Chapter 3: Process Concept

Operating System Concepts – 8th Edition, Silberschatz, Galvin and Gagne

 Chapter 3: Process-Concept
 Process Concept
 Process Scheduling
 Operations on Processes
 Interprocess Communication
 Examples of IPC Systems
 Communication in Client-Server
Systems

Operating System Concepts – 8th Edition 3.2 Silberschatz, Galvin and Gagne
 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 describe communication in client-
server systems

Operating System Concepts – 8th Edition 3.3 Silberschatz, Galvin and Gagne
 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
 A process includes:
 program counter
 stack
 data section

Operating System Concepts – 8th Edition 3.4 Silberschatz, Galvin and Gagne
 Process in Memory

Operating System Concepts – 8th Edition 3.5 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.6 Silberschatz, Galvin and Gagne
 Diagram of Process State

Operating System Concepts – 8th Edition 3.7 Silberschatz, Galvin and Gagne
 Process Control Block (PCB)

Information associated with each process

 Process state
 Program counter
 CPU registers
 CPU scheduling information
 Memory-management information
 Accounting information
 I/O status information

Operating System Concepts – 8th Edition 3.8 Silberschatz, Galvin and Gagne
 Process Control Block (PCB)

Operating System Concepts – 8th Edition 3.9 Silberschatz, Galvin and Gagne
 CPU Switch From Process to Process

Operating System Concepts – 8th Edition 3.10 Silberschatz, Galvin and Gagne
 Process Scheduling 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

Operating System Concepts – 8th Edition 3.11 Silberschatz, Galvin and Gagne
 Ready Queue And Various I/O Device Queues

Operating System Concepts – 8th Edition 3.12 Silberschatz, Galvin and Gagne
 Representation of Process Scheduling

Operating System Concepts – 8th Edition 3.13 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.14 Silberschatz, Galvin and Gagne
 Addition of Medium Term Scheduling

Operating System Concepts – 8th Edition 3.15 Silberschatz, Galvin and Gagne
 Schedulers (Cont)
 Short-term scheduler is invoked very frequently
(milliseconds)  (must be fast)
 Long-term scheduler is invoked very
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

Operating System Concepts – 8th Edition 3.16 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
 Time dependent on hardware support

Operating System Concepts – 8th Edition 3.17 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
 Parent and children share all resources
 Children share subset of parent’s resources
 Parent and child share no resources
 Execution
 Parent and children execute concurrently
 Parent waits until children terminate

Operating System Concepts – 8th Edition 3.18 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 – 8th Edition 3.19 Silberschatz, Galvin and Gagne
 Process Creation

Operating System Concepts – 8th Edition 3.20 Silberschatz, Galvin and Gagne
 C Program Forking Separate Process
int main()
{
pid_t pid;
/* fork another process */
pid = fork();
if (pid < 0) { /* error occurred */
fprintf(stderr, "Fork Failed");
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");
exit(0);
}
}
Operating System Concepts – 8th Edition 3.21 Silberschatz, Galvin and Gagne
 A tree of processes on a typical Solaris

Operating System Concepts – 8th Edition 3.22 Silberschatz, Galvin and Gagne
 Process Termination
 Process executes last statement and asks the operating
system to delete it (exit)
 Output data from child to parent (via wait)
 Process’ resources are deallocated by operating
system
 Parent may terminate execution of children processes
(abort)
 Child has exceeded allocated resources
 Task assigned to child is no longer required
 If parent is exiting
 Some operating system do not allow child to
continue if its parent terminates
– All children terminated - cascading termination

Operating System Concepts – 8th Edition 3.23 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.24 Silberschatz, Galvin and Gagne
 Communications Models

Operating System Concepts – 8th Edition 3.25 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.26 Silberschatz, Galvin and Gagne
 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
 bounded-buffer assumes that
there is a fixed buffer size
Producer Consumer

Operating System Concepts – 8th Edition 3.27 Silberschatz, Galvin and Gagne
 Bounded-Buffer – Shared-Memory Solution

out
 Shared data In
#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

Operating System Concepts – 8th Edition 3.28 Silberschatz, Galvin and Gagne
 Bounded-Buffer – Producer
out
while (true) {
/* Produce an item */
while (((in = (in + 1) % BUFFER SIZE count) == out)
; /* do nothing -- no free buffers */
buffer[in] = item;
in = (in + 1) % BUFFER SIZE;
}

In

Operating System Concepts – 8th Edition 3.29 Silberschatz, Galvin and Gagne
 Bounded Buffer – Consumer
out
while (true) {
In
while (in == out)
; // do nothing -- nothing to consume

// remove an item from the buffer

item = buffer[out];
out = (out + 1) % BUFFER SIZE;
return item;
}

Operating System Concepts – 8th Edition 3.30 Silberschatz, Galvin and Gagne
 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) – message size fixed or variable
 receive(message)
 If P and Q wish to communicate, they need to:
 establish a communication link between them
 exchange messages via send/receive
 Implementation of communication link
 physical (e.g., shared memory, hardware bus)
 logical (e.g., logical properties)

Operating System Concepts – 8th Edition 3.31 Silberschatz, Galvin and Gagne
 Implementation Questions
 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?

Operating System Concepts – 8th Edition 3.32 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.33 Silberschatz, Galvin and Gagne
 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

Operating System Concepts – 8th Edition 3.34 Silberschatz, Galvin and Gagne
 Indirect Communication
 Operations
 create a new mailbox
 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

Operating System Concepts – 8th Edition 3.35 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. Sender is notified who the receiver was.

Operating System Concepts – 8th Edition 3.36 Silberschatz, Galvin and Gagne
 Synchronization
 Message passing may be either blocking or non-
blocking
 Blocking is considered synchronous
 Blocking send has the sender block until the
message is received
 Blocking receive has the receiver block until a
message is available
 Non-blocking is considered asynchronous
 Non-blocking send has the sender send the
message and continue
 Non-blocking receive has the receiver receive a
valid message or null

Operating System Concepts – 8th Edition 3.37 Silberschatz, Galvin and Gagne
 Buffering
 Queue of messages attached to the link;
implemented in one of three ways
1. Zero capacity – 0 messages
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 – 8th Edition 3.38 Silberschatz, Galvin and Gagne
 Examples of IPC Systems - POSIX
 POSIX Shared Memory
 Process first creates shared memory segment
segment id = shmget(IPC PRIVATE, size, S IRUSR | S
IWUSR);
 Process wanting access to that shared memory must
attach to it
shared memory = (char *) shmat(id, NULL, 0);
 Now the process could write to the shared memory
sprintf(shared memory, "Writing to shared memory");
 When done a process can detach the shared memory from
its address space
shmdt(shared memory);

Operating System Concepts – 8th Edition 3.39 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()

Operating System Concepts – 8th Edition 3.40 Silberschatz, Galvin and Gagne
 Examples of IPC Systems – Windows XP

 Message-passing centric via 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 – 8th Edition 3.41 Silberschatz, Galvin and Gagne
 Local Procedure Calls in Windows XP

Operating System Concepts – 8th Edition 3.42 Silberschatz, Galvin and Gagne
 Communications in Client-Server Systems

 Sockets
 Remote Procedure Calls
 Remote Method Invocation (Java)

Operating System Concepts – 8th Edition 3.43 Silberschatz, Galvin and Gagne
 Sockets
 A socket is defined as an endpoint for
communication
 Concatenation of IP address and port
 The socket 161.25.19.8:1625 refers to port
1625 on host 161.25.19.8
 Communication consists between a pair of
sockets

Operating System Concepts – 8th Edition 3.44 Silberschatz, Galvin and Gagne
 Socket Communication

Operating System Concepts – 8th Edition 3.45 Silberschatz, Galvin and Gagne
 Remote Procedure Calls
 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
peforms the procedure on the server

Operating System Concepts – 8th Edition 3.46 Silberschatz, Galvin and Gagne
 Execution of RPC

Operating System Concepts – 8th Edition 3.47 Silberschatz, Galvin and Gagne
 Remote Method Invocation
 Remote Method Invocation (RMI) is a Java mechanism
similar to RPCs
 RMI allows a Java program on one machine to invoke a
method on a remote object

Operating System Concepts – 8th Edition 3.48 Silberschatz, Galvin and Gagne
 Marshalling Parameters

Operating System Concepts – 8th Edition 3.49 Silberschatz, Galvin and Gagne
 End of Chapter 3

Operating System Concepts – 8th Edition, Silberschatz, Galvin and Gagne