Programming Problems 4.22 Write a multithreaded program that calculates various statistical values for a list of numbers. This program will be passed a series of numbers on the command line and will then create three separateworker threads. One thread will determine the average of the numbers, the second will determine the maximum value, and the third will determine the minimum value. For example, suppose your program is passed the integers 90 81 78 95 79 72 85 The program will report The average value is 82 The minimum value is 72 The maximum value is 95 The variables representing the average, minimum, andmaximum values will be stored globally. The worker threads will set these values, and the parent thread will output the values once the workers have exited. (We could obviously expand this program by creating additional threads that determine other statistical values, such as median and standard deviation.) 4.23 Write a multithreaded program that outputs prime numbers. This program should work as follows: The user will run the program and will enter a number on the command line. The program will then create a separate thread that outputs all the prime numbers less than or equal to the number entered by the user. 4.24 An interesting way of calculating π is to use a technique known as Monte Carlo, which involves randomization. This technique works as follows: Suppose you have a circle inscribed within a square, as shown in Figure 4.25. (Assume that the radius of this circle is 1.) First, generate a series of random points as simple (x, y) coordinates. These points must fall within the Cartesian coordinates that bound the square. Of the total number of random points that are generated, some will occur within the circle. Next, estimate π by performing the following calculation: ππ=4×(number of points in circle)/(total number of points) Write a multithreaded version of this algorithm that creates a separate thread to generate a number of random points. The thread will count the number of points that occur within the circle and store that result in a global variable. When this thread has exited, the parent thread will calculate and output the estimated value of π. It is worth experimenting with the number of random points generated. As a general rule, the greater the number of points, the closer the approximation to π. Figure 4.25 Monte Carlo technique for calculating π. In the source-code download for this text, you will find a sample program that provides a technique for generating random numbers, as well as determining if the random (x, y) point occurs within the circle. Readers interested in the details of the Monte Carlo method for estimating π should consult the bibliography at the end of this chapter. In Chapter 6, we modify this exercise using relevant material from that chapter. 4.25 Repeat Exercise 4.24, but instead of using a separate thread to generate random points, use OpenMP to parallelize the generation of points. Be careful not to place the calculation of π in the parallel region, since you want to calculate π only once. 4.26 Modify the socket-based date server (Figure 3.27) in Chapter 3 so that the server services each client request in a separate thread. 4.27 The Fibonacci sequence is the series of numbers 0, 1, 1, 2, 3, 5, 8, …. Formally, it can be expressed as: fib0=0fib1=1fibn=fibn−1+fibn−2 Write a multithreaded program that generates the Fibonacci sequence. This program should work as follows: On the command line, the user will enter the number of Fibonacci numbers that the program is to generate. The program will then create a separate thread that will generate the Fibonacci numbers, placing the sequence in data that can be shared by the threads (an array is probably the most convenient data structure). When the thread finishes execution, the parent thread will output the sequence generated by the child thread. Because the parent thread cannot begin outputting the Fibonacci sequence until the child thread finishes, the parent thread will have to wait for the child thread to finish. Use the techniques described in Section 4.4 to meet this requirement. 4.28 Modify programming problem Exercise 3.20 from Chapter 3.20. You will create a number of threads—for example, 100—and each thread will request a pid, sleep for a random period of time, and then release the pid. (Sleeping for a random period of time approximates the typical pid usage in which a pid is assigned to a new process, the process executes and then terminates, and the pid is released on the process's termination.) On UNIX and Linux systems, sleeping is accomplished through the sleep() function, which is passed an integer value representing the number of seconds to sleep. This problem will be modified in Chapter 7. 4.29 Exercise 3.25 in Chapter 3.25 so that the echo server services each client in a separate request.

into four primary quality-of-service classes: QOS_CLASS_USER_INTERACTIVE—The user-interactive class represents tasks that interact with the user, such as the user interface and event handling, to ensure a responsive user interface. Completing a task belonging to this class should require only a small amount of work. QOS_CLASS_USER_INITIATED—The user-initiated class is similar to the user-interactive class in that tasks are associated with a responsive user interface; however, user-initiated tasks may require longer processing times. Opening a file or a URL is a user-initiated task, for example. Tasks belonging to this class must be completed for the user to continue interacting with the system, but they do not need to be serviced as quickly as tasks in the user-interactive queue. QOS_CLASS_UTILITY — The utility class represents tasks that require a longer time to complete but do not demand immediate results. This class includes work such as importing data. QOS_CLASS_BACKGROUND — Tasks belonging to the background class are not visible to the user and are not time sensitive. Examples include indexing a mailbox system and performing backups. Tasks submitted to dispatch queues may be expressed in one of two different ways: 1. For the C, C++, and Objective-C languages, GCD identifies a language extension known as a block, which is simply a self-contained unit of work. A block is specified by a caret ^ inserted in front of a pair of braces { }. Code within the braces identifies the unit of work to be performed. A simple example of a block is shown below: ^{ printf("I am a block"); } 2. For the Swift programming language, a task is defined using a closure, which is similar to a block in that it expresses a self-contained unit of functionality. Syntactically, a Swift closure is written in the same way as a block, minus the leading caret. The following Swift code segment illustrates obtaining a concurrent queue for the user-initiated class and submitting a task to the queue using the dispatch_async() function: let queue = dispatch_get_global_queue   (QOS_CLASS_USER_INITIATED, 0) dispatch_async(queue,{ print("I am a closure.") }) Internally, GCD's thread pool is composed of POSIX threads. GCD actively manages the pool, allowing the number of threads to grow and shrink according to application demand and system capacity. GCD is implemented by the libdispatch library, which Apple has released under the Apache Commons license. It has since been ported to the FreeBSD operating system.

Java has supported thread creation using the approach we have described thus far since its origins. However, beginning with Version 1.5 and its API, Java introduced several new concurrency features that provide developers with much greater control over thread creation and communication. These tools are available in the java.util.concurrent package. Rather than explicitly creating Thread objects, thread creation is instead organized around the Executor interface: public interface Executor {   void execute(Runnable command); } Classes implementing this interface must define the execute() method, which is passed a Runnable object. For Java developers, this means using the Executor rather than creating a separate Thread object and invoking its start() method. The Executor is used as follows: Executor service = new Executor; service.execute(new Task()); The Executor framework is based on the producer-consumer model; tasks implementing the Runnable interface are produced, and the threads that execute these tasks consume them. The advantage of this approach is that it not only divides thread creation from execution but also provides a mechanism for communication between concurrent tasks. Data sharing between threads belonging to the same process occurs easily in Windows and Pthreads, since shared data are simply declared globally. As a pure object-oriented language, Java has no such notion of global data. We can pass parameters to a class that implements Runnable, but Java threads cannot return results. To address this need, the java.util.concurrent package additionally defines the Callable interface, which behaves similarly to Runnable except that a result can be returned. Results returned from Callable tasks are known as Future objects. A result can be retrieved from the get() method defined in the Future interface. The program shown in Figure 4.14 illustrates the summation program using these Java features.

Threads are the fundamental model of program execution in a Java program, and the Java language and its API provide a rich set of features for the creation and management of threads. All Java programs comprise at least a single thread of control—even a simple Java program consisting of only a main() method runs as a single thread in the JVM. Java threads are available on any system that provides a JVM including Windows, Linux, and macOS. The Java thread API is available for Android applications as well. There are two techniques for explicitly creating threads in a Java program. One approach is to create a new class that is derived from the Thread class and to override its run() method. An alternative—and more commonly used—technique is to define a class that implements the Runnable interface. This interface defines a single abstract method with the signature public void run(). The code in the run() method of a class that implements Runnable is what executes in a separate thread. An example is shown below: class Task implements Runnable {   public void run() {     System.out.println("I am a thread.");   } }

4.4.1 Pthreads Pthreads refers to the POSIX standard (IEEE 1003.1c) defining an API for thread creation and synchronization. This is a specification for thread behavior, not an implementation. Operating-system designers may implement the specification in any way they wish. Numerous systems implement the Pthreads specification; most are UNIX-type systems, including Linux and macOS. Although Windows doesn't support Pthreads natively, some third-party implementations for Windows are available. The C program shown in Figure 4.11 demonstrates the basic Pthreads API for constructing a multithreaded program that calculates the summation of a non-negative integer in a separate thread. In a Pthreads program, separate threads begin execution in a specified function. In Figure 4.11, this is the runner() function. When this program begins, a single thread of control begins in main(). After some initialization, main() creates a second thread that begins control in the runner() function. Both threads share the global data sum. #include <pthread.h> #include <stdio.h> #include <stdlib.h> int sum; /* this data is shared by the thread(s) */ void *runner(void *param); /* threads call this function */ int main(int argc, char *argv[]) {   pthread_t tid;  /* the thread identifier */   pthread_attr_t attr; /* set of thread attributes */   /* set the default attributes of the thread */  pthread_attr_init(&attr);   /* create the thread */   pthread_create(&tid, &attr, runner, argv[1]);   /* wait for the thread to exit */   pthread_join(tid,NULL);   printf("sum = %d\n",sum); } /* The thread will execute in this function */ void *runner(void *param) {   int i, upper = atoi(param);   sum = 0;   for (i = 1; i <= upper; i++)     sum += i;   pthread_exit(0); } Figure 4.11 Multithreaded C program using the Pthreads API. Let's look more closely at this program. All Pthreads programs must include the pthread.h header file. The statement pthread_t tid declares the identifier for the thread we will create. Each thread has a set of attributes, including stack size and scheduling information. The pthread_attr_t attr declaration represents the attributes for the thread. We set the attributes in the function call pthread_attr_init(&attr). Because we did not explicitly set any attributes, we use the default attributes provided. (In Chapter 5, we discuss some of the scheduling attributes provided by the Pthreads API.) A separate thread is created with the pthread_create() function call. In addition to passing the thread identifier and the attributes for the thread, we also pass the name of the function where the new thread will begin execution—in this case, the runner() function. Last, we pass the integer parameter that was provided on the command line, argv[1]. At this point, the program has two threads: the initial (or parent) thread in main() and the summation (or child) thread performing the summation operation in the runner() function. This program follows the thread create/join strategy, whereby after creating the summation thread, the parent thread will wait for it to terminate by calling the pthread_join() function. The summation thread will terminate when it calls the function pthread_exit(). Once the summation thread has returned, the parent thread will output the value of the shared data sum. This example program creates only a single thread. With the growing dominance of multicore systems, writing programs containing several threads has become increasingly common. A simple method for waiting on several threads using the pthread_join() function is to enclose the operation within a simple for loop.

A thread library provides the programmer with an API for creating and managing threads. There are two primary ways of implementing a thread library. The first approach is to provide a library entirely in user space with no kernel support. All code and data structures for the library exist in user space. This means that invoking a function in the library results in a local function call in user space and not a system call. The second approach is to implement a kernel-level library supported directly by the operating system. In this case, code and data structures for the library exist in kernel space. Invoking a function in the API for the library typically results in a system call to the kernel. Three main thread libraries are in use today: POSIX Pthreads, Windows, and Java. Pthreads, the threads extension of the POSIX standard, may be provided as either a user-level or a kernel-level library. The Windows thread library is a kernel-level library available on Windows systems. The Java thread API allows threads to be created and managed directly in Java programs. However, because in most instances the JVM is running on top of a host operating system, the Java thread API is generally implemented using a thread library available on the host system. This means that on Windows systems, Java threads are typically implemented using the Windows API; UNIX, Linux, and macOS systems typically use Pthreads.

Multicore Programming Earlier in the history of computer design, in response to the need for more computing performance, single-CPU systems evolved into multi-CPU systems. A later, yet similar, trend in system design is to place multiple computing cores on a single processing chip where each core appears as a separate CPU to the operating system (Section 1.3.2). We refer to such systems as multicore, and multithreaded programming provides a mechanism for more efficient use of these multiple computing cores and improved concurrency. Consider an application with four threads. On a system with a single computing core, concurrency merely means that the execution of the threads will be interleaved over time (Figure 4.3), because the processing core is capable of executing only one thread at a time. On a system with multiple cores, however, concurrency means that some threads can run in parallel, because the system can assign a separate thread to each core (Figure 4.4).

4.1.2 Benefits The benefits of multithreaded programming can be broken down into four major categories: 1. Responsiveness. Multithreading an interactive application may allow a program to continue running even if part of it is blocked or is performing a lengthy operation, thereby increasing responsiveness to the user. This quality is especially useful in designing user interfaces. For instance, consider what happens when a user clicks a button that results in the performance of a time-consuming operation. A single-threaded application would be unresponsive to the user until the operation had been completed. In contrast, if the time-consuming operation is performed in a separate, asynchronous thread, the application remains responsive to the user. 2. Resource sharing. Processes can share resources only through techniques such as shared memory and message passing. Such techniques must be explicitly arranged by the programmer. However, threads share the memory and the resources of the process to which they belong by default. The benefit of sharing code and data is that it allows an application to have several different threads of activity within the same address space. 3. Economy. Allocating memory and resources for process creation is costly. Because threads share the resources of the process to which they belong, it is more economical to create and context-switch threads. Empirically gauging the difference in overhead can be difficult, but in general thread creation consumes less time and memory than process creation. Additionally, context switching is typically faster between threads than between processes. 4. Scalability. The benefits of multithreading can be even greater in a multiprocessor architecture, where threads may be running in parallel on different processing cores. A single-threaded process can run on only one processor, regardless how many are available. We explore this issue further in the following section.

The process model introduced in Chapter 3 assumed that a process was an executing program with a single thread of control. Virtually all modern operating systems, however, provide features enabling a process to contain multiple threads of control. Identifying opportunities for parallelism through the use of threads is becoming increasingly important for modern multicore systems that provide multiple CPUs.

Figure 3.21 Ordinary pipe in UNIX.    /* create the pipe */    if (pipe(fd) == ‐1) {      fprintf(stderr,"Pipe failed");      return 1;    }    /* fork a child process */    pid = fork();    if (pid < 0) { /* error occurred */      fprintf(stderr, "Fork Failed");      return 1;    }    if (pid > 0) { /* parent process */      /* close the unused end of the pipe */      close(fd[READ_END]);      /* write to the pipe */      write(fd[WRITE_END], write_msg, strlen(write_msg)+1);      /* close the write end of the pipe */      close(fd[WRITE_END]);    }    else { /* child process */      /* close the unused end of the pipe */      close(fd[WRITE_END]);      /* read from the pipe */      read(fd[READ_END], read_msg, BUFFER_SIZE);      printf("read %s",read_msg);      /* close the read end of the pipe */      close(fd[READ_END]);    }    return 0; } Figure 3.22 Figure 3.21, continued. Ordinary pipes on Windows systems are termed anonymous pipes, and they behave similarly to their UNIX counterparts: they are unidirectional and employ parent–child relationships between the communicating processes. In addition, reading and writing to the pipe can be accomplished with the ordinary ReadFile() and WriteFile() functions. The Windows API for creating pipes is the CreatePipe() function, which is passed four parameters. The parameters provide separate handles for (1) reading and (2) writing to the pipe, as well as (3) an instance of the STARTUPINFO structure, which is used to specify that the child process is to inherit the handles of the pipe. Furthermore, (4) the size of the pipe (in bytes) may be specified. Figure 3.23 illustrates a parent process creating an anonymous pipe for communicating with its child. Unlike UNIX systems, in which a child process automatically inherits a pipe created by its parent, Windows requires the programmer to specify which attributes the child process will inherit. This is accomplished by first initializing the SECURITY_ATTRIBUTES structure to allow handles to be inherited and then redirecting the child process's handles for standard input or standard output to the read or write handle of the pipe. Since the child will be reading from the pipe, the parent must redirect the child's standard input to the read handle of the pipe. Furthermore, as the pipes are half duplex, it is necessary to prohibit the child from inheriting the write end of the pipe. The program to create the child process is similar to the program in Figure 3.25. Before reading from the pipe, this program obtains the read handle to the pipe by invoking GetStdHandle(). #include <stdio.h> #include <stdlib.h> #include <windows.h> #define BUFFER_SIZE 25 int main(VOID) {   HANDLE ReadHandle, WriteHandle;   STARTUPINFO si;   PROCESS_INFORMATION pi;   char message[BUFFER_SIZE] = “Greetings”;   DWORD written;     /* Program continues in Figure 3.24 */

3.7.2 Mach Message Passing As an example of message passing, we next consider the Mach operating system. Mach was especially designed for distributed systems, but was shown to be suitable for desktop and mobile systems as well, as evidenced by its inclusion in the MacOS and iOS operating systems, as discussed in Chapter 2. The Mach kernel supports the creation and destruction of multiple tasks, which are similar to processes but have multiple threads of control and fewer associated resources. Most communication in Mach—including all inter-task communication—is carried out by messages. Messages are sent to, and received from, mailboxes, which are called ports in Mach. Ports are finite in size and unidirectional; for two-way communication, a message is sent to one port, and a response is sent to a separate reply port. Each port may have multiple senders, but only one receiver. Mach uses ports to represent resources such as tasks, threads, memory, and processors, while message passing provides an object-oriented approach for interacting with these system resources and services. Message passing may occur between any two ports on the same host or on separate hosts on a distributed system. Associated with each port is a collection of port rights that identify the capabilities necessary for a task to interact with the port. For example, for a task to receive a message from a port, it must have the capability MACH_PORT_RIGHT_RECEIVE for that port. The task that creates a port is that port's owner, and the owner is the only task that is allowed to receive messages from that port. A port's owner may also manipulate the capabilities for a port. This is most commonly done in establishing a reply port. For example, assume that task T1 owns port P1, and it sends a message to port P2, which is owned by task T2. If T1 expects to receive a reply from T2, it must grant T2 the right MACH_PORT_RIGHT_SEND for port P1. Ownership of port rights is at the task level, which means that all threads belonging to the same task share the same port rights. Thus, two threads belonging to the same task can easily communicate by exchanging messages through the per-thread port associated with each thread.

Process Creation During the course of execution, a process may create several new processes. As mentioned earlier, the creating process is called a parent process, and the new processes are called the children of that process. Each of these new processes may in turn create other processes, forming a tree of processes. Most operating systems (including UNIX, Linux, and Windows) identify processes according to a unique process identifier (or pid), which is typically an integer number. The pid provides a unique value for each process in the system, and it can be used as an index to access various attributes of a process within the kernel. Figure 3.7 illustrates a typical process tree for the Linux operating system, showing the name of each process and its pid. (We use the term process rather loosely in this situation, as Linux prefers the term task instead.) The systemd process (which always has a pid of 1) serves as the root parent process for all user processes, and is the first user process created when the system boots. Once the system has booted, the systemd process creates processes which provide additional services such as a web or print server, an ssh server, and the like. In Figure 3.7, we see two children of systemd—logind and sshd. The logind process is responsible for managing clients that directly log onto the system. In this example, a client has logged on and is using the bash shell, which has been assigned pid 8416. Using the bash command-line interface, this user has created the process ps as well as the vim editor. The sshd process is responsible for managing clients that connect to the system by using ssh (which is short for secure shell).

CPU Scheduling A process migrates among the ready queue and various wait queues throughout its lifetime. The role of the CPU scheduler is to select from among the processes that are in the ready queue and allocate a CPU core to one of them. The CPU scheduler must select a new process for the CPU frequently. An I/O-bound process may execute for only a few milliseconds before waiting for an I/O request. Although a CPU-bound process will require a CPU core for longer durations, the scheduler is unlikely to grant the core to a process for an extended period. Instead, it is likely designed to forcibly remove the CPU from a process and schedule another process to run. Therefore, the CPU scheduler executes at least once every 100 milliseconds, although typically much more frequently. Some operating systems have an intermediate form of scheduling, known as swapping, whose key idea is that sometimes it can be advantageous to remove a process from memory (and from active contention for the CPU) and thus reduce the degree of multiprogramming. Later, the process can be reintroduced into memory, and its execution can be continued where it left off. This scheme is known as swapping because a process can be “swapped out” from memory to disk, where its current status is saved, and later “swapped in” from disk back to memory, where its status is restored. Swapping is typically only necessary when memory has been overcommitted and must be freed up. Swapping is discussed in Chapter 9.

A question that arises in discussing operating systems involves what to call all the CPU activities. Early computers were batch systems that executed jobs, followed by the emergence of time-shared systems that ran user programs, or tasks. Even on a single-user system, a user may be able to run several programs at one time: a word processor, a web browser, and an e-mail package. And even if a computer can execute only one program at a time, such as on an embedded device that does not support multitasking, the operating system may need to support its own internal programmed activities, such as memory management. In many respects, all these activities are similar, so we call all of them processes. Although we personally prefer the more contemporary term process, the term job has historical significance, as much of operating system theory and terminology was developed during a time when the major activity of operating systems was job processing. Therefore, in some appropriate instances we use job when describing the role of the operating system. As an example, it would be misleading to avoid the use of commonly accepted terms that include the word job (such as job scheduling) simply because process has superseded job.

The more complex the operating system is, the more it is expected to do on behalf of its users. Although its main concern is the execution of user programs, it also needs to take care of various system tasks that are best done in user space, rather than within the kernel. A system therefore consists of a collection of processes, some executing user code, others executing operating system code. Potentially, all these processes can execute concurrently, with the CPU (or CPUs) multiplexed among them. In this chapter, you will read about what processes are, how they are represented in an operating system, and how they work.

System Services Another aspect of a modern system is its collection of system services. Recall Figure 1.1, which depicted the logical computer hierarchy. At the lowest level is hardware. Next is the operating system, then the system services, and finally the application programs. System services, also known as system utilities, provide a convenient environment for program development and execution. Some of them are simply user interfaces to system calls. Others are considerably more complex. They can be divided into these categories: File management. These programs create, delete, copy, rename, print, list, and generally access and manipulate files and directories. Status information. Some programs simply ask the system for the date, time, amount of available memory or disk space, number of users, or similar status information. Others are more complex, providing detailed performance, logging, and debugging information. Typically, these programs format and print the output to the terminal or other output devices or files or display it in a window of the GUI. Some systems also support a registry, which is used to store and retrieve configuration information. File modification. Several text editors may be available to create and modify the content of files stored on disk or other storage devices. There may also be special commands to search contents of files or perform transformations of the text. Programming-language support. Compilers, assemblers, debuggers, and interpreters for common programming languages (such as C, C++, Java, and Python) are often provided with the operating system or available as a separate download. Program loading and execution. Once a program is assembled or compiled, it must be loaded into memory to be executed. The system may provide absolute loaders, relocatable loaders, linkage editors, and overlay loaders. Debugging systems for either higher-level languages or machine language are needed as well. Communications. These programs provide the mechanism for creating virtual connections among processes, users, and computer systems. They allow users to send messages to one another's screens, to browse web pages, to send e-mail messages, to log in remotely, or to transfer files from one machine to another. Background services. All general-purpose systems have methods for launching certain system-program processes at boot time. Some of these processes terminate after completing their tasks, while others continue to run until the system is halted. Constantly running system-program processes are known as services, subsystems, or daemons. One example is the network daemon discussed in Section 2.3.3.5. In that example, a system needed a service to listen for network connections in order to connect those requests to the correct processes. Other examples include process schedulers that start processes according to a specified schedule, system error monitoring services, and print servers. Typical systems have dozens of daemons. In addition, operating systems that run important activities in user context rather than in kernel context may use daemons to run these activities. Along with system programs, most operating systems are supplied with programs that are useful in solving common problems or performing common operations. Such application programs include web browsers, word processors and text formatters, spreadsheets, database systems, compilers, plotting and statistical-analysis packages, and games. The view of the operating system seen by most users is defined by the application and system programs, rather than by the actual system calls. Consider a user's PC. When a user's computer is running the macOS operating system, the user might see the GUI, featuring a mouse-and-windows interface. Alternatively, or even in one of the windows, the user might have a command-line UNIX shell. Both use the same set of system calls, but the system calls look different and act in different ways. Further confusing the user view, consider the user dual-booting from macOS into Windows. Now the same user on the same hardware has two entirely different interfaces and two sets of applications using the same physical resources. On the same hardware, then, a user can be exposed to multiple user interfaces sequentially or concurrently.

There are two common models of interprocess communication: the message-passing model and the shared-memory model. In the message-passing model, the communicating processes exchange messages with one another to transfer information. Messages can be exchanged between the processes either directly or indirectly through a common mailbox. Before communication can take place, a connection must be opened. The name of the other communicator must be known, be it another process on the same system or a process on another computer connected by a communications network. Each computer in a network has a host name by which it is commonly known. A host also has a network identifier, such as an IP address. Similarly, each process has a process name, and this name is translated into an identifier by which the operating system can refer to the process. The get_hostid() and get_processid() system calls do this translation. The identifiers are then passed to the general-purpose open() and close() calls provided by the file system or to specific open_connection() and close_connection() system calls, depending on the system's model of communication. The recipient process usually must give its permission for communication to take place with an accept_connection() call. Most processes that will be receiving connections are special-purpose daemons, which are system programs provided for that purpose. They execute a wait_for_connection() call and are awakened when a connection is made. The source of the communication, known as the client, and the receiving daemon, known as a server, then exchange messages by using read_message() and write_message() system calls. The close_connection() call terminates the communication.

Information Maintenance Many system calls exist simply for the purpose of transferring information between the user program and the operating system. For example, most systems have a system call to return the current time() and date(). Other system calls may return information about the system, such as the version number of the operating system, the amount of free memory or disk space, and so on. Another set of system calls is helpful in debugging a program. Many systems provide system calls to dump() memory. This provision is useful for debugging. The program strace, which is available on Linux systems, lists each system call as it is executed. Even microprocessors provide a CPU mode, known as single step, in which a trap is executed by the CPU after every instruction. The trap is usually caught by a debugger. Many operating systems provide a time profile of a program to indicate the amount of time that the program executes at a particular location or set of locations. A time profile requires either a tracing facility or regular timer interrupts. At every occurrence of the timer interrupt, the value of the program counter is recorded. With sufficiently frequent timer interrupts, a statistical picture of the time spent on various parts of the program can be obtained. In addition, the operating system keeps information about all its processes, and system calls are used to access this information. Generally, calls are also used to get and set the process information (get_process_attributes() and set_process_attributes()). In Section 3.1.3, we discuss what information is normally kept.

The file system is discussed in more detail in Chapter 13 through Chapter 15. Here, we identify several common system calls dealing with files. We first need to be able to create() and delete() files. Either system call requires the name of the file and perhaps some of the file's attributes. Once the file is created, we need to open() it and to use it. We may also read(), write(), or reposition() (rewind or skip to the end of the file, for example). Finally, we need to close() the file, indicating that we are no longer using it. We may need these same sets of operations for directories if we have a directory structure for organizing files in the file system. In addition, for either files or directories, we need to be able to determine the values of various attributes and perhaps to set them if necessary. File attributes include the file name, file type, protection codes, accounting information, and so on. At least two system calls, get_file_attributes() and set_file_attributes(), are required for this function. Some operating systems provide many more calls, such as calls for file move() and copy(). Others might provide an API that performs those operations using code and other system calls, and others might provide system programs to perform the tasks. If the system programs are callable by other programs, then each can be considered an API by other system programs.

FreeBSD (derived from Berkeley UNIX) is an example of a multitasking system. When a user logs on to the system, the shell of the user's choice is run, awaiting commands and running programs the user requests. However, since FreeBSD is a multitasking system, the command interpreter may continue running while another program is executed (Figure 2.10). To start a new process, the shell executes a fork() system call. Then, the selected program is loaded into memory via an exec() system call, and the program is executed. Depending on how the command was issued, the shell then either waits for the process to finish or runs the process “in the background.” In the latter case, the shell immediately waits for another command to be entered. When a process is running in the background, it cannot receive input directly from the keyboard, because the shell is using this resource. I/O is therefore done through files or through a GUI interface. Meanwhile, the user is free to ask the shell to run other programs, to monitor the progress of the running process, to change that program's priority, and so on.

A process executing one program may want to load() and execute() another program. This feature allows the command interpreter to execute a program as directed by, for example, a user command or the click of a mouse. An interesting question is where to return control when the loaded program terminates. This question is related to whether the existing program is lost, saved, or allowed to continue execution concurrently with the new program. If control returns to the existing program when the new program terminates, we must save the memory image of the existing program; thus, we have effectively created a mechanism for one program to call another program. If both programs continue concurrently, we have created a new process to be multiprogrammed. Often, there is a system call specifically for this purpose (create_process()).

A running program needs to be able to halt its execution either normally (end()) or abnormally (abort()). If a system call is made to terminate the currently running program abnormally, or if the program runs into a problem and causes an error trap, a dump of memory is sometimes taken and an error message generated. The dump is written to a special log file on disk and may be examined by a debugger—a system program designed to aid the programmer in finding and correcting errors, or bugs—to determine the cause of the problem. Under either normal or abnormal circumstances, the operating system must transfer control to the invoking command interpreter.

System calls can be grouped roughly into six major categories: process control, file management, device management, information maintenance, communications, and protection. Below, we briefly discuss the types of system calls that may be provided by an operating system. Most of these system calls support, or are supported by, concepts and functions that are discussed in later chapters. Figure 2.8 summarizes the types of system calls normally provided by an operating system. As mentioned, in this text, we normally refer to the system calls by generic names. Throughout the text, however, we provide examples of the actual counterparts to the system calls for UNIX, Linux, and Windows systems.

System calls occur in different ways, depending on the computer in use. Often, more information is required than simply the identity of the desired system call. The exact type and amount of information vary according to the particular operating system and call. For example, to get input, we may need to specify the file or device to use as the source, as well as the address and length of the memory buffer into which the input should be read. Of course, the device or file and length may be implicit in the call. Three general methods are used to pass parameters to the operating system. The simplest approach is to pass the parameters in registers. In some cases, however, there may be more parameters than registers. In these cases, the parameters are generally stored in a block, or table, in memory, and the address of the block is passed as a parameter in a register (Figure 2.7). Linux uses a combination of these approaches.

Another important factor in handling system calls is the run-time environment (RTE)—the full suite of software needed to execute applications written in a given programming language, including its compilers or interpreters as well as other software, such as libraries and loaders. The RTE provides a system-call interface that serves as the link to system calls made available by the operating system. The system-call interface intercepts function calls in the API and invokes the necessary system calls within the operating system. Typically, a number is associated with each system call, and the system-call interface maintains a table indexed according to these numbers. The system-call interface then invokes the intended system call in the operating-system kernel and returns the status of the system call.

As you can see, even simple programs may make heavy use of the operating system. Frequently, systems execute thousands of system calls per second. Most programmers never see this level of detail, however. Typically, application developers design programs according to an application programming interface (API). The API specifies a set of functions that are available to an application programmer, including the parameters that are passed to each function and the return values the programmer can expect. Three of the most common APIs available to application programmers are the Windows API for Windows systems, the POSIX API for POSIX-based systems (which include virtually all versions of UNIX, Linux, and macOS), and the Java API for programs that run on the Java virtual machine. A programmer accesses an API via a library of code provided by the operating system. In the case of UNIX and Linux for programs written in the C language, the library is called libc. Note that—unless specified—the system-call names used throughout this text are generic examples. Each operating system has its own name for each system call. Behind the scenes, the functions that make up an API typically invoke the actual system calls on behalf of the application programmer. For example, the Windows function CreateProcess() (which, unsurprisingly, is used to create a new process) actually invokes the NTCreateProcess() system call in the Windows ker

Because a either a command-line interface or a mouse-and-keyboard system is impractical for most mobile systems, smartphones and handheld tablet computers typically use a touch-screen interface. Here, users interact by making gestures on the touch screen—for example, pressing and swiping fingers across the screen. Although earlier smartphones included a physical keyboard, most smartphones and tablets now simulate a keyboard on the touch screen. Figure 2.3 illustrates the touch screen of the Apple iPhone. Both the iPad and the iPhone use the Springboard touch-screen interface.

A second strategy for interfacing with the operating system is through a user-friendly graphical user interface, or GUI. Here, rather than entering commands directly via a command-line interface, users employ a mouse-based window-and-menu system characterized by a desktop metaphor. The user moves the mouse to position its pointer on images, or icons, on the screen (the desktop) that represent programs, files, directories, and system functions. Depending on the mouse pointer's location, clicking a button on the mouse can invoke a program, select a file or directory—known as a folder—or pull down a menu that contains commands.

We mentioned earlier that there are several ways for users to interface with the operating system. Here, we discuss three fundamental approaches. One provides a command-line interface, or command interpreter, that allows users to directly enter commands to be performed by the operating system. The other two allow users to interface with the operating system via a graphical user interface, or GUI.

One set of operating system services provides functions that are helpful to the user. User interface. Almost all operating systems have a user interface (UI). This interface can take several forms. Most commonly, a graphical user interface (GUI) is used. Here, the interface is a window system with a mouse that serves as a pointing device to direct I/O, choose from menus, and make selections and a keyboard to enter text. Mobile systems such as phones and tablets provide a touch-screen interface, enabling users to slide their fingers across the screen or press buttons on the screen to select choices. Another option is a command-line interface (CLI), which uses text commands and a method for entering them (say, a keyboard for typing in commands in a specific format with specific options). Some systems provide two or all three of these variations. Program execution. The system must be able to load a program into memory and to run that program. The program must be able to end its execution, either normally or abnormally (indicating error). I/O operations. A running program may require I/O, which may involve a file or an I/O device. For specific devices, special functions may be desired (such as reading from a network interface or writing to a file system). For efficiency and protection, users usually cannot control I/O devices directly. Therefore, the operating system must provide a means to do I/O. File-system manipulation. The file system is of particular interest. Obviously, programs need to read and write files and directories. They also need to create and delete them by name, search for a given file, and list file information. Finally, some operating systems include permissions management to allow or deny access to files or directories based on file ownership. Many operating systems provide a variety of file systems, sometimes to allow personal choice and sometimes to provide specific features or performance characteristics. Communications. There are many circumstances in which one process needs to exchange information with another process. Such communication may occur between processes that are executing on the same computer or between processes that are executing on different computer systems tied together by a network. Communications may be implemented via shared memory, in which two or more processes read and write to a shared section of memory, or message passing, in which packets of information in predefined formats are moved between processes by the operating system. Error detection. The operating system needs to be detecting and correcting errors constantly. Errors may occur in the CPU and memory hardware (such as a memory error or a power failure), in I/O devices (such as a parity error on disk, a connection failure on a network, or lack of paper in the printer), and in the user program (such as an arithmetic overflow or an attempt to access an illegal memory location). For each type of error, the operating system should take the appropriate action to ensure correct and consistent computing. Sometimes, it has no choice but to halt the system. At other times, it might terminate an error-causing process or return an error code to a process for the process to detect and possibly correct. Another set of operating-system functions exists not for helping the user but rather for ensuring the efficient operation of the system itself. Systems with multiple processes can gain efficiency by sharing the computer resources among the different processes. Resource allocation. When there are multiple processes running at the same time, resources must be allocated to each of them. The operating system manages many different types of resources. Some (such as CPU cycles, main memory, and file storage) may have special allocation code, whereas others (such as I/O devices) may have much more general request and release code. For instance, in determining how best to use the CPU, operating systems have CPU-scheduling routines that take into account the speed of the CPU, the process that must be executed, the number of processing cores on the CPU, and other factors. There may also be routines to allocate printers, USB storage drives, and other peripheral devices. Logging. We want to keep track of which programs use how much and what kinds of computer resources. This record keeping may be used for accounting (so that users can be billed) or simply for accumulating usage statistics. Usage statistics may be a valuable tool for system administrators who wish to reconfigure the system to improve computing services. Protection and security. The owners of information stored in a multiuser or networked computer system may want to control use of that information. When several separate processes execute concurrently, it should not be possible for one process to interfere with the others or with the operating system itself. Protection involves ensuring that all access to system resources is controlled. Security of the system from outsiders is also important. Such security starts with requiring each user to authenticate himself or herself to the system, usually by means of a password, to gain access to system resources. It extends to defending external I/O devices, including network adapters, from invalid access attempts and recording all such connections for detection of break-ins. If a system is to be protected and secure, precautions must be instituted throughout it. A chain is only as strong as its weakest link.

An operating system provides the environment within which programs are executed. Internally, operating systems vary greatly in their makeup, since they are organized along many different lines. The design of a new operating system is a major task. It is important that the goals of the system be well defined before the design begins. These goals form the basis for choices among various algorithms and strategies.

Mobile computing refers to computing on handheld smartphones and tablet computers. These devices share the distinguishing physical features of being portable and lightweight. Historically, compared with desktop and laptop computers, mobile systems gave up screen size, memory capacity, and overall functionality in return for handheld mobile access to services such as e-mail and web browsing. Over the past few years, however, features on mobile devices have become so rich that the distinction in functionality between, say, a consumer laptop and a tablet computer may be difficult to discern. In fact, we might argue that the features of a contemporary mobile device allow it to provide functionality that is either unavailable or impractical on a desktop or laptop computer. Today, mobile systems are used not only for e-mail and web browsing but also for playing music and video, reading digital books, taking photos, and recording and editing high-definition video. Accordingly, tremendous growth continues in the wide range of applications that run on such devices. Many developers are now designing applications that take advantage of the unique features of mobile devices, such as global positioning system (GPS) chips, accelerometers, and gyroscopes. An embedded GPS chip allows a mobile device to use satellites to determine its precise location on Earth.

Cloud computing is a type of computing that delivers computing, storage, and even applications as a service across a network. In some ways, it's a logical extension of virtualization, because it uses virtualization as a base for its functionality. For example, the Amazon Elastic Compute Cloud (ec2) facility has thousands of servers, millions of virtual machines, and petabytes of storage available for use by anyone on the Internet. Users pay per month based on how much of those resources they use. There are actually many types of cloud computing, including the following: Public cloud—a cloud available via the Internet to anyone willing to pay for the services Private cloud—a cloud run by a company for that company's own use Hybrid cloud—a cloud that includes both public and private cloud components Software as a service (SaaS)—one or more applications (such as word processors or spreadsheets) available via the Internet Platform as a service (PaaS)—a software stack ready for application use via the Internet (for example, a database server) Infrastructure as a service (IaaS)—servers or storage available over the Internet (for example, storage available for making backup copies of production data)

Embedded computers are the most prevalent form of computers in existence. These devices are found everywhere, from car engines and manufacturing robots to optical drives and microwave ovens. They tend to have very specific tasks. The systems they run on are usually primitive, and so the operating systems provide limited features. Usually, they have little or no user interface, preferring to spend their time monitoring and managing hardware devices, such as automobile engines and robotic arms. These embedded systems vary considerably. Some are general-purpose computers, running standard operating systems—such as Linux—with special-purpose applications to implement the functionality. Others are hardware devices with a special-purpose embedded operating system providing just the functionality desired. Yet others are hardware devices with application-specific integrated circuits (ASICs) that perform their tasks without an operating system.

BSD UNIX has a longer and more complicated history than Linux. It started in 1978 as a derivative of AT&T's UNIX. Releases from the University of California at Berkeley (UCB) came in source and binary form, but they were not open source because a license from AT&T was required. BSD UNIX's development was slowed by a lawsuit by AT&T, but eventually a fully functional, open-source version, 4.4BSD-lite, was released in 1994. Just as with Linux, there are many distributions of BSD UNIX, including FreeBSD, NetBSD, OpenBSD, and DragonflyBSD. To explore the source code of FreeBSD, simply download the virtual machine image of the version of interest and boot it within Virtualbox, as described above for Linux. The source code comes with the distribution and is stored in /usr/src/. The kernel source code is in /usr/src/sys. For example, to examine the virtual memory implementation code in the FreeBSD kernel, see the files in /usr/src/sys/vm. Alternatively, you can simply view the source code online at https://svnweb.freebsd.org.

There has never been a more interesting time to study operating systems, and it has never been easier. The open-source movement has overtaken operating systems, causing many of them to be made available in both source and binary (executable) format. The list of operating systems available in both formats includes Linux, BSD UNIX, Solaris, and part of macOS. The availability of source code allows us to study operating systems from the inside out. Questions that we could once answer only by looking at documentation or the behavior of an operating system we can now answer by examining the code itself. Operating systems that are no longer commercially viable have been open-sourced as well, enabling us to study how systems operated in a time of fewer CPU, memory, and storage resources. An extensive but incomplete list of open-source operating-system projects is available from http://dmoz.org/Computers/Software/Operating_Systems/Open_Source/.

The free-software movement is driving legions of programmers to create thousands of open-source projects, including operating systems. Sites like http://freshmeat.net/ and http://distrowatch.com/ provide portals to many of these projects. As we stated earlier, open-source projects enable students to use source code as a learning tool. They can modify programs and test them, help find and fix bugs, and otherwise explore mature, full-featured operating systems, compilers, tools, user interfaces, and other types of programs. The availability of source code for historic projects, such as Multics, can help students to understand those projects and to build knowledge that will help in the implementation of new projects.

An operating system is software that manages a computer's hardware. It also provides a basis for application programs and acts as an intermediary between the computer user and the computer hardware. An amazing aspect of operating systems is how they vary in accomplishing these tasks in a wide variety of computing environments. Operating systems are everywhere, from cars and home appliances that include “Internet of Things” devices, to smart phones, personal computers, enterprise computers, and cloud computing environments.

Operating System Concepts