Operating
Systems:
Internals
and Design Chapter 3
Principles Process Description
and Control
Ninth Edition
By William Stallings
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Summary of Earlier
Concepts
A computer platform The OS was developed to
consists of a collection of provide a convenient,
hardware resources feature-rich, secure, and
consistent interface for
Computer applications applications to use
are developed to perform
some task We can think of the OS as
providing a uniform,
It is inefficient for abstract representation of
applications to be written resources that can be
directly for a given
hardware platform requested and accessed by
applications
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OS Management of
Application Execution
Resources are made available to multiple
applications
The processor is switched among multiple
applications so all will appear to be
progressing
The processor and I/O devices can be used
efficiently
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Process Elements
Two essential elements of a process are:
Program code
• which may be shared with other processes that are executing the
same program
A set of data associated with that code
when the processor begins to execute the program code, we refer to this
executing entity as a process
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Process Elements
While the program is executing, this process can be uniquely
characterized by a number of elements, including:
Identifier
Program
State Priority
counter
Memory I/O status Accounting
Context data
pointers information information
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Process Control
Block
Contains the process elements
It is possible to interrupt a running
process and later resume execution as if
the interruption had not occurred
Created and managed by the operating
system
Key tool that allows support for
multiple processes
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Process States
Trace Dispatcher
The behavior of an
individual process
by listing the
sequence of Small program
instructions that that switches the
execute for that processor from
process one process to
another
The behavior of the processor
can be characterized by
showing how the traces of the
various processes are
interleaved
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Process
Execution
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Two-State Process Model
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Table 3.1 Reasons for Process Creation
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Process Creation
Process Parent
spawning Child process
process
• When the OS • Is the • Is the new
creates a original, process
process at the creating,
explicit process
request of
another
process
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Process Termination
There must be a means for a process to indicate its
completion
A batch job should include a HALT instruction or an
explicit OS service call for termination
For an interactive application, the action of the user will
indicate when the process is completed (e.g. log off,
quitting an application)
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Table 3.2
Reasons for
Process
Termination
(Table is located on page 111
in the textbook)
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Five-State Process Model
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Suspended Processes
Swapping
Involves moving part of all of a process from main memory to disk
When none of the processes in main memory is in the Ready state, the OS
swaps one of the blocked processes out on to disk into a suspend queue
This is a queue of existing processes that have been temporarily kicked
out of main memory, or suspended
The OS then brings in another process from the suspend queue or it
honors a new-process request
Execution then continues with the newly arrived process
Swapping, however, is an I/O operation and therefore there is the potential
for making the problem worse, not better. Because disk I/O is generally the
fastest I/O on a system, swapping will usually enhance performance
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Characteristics of a
Suspended Process
The process is not The process may or may
immediately available for not be waiting on an
execution event
The process was placed The process may not be
in a suspended state by an removed from this state
agent: either itself, a until the agent explicitly
parent process, or the OS, orders the removal
for the purpose of
preventing its execution
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Table 3.3 Reasons for Process Suspension
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Memory Tables
Used to keep track of both
main (real) and secondary
(virtual) memory
Must include:
Allocation of main memory to
Processes are maintained on processes
secondary memory using
some sort of virtual memory Allocation of secondary
memory to processes
or simple swapping
mechanism Protection attributes of blocks
of main or virtual memory
Information needed to manage
virtual memory
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I/O Tables
Used by the OS to manage
the I/O devices and
channels of the computer If an I/O operation is in
system progress, the OS needs to
know:
At any given time, an I/O • The status of the I/O operation
device may be available or • The location in main memory
assigned to a particular being used as the source or
process destination of the I/O transfer
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File Tables
These tables provide
information about:
• Existence of files
• Location on secondary
memory
•
InformationCurrent status
may be maintained and used by a file management system
In•which
Other
case theattributes
OS has little or no knowledge of files
In other operating systems, much of the detail of file management is
managed by the OS itself
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Process Tables
Must be maintained to manage processes
There must be some reference to memory, I/O,
and files, directly or indirectly
The tables themselves must be accessible by the
OS and therefore are subject to memory
management
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Process Control Structures
• Where the
To manage process is located
and control • The attributes of
a process the process that
the OS are necessary for
its management
must know:
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Process Control Structures
Process Location Process Attributes
A process must include a program Each process has associated with
or set of programs to be executed it a number of attributes that are
used by the OS for process control
A process will consist of at least
sufficient memory to hold the The collection of program, data,
programs and data of that process stack, and attributes is referred to
as the process image
The execution of a program
typically involves a stack that is Process image location will
used to keep track of procedure depend on the memory
calls and parameter passing management scheme being used
between procedures
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Table 3.4
Typical Elements of a Process Image
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Table 3.5
Typical
Elements
of a
Process
Control
Block
(page 1 of 2)
(Table is located
on page 125 in the
textbook)
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Table 3.5
Typical
Elements of a
Process Control
Block
(page 2 of 2)
(Table is located
on page 125 in the textbook)
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Process Identification
Memory tables may be organized
Each process is assigned a unique
to provide a map of main memory
numeric identifier with an indication of which
Otherwise there must be a process is assigned to each region
mapping that allows the OS to Similar references will appear in
locate the appropriate tables I/O and file tables
based on the process identifier
When processes communicate with
Many of the tables controlled by one another, the process identifier
the OS may use process identifiers informs the OS of the destination
to cross-reference process tables of a particular communication
When processes are allowed to
create other processes, identifiers
indicate the parent and
descendents of each process
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Processor State Information
• User-visible
• Contains condition
Consists
registers codes plus other
of the • Control and Program status information
contents status status • EFLAGS register is
of word an example of a
processor registers PSW used by any
registers • Stack (PSW)
OS running on an
pointers x86 processor
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Table 3.6
x86
EFLAGS
Register
Bits
(Table is located on page 127 in the textbook)
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Process Control
Information
The additional information needed
by the OS to control and
coordinate the various active
processes
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Role of the
Process Control Block
The most important data structure in an OS
Contains all of the information about a process that is needed by the OS
Blocks are read and/or modified by virtually every module in the OS
Defines the state of the OS
Difficulty is not access, but protection
A bug in a single routine could damage process control blocks, which could
destroy the system’s ability to manage the affected processes
A design change in the structure or semantics of the process control block
could affect a number of modules in the OS
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Modes of Execution
User Mode System Mode
Less-privileged mode More-privileged mode
User programs Also referred to as
typically execute in control mode or kernel
this mode mode
Kernel of the operating
system
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Table 3.7
Typical
Functions
of an
Operating
System
Kernel
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Process Creation
Once the OS decides to create a new process it:
Assigns a unique process identifier
to the new process
Allocates space for the process
Initializes the process control block
Sets the appropriate linkages
Creates or expands other data
structures
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Table 3.8
Mechanisms for Interrupting the
Execution of a Process
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System Interrupts
Interrupt Trap
Due to some sort of event that An error or exception condition
is external to and independent generated within the currently
of the currently running running process
process OS determines if the condition
Clock interrupt is fatal
I/O interrupt Moved to the Exit state and
Memory fault a process switch occurs
Time slice Action will depend on the
The maximum amount of nature of the error the
time that a process can design of the OS
execute before being
interrupted
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Mode Switching
If no interrupts are If an interrupt is
pending the processor: pending the processor:
Proceeds to the fetch stage and fetches the
Sets the program counter to the starting
next instruction of the current program in
address of an interrupt handler program
the current process
Switches from user mode to kernel mode so
that the interrupt processing code may
include privileged instructions
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Change of Process State
The steps in a
Update the process Move the process
full process Save the context of control block of the control block of this
the processor
switch are: process currently in process to the
the Running state appropriate queue
If the currently running process is to be moved to another
state (Ready, Blocked, etc.), then the OS must make Select another
substantial changes in its environment process for
execution
Restore the context
of the processor to
that which existed at
the time the selected Update memory Update the process
process was last management data control block of the
switched out structures process selected
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Execution
of the
Operating System
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Execution
Within
User
Processes
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Unix SVR4
Uses the model where most of the OS executes within the environment of
a user process
System processes run in kernel mode
Executes operating system code to perform administrative and housekeeping
functions
User Processes
Operate in user mode to execute user programs and utilities
Operate in kernel mode to execute instructions that belong to the kernel
Enter kernel mode by issuing a system call, when an exception is generated, or
when an interrupt occurs
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Table 3.9 UNIX Process States
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Table
3.10
UNIX
Process
Image
(Table is located on
page 140 in the
textbook)
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Table 3.11
UNIX
Process
Table
Entry
(Table is located on page 141 in the
textbook)
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Table 3.12
UNIX U Area
(Table is located on page 142 in the
textbook)
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Process Control
Process creation • Allocates a slot in the process table for the new process
1
is by means of
the kernel • Assigns a unique process ID to the child process
system call, 2
fork() • Makes a copy of the process image of the parent, with the
3 exception of any shared memory
When a process
• Increments counters for any files owned by the parent, to reflect
issues a fork
4 that an additional process now also owns those files
request, the OS
performs the • Assigns the child process to the Ready to Run state
following 5
functions: • Returns the ID number of the child to the parent process, and a
6 0 value to the child process
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After Creation
After creating the process the Kernel can do one of the
following, as part of the dispatcher routine:
Stay in the parent process. Control returns to user mode at the point
of the fork call of the parent.
Transfer control to the child process. The child process begins
executing at the same point in the code as the parent, namely at the
return from the fork call.
Transfer control to another process. Both parent and child are left
in the Ready to Run state.
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Summary
What is a process? Process control
Background Modes of execution
Processes and process control Process creation
blocks Process switching
Process states Execution of the operating system
Two-state process model Nonprocess kernel
Creation and termination Execution within user processes
Five-state model Process-based operating system
Suspended processes UNIX SVR4 process management
Process description Process states
Operating system control structures
Process description
Process control structures
Process control
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