Agenda: (SGG7) Chapter 3 and 4

TDDI12: Operating Systems, Real-time and
Operating Systems
Agenda
[SGG7] Chapter 3 and 4
• Process
+ Process Concept
Processes and Threads + Process Scheduling
+ Operation on Processes
+ Cooperating Processes
Introduce the notion of process and thread + Interprocess Communication
Describe the various features of processes • Threads
Describe interprocess communication
Copyright Notice: The lecture notes are mainly based on Silberschatz’s, Galvin’s and Gagne’s book (“Operating System
Concepts”, 7th ed., Wiley, 2005). No part of the lecture notes may be reproduced in any form, due to the copyrights
reserved by Addison-Wesley. These lecture notes should only be used for internal teaching purposes at the Linköping
University.
Andrzej Bednarski, IDA

Linköpings universitet, 2006
TDDI12, A. Bednarski, IDA, Linköpings universitet 4.2 Silberschatz, Galvin and Gagne ©2005
Process Concept Process in Memory
• An operating system executes a variety of programs:

+ Batch system – jobs
+ Time-shared systems – user programs or tasks
• Textbook uses the terms job and process almost interchangeably.
• Process – a program in execution

process execution must progress in sequential fashion.
+ Note, program is a passive entity (processes are not)
+ Multiple processes may be associated with the same program
• A process includes:
+ program counter
+ stack
+ data section
+ register contents
+ program code (text section)
TDDI12, A. Bednarski, IDA, Linköpings universitet 4.3 Silberschatz, Galvin and Gagne ©2005 TDDI12, A. Bednarski, IDA, Linköpings universitet 4.4 Silberschatz, Galvin and Gagne ©2005
Process State Diagram of Process State
• 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 its execution.
1
Process Control Block (PCB) Process Control Block PCB (Cont.)
Information associated with each process. • Memory management information

+ Base and limit registers
• Process state
+ New, ready, running, waiting, … • Accounting information
• Program counter
• I/O status information
+ Address of the next instruction
+ List of I/O devices allocated to process, open files etc.
• CPU registers
+ Accumulators, index registers, stack pointers, general-purpose PCB is sometimes denoted as task control block.
registers
• CPU scheduling information

+ Process priorities, pointers to scheduling queues etc.
Process Control Block (PCB) CPU Switch From Process to Process
Process Scheduling Queues Ready Queue And Various I/O Device Queues
• Job queue
set of all processes in the system
• Ready queue
set of all processes residing in main memory,
ready and waiting to execute
• Device queues
set of processes waiting for an I/O device
Processes migrate among the various queues
2
Representation of Process Scheduling 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.
Schedulers (Cont.) Addition of Medium Term Scheduling
• Short-term scheduler is invoked very frequently (milliseconds) • Controls swapping

⇒ (must be fast). + Removes processes from memory
̶ Decreases degree of multiprogramming (swap out)
• Long-term scheduler is invoked very infrequently (sec, min)
⇒ (may be slow). + Reloads processes later (swap in)
• 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.
Best performance:
Balance between I/O-bound and CPU-bound processes
Context Switch Process Creation
• When CPU switches to another process, the system must • Parent process creates children processes, which, in turn create
+ save the state of the old process and other processes, forming a tree of processes (system call).
+ load the saved state for the new process.
• Resource sharing
• Context-switch time is overhead Goal: Preventing system overloading
+ the system does no useful work while switching + Parent and children share all resources.
+ Children share subset of parent’s resources.
• Time dependent on hardware support (from 1µs to 1ms). + Parent and child share no resources.
+ E.g., consider an architecture having multiple sets of registers.
• Execution
+ Parent and children execute concurrently.
+ Parent waits until children terminate.
3
Process Creation (Cont.) Process Creation (Cont.)
• Address space
+ Child duplicate of parent
+ Child has a program loaded into it
• UNIX examples
+ pid - process identifier
+ fork - system call creates new process,
holding a copy of the memory space of the parent process
+ exec - system call used after a fork
to replace the process’ memory space with a new program
• Windows NT/XP support two models

+ Duplication like fork
+ Creation of new process
with address to new program to be loaded
C Program Forking Separate Process A tree of processes on a typical UNIX system
int main()
{
pid_t pid;
/* fork another process */
pid = fork();
if (pid < 0) { /* error occurred */
fprintf(stderr, "Fork Failed!\n");
exit(-1);
} else if (pid == 0) { /* child process */
execlp("/bin/ls", "ls", NULL);
} else { /* parent process */
/* parent will wait for the child to complete */
wait (NULL);
printf ("Child Complete\n");
exit(0);
}
return 0; Solaris OS
}
Process Termination Cooperating Processes
• Process executes last statement (exit) and • Independent process cannot affect or be affected by the
asks the operating system to execution of another process (no data sharing).
+ Output data from child to parent (parent issues a wait).
+ Process’ resources are deallocated • Cooperating process can affect or be affected by the execution of
(released) by operating system. another process
• Parent may terminate execution of children processes (abort). • Advantages of process cooperation
+ Child has exceeded allocated resources + Information sharing
+ Task assigned to child is no longer required ̶ Also enables fault-tolerance, e.g., N-version redundancy
+ Parent is exiting. + Computation speed-up
̶ Operating system does not allow child to continue if its + Modularity
parent terminates. + Convenience
̶ Note, this depends on the type of coupling that is supported.
̶ All children terminated - cascading termination
4
Producer-Consumer Problem Interprocess Communication (IPC)
• Paradigm for cooperating processes, producer process produces • Mechanism for processes to communicate
information that is consumed by a consumer process. and to synchronize their actions.
+ unbounded-buffer places no practical limit on the size of the • Message system – processes communicate with each other
buffer. without resorting to shared variables.
+ bounded-buffer assumes that there is a fixed buffer size. • IPC facility provides two operations:
+ send(message) – message size fixed or variable
• Variables in, out are initialized to 0 + receive(message)
+ n is the number of slots in buffer • If P and Q wish to communicate, they need to:
+ in points to the next free position in the buffer + establish a communication link between them
+ out points to the first full position in the buffer + exchange messages via send/receive
+ Buffer is empty when in = out • Implementation of communication link
+ Buffer is full when in + 1 mod n = out + physical (e.g., shared memory, hardware bus)
̶ Buffer is a circular array + logical (e.g., logical properties)
Implementation Questions Communications Models
• 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?
Direct Communication Indirect Communication
• Processes must name each other explicitly: • Messages are directed and received from mailboxes
+ send (P, message) – send a message to process P (also referred to as ports)
+ receive(Q, message) – receive a message from process Q + Each mailbox has a unique id
• Properties of communication link + Processes can communicate only if they share a mailbox
+ Links are established automatically
+ A link is associated with exactly one pair of communicating • Properties of communication link
processes + Link established only if processes share a common mailbox
+ Between each pair there exists exactly one link + A link may be associated with many processes
+ The link may be unidirectional, but is usually bi-directional + Each pair of processes may share several communication links
+ Link may be unidirectional or bi-directional (usually)
5
Indirect Communication (Cont.) Indirect Communication
• Operations • Mailbox sharing

+ create a new mailbox + P1, P2, and P3 share mailbox A
+ send and receive messages through mailbox + P1, sends; P2 and P3 receive
+ destroy a mailbox + Who gets the message?
• Primitives are defined as: • Solutions

send(A, message) – send a message to mailbox A + Allow a link to be associated with at most two processes
receive(A, message) – receive a message from mailbox A + Allow only one process at a time to execute a receive operation
+ Allow the system to select arbitrarily the receiver.
Sender is notified who the receiver was.
Synchronization Buffering
• Communication: send/receive primitives • Temporary queues

(different implementations)
• Queue of messages attached to the link;
+ Blocking/Synchronous implemented in one of three ways.
̶ send: sender blocked until message received (phone)
1. Zero capacity – 0 messages
̶ receive: receiver blocks until a message is available Sender must wait for receiver (rendez-vous).
“message system with no buffering”
+ Nonblocking/Asynchronous
̶ send: sends and resumes (SMS) 2. Bounded capacity – finite length of n messages
Sender must wait if link full.
̶ receive: if there is a message, retrieve it, otherwise empty
message (classical mail box) “automatic buffering”
3. Unbounded capacity – infinite length

Sender never waits.
“automatic buffering”
Client-Server Communication Sockets
• Sockets • A socket is defined as an endpoint for communication

• Remote Procedure Calls • Concatenation of IP address and port
• Remote Method Invocation (Java) • The socket 146.86.5.20:1625 refers to port 1625 on host 146.86.5.20
• Communication consists between a pair of sockets
6
Remote Procedure Calls Marshalling Parameters
• Remote procedure call (RPC) abstracts procedure calls between

processes on networked systems.
• stubs – client-side proxy for the actual procedure on the server.
• The client-side stub locates the server and

marshalls the parameters.
• The server-side stub receives this message,

unpacks the marshalled parameters,
and performs the procedure on the server.
Execution of RPC Remote Method Invocation
• Remote Method Invocation (RMI)

is a Java mechanism similar to RPCs.
• RMI allows a Java program on one virtual machine
to invoke a method on a remote object (on another VM).
Threads Single and Multithreaded Processes
• A thread (or lightweight process) is a basic unit of CPU utilization;

it consists of:
+ program counter
+ register set
+ stack space
• A thread shares with its peer threads its:

+ code section
+ data section
+ operating-system resources
collectively know as a task.
• A traditional or heavyweight process

is equal to a task with one thread
Advantage: Use of threads minimizes context switches

without loosing parallelism.
7
User/Kernel Threads Multithreading Models
• User threads
+ Thread management done by user-level threads library
(POSIX Pthreads, Win32 threads, Java threads)
• Kernel threads One-to-one

+ Supported by the kernel
(Windows XP/2000, Solaris, Linux, True64 UNIX, Mac OS X)
Many-to-one
Many-to-many
Thread Cancellation Signal Handling
• Terminating a thread before it has finished • Signals are used in UNIX systems to notify a process that a
particular event has occurred
• Two general approaches:
+ Asynchronous cancellation terminates the target thread • A signal handler is used to process signals
immediately 1. Signal is generated by particular event
+ Deferred cancellation allows the target thread to periodically 2. Signal is delivered to a process
check if it should be cancelled 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
Thread Pools Recommended Reading and Exercises
• Create a number of threads in a pool where they await work • Reading

+ Chapter 3 and 4 [SGG7]
Chapter 4 and 5 (6th edition)
• Advantages: Chapter 4 (5th edition)
+ Usually slightly faster to serve a request Optional but recommended:
+ Bounded number of threads in the application Section 3.5 and 3.6
RPC, Client/Server, Sockets, RMI, Mach OS
Section 4.3 and 4.5
• Exercises:
+ 3.1 to 3.6
+ 3.7-3.11 (implementation)
̶ Project: UNIX shell
+ 4.1 to 4.8
+ 4.8-4.12 (implementation)
̶ Project: Matrix multiplication using threads

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TDDI12: Operating Systems, Real-time and

Andrzej Bednarski, IDA

Process Concept Process in Memory

• An operating system executes a variety of programs:

• Textbook uses the terms job and process almost interchangeably.

• Process – a program in execution

Process State Diagram of Process State

• As a process executes, it changes state

Information associated with each process. • Memory management information

• CPU scheduling information

Process Control Block (PCB) CPU Switch From Process to Process

Processes migrate among the various queues

• Long-term scheduler (or job scheduler)

• Short-term scheduler (or CPU scheduler)

Schedulers (Cont.) Addition of Medium Term Scheduling

• Short-term scheduler is invoked very frequently (milliseconds) • Controls swapping

• The long-term scheduler controls the degree of multiprogramming.

• Processes can be described as either:

Context Switch Process Creation

• Windows NT/XP support two models

C Program Forking Separate Process A tree of processes on a typical UNIX system

Process Termination Cooperating Processes

Implementation Questions Communications Models

• How are links established?

• Can a link be associated with more than two processes?

• How many links can there be between every pair of

• What is the capacity of a link?

• Is the size of a message that the link can accommodate fixed or

• Is a link unidirectional or bi-directional?

Direct Communication Indirect Communication

• Operations • Mailbox sharing

• Primitives are defined as: • Solutions

• Communication: send/receive primitives • Temporary queues

3. Unbounded capacity – infinite length

Client-Server Communication Sockets

• Sockets • A socket is defined as an endpoint for communication

• Remote procedure call (RPC) abstracts procedure calls between

• stubs – client-side proxy for the actual procedure on the server.

• The client-side stub locates the server and

• The server-side stub receives this message,

Execution of RPC Remote Method Invocation

• Remote Method Invocation (RMI)

Threads Single and Multithreaded Processes

• A thread (or lightweight process) is a basic unit of CPU utilization;

• A thread shares with its peer threads its:

• A traditional or heavyweight process

Advantage: Use of threads minimizes context switches

• Kernel threads One-to-one

Thread Cancellation Signal Handling

Thread Pools Recommended Reading and Exercises

• Create a number of threads in a pool where they await work • Reading

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