1. Processes and Threads
in Windows Vista

2. Agenda
• Fundamental Concepts
• IPC
• Synchronization
• Implementation
– Process Creation
– Scheduling

3. Fundamental Concepts
• In window Vista processes are containers for
programs.
• Each process includes:
– Virtual address space
– Handles to kernel-mode objects
– Threads and resources to threads execution
• Each process have user-mode system data called
the process environment block (PEB), includes:
– List of loaded modules
– The current working directory
– Pointer to process’ heaps

4. Fundamental Concepts
• Threads are kernel’s abstraction for
scheduling the CPU
• Threads can also be affinitized to only run on
certain processors
• Each thread has two separate call stacks, one
for execution in user-mode and one for
kernel-mode

5. Fundamental Concepts
• There is also a threads environment block
(TEB) that keeps user-mode data, includes:
– Thread local storages
– Fields
• Another data structure that kernel-mode
shared is user shared data which is contains
various form of time, version info, amount of
physical memory, number of shared flags.

6. Fundamental Concepts
Process
• Process are created from section objects, each
of which describes a memory object backed
by a file on disk.
• Create process:
– Modify a new process by mapping section
– Allocating virtual memory
– Writing parameters and environmental data
– Duplicating file descriptors
– Creating threads.

7. Fundamental Concepts
Jobs and Fibers
• Definition: Jobs is a group of processes.
• The main functions of a job is to constraints to the
threads they contain such at:
– Limiting resources
– Prevents threads from accessing system objects by
enforcing restricted token
• Once a process in a jobs, all process threads in
those process create will also be in the job.
• Problems: one process can be in one job, there
will be conflicts if many jobs attempt to manage
the same process.

8. Fundamental Concepts
Fibers
• Definition: A fiber is a unit of execution that must
be manually scheduled by the application
• Fibers are created by allocating a stack and a
user-mode fiber data structure for storing
registers and data can also be created
independently of threads
• Fibers will not run until another running fiber in
thread make explicitly call SwithToFiber.
• Advantage:
– It easier and take fewer time to switch between fiber
than threads

9. Fundamental Concepts
Jobs and Fibers
• Disadvantage: need a lot of synchronization
to make sure fibers do not interface with each
other.
• Solution: create only as many threads as
there are processors to run them, and
affinitize the threads to each run only on a
distinct set of available processors.

10. Fundamental Concepts
Jobs and Fibers

11. Fundamental Concepts
Threads
• Every process start out with one threads and can
create threads dynamically.
• OS always selected threads to run not a process
• Every threads have state whereas processes do
not have scheduling states.
• Each thread has an ID, which is taken from the
same space as process IDs
• System use a handle table, which keep pointer
field to lookup of a process and thread by ID.

12. Fundamental Concepts
Threads
• There are two types of threads: normal thread
and system thread
• Normal thread:
– A thread normally run in user-mode but when make
a system call it switch to kernel-mode .
– Each thread has two stacks: one for user-mode and
one for kernel-mode.
• System thread:
– Run only in kernel-mode
– Not associated with any user process

13. Fundamental Concepts
Threads
• The thread CONTEXT includes the thread's set of
registers, the kernel stack, a thread environment
block, and a user stack in the address space of
the thread's process.
• Running threads
– Using access token of their containing process
– Client/server
• Threads are also normal focal point for I/O.
• Any thread is able to access all the objects that
belong to its process.

14. Fundamental Concepts

15. InterProcess Communication IPC
Overview
1 -How one process passes information to
another in Windows Vista?
2 – Six (6) main ways to pass information
between process and process.

16. InterProcess Communication IPC
Windows Vista
 Windows Vista provides mechanisms for facilitating(thuận
tiện) communications and data sharing between applications.
 Typically, applications can use IPC for categorized (phân
loại) as client or server
– Client: a application or process that requests a service from some other
applications or processes.
– Server: a application or process that responds client request
 As developers, we must choose suitable IPC methods to use
for our applications.

17. InterProcess Communication IPC
Windows Vista
PIPES
 Two types (Pipes and Named pipes)
 Pipes have two modes:
– Byte-mode: work the same ways as in UNIX – Allows a child process to inherit a
communication channels from its parents: data written to one end of the pipe can be
read at other.
– To exchange data in both directions (duplex operation), you must create two pipes.
– Message-mode: is somewhat similar but preserve message boundaries. To recognize the
separated messages. If we send 4 writes of 128-byte, it will read as 4 message separated
with 128-byte each, but not one message with 512-bytes.
 Named pipes: also have to modes as regular pipes. But named pipes can be used over a
network.
– Use for transfer data between unrelated process on different computers.
– Exchange data by performing read and write operations on the pipe.

18. InterProcess Communication IPC
Windows Vista
MAILSLOTS
 Function of OS/2 operating system but implemented in
Windows for capability.
 Similar to pipes, but not all.
 Is one-way communication.
 Two-way communication is possible.
– A process can be both a mailslot server and a mailslot client
 Can broadcast a message to many receivers instead of one
(if they have same mailslots name).
 Use over a network but not guarantee the delivery of
message.
 Mailslots and named pipes are implemented as file system.
– Allow them to access over the network using existed remote file system protocol.

19. InterProcess Communication IPC
Windows Vista
SOCKETS
 Connect processes on different machines.
 Generally used in networking context.
 2 ways of communication channels.
 Also can be used to connect processes on same machine,
however it more complicated than pipes.
 READ/WRITE on socket is transferring data between 2
processes.
 Windows Sockets are based on the sockets first popularized
by Berkeley Software Distribution (BSD)..

20. InterProcess Communication IPC
Windows Vista
remote procedure calls
 RPC enables applications to call functions remotely.
 Operates between processes on a single computer or
on different computers on a network.
 Supports data conversion for different hardware
architectures and for byte-ordering between
dissimilar environments.
 In Windows, transport could be many ways:
– TCP/IP sockets.
– Named pipes.
– Advanced Local Procedure Call (ALDC) – message-passing
facility in the kernel mode.

21. InterProcess Communication IPC
Windows Vista
SHARE FILE
 Process can share object
–Includes section objects, which can be mapped into
the virtual address space of different processes at
the same time.
–All writes done by one process then appear in the
address spaces of the other processes.

22. SYNCHRONIZATION

23. Critical section
• The simplest type of thread synchronization object
• Can be used only by the threads of a single process (differ from Mutex)
• Provide a slightly faster, more efficient mechanism for mutual-exclusion
synchronization
• There is no way to tell whether a critical section has been abandoned
• Critical sections are not kernel-mode objects

24. • One writes to the list, and the other reads from it. To prevent
the two threads from accessing the list at exactly the same time, you can
protect the list with a critical section. The following example uses a globally
declared CCriticalSection object to demonstrate how:
• // Global data
• CCriticalSection g_cs;
• .
• .
• //Thread A //Thread B
• g_cs.Lock (); g_cs.Lock();
• //Write to the linked list. Read from
the llinked list
• g_cs.Unlock(); g_cs.Unlock();

25. • Figure 17-3. Protecting a shared resource with
a critical section

26. mutex
• Mutexes are kernel mode
• To gain exclusive access to a resource shared by two or more
threads
• Can be used to synchronize threads running in the same
process or in different processes
• Suppose two applications use a block of shared memory to
exchange data. Inside that shared memory is a linked list that
must be protected against concurrent thread accesses. A
critical section won't work because it can't reach across
process boundaries, but a Mutex will do the job nicely. Here's
what you do in each process before reading or writing the
linked li
• // Global data
• CMutex g_mutex (FALSE, _T ("MyMutex"));
• g_mutex.Lock ();
• // Read or write the linked list.
• g_mutex.Unlock ();

27. • The first parameter passed to the CMutex constructor specifies whether the mutex
is initially locked (TRUE) or unlocked (FALSE).
• The second parameter specifies the mutex's name, which is required if the mutex
is used to synchronize threads in two different processes.
• You pick the name, but both processes must specify the same name so that the
two CMutex objects will reference the same mutex object in the Windows kernel.
• Naturally, Lock blocks on a mutex locked by another thread, and Unlock frees the
mutex so that others can lock it

28. • Note that:
There is one other difference between mutexes
and critical sections:
If a thread locks a critical section and terminates
without unlocking it, other threads waiting for the
critical section to come free will block indefinitely.
However, if a thread that locks a mutex fails to unlock it
before terminating, the system deems the mutex to be
"abandoned" and automatically frees the mutex so that
waiting threads can resume.

29. EVENTS
• Events are a way of signaling one thread
from another, allowing one thread to wait or
sleep until it’s signaled by another thread.
• The producing thread, Thread A
generates some data and puts it in a shared
working space. In this example, the
consuming thread, Thread B is sleeping on
the event (waiting for the event to trigger):

30. Shared working space
Thread A Thread B
data data data
Event
10/18/12 32

31. • Once the producing thread has finished
writing data, it triggers the event.
Shared working space
Thread A Thread B
data data data
Event

32. • This signals the consuming thread, Thread B,
thereby waking it up
Shared working space
Thread A Thread B
data data data
Event

33. • Once the consuming thread, Thread B has
woken up, it starts doing work. The
assumption is that the producing thread will
no longer touch the data.
Shared working space
Thread A Thread B
data data data
Event

34. • Here's an example involving one thread (thread A)
that fills a buffer with data and another thread (thread B) that does
something with that data. Assume that thread B must wait for a
signal from thread A saying that the buffer is initialized and ready
to go. An autoreset event is the perfect tool for the job:
• // Global data
• CEvent g_event; // Autoreset, initially nonsignaled
• .
• .
• // Thread A
• InitBuffer (&buffer); // Initialize the buffer.
• g_event.SetEvent (); // Release thread B.
• .
• .
• // Thread B
• g_event.Lock (); // Wait for the signal.

35. SEMAPHORE
• A semaphore is a mutex that multiple threads can access
• Events, critical sections, and mutexes are "all or nothing" objects in the sense that
Lock blocks on them if any other thread has them locked. Semaphores are
different.
• Maintain resource counts representing the number of resources available
• Locking a semaphore decrements its resource count, and unlocking a semaphore
increments the resource count
• Can be used to synchronize threads within a process or threads that belong to
different processes.

36. • To limit the time that Lock will wait for the
semaphore's resource count to become nonzero, you
can pass a maximum wait time (in milliseconds, as
always) to the Lock function.
• Figure 17-6. Using a semaphore to guard a shared
resource.

37. Dynamic-link Library: thư viện cấp phát động mà các ứng
dụng dùng chung.
API: giao diện lập trình ứng dụng, giúp cho sự giao tiếp giữa
các tiến trình
Subsystem: cung cấp môi trường hoạt động cho các ứng dụng
Section object: phần đại diện cho vùng bộ nhớ được chia sẻ
Process object: dùng để kiểm tra và điều khiển process
Thread object: dùng để kiểm soát thread
Process Environment Block (PEB): chứa dữ liệu hoạt động
trong suốt quá trình hoạt động của một process
Thread Environment Block (TEB): chưa dữ liệu của các threads
đang hoạt động

38. A new process is created when another process make
a Win32 CreateProcess call.
There are 7 step in creating a new process:
1.Converse from Win32 pathname to NT pathname.
2.Open EXE and create Section object.
3.Create Process object.
4.Create Thread object.
5.Checking
6.Shim the program application if necessary.

39. Scheduling
Content
1. Overview
2. Scheduling Priorities
3. Scheduling Algorithm
4. Priority Boosting
5. Priority Inversion

40. Scheduling
Overview
• Windows schedules threads, not processes.
• The Scheduler is called when:
– The currently running thread blocks on a semaphore, mutex, event, I/O, …
– The thread signals an object (e.g., does an up on a semaphore)
– The quantum expires
– An I/O operation completes
– A timed wait expires

41. Scheduling
Overview
• Scheduling is preemptive, priority-based, and round-robin at the highest priority.
• Scheduler tries to keep a thread on its ideal processor in order to improve
performance
(a) Symmetric Multiprocessing (SMP)
(b) Non-Uniform Memory Access (NUMA)
• Processes/Threads can specify affinity mask to run only on certain processors:
SetProcessAffinityMask(), SetThreadAffinityMask(), …

42. Scheduling
Scheduling Priorities
• Threads are scheduled to run based on their scheduling priority.
Each thread is assigned a scheduling priority.
• The priority levels range from zero (lowest priority) to 31 (highest priority),
correspondingly associated with 32 queues.
– Priorities are divided into 6 priority classes that are applied to processes.
– In each class, there are 7 priority levels that are applied to threads in that process.
• Base priority (of a thread) = F(priority class, priority level) = constant.
• Dynamic priority = Base priority + Boost Amount, is used to determine which
thread to execute.

43. Scheduling
Scheduling Algorithm
• The system treats all threads with the same priority as equal.
• The system assigns time slices in a round-robin fashion to all
threads with the highest priority.
– If none of these threads are ready to run, the system assigns time slices in a
round-robin fashion to all threads with the next highest priority.
– If a higher-priority thread becomes available to run, the system ceases to
execute the lower-priority thread (without allowing it to finish using its time
slice), and assigns a full time slice to the higher-priority thread.

44. Scheduling
Scheduling Algorithm
Figure 11-28. Thread priorities in Windows Vista

45. Scheduling
Priority Boosting
• Only applied to non-realtime threads
that belong to:
– GUI foreground
(GUI input, mouse message …)
– Waking for event
(disk operation completion +1, keyboard
input +6, sound +8...)
• After raising a thread's dynamic
priority, the scheduler reduces that
priority by one level each time the
thread completes a time slice, until
the thread drops back to its base
priority.

46. Scheduling
Priority Inversion
• Priority inversion occurs when a
mutex or critical section held by a 1
lower-priority thread delays the
running of a higher-priority thread
when both are contending for the
same resource. 2
– Thread 1 has high priority.
– Thread 2 has medium priority.
– Thread 3 has low priority.
3
• Win32 Solution: randomly boosting the priority of the ready threads (in this
case, the low priority lock-holders).
– The low priority threads run long enough to exit the critical section, and the high-priority
thread can enter the critical section.
– If the low-priority thread does not get enough CPU time to exit the critical section the first
time, it will get another chance during the next round of scheduling.

47. Summary
• Fundamental Concepts
• IPC
• Synchronization
• Implementation
• Process Creation
• Scheduling Q&A