Chapter 3: Processes

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
 Outline
 Process Concept
 Process Scheduling
 Operations on Processes
 Interprocess Communication
 IPC in Shared-Memory Systems
 IPC in Message-Passing Systems
 Examples of IPC Systems
 Communication in Client-Server Systems
 Objectives
 Identify the separate components of a process and illustrate how they
are represented and scheduled in an operating system.
 Describe how processes are created and terminated in an operating
system, including developing programs using the appropriate system
calls that perform these operations.
 Describe and contrast interprocess communication using shared
memory and message passing.
 Design programs that uses pipes and POSIX shared memory to
perform interprocess communication.
 Describe client-server communication using sockets and remote
procedure calls.
 Design kernel modules that interact with the Linux operating system.
 Process Concept
 An operating system executes a variety of programs that run as a
process.
 Process – a program in execution; process execution must progress
in sequential fashion. No parallel execution of instructions of a single
process
 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 an executable file is
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
Memory Layout of a C Program
 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
 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
 Explore in detail in Chapter 4
 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 */
 Suspended Processes
 Processor is faster than I/O so all processes could be waiting for I/O
• Swap these processes to disk to free up more memory and use
processor on more processes
 Blocked state becomes suspend state when swapped to disk
 Two new states
• Blocked/Suspend
• Ready/Suspend
One Suspend State
Two Suspend States
 Reason for Process Suspension
Reason Comment
Swapping The OS needs to release sufficient main memory to
bring in a process that is ready to execute.
Other OS Reason OS suspects process of causing a problem.
Interactive User e.g. debugging or in connection with the use of a
Request resource.

Timing A process may be executed periodically (e.g., an

accounting or system monitoring process) and may
be suspended while waiting for the next time.
Parent Process A parent process may wish to suspend execution of
Request a descendent to examine or modify the suspended
process, or to coordinate the activity of various
descendants.
Table: Reasons for Process Suspension
UNIX Process State Transition
Diagram
UNIX Process States
 Process Scheduling
 Process scheduler selects among available processes
for next execution on CPU core
 Goal -- Maximize CPU use, quickly switch processes onto
CPU core
 Maintains scheduling queues of processes
• Ready queue – set of all processes residing in main
memory, ready and waiting to execute
• Wait queues – set of processes waiting for an event
(i.e., I/O)
• Processes migrate among the various queues
Ready and Wait Queues
Representation of Process Scheduling
CPU Switch From Process to Process
A context switch occurs when the CPU switches from
one process to another.
 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 pure 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
 Trace of the Process

 The behavior of an individual process is shown by listing the sequence

of instructions that are executed
 This list is called a Trace
 Dispatcher is a small program which switches the processor from one
process to another
Process Execution

 Consider three processes being

executed
 All are in memory (plus the
dispatcher)
 Lets ignore virtual memory for this.
 Trace from the
processes point of view:
 Each process runs to completion
Trace from Processors
point of view

Timeout
I/O
 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
 Operations on Processes

 System must provide mechanisms for:

• Process creation
• Process termination
 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
 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
• Parent process calls wait()waiting for the child to terminate
A Tree of Processes in Linux
C Program Forking Separate Process
 Forking tree of Processes

 Assume three processes A, B, C  Assume three processes A, B, C

 To create process tree:
 To create process tree:
A A

B C
B
 Code inside process A:
C
int cid1=fork();
 Code inside process A: int cid2=fork();
int cid=fork();
If(cid==0)  Fork flood causes exponential
int cid=fork(); number of processes
While(1){
fork();
}
Creating a Separate Process via Windows API
 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 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
 Android Process Importance Hierarchy

 Mobile operating systems often have to terminate processes to reclaim

system resources such as memory. From most to least important:
• Foreground process
• Visible process
• Service process
• Background process
• Empty process
 Android will begin terminating processes that are least important.
 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
 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
• Computation speedup
• Modularity
• Convenience
 Cooperating processes need interprocess communication (IPC)
 Two models of IPC
• Shared memory
• Message passing
 Communications Models
(a) Shared memory. (b) Message passing.
 Producer-Consumer Problem
 Paradigm for cooperating processes:
• producer process produces information that is consumed
by a consumer process
 Two variations:
• unbounded-buffer places no practical limit on the size of
the buffer:
 Producer never waits
 Consumer waits if there is no buffer to consume
• bounded-buffer assumes that there is a fixed buffer size
 Producer must wait if all buffers are full
 Consumer waits if there is no buffer to consume
 IPC – Shared Memory

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

communicate
 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 Chapters 6 & 7.
 Bounded-Buffer – Shared-Memory Solution

 Shared data
#define BUFFER_SIZE 10
typedef struct {
. . .
} item;

item buffer[BUFFER_SIZE];
int in = 0;
int out = 0;

 Solution is correct, but can only use BUFFER_SIZE-1 elements

Producer Process – Shared Memory

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;
}
Consumer Process – Shared Memory

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 */

}
 What about Filling all the Buffers?
 Suppose that we wanted to provide a solution to the consumer-
producer problem that fills all the buffers.
 We can do so by having an integer counter that keeps track of
the number of full buffers.
 Initially, counter is set to 0.
 The integer counter is incremented by the producer after it
produces a new buffer.
 The integer counter is and is decremented by the consumer
after it consumes a buffer.
 Producer

while (true) {
/* produce an item in next produced */

while (counter == BUFFER_SIZE)

; /* do nothing */
buffer[in] = next_produced;
in = (in + 1) % BUFFER_SIZE;
counter++;
}
 Consumer

while (true) {
while (counter == 0)
; /* do nothing */
next_consumed = buffer[out];
out = (out + 1) % BUFFER_SIZE;
counter--;
/* consume the item in next consumed */
}
 Race Condition
 counter++ could be implemented as
register1 = counter
register1 = register1 + 1
counter = register1
 counter-- could be implemented as
register2 = counter
register2 = register2 - 1
counter = register2

 Consider this execution interleaving with “count = 5” initially:

S0: producer execute register1 = counter {register1 = 5}
S1: producer execute register1 = register1 + 1 {register1 = 6}
S2: consumer execute register2 = counter {register2 = 5}
S3: consumer execute register2 = register2 – 1 {register2 = 4}
S4: producer execute counter = register1 {counter = 6 }
S5: consumer execute counter = register2 {counter = 4}
 Race Condition (Cont.)
 Question – why was there no race condition
in the first solution (where at most N – 1)
buffers can be filled?
 More in Chapter 6.
 IPC – Message Passing

 Processes communicate with each other without

resorting to shared variables

 IPC facility provides two operations:

• send(message)
• receive(message)
 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?
 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
 Indirect Communication (Cont.)

 Operations
• Create a new mailbox (port)
• Send and receive messages through mailbox
• Delete a mailbox
 Primitives are defined as:
• send(A, message) – send a message to mailbox A
• receive(A, message) – receive a message from mailbox A
 Indirect Communication (Cont.)

 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
• If both send and receive are blocking, we have a rendezvous
 Producer-Consumer: Message Passing

 Producer
message next_produced;
while (true) {
/* produce an item in next_produced */

send(next_produced);
}

 Consumer
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
 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
• Set the size of the object
ftruncate(shm_fd, 4096);
• Use mmap() to memory-map a file pointer to the shared memory
object
• Reading and writing to shared memory is done by using the
pointer returned by mmap().
IPC POSIX Producer
IPC POSIX Consumer
 Examples of IPC Systems - Mach
 Mach communication is message based
• Even system calls are messages
• Each task gets two ports at creation - Kernel and Notify
• Messages are sent and received using the mach_msg() function
• Ports needed for communication, created via
mach_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
 Mach Messages

#include<mach/mach.h>

struct message {
mach_msg_header_t header;
int data;
};

mach port t client;

mach port t server;
Mach Message Passing - Client
Mach Message Passing - Server
 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.
Local Procedure Calls in Windows
 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 that it created.
 Named pipes – can be accessed without a parent-child relationship.
 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

 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
 Communications in Client-Server Systems

 Sockets
 Remote Procedure Calls
 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
 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
in Java:
Sockets in Java
The equivalent Date client
 Remote Procedure Calls
 Remote procedure call (RPC) abstracts procedure calls between
processes on networked systems
• Again uses ports for service differentiation
 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
 On Windows, stub code compile from specification written in
Microsoft Interface Definition Language (MIDL)
 Remote Procedure Calls (Cont.)

 Data representation handled via External Data Representation

(XDL) format to account for different architectures
• Big-endian and little-endian
 Remote communication has more failure scenarios than local
• Messages can be delivered exactly once rather than at most
once
 OS typically provides a rendezvous (or matchmaker) service to
connect client and server
Execution of RPC
 End of Chapter 3

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
 Producer-Consumer Problem
 Paradigm for cooperating processes:
• producer process produces information that is consumed
by a consumer process
 Two variations:
• unbounded-buffer places no practical limit on the size of
the buffer:
 Producer never waits
 Consumer waits if there is no buffer to consume
• bounded-buffer assumes that there is a fixed buffer size
 Producer must wait if all buffers are full
 Consumer waits if there is no buffer to consume
 Cooperating Processes

 Independent process cannot affect or be affected by the execution

of another process
 Cooperating process can affect or be affected by the execution of
another process
 Advantages of process cooperation
• Information sharing
• Computation speed-up
• Modularity
• Convenience
 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