Slides of Operating System Chapter 3

Chapter 3: Processes
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
Chapter 3: Processes
 Process Concept
 Process Scheduling
 Operations on Processes
 Interprocess Communication
 Examples of IPC Systems
 Communication in Client-Server Systems
Operating System Concepts – 9th Edition 3.2 Silberschatz, Galvin and Gagne ©2013
Objectives
 To introduce the notion of a process -- a program in
execution, which forms the basis of all computation
 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
Process Concept
 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
 Multiple parts
 The program code, also called text section
 Current activity including program counter, processor
registers
 Stack containing temporary data
 Function parameters, return addresses, local variables
 Data section containing global variables
 Heap containing memory dynamically allocated during run time
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
Process in Memory
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 execution
Diagram of Process State
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
CPU Switch From Process to Process
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
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 */
Process Scheduling
 Maximize CPU use, quickly switch processes onto CPU for

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, ready and waiting to execute
 Device queues – set of processes waiting for an I/O device
 Processes migrate among the various queues
Ready Queue And Various I/O Device Queues
Representation of Process Scheduling
 Queueing diagram represents queues, resources, flows
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) – 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
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
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
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
Operations on Processes
 System must provide mechanisms for:

 process creation,
 process termination,
 and so on as detailed next
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
A Tree of Processes in Linux
init
pid = 1
After system booted
login kthreadd sshd

pid = 8415 pid = 2 pid = 3028
Managing clients that directly

log onto the system. Managing clients that
bash khelper
pid = 6
pdflush
pid = 200
connect to the
sshd
pid = 3610
pid = 8416
system by using
Performing tasks on ssh
behalf of the kernel
emacs tcsch
ps
pid = 9204 pid = 4005
pid = 9298
Process Creation (Cont.)
 Address space
 Child duplicate of parent (has the same program as the
parent)
 Child has a program loaded into it
 UNIX examples
 fork() system call creates new process. The new process
consists of a copy of the address space of the original
process.
 exec() system call used after a fork() to replace the
process’ memory space with a new program
move itself off the ready queue until the termination of the child
Representation of Process Scheduling
 Queueing diagram represents queues, resources, flows
C Program Forking Separate Process
The only difference is

that the value of pid for
the child process is
zero, while that for the
parent is the actual pid
of the child process.
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
Process Termination
 Some operating systems do not allow child to exist 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
 Once the parent calls wait(), the process identifier of the
zombie process and its entry in the process table are released.
 If parent terminated without invoking wait , process is an orphan
 Assigning the init process as the new parent, periodically
invokes wait()
Interprocess Communication
 Processes within a system may be independent or cooperating

 Cooperating process can affect or be affected by other processes,
including sharing data
 Reasons for cooperating processes:
 Information sharing (shared files)
 Computation speedup (parallel subtasks)
 Modularity (system function divided into separate processes)
 Convenience
 Cooperating processes need interprocess communication (IPC)
 Two models of IPC
 Shared memory
 Message passing
Communications Models
(a) Message passing. (b) shared memory.
Interprocess Communication – Shared Memory
 An area of memory shared among the processes that wish to

communicate
 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.
 The communication is under the control of the users processes not the
operating system.
 Major issues is to provide mechanism that will allow the user processes
to synchronize their actions when they access shared memory.
 Synchronization is discussed in great details in Chapter 5.
Producer-Consumer Problem
 Paradigm for cooperating processes, producer process produces
information that is consumed by a consumer process
 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.
 bounded-buffer assumes that there is a fixed buffer size
 The consumer must wait if the buffer is empty, and the producer
must wait if the buffer is full.
Bounded-Buffer – Shared-Memory Solution
 Shared data
#define BUFFER_SIZE 10
typedef struct {
. . .
} item;
item buffer[BUFFER_SIZE];
int in = 0;
int out = 0;
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;
}
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 */

}
Solution is correct, but can only use BUFFER_SIZE-1

elements. How to design a solution in which BUFFER
SIZE items can be in the buffer at the same time?
Interprocess Communication – Message Passing
 Mechanism for processes to communicate and to synchronize

their actions
 Message system – processes communicate with each other

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

 send(message)
 receive(message)
 Particularly useful in a distributed environment

 The message size is either fixed or variable
Message Passing (Cont.)
 If processes P and Q wish to communicate, they need to:


Establish a communication link between them
 Exchange messages via send/receive
 Implementation issues:
 How are links established?
 Can a link be associated with more than two processes?
 How many links can there be between every pair of
communicating processes?
 What is the capacity of a link?
 Is the size of a message that the link can accommodate fixed or
variable?
 Is a link unidirectional or bi-directional?
Message Passing (Cont.)
 Implementation of communication link

 Physical:
 Shared memory
 Hardware bus
 Network
 Logical:
 Direct or indirect
 Synchronous or asynchronous
 Automatic or explicit buffering
Direct Communication
 Processes must name each other explicitly:
 send (P, message) – send a message to process P
 receive(Q, message) – receive a message from process Q
 Properties of communication link
 Links are established automatically
 A link is associated with exactly one pair of communicating
processes
 Between each pair there exists exactly one link
 The link may be unidirectional, but is usually bi-directional
Indirect Communication
 Messages are directed and received from mailboxes (also referred

to as ports)
 Each mailbox has a unique id
 Processes can communicate only if they share a mailbox
 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
 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
 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.
Sender is notified who the receiver was.
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
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 */

}
Buffering
 Queue of messages attached to the link.

 implemented in one of 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
Communications in Client-Server Systems
 Sockets
 Remote Procedure Calls
 Pipes
 Remote Method Invocation (Java)
Sockets
 A socket is defined as an endpoint for communication
 Concatenation of IP address and port – a number included at

start of message packet to differentiate network services on a
host
 The socket 161.25.19.8:1625 refers to port 1625 on host

161.25.19.8
 Communication consists between a pair of sockets
 All ports below 1024 are well known, used for standard
services
 Special IP address 127.0.0.1 (loopback) to refer to system on

which process is running
Socket Communication
Socket programming
Two socket types for two transport services:

 UDP: unreliable datagram
 TCP: reliable, byte stream-oriented
Application Example:
1. Client reads a line of characters (data) from its keyboard and sends
the data to the server.
2. The server receives the data and converts characters to uppercase.
3. The server sends the modified data to the client.
4. The client receives the modified data and displays the line on its
screen.
Socket programming with UDP
UDP: no “connection” between client & server

 no handshaking before sending data
 sender explicitly attaches IP destination address and port # to
each packet
 rcvr extracts sender IP address and port# from received packet
UDP: transmitted data may be lost or received out-of-order
Application viewpoint:
 UDP provides unreliable transfer of groups of bytes
(“datagrams”) between client and server
Client/server socket interaction: UDP
server (running on serverIP) client

create socket:
create socket, port= x: clientSocket =
serverSocket = socket(AF_INET,SOCK_DGRAM)
socket(AF_INET,SOCK_DGRAM)
Create datagram with server IP and
port=x; send datagram via
read datagram from clientSocket
serverSocket
write reply to
serverSocket read datagram from
specifying clientSocket
client address,
port number close
clientSocket
Example app: UDP client
Python UDPClient
include Python’s socket
library
from socket import *
serverName = ‘hostname’
serverPort = 12000
create UDP socket for clientSocket = socket(socket.AF_INET,
server
get user keyboard

socket.SOCK_DGRAM)
input message = raw_input(’Input lowercase sentence:’)
Attach server name, port to
message; send into socket clientSocket.sendto(message,(serverName, serverPort))
read reply characters from modifiedMessage, serverAddress =
socket into string
clientSocket.recvfrom(2048)
print out received string print modifiedMessage
and close socket
clientSocket.close()
Example app: UDP server
Python UDPServer
serverPort = 12000
create UDP socket serverSocket = socket(AF_INET, SOCK_DGRAM)
bind socket to local port
number 12000
serverSocket.bind(('', serverPort))
print “The server is ready to receive”
loop forever while 1:
Read from UDP socket into message, clientAddress = serverSocket.recvfrom(2048)
message, getting client’s
address (client IP and port) modifiedMessage = message.upper()
send upper case string serverSocket.sendto(modifiedMessage, clientAddress)
back to this client
Socket programming with TCP
client must contact server  when contacted by client, server

 server process must first be TCP creates new socket for
running server process to communicate
with that particular client
 server must have created
socket (door) that welcomes  allows server to talk with
client’s contact multiple clients
 source port numbers used to
client contacts server by:
distinguish clients (more in
 Creating TCP socket, specifying Chap 3)
IP address, port number of
server process application viewpoint:
 when client creates socket: TCP provides reliable, in-order
client TCP establishes byte-stream transfer (“pipe”)
connection to server TCP between client and server
Client/server socket interaction: TCP
server (running on hostid) client

create socket,
port=x, for incoming
request:
serverSocket = socket()
wait for incoming TCP create socket,

connection request connect to hostid, port=x
connectionSocket = connection setup clientSocket = socket()
serverSocket.accept()
send request using

read request from clientSocket
connectionSocket
write reply to
connectionSocket read reply from
clientSocket
close
connectionSocket close
clientSocket
Example app: TCP client
Python TCPClient
serverName = ’servername’
create TCP socket for

serverPort = 12000
server, remote port 12000
clientSocket = socket(AF_INET, SOCK_STREAM)
clientSocket.connect((serverName,serverPort))
sentence = raw_input(‘Input lowercase sentence:’)
No need to attach server clientSocket.send(sentence)
name, port
modifiedSentence = clientSocket.recv(1024)
print ‘From Server:’, modifiedSentence
clientSocket.close()
Example app: TCP server
Python TCPServer
create TCP welcoming serverPort = 12000
socket serverSocket = socket(AF_INET,SOCK_STREAM)
serverSocket.bind((‘’,serverPort))
server begins listening for
incoming TCP requests serverSocket.listen(1)
print ‘The server is ready to receive’
loop forever
while 1:
server waits on accept()
for incoming requests, new
connectionSocket, addr = serverSocket.accept()
socket created on return
sentence = connectionSocket.recv(1024)
read bytes from socket (but
not address as in UDP) capitalizedSentence = sentence.upper()
close connection to this connectionSocket.send(capitalizedSentence)
client (but not welcoming
socket) connectionSocket.close()
End of Chapter 3
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013

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Chapter 3: Processes

 An operating system executes a variety of programs:

 As a process executes, it changes state

Represented by the C structure task_struct

pid t_pid; /* process identifier */

 Maximize CPU use, quickly switch processes onto CPU for

 Queueing diagram represents queues, resources, flows

 System must provide mechanisms for:

After system booted

login kthreadd sshd

Managing clients that directly

 Queueing diagram represents queues, resources, flows

The only difference is

 Process executes last statement and then asks the operating

 Processes within a system may be independent or cooperating

 An area of memory shared among the processes that wish to

/* consume the item in next consumed */

Solution is correct, but can only use BUFFER_SIZE-1

 Mechanism for processes to communicate and to synchronize

 Message system – processes communicate with each other

 IPC facility provides two operations:

 Particularly useful in a distributed environment

 If processes P and Q wish to communicate, they need to:

 Implementation of communication link

 Automatic or explicit buffering

 Messages are directed and received from mailboxes (also referred

 Producer-consumer becomes trivial

/* consume the item in next consumed */

 Queue of messages attached to the link.

 A socket is defined as an endpoint for communication

 Concatenation of IP address and port – a number included at

 The socket 161.25.19.8:1625 refers to port 1625 on host

 Communication consists between a pair of sockets

 Special IP address 127.0.0.1 (loopback) to refer to system on

Two socket types for two transport services:

UDP: no “connection” between client & server

UDP: transmitted data may be lost or received out-of-order

server (running on serverIP) client

get user keyboard

client must contact server  when contacted by client, server

server (running on hostid) client

wait for incoming TCP create socket,

send request using

create TCP socket for

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