Operating

Systems:
Internals
and Design
Principles Chapter 4
Threads
Ninth Edition
By William Stallings

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 Processes and Threads
Resource Ownership Scheduling/Execution
Process includes a Follows an execution path
virtual address space that may be interleaved
to hold the process with other processes
image n A process has an execution
n The OS performs a state (Running, Ready, etc.) and
protection function to a dispatching priority, and is
prevent unwanted the entity that is scheduled and
interference between dispatched by the OS
processes with respect to
resources

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 Processes and Threads
n The unit of dispatching is referred to as a thread or
lightweight process
n The unit of resource ownership is referred to as a
process or task
n Multithreading - The ability of an OS to support
multiple, concurrent paths of execution within a
single process

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 Single Threaded Approaches
n A single thread of
execution per
process, in which one process one process

the concept of a
one thread multiple threads

thread is not
recognized, is
referred to as a
single-threaded multiple processes multiple processes

approach
one thread per process multiple threads per process

n MS-DOS is an = instruction trace

example Figure 4.1 Threads and Processes

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 Multithreaded Approaches
n The right half of
Figure 4.1 depicts
multithreaded
approaches
one process one process
one thread multiple threads

n A Java run-time
environment is an
example of a multiple processes
one thread per process
multiple processes
multiple threads per process

system of one = instruction trace

process with
multiple threads
Figure 4.1 Threads and Processes

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 Process
§ Defined in a multithreaded environment as “the unit
of resource allocation and a unit of protection”
§ Associated with processes:
§ A virtual address space that holds the process image
§ Protected access to:
§ Processors
§ Other processes (for interprocess communication)
§ Files
§ I/O resources (devices and channels)

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 One or More Threads
in a Process
Each thread has:

• An execution state (Running, Ready, etc.)

• A saved thread context when not running
• An execution stack
• Some per-thread static storage for local
variables
• Access to the memory and resources of its
processes, shared with all other threads in
that process
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 Single-Threaded Multithreaded
Process Model Process Model
Thread Thread Thread
Thread Thread Thread
Process User Control Control Control
Control Stack Block Block Block
Block

Process User User User

User Kernel Stack Stack Stack
Control
Address Stack
Block
Space

User Kernel Kernel Kernel

Address Stack Stack Stack
Space

Figure 4.2 Single Threaded and Multithreaded Process Models

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 Key Benefits of Threads

Less time to Threads enhance

terminate a efficiency in
thread than a Switching communication
Takes less process between two between programs
time to threads takes less
create a new time than
thread than a switching between
process processes

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 Thread Use in a
Single-User System
n Foreground and background work
n Asynchronous processing
n Speed of execution
n Modular program structure

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 n In an OS that supports threads, scheduling and
dispatching is done on a thread basis
n Most of the state information dealing with
execution is maintained in thread-level data
structures
§Suspending a process involves suspending all
threads of the process
§Termination of a process terminates all
threads within the process

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 Thread operations
The key states for a
associated with a
thread are:
change in thread
n Running state are:
n Ready
n Spawn
n Blocked n Block
n Unblock
n Finish

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 Time

RPC RPC
Request Request

Process 1

Server Server

(a) RPC Using Single Thread

RPC Server
Request

Thread A (Process 1)

Thread B (Process 1)

RPC
Request Server

(b) RPC Using One Thread per Server (on a uniprocessor)

Blocked, waiting for response to RPC

Blocked, waiting for processor, which is in use by Thread B
Running

Figure 4.3 Remote Procedure Call (RPC) Using Threads

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 Time

I/O Request Time quantum

request complete expires

Thread A (Process 1)

Thread B (Process 1)

Thread C (Process 2) Time quantum

expires
Process
created

Blocked Ready Running

Figure 4.4 Multithreading Example on a Uniprocessor

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 Thread Synchronization
n It is necessary to synchronize the activities of
the various threads
n All threads of a process share the same address
space and other resources
n Any alteration of a resource by one thread
affects the other threads in the same process

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 Types of Threads

User Level
Thread (ULT)
Kernel level
Thread (KLT)

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 User-Level Threads (ULTs)
n All thread
management is Threads User
Library Space
done by the
application Kernel
Space

n The kernel is not

aware of the P
existence of threads

(a) Pure user-level (b

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 (a) (b)
Thread 1 Thread 2 Thread 1 Thread 2
Ready Running Ready Running Ready Running Ready Running

Blocked Blocked Blocked Blocked

Process B Process B
Ready Running Ready Running

Blocked Blocked

(c) (d)
Thread 1 Thread 2 Thread 1 Thread 2
Ready Running Ready Running Ready Running Ready Running

Blocked Blocked Blocked Blocked

Process B Process B
Ready Running Ready Running

Blocked Blocked

Colored state
is current state
Figure 4.6 Examples of the Relationships Between User-Level Thread States and Process States
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 ULTs
can run
Scheduling can be
application specific on any
OS

Thread switching does not

require kernel mode
privileges

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 Disadvantages of ULTs
n In a typical OS many system calls are blocking
§ As a result, when a ULT executes a system call, not
only is that thread blocked, but all of the threads within
the process are blocked as well

n In a pure ULT strategy, a multithreaded

application cannot take advantage of
multiprocessing
§ A kernel assigns one process to only one processor at a
time, therefore, only a single thread within a process
can execute at a time
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 Overcoming ULT
Disadvantages
Jacketing
• Purpose is to convert a blocking
system call into a non-blocking
system call

Writing an application as
multiple processes rather than
multiple threads
• However, this approach eliminates
the main advantage of threads

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 Kernel-Level Threads (KLTs)
§ Thread management is
done by the kernel
User User User
Space Space
§ ThereThreads
is no thread
Space
Library
management code in the
Kernel Kernel application level, simply
Kernel
Space Space
an application Space
programming interface
(API) to the kernel
thread facility
P P P
§ Windows is an example
of this approach
(b) Pure kernel-level (c) Combined
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 Advantages of KLTs
n The kernel can simultaneously schedule multiple
threads from the same process on multiple
processors
n If one thread in a process is blocked, the kernel
can schedule another thread of the same process
n Kernel routines themselves can be
multithreaded

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 Disadvantage of KLTs
✽ The transfer of control from one thread to another
within the same process requires a mode switch to
the kernel

Kernel-Level
Operation User-Level Threads Threads Processes
Null Fork 34 948 11,300
Signal Wait 37 441 1,840

Table 4.1
Thread and Process Operation Latencies (µs)

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 Combined Approaches
n Thread creation is done
completely in the user
User space, as is the bulk ofUser Threads User
Space Space Library Space
the scheduling and
Kernel synchronization of Kernel Kernel
Space Space Space
threads within an
application
n Solaris is a good
P P
example P

(b) Pure kernel-level (c) Combined

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 Threads:Processes Description Example Systems
1:1 Each thread of execution is a Traditional UNIX
unique process with its own implementations
address space and resources.
M:1 A process defines an address Windows NT, Solaris, Linux,
space and dynamic resource OS/2, OS/390, MACH
ownership. Multiple threads
may be created and executed
within that process.
1:M A thread may migrate from Ra (Clouds), Emerald
one process environment to
another. This allows a thread
to be easily moved among
distinct systems.
M:N Combines attributes of M:1 TRIX
and 1:M cases.

Table 4.2
Relationship between Threads and Processes

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 2%

relative speedup
6
5%

10%
4

0%
8
2
2%
relative speedup

6
5%
0
1 2 3 4 5 6 7 8
10% number of processors
4 (a) Speedup with 0%, 2%, 5%, and 10% sequential portions

2 2.5

2.0 5%
0 10%
1 2 3 4 5 6 7 8 15%
20%

relative speedup
number of processors 1.5
(a) Speedup with 0%, 2%, 5%, and 10% sequential portions
1.0

2.5 0.5

5% 0
2.0 1 2 3 4 5 6 7 8
10%
15% number of processors
20%
relative speedup

(b) Speedup with overheads

1.5

1.0
Figure 4.7 Performance Effect of Multiple Cores
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0.5
 64
Oracle DSS 4-way join
TMC data mining
DB2 DSS scan & aggs
Oracle ad hoc insurance OLTP
48

g
lin
ca
ts
ec
scaling

rf
pe
32

16

0
0 16 32 48 64
number of CPUs

Figure 4.8 Scaling of Database Workloads on Multiple-Processor Hardware

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 Applications That Benefit
§ Multithreaded native applications
§ Characterized by having a small number of highly threaded
processes

§ Multiprocess applications
§ Characterized by the presence of many single-threaded
processes

§ Java applications
§ All applications that use a Java 2 Platform, Enterprise
Edition application server can immediately benefit from
multicore technology
§ Multi-instance applications
§ Multiple instances of the application in parallel
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 Valve Game Software
Render

Skybox Main View Monitor Etc.

Scene List

For each object

Particles

Sim and Draw

Character

Bone Setup

Draw

Etc.

Figure 4.9 Hybrid Threading for Rendering Module

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 Windows Process and
Thread Management
n An application consists of one n A thread pool is a collection of
or more processes worker threads that efficiently
execute asynchronous callbacks
n Each process provides the on behalf of the application
resources needed to execute a
program n A fiber is a unit of execution
that must be manually scheduled
n A thread is the entity within a by the application
process that can be scheduled for
execution n User-mode scheduling (UMS) is
a lightweight mechanism that
n A job object allows groups of applications can use to schedule
process to be managed as a unit their own threads

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 n Beginning with Windows 8, and carrying through to Windows 10,
developers are responsible for managing the state of their individual
applications
n Previous versions of Windows always give the user full control of the
lifetime of a process
n In the new Metro interface Windows takes over the process lifecycle of
an application
n A limited number of applications can run alongside the main app in the
Metro UI using the SnapView functionality
n Only one Store application can run at one time

n Live Tiles give the appearance of applications constantly running on

the system
n In reality they receive push notifications and do not use system resources
to display the dynamic content offered
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 n Foreground application in the Metro interface has access
to all of the processor, network, and disk resources
available to the user
n All other apps are suspended and have no access to these
resources

n When an app enters a suspended mode, an event should

be triggered to store the state of the user’s information
n This is the responsibility of the application developer

n Windows may terminate a background app

n You need to save your app’s state when it’s suspended, in case
Windows terminates it so that you can restore its state later
n When the app returns to the foreground another event is
triggered to obtain the user state from memory
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 Important characteristics of Windows
processes are:
• Windows processes are implemented as objects
• A process can be created as a new process or a
copy of an existing process
• An executable process may contain one or more
threads
• Both process and thread objects have built-in
synchronization capabilities

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 Access
token

Virtual address descriptors

Process
object

Available
Handle Table objects

Handle1 Thread x

Handle2 File y

Handle3 Section z

Figure 4.10 A Windows Process and Its Resources

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 Process and Thread
Objects
Windows makes use of two types of
process-related objects:

Processes Threads

• An entity • A dispatchable
corresponding unit of work
to a user job or that executes
application that sequentially and
owns resources is interruptible
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 Process ID A unique value that identifies the process to the operating system.

Security descriptor Describes who created an object, who can gain access to or use the
object, and who is denied access to the object.

Base priority A baseline execution priority for the process's threads. Table 4.3
Default processor affinity The default set of processors on which the process's threads can
run.
Windows
Quota limits The maximum amount of paged and nonpaged system memory,
paging file space, and processor time a user's processes can use. Process
Execution time The total amount of time all threads in the process have executed.

I/O counters Variables that record the number and type of I/O operations that
Object
the process's threads have performed.

VM operation counters Variables that record the number and types of virtual memory
Attributes
operations that the process's threads have performed.

Exception/debugging ports Interprocess communication channels to which the process

manager sends a message when one of the process's threads causes
an exception. Normally, these are connected to environment
subsystem and debugger processes, respectively.
(Table is on
page 171 in
Exit status The reason for a process's termination.
textbook)

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 Thread ID A unique value that identifies a thread when it calls a server.

Thread context The set of register values and other volatile data that defines the
execution state of a thread.

Dynamic priority The thread's execution priority at any given moment.

Table 4.4
Base priority The lower limit of the thread's dynamic priority.

Thread processor affinity The set of processors on which the thread can run, which is a Windows
subset or all of the processor affinity of the thread's process.

Thread execution time The cumulative amount of time a thread has executed in user mode
and in kernel mode. Thread
Alert status A flag that indicates whether a waiting thread may execute an
asynchronous procedure call. Object
Suspension count The number of times the thread's execution has been suspended
without being resumed.
Attributes
Impersonation token A temporary access token allowing a thread to perform operations
on behalf of another process (used by subsystems).

Termination port An interprocess communication channel to which the process

manager sends a message when the thread terminates (used by
subsystems). (Table is on page
171 in textbook)
Thread exit status The reason for a thread's termination.

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 Multithreading

Achieves concurrency
without the overhead of
using multiple processes

Threads within the same Threads in different

process can exchange processes can exchange
information through their information through shared
common address space and memory that has been set
have access to the shared up between the two
resources of the process processes

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 Runnable
Pick to Standby
Run Switch

Preempted
Ready Running

Resource Unblock/Resume Terminate

Resource Available Block/
Available
Suspend

Transition Unblock
Waiting Terminated
Resource Not Available
Not Runnable

Figure 4.11 Windows Thread States

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 Solaris Process
§Makes use of four thread-related concepts:
• Includes the user’s address space, stack, and
Process process control block

User-level • A user-created unit of execution within a process

Threads
Lightweight • A mapping between ULTs and kernel threads
Processes (LWP)

• Fundamental entities that can be scheduled and

Kernel Threads dispatched to run on one of the system processors

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 Process

user user
thread thread
Lightweight Lightweight
process (LWP) process (LWP)
syscall() syscall()

Kernel Kernel
thread thread

System calls
Kernel
Hardware

Figure 4.12 Processes and Threads in Solaris

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 UNIX Process Structure Solaris Process Structure
Process ID Process ID
User IDs User IDs

Signal Dispatch Table Signal Dispatch Table

Memory Map Memory Map
Priority
Signal Mask
Registers
STACK
File Descriptors File Descriptors
Processor State

LWP 2 LWP 1
LWP ID LWP ID
Priority Priority
Signal Mask Signal Mask
Registers Registers
STACK STACK

Figure 4.13 Process Structure in Traditional UNIX and Solaris [LEWI96]

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 A Lightweight Process (LWP)
Data Structure Includes:
n An LWP identifier

n The priority of this LWP and hence the kernel thread that supports it

n A signal mask that tells the kernel which signals will be accepted

n Saved values of user-level registers

n The kernel stack for this LWP, which includes system call arguments,
results, and error codes for each call level

n Resource usage and profiling data

n Pointer to the corresponding kernel thread

n Pointer to the process structure

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 IDLE PINNED

thread_create() intr()

swtch()
syscall()
RUN ONPROC SLEEP
preempt()

wakeup()

STOP ZOMBIE FREE

prun() pstop() exit() reap()

Figure 4.14 Solaris Thread States

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 Interrupts as Threads
§ Most operating systems contain two fundamental
forms of concurrent activity:
Processes Cooperate with each other and manage the use of shared data
(threads) structures by primitives that enforce mutual exclusion and
synchronize their execution

Interrupts Synchronized by preventing their handling for a period of time

§ Solaris unifies these two concepts into a single model, namely

kernel threads, and the mechanisms for scheduling and
executing kernel threads
§ To do this, interrupts are converted to kernel threads
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 Solaris Solution

§ Solaris employs a set of kernel threads to

handle interrupts
n An interrupt thread has its own identifier, priority,
context, and stack
n The kernel controls access to data structures and
synchronizes among interrupt threads using
mutual exclusion primitives
n Interrupt threads are assigned higher priorities
than all other types of kernel threads

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 Linux Tasks

A process, or task, in This structure

Linux is represented contains information
by a task_struct data in a number of
structure categories

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 Stopped

signal signal

Running
State
termination
creation
Ready scheduling Executing Zombie

event
signal
or
event
Uninterruptible

Interruptible

Figure 4.15 Linux Process/Thread Model

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 Linux Threads
A new
Linux does process is The clone()
not recognize created by call creates
a distinction copying the separate
between attributes of stack spaces
threads and the current for each
processes process process

User-level The new

threads are process can
mapped into be cloned so
kernel-level that it shares
processes resources

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 Linux Namespaces
n A namespace enables a process to have a different
view of the system than other processes that have
other associated namespaces
n There are currently six namespaces in Linux
n mnt
n pid
n net
n ipc
n uts
n user
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 Android Process and
Thread Management
n An Android application is the software that implements an app
n Each Android application consists of one or more instance of
one or more of four types of application components
n Each component performs a distinct role in the overall
application behavior, and each component can be activated
independently within the application and even by other
applications
n Four types of components:
n Activities
n Services
n Content providers
n Broadcast receivers
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 Dedicated Process

Broadcast Content
Receiver Provider
Application

Activity Service

Dedicated
Virtual Machine

Figure 4.16 Android Application

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 Activities
n An Activity is an application component that provides a screen with which users
can interact in order to do something

n Each Activity is given a window in which to draw its user interface

n The window typically fills the screen, but may be smaller than the screen and
float on top of other windows

n An application may include multiple activities

n When an application is running, one activity is in the foreground, and it is this

activity that interacts with the user

n The activities are arranged in a last-in-first-out stack in the order in which each
activity is opened

n If the user switches to some other activity within the application, the new
activity is created and pushed on to the top of the back stack, while the
preceding foreground activity becomes the second item on the stack for this
application
©  2017  Pearson  Educa2on,  Inc.,  Hoboken,  NJ.  All  rights  reserved.  
 Activity
launched

onCreate()

Entire
Lifetime
onStart() onRestart()
User navigates
to the activity
Visible
Lifetime
onResume()
App process
killed Foreground
User returns
Lifetime to the activity

Resumed
Apps with higher
priority need memory

onPause()

Paused
User navigates
to the activity

onStop()

Stopped

onDestroy()

Activity
shut down

Figure 4.17 Activity State Transition Diagram

©  2017  Pearson  Educa2on,  Inc.,  Hoboken,  NJ.  All  rights  reserved.  

 Processes and Threads
n A precedence hierarchy
is used to determine
which process or Foreground process
processes to kill in order
to reclaim needed
resources Visible process
n Processes are killed
beginning with the Service process
lowest precedence first
Background process
n The levels of the
hierarchy, in descending
order of precedence are: Empty process

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 Mac OS X Grand Central
Dispatch (GCD)
n Provides a pool of available threads
n Designers can designate portions of applications,
called blocks, that can be dispatched independently
and run concurrently
n Concurrency is based on the number of cores
available and the thread capacity of the system

©  2017  Pearson  Educa2on,  Inc.,  Hoboken,  NJ.  All  rights  reserved.  

 n A simple extension to a language
n A block defines a self-contained unit of work
n Enables the programmer to encapsulate complex
functions
n Scheduled and dispatched by queues
n Dispatched on a first-in-first-out basis
n Can be associated with an event source,
such as a timer, network socket, or file
descriptor
©  2017  Pearson  Educa2on,  Inc.,  Hoboken,  NJ.  All  rights  reserved.  
 Summary
n Processes and threads n Solaris thread and SMP management
n Multithreading n Multithreaded architecture
n Thread functionality n Motivation
n Process structure
n Types of threads n Thread execution
n User level and kernel level threads n Interrupts as threads

n Multicore and multithreading n Linux process and thread management

n Performance of Software on Multicore n Tasks/threads/namespaces

n Windows process and thread management n Android process and thread

n Management of background tasks and management
application lifecycles n Android applications
n Windows process n Activities
n Process and thread objects n Processes and threads
n Multithreading
n Thread states n Mac OS X grand central dispatch
n Support for OS subsystems

©  2017  Pearson  Educa2on,  Inc.,  Hoboken,  NJ.  All  rights  reserved.