1. Chapter 3 Processes

2. Processes 2  Process Concept  Process Scheduling  Operations on Processes  Interprocess Communication  Examples of IPC Systems  Communication in Client-Server Systems

3. Objectives 3  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 termination, and communication  To describe communication in client- server systems

4. Process Concept 4  An operating system executes a variety of programs:  Batch system – jobs  Time-shared systems – user programs or tasks  Process – a program in execution  A program is a sequence of instructions saved in disk, or loaded into memory (your executable file, a.out, …)  A process execute a program in sequential fashion  Jump instruction provided to support branch, loop.  program counter points to next instruction to be executed

5. Process in Memory 5

6.  As a process executes, it changes state Process State 6  new: being created  running: Instructions are being executed  waiting: waiting for some event to occur  ready: waiting to be assigned to a processor  terminated: has finished execution

7. Process Control Block (PCB) 7 Information associated with each process  Process state  Program counter:  address of next instruction to be executed  CPU registers:  Contents of CPU registers  CPU scheduling information  Process priority, …  Memory-management information  Value of base and limit registers, page/segmentation tables (to be studied later)  Accounting information  Amount of CPU time used …  I/O status information  I/O device allocated, list of open files…

8. Process Control Block (PCB) 8

9. CPU Switch From Process to Process 9 P 0, P 1 are running concurrently, i.e., their executions are interleaved.

10. Context Switch 10  When CPU switches to another process, OS must save the state/context of old process (PCB) and load saved state for new process via a context switch  Context of a process represented in PCB  Context-switch time is overhead; system does no useful work while switching  Time dependent on hardware support

11. Process Scheduling Queues 11  OS maintain multiple process queues for scheduling purpose:  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

12. Ready Queue And I/O Device Queues 12

13. Queuing Diagram: A Process 13 Rectangles: queue Ovals: resources that serve the queue or events being waited for

14. Schedulers 14  Long-term scheduler (or job scheduler) – selects which processes should be brought into the ready queue  controls the degree of multiprogramming  invoked very infrequently (seconds, minutes)  (may be slow) Goal: a good mix of I/O-bound and CPU-bound processes => efficient utilization of CPU and I/O – 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  Short-term scheduler (or CPU scheduler) – selects which process should be executed next and allocates CPU  invoked very frequently (milliseconds)  (must be fast) Unix, Windows have no long-term scheduler

15. Medium Term Scheduling: swapping 15  Midterm-term scheduler:  to remove process from memory (and ready queue) and reduce degree of multiprogramming; and later reintroduce the process into memory to resume its execution

16. Process Creation 16  Parent process create children processes, which, in turn create other processes, forming a tree of processes  process identified and managed via a process identifier (pid)

17. A tree of processes on a typical Solaris 17

18. Child/Parent Process Relation 18  Child process needs resource (memory, files, I/O devices)  Resource sharing between parent & child:  Parent and children share all resources  Children share subset of parent’s resources  Parent and child share no resources  Linux allows user to specify the degree of resource sharing  After parent creates a child process  Parent continues to execute concurrently with the child  Parent waits until some or all of its children terminated  Address space  Child duplicate of parent: same program and data as parent  Child process loads a program into its address space

19. Process Creation: Unix example 19 fork system call creates new process exec system call used after a fork to replace the process’ memory space with a new program To find out details of system calls, use man command, e.g., man 2 wait

20. C Program Forking Separate Process 20 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); }

21. fork() 21  Only way to create a process  The child is a copy of the parent:  Inherits the parent's data, heap and stack.  All file descriptors that are open in the parent are duplicated in the child  They also share the same file offset (Files opened after fork are not shared).  Often parent and child share text segment (code)  Never know whether parent or child will start executing first.  Parent waits.  Parent and child go their own way.  fork() may fail if it  if num. of processes exceeds user limit or total system limit.  Two uses (reasons) for fork()  Each can execute a different sections of code  One process can execute a different program.

22. Load a program: exec() family of functions 22  Replace current process image with a new process image execl(), execv(), execle(), execlp(), execvp(), and execve().execl(), execv(), execle(), execlp(), execvp(),execve()  Replace current process with a new program and start execution. Brand new text, data, heap and stack segments.  Only execve() is a system call.  Meaning of different letters:  l: needs a list of arguments.  v: needs an argv[] vector (l and v are mutually exclusive).  e: needs an envp[] array.  p: needs the PATH variable to find the executable file.

23. Example 23 /* example argument list; program name is arg0 */ const char *ps_argv{} = {"ps", "-ax", 0}; /* trivial example environment */ const chare *ps_envp[] = {"PATH=/bin:/usr/bin", "TERM=console", 0}; /* possible calls to exec */ execl("/bin/ps", "ps", "-as", 0); execlp("ps", "ps", "-ax", 0); /* assumes ps on path */ execle("/bin/ps", "ps", "-as", 0, ps_envp); /* passes env */ execv("/bin/ps", ps_argv); /* passes args as vector */ execvp("ps", ps_argv); execve("ps", ps_argv, ps_envp);

24. Process Termination 24 Process executes last statement and asks operating system to delete it (exit) – Output data from child to parent (via wait) – Process’ resources are deallocated by operating system – Parent process must “wait” for child processes – Child processes terminated but not “waited for” become “zombie” processes until the parent terminates (then these zombies will become children of init…) or waits for it. – To make sure parent process obtain states info of the child

25. wait() system call (UNIX) 25 – wait, waitpid - wait for process to change state SYNOPSIS #include pid_t wait(int *status); pid_t waitpid(pid_t pid, int *status, int options); int waitid(idtype_t idtype, id_t id, siginfo_t *infop, int options); pid: which child processes to wait for status: if not NULL, wait(), waitpid() store status info. in the integer it points to. (see manual for how to

26. 26 #include sys/wait.h #include stdlib.h #include unistd.h #include stdio.h int main(int argc, char *argv[]) { pid_t cpid, w; int status; cpid = fork(); if (cpid == -1) { perror("fork"); exit(EXIT_FAILURE); } if (cpid == 0) { /* Code executed by child */ printf("Child PID is %ld\n", (long) getpid()); if (argc == 1) pause(); /* Wait for signals */ _exit(atoi(argv[1])); }

27. 27 else { /* Code executed by parent */ do { w = waitpid(cpid, &status, WUNTRACED | WCONTINUED); if (w == -1) { perror("waitpid"); exit(EXIT_FAILURE); } if (WIFEXITED(status)) printf("exited, status=%d\n", WEXITSTATUS(status)); else if (WIFSIGNALED(status)) printf("killed by signal %d\n", WTERMSIG(status)); else if (WIFSTOPPED(status)) printf("stopped by signal %d\n", WSTOPSIG(status)); else if (WIFCONTINUED(status)) printf("continued\n"); } while (!WIFEXITED(status) && !WIFSIGNALED(status)); exit(EXIT_SUCCESS); }//end of else } //end of main

28. Process Termination (2) 28  Parent may terminate execution of children processes (kill) – 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

29. Case study: shell 29  How shell works? 1. Read a command line, parse it 2. Create a child process to run the command 3. Parent process waits for child process’s termination 4. Go back to 1.  Useful hints for using shell  To run a program in background, i.e., shell not waiting for its termination  To allow a program to continue running even shell exits: (standard output is saved to nohug.out)  nohup &

30. Linux Booting Procedure Sirak Kaewjamnong

31. 31 How computer startup?  Booting is a bootstrapping process that starts operating systems when the user turns on a computer system  A boot sequence:  the sequence of operations computer performs when it is switched on that load an operating system

32. 32 Booting sequence 1. Turn on 2. CPU jump to address of BIOS (0xFFFF0) 3. BIOS runs POST (Power-On Self Test) 4. Find bootable devices 5. Loads and execute boot sector from Master Boot Record(MBR) 6. Load OS

33. 33 BIOS (Basic Input/Output System)  BIOS: software code run by a computer when first powered on  Stored in predefined location in ROM (read-only memory)  The primary function of BIOS:  Power-On Self Test (POST): diagnostic tests to check memory/devices for their presence and for correct operation BIOS on board BIOS on screen

34. 34 Bootable Disk  Last step in BIOS:  Load boot record from the system’s boot disk (A: floppy disk as the default, …)  A boot disk contains a boot record, also called Master Boot Record (MBR) at its first sector  MBR is a 512-byte sector, located in the first sector on the disk (sector 1 of cylinder 0, head 0)  After MBR is loaded into RAM, the BIOS yields control to it.

35. 35 MBR (Master Boot Record)  First 446 bytes: primary boot loader, which contains both executable code and error message text  Next sixty-four bytes: partition table, which contains a record for each of four partitions  Ends with two bytes (magic number) used for validation check of MBR

36. 36 Extracting the MBR  To see the contents of MBR, use this command:  # dd if=/dev/hda of=mbr.bin bs=512 count=1  # od -xa mbr.bin **The dd command, which needs to be run from root, reads the first 512 bytes from /dev/hda (the first Integrated Drive Electronics, or IDE drive) and writes them to the mbr.bin file. **The od command prints the binary file in hex and ASCII formats.

37. 37 Boot loader  Boot loader could be more aptly called the kernel loader. The task at this stage is to load the Linux kernel  GRUB and LILO are the most popular Linux boot loader.

38. 38 Other boot loader (Several OS)  bootman  GRUB  LILO  NTLDR  XOSL  BootX  loadlin  Gujin  Boot Camp  Syslinux  GAG

39. 39 GRUB: GRand Unified Bootloader  GRUB is an operating system independant boot loader  A multiboot software packet from GNU  Flexible command line interface  File system access  Support multiple executable format  Support diskless system  Download OS from network  Etc.

40. 40 GRUB boot process 1. The BIOS finds a bootable device (hard disk) and transfers control to the master boot record 2. The MBR contains GRUB stage 1. Given the small size of the MBR, Stage 1 just load the next stage of GRUB 3. GRUB Stage 1.5 is located in the first 30 kilobytes of hard disk immediately following the MBR. Stage 1.5 loads Stage 2. 4. GRUB Stage 2 receives control, and displays to the user the GRUB boot menu (where the user can manually specify the boot parameters). 5. GRUB loads the user-selected (or default) kernel into memory and passes control on to the kernel.

41. 41 Example GRUB config file

42. 42 LILO: LInux LOader  Not depend on a specific file system  Can boot from harddisk and floppy  Up to 16 different images  Must change LILO when kernel image file or config file is changed

43. 43 Kernel image  The kernel is the central part in most computer operating systems because of its task, which is the management of the system's resources and the communication between hardware and software components  Kernel is always store on memory until computer is turned off  Kernel image is not an executable kernel, but a compress kernel image  zImage size less than 512 KB  bzImage size greater than 512 KB

44. 44 Init process  The first thing the kernel does  Initialize internal data structures, process manager  Create the first process (initial process, 0)  Initial process create process 1 to run init program  Init is the root/parent of all processes executing on Linux  The first processes that init starts is a script /etc/rc.d/rc.sysinit  Based on the appropriate run-level, scripts are executed to start various processes to run the system and make it functional

45. 45 The Linux Init Processes  The init process is identified by process id "1“  Init is responsible for starting system processes as defined in the /etc/inittab file  Init typically will start multiple instances of "getty" which waits for console logins which spawn one's user shell process  Upon shutdown, init controls the sequence and processes for shutdown

46. 46 System processes Process IDDescription 0The Scheduler 1The init process 2kflushd 3kupdate 4kpiod 5kswapd 6mdrecoveryd

47. 47 Inittab file  The inittab file describes which processes are started at bootup and during normal operation  /etc/init.d/boot  /etc/init.d/rc  The computer will be booted to the runlevel as defined by the initdefault directive in the /etc/inittab file  id:5:initdefault:

48. 48 Runlevels  A runlevel is a software configuration of the system which allows only a selected group of processes to exist  The processes spawned by init for each of these runlevels are defined in the /etc/inittab file  Init can be in one of eight runlevels: 0-6

49. 49 Runlevels RunlevelScripts Directory (Red Hat/Fedora Core) State 0/etc/rc.d/rc0.d/shutdown/halt system 1/etc/rc.d/rc1.d/Single user mode 2/etc/rc.d/rc2.d/Multiuser with no network services exported 3/etc/rc.d/rc3.d/Default text/console only start. Full multiuser 4/etc/rc.d/rc4.d/Reserved for local use. Also X-windows (Slackware/BSD) 5/etc/rc.d/rc5.d/XDM X-windows GUI mode (Redhat/System V) 6/etc/rc.d/rc6.d/Reboot s or SSingle user/Maintenance mode (Slackware) MMultiuser mode (Slackware)

50. 50 rc#.d files  rc#.d files are the scripts for a given run level that run during boot and shutdown  The scripts are found in the directory /etc/rc.d/rc#.d/ where the symbol # represents the run level

51. 51 init.d  Deamon is a background process  init.d is a directory that admin can start/stop individual demons by changing on it  /etc/rc.d/init.d/ (Red Hat/Fedora )  /etc/init.d/ (S.u.s.e.)  /etc/init.d/ (Debian)

52. 52 Start/stop deamon  Admin can issuing the command and either the start, stop, status, restart or reload option  i.e. to stop the web server:  cd /etc/rc.d/init.d/  (or /etc/init.d/ for S.u.s.e. and Debian)  httpd stop

53. 53 References  http://en.wikipedia.org/  http://www-128.ibm.com/developerworks/linux/library/l-linuxboot/  http://yolinux.com/TUTORIALS/LinuxTutorialInitProcess.html  http://www.pycs.net/lateral/stories/23.html  http://www.secguru.com/files/linux_file_structure  http://www.comptechdoc.org/os/linux/commands/linux_crfilest.html

54. Interprocess Communication 54

55. Interprocess Communication 55  Processes within a system may be independent or cooperating  Cooperating process can affect or be affected by other processes, including sharing data  Cooperating processes need interprocess communication (IPC)  Two models of IPC  Shared memory  Message passing

56. Communications Models 56

57. Cooperating Processes 57 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

58. Producer-Consumer Problem 58  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

59. Bounded-Buffer – Shared-Memory Solution 59  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

60. Bounded-Buffer – Producer 60 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; }

61. Bounded Buffer – Consumer 61 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; }

62. Interprocess Communication – Message Passing 62 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)

63. Implementation Questions 63 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?

64. Direct Communication 64  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

65. Indirect Communication 65  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

66. Indirect Communication 66  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

67. Indirect Communication 67 Mailbox sharing – P 1, P 2, and P 3 share mailbox A – P 1, sends; P 2 and P 3 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.

68. Synchronization 68  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

69. Buffering 69  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

70. Examples of IPC Systems - POSIX 70 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);

71. Examples of IPC Systems – Windows XP 71 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

72. Local Procedure Calls in Windows XP 72

73. Communications in Client-Server Systems 73  Sockets  Remote Procedure Calls  Remote Method Invocation (Java)

74. Sockets 74  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

75. Socket Communication 75

76. Remote Procedure Calls 76 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

77. Execution of RPC 77

78. Remote Method Invocation 78  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

79. Marshalling Parameters 79