Chapter 3: Processes

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
 Objectives

 Understand the basics of a process inside operating system.

 Identify the separate components of a process and illustrate how they
are represented and scheduled by an operating system.
 Understand working of PCB and different process states.
 Describe and contrast interprocess communication using shared
memory and message passing.
 Describe client-server communication using sockets and remote
procedure calls.

Operating System Concepts – 10th Edition 3.2 Silberschatz, Galvin and Gagne ©2018
 Outline
 Process Concept-Basics
 Layout of process in Memory
 Process Control Block ( PCB)
 Process States
 Process Scheduling
 Interprocess Communication
 IPC in Shared-Memory Systems
• Producer-consumer problem
• Bounded Buffer Solution
 IPC in Message-Passing Systems ( Direct & Indirect Comm)
 Pipes (Ordinary and Named ) for parent-child communication
 Communication in Client-Server Systems
• Sockets
• RPC

Operating System Concepts – 10th Edition 3.3 Silberschatz, Galvin and Gagne ©2018
 Process Concept
 Program- Set of instructions
 Process- Program in execution or certain activity.
 E.g. browsers, text editors, emails, apps

 Types of processes in OS
• Operating system processes
• User processes
Can relate to OS services and program control system calls?
 Operations on Processes:
 Process creation
 Process termination
 Process scheduling
 IPC

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 Representation

Operating System Concepts – 10th Edition 3.5 Silberschatz, Galvin and Gagne ©2018
 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
• For example, MS word has different files open.

Operating System Concepts – 10th Edition 3.6 Silberschatz, Galvin and Gagne ©2018
 Difference Between Program and
Process
Feature Program Process

Dynamic instance of a
Definition Static set of instructions program in execution
State Passive Active

Stored on secondary Resides in main memory

Location storage (disk) (RAM)
Allocated CPU time,
memory, and other
Resources No dedicated resources resources

Python script, C++

Examples program Web browser window

Operating System Concepts – 10th Edition 3.7 Silberschatz, Galvin and Gagne ©2018
 Process in Memory

 Process – a program in execution; process

execution must progress in sequential fashion.
 Multiple parts in main memory.
 Stack containing temporary data
• Function parameters, return addresses, local
variables
 Heap containing memory dynamically allocated
during run time
 Data section containing global variables
 The program code, also called text section

Operating System Concepts – 10th Edition 3.8 Silberschatz, Galvin and Gagne ©2018
 Memory Layout of a C Program

Stack: Functions/parameters/local variables/return value

Heap: Dynamic Allocation
Data: Global Variables ( Initialized/uninitialized)
Text/Code: Program Statements
Operating System Concepts – 10th Edition 3.9 Silberschatz, Galvin and Gagne ©2018
 Process Control Block (PCB)
Information associated with each process(also called task control
block)
 Process ID – Unique Identifier
 Process state – running, waiting, etc.
 CPU scheduling information- priorities, scheduling
queue pointers
 Program counter – location of instruction to next
execute
 Memory Pointers- Helps to link process sections like
Heap, stack, etc..
 Context Data – To save and restore process state
during context switching
 I/O status information – I/O devices allocated to
process, list of open files
 Accounting information – CPU used, clock time
elapsed since start, time limits
 Miscellaneous- Other information as well

Operating System Concepts – 10th Edition 3.10 Silberschatz, Galvin and Gagne ©2018
 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

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 Context Switching
A context switch occurs when the CPU switches from one
process to another.

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 Think!

 What extra information would you store in the PCB if you were
designing your own OS?
 Why do we need a PCB? Can an OS function without a PCB?
 What happens if the PCB of a process gets corrupted?
 What would happen if two processes had the same PCB?
 How does an OS keep track of millions of PCBs?

Operating System Concepts – 10th Edition 3.13 Silberschatz, Galvin and Gagne ©2018
 Process States

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 Process States
 As a process executes, it changes state

• New: The process is being created

• Ready: The process is waiting to be assigned to a processor
• Running: Instructions are being executed
• Waiting: The process is waiting for some event to occur
• Terminated: The process has finished execution

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 Diagram of Process State

5 States Model

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 Scheduling Queues
 OS 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

Operating System Concepts – 10th Edition 3.17 Silberschatz, Galvin and Gagne ©2018
 Process Scheduling

 Types of Scheduling
• Preemptive
• Non-Preemptive
 Process scheduler selects among available processes
for next execution on CPU core
 Goal -- Maximize CPU usage, quickly switch processes
onto CPU core. The main types of schedulers are:

 Long Term or Job Scheduler

 Short-Term or CPU Scheduler
 Medium-Term Scheduler

Operating System Concepts – 10th Edition 3.18 Silberschatz, Galvin and Gagne ©2018
 Representation of Schedulers

Operating System Concepts – 10th Edition 3.19 Silberschatz, Galvin and Gagne ©2018
 Difference Between Schedulers

Long Term Scheduler Short Term Scheduler Medium Term Scheduler

It is a job scheduler It is a CPU scheduler It is a process-swapping

scheduler.
The slowest scheduler. Speed is the fastest Speed lies in between both
among all of them. short and long-term
schedulers.
It controls the degree of It gives less control over It reduces the degree of
multiprogramming how much multiprogramming.
multiprogramming is
done.

Operating System Concepts – 10th Edition 3.20 Silberschatz, Galvin and Gagne ©2018
 Process Creation and Termination

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 Parent-Child Processes
 Process- Running instance or active state
 From this process another processes may be generated. i.e. Parent-
Child relationship between two processes, child process being the
subprocess/subtask.
 Fork( ) system call is used to create this relationship during run-time.
 Why to use?

Operating System Concepts – 10th Edition 3.22 Silberschatz, Galvin and Gagne ©2018
 Process Termination
Causes of Process Termination
🔹 Normal Termination exit()

•The process executes its last statement and exits.

•The OS de-allocated resources (CPU, memory).

🔹 Abnormal Termination abort()

•Error in process execution (e.g., division by zero).

•Memory limit exceeded (out-of-bounds memory access).
•Hardware failure (power outage, disk crash).

🔹 External Termination: kill( )

•Killed by user (e.g., using kill command in Linux or Task Manager in Windows).
•Parent process terminates (child processes may be killed).

Operating System Concepts – 10th Edition 3.23 Silberschatz, Galvin and Gagne ©2018
 Inter-Process Communication(IPC)

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 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

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 IPC Communications Models
(a) Shared memory. (b) Message passing.

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 IPC – Shared Memory
 An area of memory is shared among the processes that wish to
communicate
 The communication is controlled by the users’ processes not the
operating system.
 One major issue is to provide a mechanism that will allow the
user processes to synchronize their actions when they access
shared memory.
 Advantages
• High speed data transfer
• High volume of information
• Communication on same machine
• Real time data transfers

 Application Areas. Databases, AI, OS, Trading, video processing

Operating System Concepts – 10th Edition 3.27 Silberschatz, Galvin and Gagne ©2018
 Producer-Consumer Problem
( Shared Memory)
 Paradigm for cooperating processes:
• Producer process produces information that is consumed
by a Consumer process
• Problem occurs when both are running concurrently.
 Two variations:
• unbounded-buffer places no practical limit on the size of
the buffer or data rate
 Producer never waits
 Consumer waits if there is no buffer to consume
• bounded-buffer assumes that there is a fixed buffer size-
known data to transfer
 Producer must wait if all buffers are full
 Consumer waits if there is no buffer to consume

Operating System Concepts – 10th Edition 3.28 Silberschatz, Galvin and Gagne ©2018
 Bounded-Buffer – Shared-Memory Solution

// Shared data

int SIZE = 5; // total elements

int in= 1; // producer
int out = 1; //consumer
Int buffer[SIZE];

//both consumer and producer at 1 represent that

buffer is empty

Operating System Concepts – 10th Edition 3.29 Silberschatz, Galvin and Gagne ©2018
 Producer, Consumer
Shared Memory
// Producer process //Consumer process

while (true) { while (true) {

/* produce an item in buffer */ while (in == out)
while (((in + 1) % SIZE) == ; /* do nothing */
out) next_consumed =
buffer[out];
; /* do nothing */
out = (out + 1) % SIZE;
buffer[in] = next_produced;
in = (in + 1) % SIZE;
/* consume the item in
} next consumed */
}
//if the buffer is full, it
will not allow more items. // if buffer is empty, it will not
allow more read operations

Operating System Concepts – 10th Edition 3.30 Silberschatz, Galvin and Gagne ©2018
 What about Filling all the Buffers?
 Suppose that we wanted to provide another 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.

Operating System Concepts – 10th Edition 3.31 Silberschatz, Galvin and Gagne ©2018
 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++;
}

Operating System Concepts – 10th Edition 3.32 Silberschatz, Galvin and Gagne ©2018
 Consumer

while (true) {
while (counter == 0)
; /* do nothing */
next_consumed = buffer[out];
out = (out + 1) % BUFFER_SIZE;
counter--;
/* consume the item in next consumed */
}

Operating System Concepts – 10th Edition 3.33 Silberschatz, Galvin and Gagne ©2018
 IPC – Message Passing

 Processes communicate with each other without having any

shared variables
 IPC facility provides two operations:
• send(message)
• receive(message)
 The message size is either fixed or variable
 Advantages
• No shared memory issues
• Works across different machines
 Application Areas.
• Car riding apps, cloud-based apps, banking systems

Operating System Concepts – 10th Edition 3.34 Silberschatz, Galvin and Gagne ©2018
 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?
Dynamically, each process must explicitly name
the other process it wants to communicate.
• How many links can there be between every pair of
communicating processes?
Only one link.
• What is the capacity of a link?
Fixed / variable sized messages
• Is the size of a message that the link can accommodate
fixed or variable?
Depends on system.
• Is a link unidirectional or bi-directional?
Depends on system design

Operating System Concepts – 10th Edition 3.35 Silberschatz, Galvin and Gagne ©2018
 Implementation of Communication Link

 Physical

• Hardware bus
• Network

 Logical
• Direct or indirect
• Automatic or explicit buffering

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 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 – 10th Edition 3.37 Silberschatz, Galvin and Gagne ©2018
 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
• Link may be unidirectional or bi-directional

Operating System Concepts – 10th Edition 3.38 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 3.39 Silberschatz, Galvin and Gagne ©2018
 Pipes
 Acts as a conduit allowing two processes to communicate
 Issues:
• Is communication unidirectional or bidirectional?
Always Uniderectional ,
• Must there exist a relationship (i.e., parent-child) between the
communicating processes?
Yes, it is a must for ordinary pipes.
• Can the pipes be used over a network? No.
 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.

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 Ordinary Pipes
 Ordinary Pipes allow communication in standard producer-consumer
style
 Producer writes to one end (the write-end of the pipe) [ fd[1] = write]
 Consumer reads from the other end (the read-end of the pipe)
[ fd[0]=read]
 Ordinary pipes are therefore unidirectional
 Require parent-child relationship between communicating processes

Operating System Concepts – 10th Edition 3.41 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 3.42 Silberschatz, Galvin and Gagne ©2018
 Communications in Client-Server Systems

 Sockets
 Remote Procedure Calls

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 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 [Link]:1625 refers to port 1625 on host [Link]
 Communication consists between a pair of sockets
 All ports below 1024 are well known, used for standard services
 Special IP address [Link] (loopback) to refer to system on which
process is running

Operating System Concepts – 10th Edition 3.44 Silberschatz, Galvin and Gagne ©2018
 Socket Communication

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 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)

Operating System Concepts – 10th Edition 3.46 Silberschatz, Galvin and Gagne ©2018
 Execution of RPC

Operating System Concepts – 10th Edition 3.47 Silberschatz, Galvin and Gagne ©2018
 End of Chapter 3

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018