Chapter 3: Processes

1. Chapter 3: Processes

2. Chapter 3: Processes • Process Concept • Process Scheduling • Operations on Processes • Cooperating Processes • Interprocess Communication • Communication in Client-Server Systems

3. 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 • System and user processes execute concurrently • A process includes: • program code (text section) • program counter • stack • data section • A program is a passive entity, a process is an active entity. A program becomes a process when an executable file is loaded into memory.

4. Process in Memory

5. 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 (e.g I/O ends) • ready: The process is waiting to be assigned to a process • terminated: The process has finished execution

6. Diagram of Process State

7. Process Control Block (PCB) Information associated with each process • Process state • Program counter • CPU registers • CPU scheduling information • Process priority, pointers to scheduling queues,... • Memory-management information • Base and limit registers, page and segment tables,... • Accounting information • Amount of CPU and real time used, time limits process numbers,... • I/O status information • List of I/O devices allocated, a list of open files,...

8. Process Control Block (PCB)

9. CPU Switch From Process to Process

10. 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, stored as a linked list. • Device queues – set of processes waiting for an I/O device. Each device has its own device queue • Processes migrate among the various queues

11. Ready Queue And Various I/O Device Queues

12. Representation of Process Scheduling

13. Representation of Process Scheduling • A new process is initially put in the ready queue. It waits there until it is selected for execution, or is dispatched. Once the process is allocated the CPU and is executing, one of several events occur: • The process could issue an I/O request and then be placed in an I/O queue. • The process could create a new subprocess and wait for the subprocess’s termination. • The process could be removed forcibly from the CPU, as a result of an interrupt, and be put back in the ready queue. • In the first two cases, the process eventually switches from the waiting state to the ready state and is then put back in the ready queue.

14. Schedulers • Long-term scheduler (or job scheduler) – selects which processes should be brought into the ready queue from job pool on disk. • Short-term scheduler (or CPU scheduler) – selects which process should be executed next and allocates CPU

15. Addition of Medium Term Scheduling

16. 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; very long CPU bursts • Long-term scheduler should select a good process mix of I/O-bound and CPU-bound processes to keep the ready queue and I/O waiting queues busy.

17. 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 • Context-switch time is overhead; the system does no useful work while switching • Time dependent on hardware support • Some processors provide multiple sets of registers • The context is represented in the PCB of the process. • State save of the current state of the CPU, state restore to resume operations.

18. Process Creation • Parent process create children processes, which, in turn create other processes, forming a tree of processes • Process identifiers (pid) identify processes • Resource sharing • Parent and children share all resources • Children share subset of parent’s resources • Parent and child share no resources • Initialization data may be passed along by the parent to child process • Execution • Parent and children execute concurrently • Parent waits until children terminate

19. Process Creation (Cont.) • Address space • Child duplicate of 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 • wait system call issued by parent to move itself off the ready queue until the termination of the child

20. Process Creation

21. 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); } }

22. A tree of processes on a typical Solaris

23. Creating a Process Using the Win32 API #include <stdio.h> #include <windows.h> int main(VOID) { STARTUPINFO si; PROCESS_INFORMATION pi; // allocate memory ZeroMemory(&si, sizeof(si)); si.cb = sizeof(si); ZeroMemory(&pi, sizeof(pi)); // create child process if (!CreateProcess(NULL, // use command line “C:\\WINDOWS\\system32\\mspaint.exe”, // command line NULL, // don’t inherit process handle NULL, // don’t inherit thread handle FALSE, // disable handle inheritance 0, // no creation flags NULL, // use parent’s environment block NULL // use parent’s existing directory &si, &pi))

24. Creating a Process Using the Win32 API (Cont.) { fprintf(stderr, “Create Process Failed”); return -1; } // parent will wait for the child the complete WaitForSingleObject(pi.hProcess, INFINITE); printf(“Child Complete); // close handles CloseHandle(pi.hProcess); CloseHandle(pi.hThread); }

25. Process Termination • Process executes last statement and asks the operating system to delete it (exit) • Output data (status) from child to parent (via wait) • Process’ resources are deallocated by operating system • Parent may terminate execution of children processes (abort) via a system call (TerminateProcess() in Win32). Parent needs to know the identities of its children passed when child is created • 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 • In UNIX, if parent terminates, all its children have assigned as their new parent the init process.

26. 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 (e.g a file) • Computation speed-up (if multiple CPUs exist) • Modularity (dividing functions into separate processes or threads) • Convenience (even an individual user may work on many tasks at the same time) • Cooperating processes require interprocess communication (IPC) • Shared memory (maximum speed and convenience) • Message passing (useful to exchange small amount of data, easy to implement)

27. Shared-Memory Systems • Typically, a shared-memory region resides in the address space of the process creating the shared-memory segment • Other processes must attach it to their address space. • The processes are also responsible for ensuring that they are not writing to the same location simultaneously.

28. Producer-Consumer Problem • Paradigm for cooperating processes, producer process produces information that is consumed by a consumer process. The producer and consumer must be synchronized, so that the consumer does not try to consume an item that has not yet been produced. • unbounded-buffer places no practical limit on the size of the buffer (producer can always produce new items) • bounded-buffer assumes that there is a fixed buffer size (producer must wait if the buffer is full)

29. 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 • The shared buffer is implemented as a circular array with two logical pointers: in and out. in points to the next free position in the buffer; out points to the first full position in the buffer. The buffer is empty when in == out, full when ((in + 1) % BUFFER_SIZE == out)

30. Bounded-Buffer – Insert() Method while (true) { /* Produce an item */ while (((in + 1) % BUFFER SIZE) == out) ; /* do nothing -- no free buffers */ buffer[in] = item; in = (in + 1) % BUFFER SIZE; {

31. Bounded Buffer – Remove() Method while (true) { while (in == out) ; // do nothing -- nothing to consume // remove an item from the buffer item = buffer[out]; out = (out + 1) % BUFFER SIZE; return item; {

32. Interprocess Communication (IPC) • Mechanism for processes to communicate and to synchronize their actions • Message system – processes communicate with each other without resorting to shared variables, useful in a distributed environment • 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 communicationlink between them • exchange messages via send/receive • Implementation of communication link • physical (e.g., shared memory, hardware bus) • logical (e.g., logical properties) • Direct or indirect communication • Synchronous or asynchronous communication • Automatic or explicit buffering

33. 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?

34. Communications Models

35. 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 • Exhibits symmetry in addressing. Both the sender and receiver processes must name the other to communicate.

36. Direct Communication (Cont.) • A variant employs asymmetry in addressing. Only the sender names the receipent • send(P, message) – Send a message to process P • receive(id, message) – Receive a message from any process; the id is set to the name of the process with which communication has taken place • Disadvantage of both: Changing the identifier of a process may necessitate examining all other process definitions, hardcoding.

37. 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

38. Indirect Communication • A mailbox may be owned by a process • There can be no confusion about who should receive a message sent to this mailbox • A mailbox may be owned by the OS • Then OS provides the following 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

39. Indirect Communication • Mailbox sharing • P1, P2, and P3 share mailbox A • P1, sends; P2and 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.

40. 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 • When both send() and receive() are blocking, we have a rendezvous between the sender and the receiver. • The solution to the producer-consumer problem with blocking primitives: The producer merely invokes the blocking send(). Likewise, when the consumer invokes receive(), it blocks until a message is available.

41. Buffering • Queue of messages attached to the link; implemented in one of three ways 1. Zero capacity – 0 messagesSender must wait for receiver (rendezvous) 2. Bounded capacity – finite length of n messagesSender must wait if link full • Unbounded capacity – infinite length Sender never waits • The zero capacity case is referred to as a message system with no buffering; the other cases are referred to as systems with automatic buffering.

42. C program illustrating POSIX shared-memory API #include <stdio.h> #include <sys/shm.h> #include <sys/stat.h> int main() { /* the identifier for the shared memory segment */ int segment_id; /* a pointer to the shared memory segment */ char * shared_memory; /* the size (in bytes) of the shared memory segment */ const int size = 4096;

43. C Program (Cont.) /* allocate a shared memory segment */ segment_id = shmget(IPC_PRIVATE, size, S_IRUSR | S_IWUSR); /* attach the shared memory segment */ shared_memory = (char *) shmat(segment_id, NULL, 0); /* write a message to the shared memory segment */ sprintf(shared_memory, “Hi there!”); /* now print out the string from shared memory */ printf(“*%s\n”, shared_memory); /* now detach the shared memory segment */ shmdt(shared_memory); /* now remove the shared memory segment */ shmctl(segment_id, IPC_RMID, NULL); return 0; }

44. Windows XP Example • Support for multiple operating environments, or subsystems, with which application programs communicate via a message-passing mechanism. • The message-passing facility in Windows XP is called the local procedure call (LPC) facility. It communicates between two processes on the same machine • Port objects to establish and maintain a connection between two processes • Connection ports and communication ports • The 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. • Two message-passing techniques • For small messages (<= 256 bytes) port’s message queue is used as intermediate storage • For larger messages, through section objects

45. Client-Server Communication • Sockets • Remote Procedure Calls • Remote Method Invocation (Java)

46. 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 • Some ports are well-known • Sockets are considered a low level form of communication • Allow only an unstructured stream of bytes to be exchanged • Communication consists between a pair of sockets • Java sockets • Socket class for connection-oriented (TCP) sockets • DatagramSocket class for connectionless (UDP) sockets • MulticastSocket class is a subclass of the DatagramSocket class

47. Socket Communication

48. A date server import java.net.*; import java.io.*; public class DateServer { public static void main(String[] args) { try { ServerSocket sock = new ServerSocket(6013); // now listen for connections while (true) { Socket client = sock.accept(); PrintWriter pout = new PrintWriter(client.getOutputStream(), true); // write the Date to the socket pout.println(new java.util.Date().toString()); // close the socket and resume // listening for connections client.close(); } } catch (IOException ioe) { System.err.println(ioe); } } }

49. Date client import java.net.*; import java.io.*; public class DateClient { public static void main(String[] args) { try { // make connection to server socket Socket sock = new Socket(“127.0.0.1”, 6013); InputStream in = sock.getInputStream(); BufferedReader bin = new BufferedReader(new InputStreamReader(in)); // read the date from the socket String line; while ( (line = bin.readLine()) != null) System.out.println(line); // close the socket connection sock.close(); } catch (IOException ioe) { System.err.println(ioe); } } }

50. Remote Procedure Calls • Remote procedure call (RPC) abstracts procedure calls between processes on networked systems. • Message-based comunication to provide remote service. • Messages are well-structured (not just packets of data) • Messages are addressed to an RPC daemon listening to a port and each contains an identifier of the function to execute and the parameters • Stubs – client-side proxy for the actual procedure on the server. • When the client invokes a remote procedure, the RPC system calls the stub. • 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. • There may be differences in data representations on the client and server • Big-endian / Little-endian machines • XDR (external data representation) is the machine independent representation • Client converts from machine type to XDR, server from XDR to machine type