Chapter 3: Processes
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne
Chapter 3: Processes
1. Process Concept
2. Process Scheduling
3. Operations on Processes
4. Interprocess Communication
5. Examples of IPC Systems
6. Communication in Client-Server
Systems
Operating System Concepts – 9th Edition 3.2 Silberschatz, Galvin and Gagne
Objectives
To introduce the notion of a process -- a
program in execution
To describe the various features of
processes, including scheduling, creation
and termination, and communication
To explore interprocess communication
using shared memory and message
passing
To describe communication in client-
server systems
Operating System Concepts – 9th Edition 3.3 Silberschatz, Galvin and Gagne
3.1 Process Concept
An operating system executes a variety of programs (what to
call them?):
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
Multiple parts (reside in RAM)
1. The program code, also called text section
2. Current activity including program counter, processor
registers
3. Stack containing temporary data
Function parameters, return addresses, local variables
4. Data section containing global variables
5. Heap containing memory dynamically allocated during run
time
Operating System Concepts – 9th Edition 3.4 Silberschatz, Galvin and Gagne
Process Concept (Cont.)
Program is passive entity stored on disk
(executable file), process is active
Program becomes process when
executable file loaded into memory
Execution of program started via GUI mouse
clicks, command line entry of its name, etc
One program can be several processes
Consider multiple users executing the
same program
Operating System Concepts – 9th Edition 3.5 Silberschatz, Galvin and Gagne
Process in Memory
Operating System Concepts – 9th Edition 3.6 Silberschatz, Galvin and Gagne
Process State
As a process executes, it changes state
1. new: The process is being created
2. running: Instructions are being
executed
3. waiting: The process is waiting for
some event to occur
4. ready: The process is waiting to be
assigned to a processor
5. terminated: The process has finished
execution
Operating System Concepts – 9th Edition 3.7 Silberschatz, Galvin and Gagne
Diagram of Process State
Operating System Concepts – 9th Edition 3.8 Silberschatz, Galvin and Gagne
Process Control Block (PCB)
Information associated with each
process
(also called task control block)
Process state – running, waiting, etc
Program counter – location of
instruction to next execute
CPU registers – contents of all
process-centric registers
CPU scheduling information-
priorities, scheduling queue pointers
Memory-management information –
memory allocated to the process
Accounting information – CPU used,
clock time elapsed since start, time
limits
I/O status information – I/O devices
allocated to process, list of open files
Operating System Concepts – 9th Edition 3.9 Silberschatz, Galvin and Gagne
Threads
So far, process has a single thread of
execution
Consider having multiple program
counters per process
Multiple locations can execute at once
Multiple threads of control -> threads
Must then have storage for thread details,
multiple program counters in PCB
See next chapter
Operating System Concepts – 9th Edition 3.10 Silberschatz, Galvin and Gagne
Process Representation in Linux
Represented by the C structure task_struct
pid t_pid; /* process identifier */
long state; /* state of the process */
unsigned int time_slice /* scheduling information */
struct task_struct *parent; /* this process’s parent */
struct list_head children; /* this process’s children */
struct files_struct *files; /* list of open files */
struct mm_struct *mm; /* address space of this process */
Operating System Concepts – 9th Edition 3.11 Silberschatz, Galvin and Gagne
3.2 Process Scheduling
Maximize CPU use (multiprogramming),
quickly switch processes onto CPU (time
sharing)
Process scheduler selects among available
processes for next execution on CPU
Maintains scheduling queues of processes
Job queue – set of all processes in the system
Ready queue – set of all processes residing in
main memory,
memory ready and waiting to execute
Device queues – set of processes waiting for an
I/O device
Processes migrate among the various queues
Operating System Concepts – 9th Edition 3.12 Silberschatz, Galvin and Gagne
Ready Queue And Various I/O Device Queues
Operating System Concepts – 9th Edition 3.13 Silberschatz, Galvin and Gagne
Representation of Process Scheduling
Queueing diagram represents queues, resources,
flows
Operating System Concepts – 9th Edition 3.14 Silberschatz, Galvin and Gagne
Schedulers
Short-term scheduler (or CPU scheduler) – selects
which process should be executed next and allocates
CPU
Sometimes the only scheduler in a system
Short-term scheduler is invoked frequently (milliseconds) (must
be fast)
Long-term scheduler (or job scheduler)
scheduler – selects which
processes should be brought into the ready queue
Long-term scheduler is invoked 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
Long-term scheduler strives for good process mix
Operating System Concepts – 9th Edition 3.15 Silberschatz, Galvin and Gagne
Addition of Medium Term Scheduling
Medium-term scheduler can be added if degree of
multiple programming needs to decrease
Remove process from memory, store on disk, bring
back in from disk to continue execution: swapping
Operating System Concepts – 9th Edition 3.16 Silberschatz, Galvin and Gagne
Multitasking in Mobile Systems
Some mobile systems (e.g., early version of iOS)
allow only one process to run, others suspended
Due to screen real estate, user interface limits iOS
provides for a
Single foreground process- controlled via user interface
Multiple background processes– in memory, running, but
not on the display, and with limits
Limits include single, short task, receiving notification of
events, specific long-running tasks like audio playback
Android runs foreground and background, with
fewer limits
Background process uses a service to perform tasks
Service can keep running even if background process is
suspended
Service has no user interface, small memory use
Operating System Concepts – 9th Edition 3.17 Silberschatz, Galvin and Gagne
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
The more complex the OS and the PCB the longer
the context switch
Time dependent on hardware support
Some hardware provides multiple sets of registers per
CPU multiple contexts loaded at once
Operating System Concepts – 9th Edition 3.18 Silberschatz, Galvin and Gagne
CPU Switch From Process to Process
Operating System Concepts – 9th Edition 3.19 Silberschatz, Galvin and Gagne
3.3 Operations on Processes
The processes in most systems can
execute concurrently, and they may be
created and deleted dynamically.
Thus, these systems must provide a
mechanism for :
process creation,
process termination,
and so on as detailed next
Operating System Concepts – 9th Edition 3.20 Silberschatz, Galvin and Gagne
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 options
Parent and children share all resources
Children share subset of parent’s resources
Parent and child share no resources
Execution options
Parent and children execute concurrently
Parent waits until children terminate
Operating System Concepts – 9th Edition 3.21 Silberschatz, Galvin and Gagne
A Tree of Processes in Linux
Operating System Concepts – 9th Edition 3.22 Silberschatz, Galvin and Gagne
Process Creation (Cont.)
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
Operating System Concepts – 9th Edition 3.23 Silberschatz, Galvin and Gagne
C Program Forking Separate Process
Operating System Concepts – 9th Edition 3.24 Silberschatz, Galvin and Gagne
Creating a Separate Process via Windows API
Operating System Concepts – 9th Edition 3.25 Silberschatz, Galvin and Gagne
Process Termination
Process executes last statement and then asks the
operating system to delete it using the exit() system
call.
Returns status data from child to parent (via
wait())
Process’ resources are deallocated by operating
system
Parent may terminate the execution of children
processes using the abort() system call. Some
reasons for doing so:
Child has exceeded allocated resources
Task assigned to child is no longer required
The parent is exiting and the operating systems
does not allow a child to continue if its parent
terminates
Operating System Concepts – 9th Edition 3.26 Silberschatz, Galvin and Gagne
Process Termination
Some operating systems do not allow child to exists
if its parent has terminated. If a process terminates,
then all its children must also be terminated.
cascading termination. All children, grandchildren,
etc. are terminated.
The termination is initiated by the operating
system.
The parent process may wait for termination of a
child process by using the wait()system call. The
call returns status information and the pid of the
terminated process
pid = wait(&status);
If no parent waiting (did not invoke wait()) process is a zombie
If parent terminated without invoking wait , process is an
orphan
Operating System Concepts – 9th Edition 3.27 Silberschatz, Galvin and Gagne
Multiprocess Architecture – Chrome Browser
Many web browsers ran as single process (some
still do)
If one web site causes trouble, entire browser can hang or
crash
Google Chrome Browser is multiprocess with 3
different types of processes:
Browser process manages user interface, disk and
network I/O
Renderer process renders web pages, deals with HTML,
Javascript. A new renderer created for each website
opened
Runs in sandbox restricting disk and network I/O,
minimizing effect of security exploits
Plug-in process for each type of plug-in
Operating System Concepts – 9th Edition 3.28 Silberschatz, Galvin and Gagne
3.4 Interprocess Communication
Processes executing concurrently in the operating
system may be either independent or cooperating
processes.
Independent process cannot affect or be affected by
the execution of another process
Independent process does not share data with any other
process
Cooperating process can affect or be affected by the
execution of another process
Cooperating process shares data with any other process
Reasons for cooperating processes:
1. Information sharing (shared files)
2. Computation speed-up (multiprocessor system)
3. Modularity (dividing the system functions into separate processes)
4. Convenience (achieving multiple tasks on the same time; editing,
printing, and compiling in parallel)
Operating System Concepts – 9th Edition 3.29 Silberschatz, Galvin and Gagne
Communications Models
Two models of IPC
Message passing & Shared memory
Operating System Concepts – 9th Edition 3.30 Silberschatz, Galvin and Gagne
Communications Models
Shared memory Message passing
Shared memory can be Message passing is useful
faster than message for exchanging smaller
passing, since message- amounts of data, because
passing systems are no conflicts need be
typically implemented avoided.
using system call Message passing is easier
system calls are to implement in a
required only to distributed system than
establish shared shared memory.
memory region. message passing provides
Shared memory suffers better performance than
from cache coherency shared memory on Multi
issues core systems.
Operating System Concepts – 9th Edition 3.31 Silberschatz, Galvin and Gagne
Interprocess Communication – Shared Memory
Shared memory requires communicating processes to
establish a region of shared memory.
Typically, a shared-memory region resides in the address
space of the process creating the shared-memory segment.
Other processes that wish to communicate using this
shared-memory segment must attach it to their address
space.
They can then exchange information by reading and writing
data in the shared areas.
The operating system tries to prevent one process from
accessing another process’s memory. Shared memory
requires that two or more processes agree to remove this
restriction.
Major issues is to provide mechanism that will allow the
user processes to synchronize their actions.
Synchronization is discussed in great details in Chapter 5.
Operating System Concepts – 9th Edition 3.32 Silberschatz, Galvin and Gagne
Producer-Consumer Problem
Paradigm for cooperating processes, producer
process produces information that is consumed by a
consumer process
A producer process produces information that is
consumed by a consumer process.
For example, a web server produces (that is,
provides) HTML files and images, which are
consumed (that is, read) by the client web browser
requesting the resource.
One solution to the producer–consumer problem
uses shared memory.
To allow producer and consumer processes to run
concurrently, we must have available a buffer of
items that can be filled by the producer and emptied
by the consumer.
Operating System Concepts – 9th Edition 3.33 Silberschatz, Galvin and Gagne
Producer-Consumer Problem
unbounded-buffer places no practical
limit on the size of the buffer
bounded-buffer assumes that there is
a fixed buffer size
Producer in
Out Consumer
Operating System Concepts – 9th Edition 3.34 Silberschatz, Galvin and Gagne
Producer-Consumer Problem
This buffer will reside in a region of memory that is
shared by the producer and consumer processes.
processes
The producer and consumer must be synchronized,
synchronized
so that the consumer does not try to consume an
item that has not yet been produced.
Two types of buffers can be used.
The unbounded buffer places no practical limit on
the size of the buffer. The consumer may have to
wait for new items, but the producer can always
produce new items.
The bounded buffer assumes a fixed buffer size. In
this case, the consumer must wait if the buffer is
empty, and the producer must wait if the buffer is
full.
Operating System Concepts – 9th Edition 3.35 Silberschatz, Galvin and Gagne
Bounded-Buffer – Shared-Memory Solution
Shared data
#define BUFFER_SIZE 10
typedef struct {
...
} item;
item buffer[BUFFER_SIZE];
int in = 0; // points to the next free
position
int out = 0; // points to the first full position
Solution is correct, but can only use BUFFER_SIZE-1
elements
Operating System Concepts – 9th Edition 3.36 Silberschatz, Galvin and Gagne
Bounded-Buffer – Producer
item next_produced;
while (true) {
/* produce an item in next produced */
while (((in + 1) % BUFFER_SIZE) == out) ; /* do
nothing */
buffer[in] = next_produced;
in = (in + 1) % BUFFER_SIZE;
}
Operating System Concepts – 9th Edition 3.37 Silberschatz, Galvin and Gagne
Bounded Buffer – Consumer
item next_consumed;
while (true) {
while (in == out) ; /* do nothing
*/
next_consumed = buffer[out];
out = (out + 1) % BUFFER_SIZE;
/* consume the item in next consumed */
}
Operating System Concepts – 9th Edition 3.38 Silberschatz, Galvin and Gagne
Interprocess Communication – Message Passing
Message passing provides a mechanism to allow
processes to communicate and to synchronize their
actions without sharing the same address space.
It is
particularly useful in a distributed
environment, where the communicating processes
may reside on different computers connected by a
network.
network
For example, an Internet chat program, that chat
participants communicate with one another by
exchanging messages.
A message-passing facility provides at least two
operations:
send(message)
receive(message)
Operating System Concepts – 9th Edition 3.39 Silberschatz, Galvin and Gagne
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?
processes
How many links can 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?
Operating System Concepts – 9th Edition 3.40 Silberschatz, Galvin and Gagne
Message Passing (Cont.)
Implementation of communication link
Physical:
Physical
Shared memory
Hardware bus
Network
Logical:
Logical
Direct or indirect
Synchronous or asynchronous
Automatic or explicit buffering
Operating System Concepts – 9th Edition 3.41 Silberschatz, Galvin and Gagne
Direct Communication
Processes must name each other explicitly
(symmetry):
send (P, message) – send a message to process P
receive Q, message) – receive a message from Q
receive(
Properties of communication link
Links are established automatically. The processes need to
know only each other’s identity to communicate.
communicate
A link is associated with exactly one pair of processes
Between each pair there exists exactly one link
The link may be unidirectional,
unidirectional but is usually bi-directional
asymmetry in addressing. only the sender names the
recipient; the recipient is not required to name the
sender.
send (P, message) – send a message to process P
receive id, message) – receive a message from any process
receive(
Operating System Concepts – 9th Edition 3.42 Silberschatz, Galvin and Gagne
Indirect Communication
Messages are directed and received from
mailboxes (also referred to as ports)
ports
Each mailbox has a unique id
A mailbox can be viewed abstractly as an object into
which messages can be placed by processes and from
which messages can be removed.
Processes can communicate only if they share a
mailbox
Mailbox could belong to the process or the OS
Properties of communication link
Link established only if processes share a common
mailbox
A link may be associated with many processes
Each pair of processes may share several
communication links
Link may be unidirectional or bi-directional Silberschatz, Galvin and Gagne
Operating System Concepts – 9th Edition 3.43
Indirect Communication
Operations
create a new mailbox (port)
send and receive messages through mailbox
destroy a mailbox
Primitives are defined as:
send(A, message) – send a message to mailbox A
receive(A, message) – receive a message from
mailbox A
A mailbox can be viewed as an object into which
messages can be placed by processes and from
which messages can be removed.
Each mailbox has a unique identification.
Operating System Concepts – 9th Edition 3.44 Silberschatz, Galvin and Gagne
Indirect Communication
Mailbox sharing
P1, P2, and P3 share mailbox A
P1, sends; P2 and P3 receive
Who gets the message?
Solutions
Allow a link to be associated with at most two
processes
Allow only one process at a time to execute a
receive operation
Allow the system to select arbitrarily the
receiver.
receiver Sender is notified who the receiver
was.
Operating System Concepts – 9th Edition 3.45 Silberschatz, Galvin and Gagne
Synchronization
Message passing may be either blocking or non-
blocking
Blocking is considered synchronous
Blocking send -- the sender is blocked until the message is
received
Blocking receive -- the receiver is blocked until a message
is available
Non-blocking is considered asynchronous
Non-blocking send -- the sender sends the message and
continue
Non-blocking receive -- the receiver receives:
A valid message, or
Null message
Different combinations possible
If both send and receive are blocking, we have a rendezvous
Operating System Concepts – 9th Edition 3.46 Silberschatz, Galvin and Gagne
Synchronization (Cont.)
Producer-consumer becomes trivial
message next_produced;
while (true) {
/* produce an item in next produced */
send(next_produced);
}
message next_consumed;
while (true) {
receive(next_consumed);
/* consume the item in next consumed */
}
Operating System Concepts – 9th Edition 3.47 Silberschatz, Galvin and Gagne
Buffering
Whether communication is direct or
indirect, messages exchanged by
communicating processes reside in a
temporary queue.
Basically, such queues can be
implemented in three ways:
1. Zero capacity – no messages are queued on a
link.
Sender must wait for receiver (rendezvous)
2. Bounded capacity – finite length of n
messages
Sender must wait if link full
3. Unbounded capacity – infinite length
Sender never waits
Operating System Concepts – 9th Edition 3.48 Silberschatz, Galvin and Gagne
3.5 Examples of IPC Systems - POSIX
POSIX Shared Memory
Process first creates shared memory segment
shm_fd = shm_open(name, O CREAT | O RDWR,
0666);
Also used to open an existing segment to
share it
Set the size of the object
ftruncate(shm fd, 4096);
Now the process could write to the shared
memory
sprintf(shared memory, "Writing to shared
memory");
Operating System Concepts – 9th Edition 3.49 Silberschatz, Galvin and Gagne
IPC POSIX Producer
Operating System Concepts – 9th Edition 3.50 Silberschatz, Galvin and Gagne
IPC POSIX Consumer
Operating System Concepts – 9th Edition 3.51 Silberschatz, Galvin and Gagne
Examples of IPC Systems - Mach
Mach communication is message based
Even system calls are messages
Each task gets two mailboxes at creation- Kernel and
Notify
Only three system calls needed for message transfer
msg_send(), msg_receive(), msg_rpc()
Mailboxes needed for commuication, created via
port_allocate()
Send and receive are flexible, for example four options
if mailbox full:
Wait indefinitely
Wait at most n milliseconds
Return immediately
Temporarily cache a message
Operating System Concepts – 9th Edition 3.52 Silberschatz, Galvin and Gagne
Examples of IPC Systems – Windows
Message-passing centric via advanced local
procedure call (LPC) facility
Only works between processes on the same system
Uses ports (like mailboxes) to establish and maintain
communication channels
Communication works as follows:
The client opens a handle to the subsystem’s
connection port object.
The client sends a connection request.
The server creates two private communication
ports and returns the handle to one of them to the
client.
The client and server use the corresponding port
handle to send messages or callbacks and to listen
for replies.
Operating System Concepts – 9th Edition 3.53 Silberschatz, Galvin and Gagne
Local Procedure Calls in Windows
Operating System Concepts – 9th Edition 3.54 Silberschatz, Galvin and Gagne
3.6 Communications in Client-Server Systems
Sockets
Remote Procedure Calls (Java RMI)
Pipes
Operating System Concepts – 9th Edition 3.55 Silberschatz, Galvin and Gagne
Sockets
An socket is a combination of an IP address and a port
number. The socket [Link]:1625 refers to port
1625 on host [Link]
A socket is one endpoint of a two-way communication
link between two processes running on the network. A
socket is bound to a port number so that the TCP layer
can identify the application that data is destined to be
sent to.
When a client process initiates a request for a
connection, it is assigned a port by its host computer.
This port has some arbitrary number greater than 1024.
All ports below 1024 are well known, used for standard
services (FTP, HTTP, telnet, …..)
Special IP address [Link] (loopback) to refer to
system on which process is running
Operating System Concepts – 9th Edition 3.56 Silberschatz, Galvin and Gagne
Socket Communication
Operating System Concepts – 9th Edition 3.57 Silberschatz, Galvin and Gagne
Client / Server Communication
Operating System Concepts – 9th Edition 3.58 Silberschatz, Galvin and Gagne
Sockets in Java
Three types of sockets
Connection-oriented
(TCP)
Connectionless (UDP)
MulticastSocket
class– data
can be sent to
multiple recipients
Consider this “Date”
server:
Operating System Concepts – 9th Edition 3.59 Silberschatz, Galvin and Gagne
Operating System Concepts – 9th Edition 3.60 Silberschatz, Galvin and Gagne
Remote Procedure Calls
Remote procedure call (RPC) abstracts procedure calls
between processes on networked systems. It uses ports
for service differentiation and a message-based scheme.
Each message is addressed to an RPC daemon listening
to a port on the remote system, and each contains an
identifier specifying the function to execute and the
parameters to pass to that function.
The semantics of RPCs allows a client to invoke a
procedure on a remote host as it would invoke a
procedure locally.
Stubs – client-side proxy for the procedure on the server
The client stub locates the server and marshals the
parameters
The server stub receives this message, unpacks the
marshalled parameters, and performs the procedure on
the server
Operating System Concepts – 9th Edition 3.61 Silberschatz, Galvin and Gagne
Marshalling Parameters
Operating System Concepts – 9th Edition 3.62 Silberschatz, Galvin and Gagne
Remote Procedure Calls Issues
Data representation handled via External Data
Representation (XDL) (machine independent format) to
account for different architectures
Big-endian and little-endian
Remote communication has more failure scenarios than
local or be duplicated and executed more than once
Messages can be delivered exactly once rather than at most
once
The server must keep a history of all the timestamps of
messages it has already processed or a history large enough to
ensure that repeated messages are detected.
The RPC scheme requires a binding of client and server
port, but how does a client know the server port
numbers?
Fixed port addresses (compile time)
Matchmaker mechanism (dynamic)
Operating System Concepts – 9th Edition 3.63 Silberschatz, Galvin and Gagne
Execution of RPC
Operating System Concepts – 9th Edition 3.64 Silberschatz, Galvin and Gagne
Pipes
Acts as a conduit allowing two processes to
communicate
Issues:
Is communication unidirectional or bidirectional?
In the case of two-way communication, is it half or full-
duplex?
Must there exist a relationship (i.e., parent-child)
between the communicating processes?
Can the pipes be used over a network?
Ordinary pipes – cannot be accessed from
outside the process that created it. Typically, a
parent process creates a pipe and uses it to
communicate with a child process.
Named pipes – can be accessed without a
parent-child relationship.
3.65 Silberschatz, Galvin and Gagne
Operating System Concepts – 9th Edition
Ordinary Pipes
Ordinary Pipes allow communication in standard producer-
consumer style
Producer writes to one end (the write-end of the pipe)
Consumer reads from the other end (the read-end of the pipe)
Ordinary pipes are therefore unidirectional
Require parent-child relationship between communicating
processes
Windows calls these anonymous pipes
See Unix and Windows code samples in textbook
Operating System Concepts – 9th Edition 3.66 Silberschatz, Galvin and Gagne
Named Pipes
Named Pipes are more powerful than ordinary
pipes
Communication is bidirectional
No parent-child relationship is necessary between
the communicating processes
Several processes can use the named pipe for
communication
Provided on both UNIX and Windows systems
Named pipes are referred to as FIFOs in UNIX
systems. Once created, they appear as typical
files in the file system.
A FIFO is created with the mkfifo() system call
and manipulated with the ordinary open(), read(),
write(), and close() system calls
Operating System Concepts – 9th Edition 3.67 Silberschatz, Galvin and Gagne
Homework
3.1, 3.2, 3.3, 3.5, 3.8, 3.9, 3.13, 3.14,
3.16, 3.17
Operating System Concepts – 9th Edition 3.68 Silberschatz, Galvin and Gagne
End of Chapter 3
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne