1. Processes

2. Main Points Process concept – A process is an OS abstraction for executing a program with limited privileges Dual-mode operation: user vs. kernel – Kernel-mode: execute with complete privileges – User-mode: execute with fewer privileges Safe control transfer – How do we switch from one mode to the other?

3. Processes Fundamental abstraction of program execution – memory – processor(s) each processor abstraction is a thread – “execution context”

4. Process Concept Process: an instance of a program, running with limited rights – Process control block: the data structure the OS uses to keep track of a process – Two parts to a process: Thread: a sequence of instructions within a process – Potentially many threads per process (for now 1:1) – Thread aka lightweight process Address space: set of rights of a process – Memory that the process can access – Other permissions the process has (e.g., which procedure calls it can make, what files it can access)

5. A Program const int nprimes = 100; int prime[nprimes]; int main() { int i; int current = 2; prime[0] = current; for (i=1; i<nprimes; i++) { int j; NewCandidate: current++; for (j=0; prime[j]*prime[j] <= current; j++) { if (current % prime[j] == 0) goto NewCandidate; } prime[i] = current; } return(0); }

6. The Unix Address Space text data bss dynamic stack

7. Typical Process Layout Libraries provide the glue between user processes and the OS – libc linked in with all C programs – Provides printf, malloc, and a whole slew of other routines necessary for programs OBJECT1 OBJECT2 Stack Heap Data Text HELLO WORLD GO BIG RED CS! printf(char * fmt, …) { create the string to be printed SYSCALL 80 } malloc() { … } strcmp() { … } main() { printf (“HELLO WORLD”); printf(“GO BIG RED CS”); ! Program Library Activation Records

8. Full System Layout The OS is omnipresent and steps in where necessary to aid application execution – Typically resides in high memory When an application needs to perform a privileged operation, it needs to invoke the OS OBJECT1 OBJECT2 Stack Heap Data HELLO WORLD GO BIG RED CS! printf(char * fmt, …) { main() { … } Program Library Activation Records USER OBJECT1 OBJECT2 OS Stack OS Heap OS Data LINUX syscall_entry_point() { … } OS Text Kernel Activation Records

9. other stuff kernel stack other stuff kernel stack other stuff kernel stack other stuff kernel stack Multiple Processes kernel text

10. The Process Model Figure 2-1. (a) Multiprogramming of four programs in memory. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved. One physical program counter

11. The Process Model Figure 2-1. (b) Conceptual model of four independent, sequential processes. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved. A logical program counter stored in the process and loaded into physical counter

12. The Process Model Figure 2-1. (c) Only one program is active at once. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

13. Process Creation Four principal events that cause processes to be created: 1.System initialization. 2.Execution of a process creation system call by a running process. 3.A user request to create a new process. 4.Initiation of a batch job. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

14. Process Termination Typical conditions which terminate a process: 1.Normal exit (voluntary). 2.Error exit (voluntary). 3.Fatal error (involuntary). 4.Killed by another process (involuntary). Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

15. Process States (1) Three states a process may be in: 1.Running (actually using the CPU at that instant). 2.Ready (runnable; temporarily stopped to let another process run). 3.Blocked (unable to run until some external event happens). Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

16. Process States (2) Figure 2-2. A process can be in running, blocked, or ready state. Transitions between these states are as shown. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

17. Process Concept

18. Process Control Blocks PID Terminated children Link Return code Process Control Block PID Terminated children Link Return code PID Terminated children Link Return code

19. Implementation of Processes (1) Figure 2-4. Some of the fields of a typical process table entry. Tanenbaum & Bo,Modern Operating Systems:4th ed., (c) 2013 Prentice-Hall, Inc. All rights reserved.

20. Memory Protection

22. Virtual Addresses Translation done in hardware, using a table Table set up by operating system kernel

23. Privileged Instructions

24. Privileged instructions Examples? What should happen if a user program attempts to execute a privileged instruction?

25. Thought Experiment How can we implement execution with limited privilege? – Execute each program instruction in a simulator – If the instruction is permitted, do the instruction – Otherwise, stop the process – Basic model in Javascript, … How do we go faster? – Run the unprivileged code directly on the CPU?

26. Privilege Levels Some processor functionality cannot be made accessible to untrusted user applications – e.g. HALT, Read from disk, set clock, reset devices, manipulate device settings, … Need to have a designated mediator between untrusted/untrusting applications – The operating system (OS) Need to delineate between untrusted applications and OS code – Use a “privilege mode” bit in the processor – 0 = Untrusted = user, 1 = Trusted = OS

27. Privilege Mode Privilege mode bit indicates if the current program can perform privileged operations – On system startup, privilege mode is set to 1, and the processor jumps to a well-known address – The operating system (OS) boot code resides at this address – The OS sets up the devices, initializes the MMU, loads applications, and resets the privilege bit before invoking the application Applications must transfer control back to OS for privileged operations

28. Challenge: Protection How do we execute code with restricted privileges? – Either because the code is buggy or if it might be malicious Some examples: – A script running in a web browser – A program you just downloaded off the Internet – A program you just wrote that you haven’t tested yet

29. Hardware Support: Dual-Mode Operation Kernel mode – Execution with the full privileges of the hardware – Read/write to any memory, access any I/O device, read/write any disk sector, send/read any packet User mode – Limited privileges – Only those granted by the operating system kernel On the x86, mode stored in EFLAGS register

30. A Model of a CPU

31. A CPU with Dual-Mode Operation

32. Hardware Support: Dual-Mode Operation Privileged instructions – Available to kernel – Not available to user code Limits on memory accesses – To prevent user code from overwriting the kernel Timer – To regain control from a user program in a loop Safe way to switch from user mode to kernel mode, and vice versa

33. Atomic Instructions Hardware needs to provide special instructions to enable concurrent programs to operate correctly

34. Virtual Address Layout Plus shared code segments, dynamically linked libraries, memory mapped files, …

35. Example: Corrected (What Does this Do?) int staticVar = 0; // a static variable main() { int localVar = 0; // a procedure local variable staticVar += 1; localVar += 1; sleep(10); // sleep causes the program to wait for x seconds printf ("static address: %x, value: %d\n", &staticVar, staticVar); printf ("procedure local address: %x, value: %d\n", &localVar, localVar); } Produces: static address: 5328, value: 1 procedure local address: ffffffe2, value: 1

36. Hardware Timer Switch between hardware and kernel

37. Hardware Timer Hardware device that periodically interrupts the processor – Returns control to the kernel timer interrupt handler – Interrupt frequency set by the kernel Not by user code! – Interrupts can be temporarily deferred Not by user code! Crucial for implementing mutual exclusion

38. Question For a “Hello world” program, the kernel must copy the string from the user program memory into the screen memory. Why must the screen’s buffer memory be protected?

39. Question Suppose we had a perfect object-oriented language and compiler, so that only an object’s methods could access the internal data inside an object. If the operating system only ran programs written in that language, would it still need hardware memory address protection?

41. Context switch between user- mode and kernel

42. Mode Switch From user-mode to kernel – Interrupts Triggered by timer and I/O devices – Exceptions Triggered by unexpected program behavior Or malicious behavior! – System calls (aka protected procedure call) Request by program for kernel to do some operation on its behalf Only limited # of very carefully coded entry points

43. Mode Switch From kernel-mode to user – New process/new thread start Jump to first instruction in program/thread – Return from interrupt, exception, system call Resume suspended execution – Process/thread context switch Resume some other process – User-level upcall Asynchronous notification to user program

44. Context switch Interrupts

45. Basic Computer Organization CPU Memory ?

46. Keyboard Let’s build a keyboard – Lots of mechanical switches – Need to convert to a compact form (binary) We’ll use a special mechanical switch that, when pressed, connects two wires simultaneously

47. Keyboard When a key is pressed, a 7- bit key identifier is computed + 3-bit encoder (4 to 3) 4-bit encoder (16 to 4) not all 16 wires are shown

48. Keyboard A latch can store the keystroke indefinitely + 3-bit encoder (4 to 3) 4-bit encoder (16 to 4) not all 16 wires are shown Latch

49. Keyboard The keyboard can then appear to the CPU as if it is a special memory address + 3-bit encoder (4 to 3) 4-bit encoder (16 to 4) not all 16 wires are shown Latch CPU

50. Device Interfacing Techniques Memory-mapped I/O – Device communication goes over the memory bus – Reads/Writes to special addresses are converted into I/O operations by dedicated device hardware – Each device appears as if it is part of the memory address space Programmed I/O – CPU has dedicated, special instructions – CPU has additional input/output wires (I/O bus) – Instruction specifies device and operation Memory-mapped I/O is the predominant device interfacing technique in use

51. Polling vs. Interrupts One design is the CPU constantly needs to read the keyboard latch memory location to see if a key is pressed – Called polling – Inefficient An alternative is to add extra circuitry so the keyboard can alert the CPU when there is a keypress – Called interrupt driven I/O Interrupt driven I/O enables the CPU and devices to perform tasks concurrently, increasing throughput – Only needs a tiny bit of circuitry and a few extra wires to implement the “alert” operation

52. Interrupt Driven I/O CPU Memory An interrupt controller mediates between competing devices Raises an interrupt flag to get the CPU’s attention Identifies the interrupting device Can disable (aka mask) interrupts if the CPU so desires intr dev id Interrupt Controller

53. Interrupt Management Interrupt controllers manage interrupts – Maskable interrupts: can be turned off by the CPU for critical processing – Nonmaskable interrupts: signifies serious errors (e.g. unrecoverable memory error, power out warning, etc) Interrupts contain a descriptor of the interrupting device – A priority selector circuit examines all interrupting devices, reports highest level to the CPU Interrupt controller implements interrupt priorities – Can optionally remap priority levels

54. How do we take interrupts safely? Interrupt vector – Limited number of entry points into kernel Kernel interrupt stack – Handler works regardless of state of user code Interrupt masking – Handler is non-blocking Atomic transfer of control – Single instruction to change: Program counter Stack pointer Memory protection Kernel/user mode Transparent restartable execution – User program does not know interrupt occurred

55. Interrupt Vector Table set up by OS kernel; pointers to code to run on different events

56. Interrupt Masking Interrupt handler runs with interrupts off – Reenabled when interrupt completes OS kernel can also turn interrupts off – Eg., when determining the next process/thread to run – If defer interrupts too long, can drop I/O events

57. Interrupt Handlers Non-blocking, run to completion – Minimum necessary to allow device to take next interrupt – Any waiting must be limited duration – Wake up other threads to do any real work Pintos: semaphore_up Rest of device driver runs as a kernel thread – Queues work for interrupt handler – (Sometimes) wait for interrupt to occur

58. Atomic Mode Transfer Context Switch On interrupt (x86) – Save current stack pointer – Save current program counter – Save current processor status word (condition codes) – Switch to kernel stack; put SP, PC, PSW on stack – Switch to kernel mode – Vector through interrupt table – Interrupt handler saves registers it might clobber

59. Before

60. During

61. After

62. At end of handler Handler restores saved registers Atomically return to interrupted process/thread – Restore program counter – Restore program stack – Restore processor status word/condition codes – Switch to user mode

63. Exceptional Situations System calls are control transfers to the OS, performed under the control of the user application Sometimes, need to transfer control to the OS at a time when the user program least expects it – Division by zero, – Alert from the power supply that electricity is about to go out, – Alert from the network device that a packet just arrived, – Clock notifying the processor that the clock just ticked, Some of these causes for interruption of execution have nothing to do with the user application Need a (slightly) different mechanism, that allows resuming the user application

64. Interrupts & Exceptions On an interrupt or exception – Switches the stack pointer to the kernel stack – Saves the old (user) SP value – Saves the old (user) Program Counter value – Saves the old privilege mode – Saves cause of the interrupt/exception – Sets the new privilege mode to 1 – Sets the new PC to the kernel interrupt/exception handler Kernel interrupt/exception handler handles the event – Saves all registers – Examines the cause – Performs operation required – Restores all registers – Performs a “return from interrupt” instruction, which restores the privilege mode, SP and PC

65. Before

66. After

67. Interrupt Stack Per-processor, located in kernel (not user) memory – Usually a thread has both: kernel and user stack Why can’t interrupt handler run on the stack of the interrupted user process?

68. Interrupt Stack

69. Context switch System Calls

70. A system call is a controlled transfer of execution from unprivileged code to the OS – A potential alternative is to make OS code read-only, and allow applications to just jump to the desired system call routine. Why is this a bad idea? A SYSCALL instruction transfers control to a system call handler at a fixed address

71. System Calls write(fd, buf, len) kernel text other stuff kernel stack trap into kernel User portion of address space Kernel portion of address space

72. System Calls Sole interface between user and kernel Implemented as library routines that execute trap instructions to enter kernel Errors indicated by returns of –1; error code is in errno if (write(fd, buffer, bufsize) == –1) { // error! printf("error %d\n", errno); // see perror }

73. Sample System Calls Print character to screen – Needs to multiplex the shared screen resource between multiple applications Send a packet on the network – Needs to manipulate the internals of a device whose hardware interface is unsafe Allocate a page – Needs to update page tables & MMU

74. Syscall vs. Interrupt The differences lie in how they are initiated, and how much state needs to be saved and restored Syscall requires much less state saving – Caller-save registers are already saved by the application Interrupts typically require saving and restoring the full state of the processor – Because the application got struck by a lightning bolt without anticipating the control transfer

75. System Calls

76. Kernel System Call Handler Locate arguments – In registers or on user(!) stack Copy arguments – From user memory into kernel memory – Protect kernel from malicious code evading checks Validate arguments – Protect kernel from errors in user code Copy results back – into user memory

77. SYSCALL instruction SYSCALL instruction does an atomic jump to a controlled location – Switches the sp to the kernel stack – Saves the old (user) SP value – Saves the old (user) PC value (= return address) – Saves the old privilege mode – Sets the new privilege mode to 1 – Sets the new PC to the kernel syscall handler Kernel system call handler carries out the desired system call – Saves callee-save registers – Examines the syscall number – Checks arguments for sanity – Performs operation – Stores result in v0 – Restores callee-save registers – Performs a “return from syscall” instruction, which restores the privilege mode, SP and PC

78. Web Server Example

79. System Boot

80. Operating system must be made available to hardware so hardware can start it – Small piece of code – bootstrap loader, locates the kernel, loads it into memory, and starts it – Sometimes two-step process where boot block at fixed location loads bootstrap loader – When power initialized on system, execution starts at a fixed memory location Firmware used to hold initial boot code

81. Booting

82. Virtual Machines

83. A virtual machine takes the layered approach to its logical conclusion. It treats hardware and the operating system kernel as though they were all hardware A virtual machine provides an interface identical to the underlying bare hardware The operating system host creates the illusion that a process has its own processor and (virtual memory) Each guest provided with a (virtual) copy of underlying computer

84. Virtual Machine

85. Virtual Machines (Cont) (a) Nonvirtual machine (b) virtual machine Non-virtual Machine Virtual Machine

86. User-Level Virtual Machine How does VM Player work? – Runs as a user-level application – How does it catch privileged instructions, interrupts, device I/O, … Installs kernel driver, transparent to host kernel – Requires administrator privileges! – Modifies interrupt table to redirect to kernel VM code – If interrupt is for VM, upcall – If interrupt is for another process, reinstalls interrupt table and resumes kernel

87. Context switch System Upcalls

88. Upcall: User-level interrupt AKA UNIX signal – Notify user process of event that needs to be handled right away Time-slice for user-level thread manager Interrupt delivery for VM player Direct analogue of kernel interrupts – Signal handlers – fixed entry points – Separate signal stack – Automatic save/restore registers – transparent resume – Signal masking: signals disabled while in signal handler

89. Upcall: Before

90. Upcall: After

91. Terminology Trap – Any kind of a control transfer to the OS Syscall – Synchronous, program-initiated control transfer from user to the OS to obtain service from the OS – e.g. SYSCALL Exception – Asynchronous, program-initiated control transfer from user to the OS in response to an exceptional event – e.g. Divide by zero, segmentation fault Interrupt – Asynchronous, device-initiated control transfer from user to the OS – e.g. Clock tick, network packet