The distribution of CPU and I/O bursts can be
determined however. These distributions can then be measured and approximated. The result is a
mathematical formula describing the probability of a particular CPU burst.

The computer system is described as a network of servers. Each server has a queue of waiting
processes. The CPU is a server with its ready queue as is the I/O system with its device queues.
By knowing the arrival rates and service rates, utilization, average queue length, average wait
time can be computed. This area of study is called queuing network analysis.

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Let n be the average queue length, let W be the average waiting time in the queue and let λ be the
average arrival rate for new processes in the queue. If the system is in the steady state, then the
number of processes leaving the queue must be equal to the number of processes that arrive.
Thus,

n = λ * W

This equation known as Little’s formula is useful because it is valid for any scheduling algorithm
and arrival distribution.

Queuing analysis can be useful in comparing scheduling algorithms.

III. Simulations

Running simulations involves programming a model of the computer system. Running

simulations involves programming a model of the computer system. Software data structures
represent the major components of the system. The data to drive the simulation can be generated
in several ways. The most common method uses a random number generator which is
programmed to generate processes, CPU burst times, arrivals, departures etc. The distributions
can be defined mathematically (uniform, exponential, Poisson) or empirically. The results define
the distribution of events in the real system; this distribution can then be used to drive the
simulation.

The frequency distribution indicates how many instances of each event occur; it does not indicate
anything about the order of occurrence. To rectify this, we use trace tapes.

A trace tape is created by monitoring the real system and recording the sequence of actual
events. This sequence is then used to drive the simulation. Trace tapes provide an excellent way
to compare two algorithms on the same set of real inputs. Simulations can be expensive,
requiring hours of computer time. Trace tapes can require large amounts of storage space.

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IV. Implementation

The only completely accurate way to evaluate a scheduling algorithm is to code it up, put it in
the operating system and see how it works. This approach puts the actual algorithm in the real
system for evaluation under real operating conditions.

The major difficulty with this approach is high cost. Another difficulty is that the environment in
which the algorithm is used will change.

The most flexible scheduling algorithms are those that can be altered by the system managers or
by the users so that they can be tuned for a specific application or set of applications. Another
approach is to use API’s that modify the priority of a process or thread.

Thread Scheduling
Thread is a basic unit of CPU utilization. Support for threads may be provided either at the user
level for user threads or by the kernel for kernel threads. User threads are supported above the
kernel and are managed without kernel support whereas kernel threads are supported and
managed directly by the operating system.

Three common ways of establishing a relationship between user level and kernel level threads
are:
Many to one model - Maps many user level threads to one kernel thread. Thread management is
done by the thread library in user space hence it is efficient but entire process will block if a
thread makes a blocking system call. As only one thread can access the kernel at a time, multiple

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threads are unable to run in parallel on multi processors.

One to one model - Maps each user thread to kernel thread. It allows more concurrency by
allowing another thread to run when a thread makes a blocking system call; it also allows
multiple threads to run in parallel on multi processors. Disadvantage is that creating a user thread
requires creating the corresponding kernel thread.

Many to many model - Multiplexes many user level threads to a smaller or equal number of
kernel level threads. The number of kernel threads may be specific to either a particular
application or a particular machine. Developers can create as many user threads as necessary and
the corresponding kernel threads can run in parallel on a multi processor. Also, when a thread
performs a blocking system call, the kernel can schedule another thread for execution.

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On operating systems that support threads, it is kernel level threads that are being scheduled by
operating system. User level threads are managed by thread library. To run on a CPU, user level
threads must be mapped to an associated kernel level thread although this mapping may be
indirect and may use a light weight process.

Contention scope: One major difference between user level and kernel level threads lies in
how they are scheduled. On systems implementing the many to one and many to many, the
thread library schedules user level threads to run on an available light weight process, a scheme
known as process contention scope since competition for the CPU takes place among threads
belonging to the same process. Also to decide which kernel thread to schedule onto a CPU, the
kernel uses system contention scope. PCS is done according to priority - the scheduler selects the
runnable thread with the highest priority to run. PCS will preempt the thread currently running in
favor of a higher priority thread.

A thread library provides the programmer an API for creating and managing threads. Two
primary ways of implementing a thread library are

a) Provide a library entirely in user space with no kernel support, all code and data structures for
the library exist in user space.

b) Implement a kernel thread library supported directly by the operating system. Code and data
structures for the library exist in kernel space.

Three main thread libraries in use today are:

 POSIX threads/Pthreads - may be provided as either a user or kernel level library

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 Win32 - kernel level library available on Windows Systems

 Java - allows thread creation and management directly in Java programs.

Pthreads - refers to the POSIX standard defining an API for thread creation and synchronization.
This is a specification for thread behavior. Numerous systems implement Pthreads specification.

For more information about Pthreads, please refer to this website:

https://computing.llnl.gov/tutorials/pthreads/

http://linux.die.net/man/7/pthreads

Pthread scheduling: POSIX Pthread API allows specifying either PCS or SCS during thread
creation. Pthreads identifies the following contention scope values:

PTHREAD_SCOPE_PROCESS schedules threads using PCS scheduling

PTHREAD_SCOPE_SYSTEM schedules threads using SCS scheduling

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

schedules user level threads onto available LWP’s. The number of LWP’s is maintained by
thread library using scheduler activations. The PTHREAD_SCOPE_SYSTEM scheduling policy
will create and bind an LWP for each user level thread using the one- to – one policy.

The Pthread IPC provides the following two functions for getting and setting the contention
policy:

Pthread_attr_setscope(pthread_attr_t *attr, int scope)

Pthread_attr_getscope(pthread_attr_t *attr, int scope)

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

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Chapters 3&5 Process- Concept &Process Scheduling

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