CSF3303
Architecture
and
Operating
Chapter 4-1
Systems Process Description
and Control
Eighth Edition
By William Stallings
OS Management of
Application Execution
Resources are made available to multiple
applications
Theprocessor is switched among multiple
applications so all will appear to be
progressing
Theprocessor and I/O devices can be
used efficiently
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
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
Identifier
State
Process Control Priority
Program counter
Block Memory pointers
Context data
Contains the process elements I/O status
information
It is possible to interrupt a running
Accounting
process and later resume execution as
information
if the interruption had not occurred
Created and managed by the
operating system
Key tool that allows support for
multiple processes
Figure 3.1 Simplified Process Control Block
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
Address Main Memory Program Counter
0
8000
100
Process
Dispatcher
5000
Execution 8000
Process A
Process B
12000
Process C
Figure 3.2 Snapshot of Example Execution (Figure 3.4)
at Instruction Cycle 13
5000 8000 12000
5001 8001 12001
5002 8002 12002
5003 8003 12003
5004 12004
5005 12005
5006 12006
5007 12007
5008 12008
5009 12009
5010 12010
5011 12011
(a) Trace of Process A (b) Trace of Process B (c) Trace of Process C
5000 = Starting address of program of Process A
8000 = Starting address of program of Process B
12000 = Starting address of program of Process C
Figure 3.3 Traces of Processes of Figure 3.2
1 5000 27 12004
2 5001 28 12005
3 5002 -------------------- Timeout
4 5003 29 100
5 5004 30 101
6 5005 31 102
-------------------- Timeout 32 103
7 100 33 104
8 101 34 105
9 102 35 5006
10 103 36 5007
11 104 37 5008
12 105 38 5009
13 8000 39 5010
14 8001 40 5011
15 8002 -------------------- Timeout
16 8003 41 100
----------------I/O Request 42 101
17 100 43 102
18 101 44 103
19 102 45 104
20 103 46 105
21 104 47 12006
22 105 48 12007
23 12000 49 12008
24 12001 50 12009
25 12002 51 12010
26 12003 52 12011
-------------------- Timeout
100 = Starting address of dispatcher program
Shaded areas indicate execution of dispatcher process;
first and third columns count instruction cycles;
second and fourth columns show address of instruction being executed
Figure 3.4 Combined Trace of Processes of Figure 3.2
Two-State Process Model
Dispatch
Enter Not Exit
Running Running
Pause
(a) State transition diagram
Pause
(a) State transition diagram
Queue
Enter Dispatch Exit
Processor
Pause
(b) Queuing diagram
Figure 3.5 Two-State Process Model
Table 3.1 Reasons for Process
Creation
Process Creation
Process
spawning Parent process Child process
when the is the is the new
OS creates a original, process
process at creating,
the explicit process
request of
another
process
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)
Normal completion The process executes an OS service call to indicate that it has completed
running.
Table 3.2 Time limit exceeded The process has run longer than the specified total time limit. There are a
number of possibilities for the type of time that is measured. These include total
elapsed time ("wall clock time"), amount of time spent executing, and, in the
case of an interactive process, the amount of time since the user last provided
any input.
Reasons for Memory unavailable The process requires more memory than the system can provide.
Process Bounds violation
Protection error
The process tries to access a memory location that it is not allowed to access.
The process attempts to use a resource such as a file that it is not allowed to use,
Termination or it tries to use it in an improper fashion, such as writing to a read-only file.
Arithmetic error The process tries a prohibited computation, such as division by zero, or tries to
store numbers larger than the hardware can accommodate.
Time overrun The process has waited longer than a specified maximum for a certain event to
occur.
I/O failure An error occurs during input or output, such as inability to find a file, failure to
read or write after a specified maximum number of tries (when, for example, a
defective area is encountered on a tape), or invalid operation (such as reading
from the line printer).
Invalid instruction The process attempts to execute a nonexistent instruction (often a result of
branching into a data area and attempting to execute the data).
Privileged instruction The process attempts to use an instruction reserved for the operating system.
Data misuse A piece of data is of the wrong type or is not initialized.
Operator or OS intervention For some reason, the operator or the operating system has terminated the process
(e.g., if a deadlock exists).
Parent termination When a parent terminates, the operating system may automatically terminate all
of the offspring of that parent.
(Table is located on page 115 Parent request A parent process typically has the authority to terminate any of its offspring.
in the textbook)
Five-State Process Model
Dispatch
Admit Release
New Ready Running Exit
Timeout
Event
Occurs Event
Wait
Blocked
Figure 3.6 Five-State Process Model
Process A
Process B
Process C
Dispatcher
0 5 10 15 20 25 30 35 40 45 50
= Running = Ready = Blocked
Figure 3.7 Process States for Trace of Figure 3.4
Ready Queue Release
Admit Dispatch
Processor
Timeout
Blocked Queue
Event Event Wait
Occurs
(a) Single blocked queue
Ready Queue Release
Admit Dispatch
Processor
Timeout
Event 1 Queue
Event 1 Event 1 Wait
Occurs
Event 2 Queue
Event 2 Event 2 Wait
Occurs
Event n Queue
Event n Event n Wait
Occurs
(b) Multiple blocked queues
Figure 3.8 Queuing Model for Figure 3.6
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
(a) With One Suspend State
New
Ad
t
Dispatch
mi
Admit Release
mi
Ad
New Ready Suspend Running Exit
t
Timeout
Activate Dispatch
Ready/ Release
it
Ready Running Exit
Occurs Occurs
a
e
Event Event
at
tW
Suspend
iv
Suspend Timeout
ct
t W ven
A
t
ai
Occurs
Event
Suspend
en
Suspend Blocked
Ev
Activate
Blocked/
Suspend (a)Blocked
With One Suspend State
Suspend
(b) With Two Suspend States
New
Figure 3.9 Process State Transition Diagram with Suspend States
Ad
t
mi
mi
Ad
Suspe
t
nd
(a) With One Suspend State
New
Ad
t
mi
mi
Ad
Suspe
t
nd
Activate Dispatch
Ready/ Release
Suspend Ready Running Exit
Suspend Timeout
t
ai
Occurs
Occurs
Event
Event
tW
en
Ev
Activate
Blocked/
Suspend
Blocked
Suspend
(b) With Two Suspend States
Figure 3.9 Process State Transition Diagram with Suspend States
The process is not The process may or may
immediately available not be waiting on an
for execution event
The process was placed The process may not be
in a suspended state by removed from this state
an agent: either itself, a until the agent explicitly
parent process, or the orders the removal
OS, for the purpose of
preventing its execution
Table 3.3 Reasons for Process Suspension
P1 P2 Pn
Virtual
Memory
Computer
Resources
Main
Processor I/O I/O I/O
Memory
Figure 3.10 Processes and Resources (resource allocation at one snapshot in time)
Process
Image
Memory Tables
Process
Memory 1
Devices I/O Tables
Files
Processes File Tables
Primary Process Table
Process 1
Process 2
Process
Process 3 Image
Process
n
Process n
Figure 3.11 General Structure of Operating System Control Tables
Used to keep track of both
main (real) and secondary
(virtual) memory
Processes are maintained
on secondary memory
using some sort of virtual
memory or simple
swapping mechanism
Used by the OS to manage
the I/O devices and
channels of the computer
system
At any given time, an I/O
device may be available or
assigned to a particular
process
These tables provide
information about:
existence of files
location on secondary
memory
current status
Information may be maintained and used by a file management system
inwhich
other attributes
case the 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
Must be maintained to manage processes
Theremust be some reference to memory,
I/O, and files, directly or indirectly
Thetables themselves must be accessible by
the OS and therefore are subject to memory
management
To manage where the
and process is
located
control a the attributes of
process the the process that
OS must are necessary for
know: its management
Process Location Process Attributes
A process must include a Each process has associated with
program or set of programs to be it a number of attributes that are
executed 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 stack, and attributes is referred to
process as the process image
The execution of a program Process image location will
typically involves a stack that is depend on the memory
used to keep track of procedure management scheme being used
calls and parameter passing
between procedures
Table 3.4
Typical Elements of a Process Image
User Data
The modifiable part of the user space. May include program data, a user stack area, and
programs that may be modified.
User Program
The program to be executed.
Stack
Each process has one or more last-in-first-out (LIFO) stacks associated with it. A stack is
used to store parameters and calling addresses for procedure and system calls.
Process Control Block
Data needed by the OS to control the process (see Table 3.5).
Process Identification Table 3.5
Identifiers
Numeric identifiers that may be stored with the process control block include Typical
Identifier of this process
Identifier of the process that created this process (parent process) Elements
User identifier
Processor State Information of a
User-Visible Registers Process
A user-visible register is one that may be referenced by means of the machine language that the
processor executes while in user mode. Typically, there are from 8 to 32 of these registers, although
some RISC implementations have over 100.
Control
Control and Status Registers Block
These are a variety of processor registers that are employed to control the operation of the processor.
These include (page 1 of 2)
Program counter: Contains the address of the next instruction to be fetched
Condition codes: Result of the most recent arithmetic or logical operation (e.g., sign, zero, carry,
equal, overflow)
Status information: Includes interrupt enabled/disabled flags, execution mode
Stack Pointers
Each process has one or more last-in-first-out (LIFO) system stacks associated with it. A stack is used
to store parameters and calling addresses for procedure and system calls. The stack pointer points to
(Table is located
the top of the stack. on page 129 in the
textbook)
Process Control Information
Scheduling and State Information
This is information that is needed by the operating system to perform its scheduling function. Typical
items of information:
Process state: Defines the readiness of the process to be scheduled for execution (e.g., running,
Table 3.5
ready, waiting, halted).
Priority: One or more fields may be used to describe the scheduling priority of the process. In
some systems, several values are required (e.g., default, current, highest-allowable)
Scheduling-related information: This will depend on the scheduling algorithm used. Examples
are the amount of time that the process has been waiting and the amount of time that the process
executed the last time it was running. Typical
Event: Identity of event the process is awaiting before it can be resumed.
Data Structuring
A process may be linked to other process in a queue, ring, or some other structure. For example, all
Elements of a
processes in a waiting state for a particular priority level may be linked in a queue. A process may
Process
exhibit a parent-child (creator-created) relationship with another process. The process control block
may contain pointers to other processes to support these structures.
Interprocess Communication
Various flags, signals, and messages may be associated with communication between two
independent processes. Some or all of this information may be maintained in the process control Control Block
block.
Process Privileges (page 2 of 2)
Processes are granted privileges in terms of the memory that may be accessed and the types of
instructions that may be executed. In addition, privileges may apply to the use of system utilities and
services.
Memory Management
This section may include pointers to segment and/or page tables that describe the virtual memory
assigned to this process.
Resource Ownership and Utilization
Resources controlled by the process may be indicated, such as opened files. A history of utilization of
the processor or other resources may also be included; this information may be needed by the (Table is located
scheduler. on page 129 in the textbook)
Memory tables may be
Each process is assigned a organized to provide a map of
unique numeric identifier main memory with an indication
of which process is assigned to
otherwise there must be a each region
mapping that allows the OS similar references will appear in
to locate the appropriate I/O and file tables
tables based on the process
identifier When processes communicate
with one another, the process
identifier informs the OS of the
Many of the tables controlled by destination of a particular
the OS may use process communication
identifiers to cross-reference
process tables When processes are allowed to
create other processes,
identifiers indicate the parent
and descendents of each
process
user-visible
contains condition
Consists registers codes plus other
of the control and Program status information
contents status EFLAGS register
of status
word is an example of a
processor registers (PSW) PSW used by any
registers
stack OS running on an
x86 processor
pointers
The additional information
needed by the OS to control
and coordinate the various
active processes
Process Process Process
Identification Identification Identification
Process
Processor State Processor State Processor State Control
Information Information Information Block
Process Control Process Control Process Control
Information Information Information
User Stack User Stack User Stack
Private User Private User Private User
Address Space Address Space Address Space
(Programs, Data) (Programs, Data) (Programs, Data)
Shared Address Shared Address Shared Address
Space Space Space
Process 1 Process 2 Process n
Figure 3.13 User Processes in Virtual Memory
Process
Control Block
Running
Ready
Blocked
Figure 3.14 Process List Structures
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 systems 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
User Mode System Mode
less-privileged mode more-privileged mode
user programs also referred to as
typically execute in control mode or
this mode kernel mode
kernel of the
operating system
Process Management
Process creation and termination
Table 3.7 Process scheduling and dispatching
Process switching
Process synchronization and support for interprocess communication
Typical Management of process control blocks
Functions Memory Management
of an Allocation of address space to processes
Swapping
Operating Page and segment management
System I/O Management
Kernel Buffer management
Allocation of I/O channels and devices to processes
Support Functions
Interrupt handling
Accounting
Monitoring
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
Table 3.8
Mechanisms for Interrupting the
Execution of a Process
Mechanism Cause Use
Interrupt External to the execution of the Reaction to an asynchronous
current instruction external event
Trap Associated with the execution of Handling of an error or an
the current instruction exception condition
Supervisor call Explicit request Call to an operating system
function
System Interrupts
Interrupt Trap
Due to some sort of event An error or exception
that is external to and condition generated within
independent of the currently
the currently running process
running process
clock interrupt OS determines if the
I/O interrupt
condition is fatal
memory fault moved to the Exit state
Time slice and a process switch
occurs
the maximum amount of
time that a process can action will depend on the
execute before being nature of the error
interrupted
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
The steps in update the process
move the process
a full process save the context of control block of
control block of
the processor the process
switch are: currently in the
this process to the
appropriate queue
Running state
If the currently running process is to be moved to
another state (Ready, Blocked, etc.), then the OS must select another
make substantial changes in its environment process for
execution
restore the context
of the processor to
that which existed
at the time the update memory update the process
selected process was management data control block of
last switched out structures the process
selected
Execution
P1 P2 Pn
Kernel
of the (a) Separate kernel
Operating P1 P2 Pn
System
OS OS OS
Func- Func- Func-
tions tions tions
Process Switching Functions
(b) OS functions execute within user processes
P1 P2 Pn OS1 OSk
Process Switching Functions
(c) OS functions execute as separate processes
Figure 3.15 Relationship Between Operating
System and User Processes
Process
Identification
Processor State Process Control
Information Block
Execution Within
Process Control
Information
User Processes User Stack
Private User
Address Space
(Programs, Data)
Kernel Stack
Shared Address
Space
Figure 3.16 Process Image: Operating System
Executes Within User Space
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
Process description
Operating system control structures
Process control structures
