C SC Coureware OS E-Notes

CS0206-OPERATING SYSTEMS
SRM UNIVERSITY,RAMAPURAM
CS0206 OPERATING SYSTEMS

Prerequisite CS0201, CS0203
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PURPOSE
Every computer professional should have a basic understanding of how an operating
system controls the computing resources and provide services to the users. This course
provides an introduction to the operating system functions, design and implementation. It
serves as strong foundation for other courses like networks, compiler design, data base
systems.
INSTRUCTIONAL OBJECTIVES
The students learn about:
1. Structure and functions of OS
2.
Process scheduling, Deadlocks
3.
Device management
4.
Memory management
5.
File systems
UNIT 1 INTRODUCTION
9
Computer system overview-basic elements, Instruction execution, Interrupts, memory
hierarchy, I/O communication techniques, operating system overview-objectives and
functions, Evolution of OS Microsoft windows overview.
UNIT 2 PROCESSES
9
Process description and control - process states, process description, process control;
Processes and Threads, Symmetric Multiprocessing and microkernels. Windows Thread
and SMP management. Case studies-UNIX, SOLARIS thread management
UNIT 3 CONCURRENCY AND SCHEDULING
9
Principles of concurrency - mutual exclusion, semaphores, monitors, Readers/Writers
problem; Deadlocks prevention- avoidance detection .Scheduling : Types of
scheduling scheduling algorithms. Case studies- UNIX scheduling.
UNIT 4 MEMORY
9
Memory management requirements, partitioning, paging, and segmentation; Virtual
memory - Hardware and control structures, operating system software, Linux memory
management, case studies- WINDOWS memory management, UNIX and SOLARIS
Memory management
UNIT 5 INPUT/OUTPUT AND FILE SYSTEMS
9
I/O management and disk scheduling I/O devices, organization of I/O functions; OS
design issues, I/O buffering, disk scheduling, Disk cache, File management
organization, directories, file sharing, record blocking, secondary storage management;
case studies-LINUX I/O, UNIX File management.
TOTAL 45
DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING
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Notes for all five units Prepared by Mrs. Antony Vigil A.P[O.G]/SRMU/RMP
UNIT 1
INTRODUCTION
Computer system overview-Basic elements, Instruction execution, Interrupts, Memory
hierarchy, I/O communication techniques, Operating system overview-Objectives and
functions, Evolution of OS Microsoft windows overview.
COMPUTER SYSTEM OVERVIEW

A program that acts as an intermediary between a user of a computer and the
computer hardware is Operating System.
Operating system goals:
Execute user programs and make solving user problems easier.
Make the computer system convenient to use.
Use the computer hardware in an efficient manner
Computer System Components:
1. Hardware provides basic computing resources (CPU, memory, I/O devices).

2. Operating system controls and coordinates the use of the hardware among the
various application programs for the various users.
3. Applications programs define the ways in which the system resources are used
to solve the computing problems of the users (compilers, database systems, video
games, business programs).
4. Users (people, machines, other computers).
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Abstract View of System Components:
Operating System Definitions:

Resource allocator manages and allocates resources.
Control program controls the execution of user programs and operations of

I/O devices.
Kernel the one program running at all times (all else being application
programs).
Simple Batch Systems:
Hire an operator
User operator
Add a card reader
Reduce setup time by batching similar jobs
Automatic job sequencing
Automatically transfers control from one job to another.
Resident monitor
Initial control in monitor
When job completes control transfers back to monitor
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Memory Layout for a Simple Batch System:
Basic Elements
Computer =Processor + Memory + I/O modules
Processor: Controls the operation of the computer and performs its data
processing functions. When there is only on processor, it is often
referred to as CPU.
Main Memory: Stores data and programs.
I/O modules: Move data between the computer and its external environments
(e.g., disk drive, network, terminals).
System interconnection: Some structures and mechanisms that provide for

communication among processors, main memory, and I/O modules
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Instruction Execution
Execute cycle involves data transfer between processor and memory (or an I/O
module), data processing or changing control flow. Most processors use pipeline
instruction execution and allow Direct Memory Access
The processor fetches the instruction from memory

o Program counter (PC) holds address of the instruction to be fetched next
o Fetched instruction is placed in the instruction register (IR)
o Program counter is incremented after each fetch
Processor then executes instruction in the IR
Categories of instructions:
Processor-memory
o Transfer data between processor and memory
Processor-I/O
o Data transferred to or from a peripheral device
Data processing
o Arithmetic or logic operation on data
Control
o Alter sequence of execution
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Interrupts
Interrupt (or exception):
Signal sent to processor

e.g. attempt to divide by zero
e.g. illegal attempt to access address
e.g. execution of trap instruction (to make system call)
e.g. I/O transfer has completed
Source and priority of interrupt are recorded
All computers provide a mechanism by which other modules may interrupt the
normal processing of the processor.
The Classes of Interrupts:
Program: Generated by some condition that occurs as a result of an instruction.
Timer: Generated by a timer within the processor.
I/O: Generated by an I/O controller.
Hardware failure: Generated by a failure such as power failure.
Interrupt is an interruption of the normal sequence of execution. After interrupt is

completed, the normal program execution is resumed. Interrupts are provided primarily to
improve processing efficiency.
E.g., Avoid CPU waiting for slow I/O devices.CPU can continue to execute other
instructions
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Interrupt Cycle:
During the interrupt cycle, the processor checks to see if any interrupts have
occurred, indicated by the presence of an interrupt signal. If interrupt is pending, the
processor suspends execution of the current program and executes an Interrupt Handling
Routine. IHR determine the nature of interrupt and performs whatever actions are needed.
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Program Timing: Short I/O Wait
Program Timing: Long I/O Wait
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Interrupt Processing:
Multiple Interrupts:
Multiple interrupts can occur close to one another.
To disable interrupt when executing the interrupt handler routine.

o New interrupts will have to remain pending until the completion of
interrupt
o Handler routine.
o Does not consider priority of interrupts and time-critical needs.
To define priorities for interrupts.

o High-priority interrupts can interrupt the execution of IHR of low-priority
interrupts.
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Interrupt handling:
Contents of PC and PSW are stored automatically.
Interrupt service routine (ISR) is executed in supervisor mode.
ISR may store contents of other registers.
ISR may call other operating system routines.
Eventually contents of registers may be restored and execution continued in user

mode from point of interruption
Multiprogramming:
More than one process is active on a single processor
There is a ready queue of processes waiting for the processor
A process must wait after making an I/O request or after a timer interrupt
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The Memory Hierarchy

Advantage:
Faster access time

Greater capacity
Going down the hierarchy

o Decreasing cost per bit
o Increasing capacity
o Increasing access time
o Decreasing frequency of access of the memory by the processor
Storage devices can be put in order of increasing capacity, namely,

o registers, cache memory, main memory, hard disk, tape
o access time also increases
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o cost per bit decreases

o first three are volatile caching
o copying information into faster device
Secondary memory:
Managed by the operating system

Nonvolatile
Auxiliary memory
Used to store program and data files
Cache Memory:
Processors can execute instructions faster than instructions (and data) can be
fetched from main memory
Cache memory provides a solution which relies on locality of reference and is

invisible to OS
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I/O module
Is an interface between the bus and a device
Hides the complexity of the device from the processor
The processor issues commands to an I/O module
The I/O module controls the device to perform the requested action
It also buffers data and maintains a status register that the processor can read
Techniques for performing I/O:
(i) Programmed I/O

(ii) Interrupt-driven I/O
(iii)Direct memory access (DMA)
(i) Programmed I/O
I/O module performs the requested action
No interrupts occur
Module sets appropriate bits in the I/O status register
Processor checks status until operation is complete
Processor does a busy-wait for each character
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(ii)Interrupt-driven I/O
Processor is interrupted when I/O module ready to exchange data
Processor saves context of program executing and begins executing interrupt

handler
No needless waiting
Involves much processor overhead because . . .

o Every character read or written passes through the processor
o One interrupt for each character
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(iii)Direct memory access (DMA)
Transfers an entire block of data directly to or from memory
An interrupt is sent when the transfer of the entire block is complete
One interrupt per block of data
A DMA controller transfers data directly between a device (typically a disk) and
memory.
o The data does not pass through the processor
The I/O module has authority to read from or write to memory

o This relieves the processor responsibility for the exchange
The DMA competes with the processor for memory access

o This is known as cycle stealing
o Although cycle stealing halts the processor, this is not an interrupt
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Operating System Overview: Objectives & Functions

An operating system (OS) is a program that controls the execution of application
programs and acts as an interface between the user of a computer and the computer
hardware.
Convenience
o Makes the computer more convenient to use.
Efficiency
o Allows computer system resources to be used in an efficient manner
Ability to evolve
o Permit effective development, testing, and introduction of new system
functions without interfering with service
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Convenience:
Services provided by the operating system:
Program development
o Editors and debuggers
Program execution
Access to I/O devices
Controlled access to files
System access
o Login and passwords
Error detection and response

o Internal and external hardware errors
o Memory error
o Device failure
o Software errors
o Arithmetic overflow
o Access forbidden memory locations
o Operating system cannot grant a request made by an application
Accounting
o Collect usage statistics
o Monitor performance
o This information can be used . . .
o To anticipate future enhancements
o For billing purposes
Efficiency:
The OS promotes efficiency by managing resources

o Processor(s)
o Memory
o Devices
o Files
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The OS functions same way as ordinary computer software

o It is program that is executed
o The OS frequently relinquishes control of the processor and relies on the
processor to regain control
Ability to evolve:
A major OS should be able to evolve over time in response to . . .
Hardware upgrades and new types of hardware such as

o Paging hardware for virtual memory
o Multiple processors
New services such as

o Overlapping windows
o Client / server computing
Errors in the OS
The Operating System as Resource manager:
A computer is a set of resources for the movement, storage, and processing of

data and for the control of these functions. The operating system is responsible for
managing these resources. The operating system is nothing more than a computer
program.
The operating system functions in the same way as ordinary computer software;
that is, it is a program executed by the processor.
The operating system frequently relinquishes control and must depend on the
processor to allow it to regain control
Key difference between OS and other programs:
OS can direct processor in the use of other system resources and in the timing of
its execution of other program.
In order to do this, processor must cease executing OS and execute other
programs, i.e., OS relinquishes control of processor.
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Evolution of operating systems

(i)Serial processing
(ii)Simple batch systems
(iii)Multiprogrammed batch systems
(iv)Time-sharing systems
(i) Serial processing:

Use card reader. No operating system.
2 main problems:
1. Manual scheduling of use
2. Setup Time
Loading the compiler
Loading the source program
Saving compiled program
Loading and linking object files
(ii)Simple batch systems:

Use a piece of software known as the monitor. So users no longer have direct
access to the machine
2 points of view:
Monitor point of view:
Monitor software controlled a sequence of jobs
Monitor must always in main memory and available for execution. That
portion is referred as Resident Memory.
The rest of the monitor consists of utilities and common functions.
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Interrupt Processing
Monitor
Device Drivers
Job Sequencing
Control
Boundary
Language
Interpreter
User Program Area
Fig: Memory Layout for a Resident Memory

Processor point of view:
Processor is executing instructions from the portion of main memory

containing the monitor
Only one user job could run at a time
Processor idle waiting for I/O
But idle time between jobs and within jobs eliminated
Job Control Language (JCL):
A special type of programming language
Provides commands to the monitor

o Identifies new jobs
o Specifies what compiler to use
o Specifies which object files to load and link
o Specifies what data to use
Example of JCL cards (with / /) in a deck
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/ / JOB
/ / FORT
< source program

cards >
/ / LOAD
/ / RUN
< data cards >
/ / END
Protection
After an //END card
or an error, the
monitor flushes
cards until the next
//JOB card
Hardware support for simple batch:
Memory protection
o Does not allow the memory area containing the monitor to be altered
by a job
Timer
o Prevents a job from monopolizing the system
Privileged instructions
o Certain machine level instructions can only be executed by the monitor
l E.g. - I/O instructions (a program should not read cards of next
job)
l Note:
a program requests that the monitor perform the
instruction
Interrupts
o Allow processor to do something else while waiting for I/O
o Early computer models did not have this capability
The need for memory protection and privileged instructions led to the concept
of processor modes
A bit in the PSW register toggles the processor between user mode and kernel
mode
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Each user program executes in user mode

o Certain privileged instructions may not be executed
o Only the program area may be referenced
The monitor executes in kernel mode

o Privileged instructions may be executed
o Protected areas of memory may be accessed
(iii) Multiprogrammed batch systems:
Several jobs resident in memory simultaneously
Gives processor something to do while one job is waiting for I/O
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(iv)Time-sharing systems
Adds an interactive computing capability to a multiprogrammed batch system

o Processors time is shared among multiple interactive users
o Multiple users simultaneously access the system through terminals
Essential for transaction processing systems
Example: Compatible Time-Sharing System (CTSS)

o First time-sharing system
o Developed at MIT in 1961 for the IBM 709
Problems:
Multiprogramming and time sharing led to the identification of new problems

o Memory protection
o File security
o Contention for resources
E.g. printers
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Microsoft Windows Overview
Single-user multitasking OS that evolved out of MS-DOS
Modular structure for flexibility

o Any module can be removed, upgraded, or replaced without rewriting the
entire system
Executes on a variety of hardware platforms

o Pentium, Itanium, PowerPC, Alpha, etc.
o Provided by the Hardware Abstraction Layer (HAL)
o This isolates the operating system from platform-specific hardware
differences
Supports applications written for other operating systems

o This is provided by various environment subsystems
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Windows organization
Kernel
Consists of the most used components

o Thread scheduling
o Process switching
o Interrupt handling
o SMP
Does not run in threads and is not preemptible
Executive
Contains base operating system services

o Memory management
o Process and thread management
o Security
o I/O
o Interprocess communication
Hardware abstraction layer(HAL)

Map between hardware commands and responses
Device Drivers
Windowing and Graphics system
User Mode Processes:
Special system support processes
Service Processes
Environment subsystems
User Applications
Windows client-server model:
Simplifies the Executive

o Possible to construct a variety of APIs
Improves reliability
o Each service runs on a separate process with its own partition of memory
o Clients cannot not directly access hardware
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Provides a uniform means for applications to communicate via Local Procedure

Call (LPC)
Provides base for distributed computing
Windows threads and SMP:
Operating system routines can run on any available processor or simultaneously

on different processors
Multiple threads of execution within a single process may execute on different

processors simultaneously
Server processes may use multiple threads to process requests from multiple
processes simultaneously
Mechanisms provided to share data and resources between processes
Windows Objects:
Encapsulation
Object Class and instance
Inheritance
Polymorphism
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UNIT 2
PROCESSES
Process description and control - Process states, Process description, Process control,
Processes and Threads, Symmetric Multiprocessing and Microkernels, Windows
Thread and SMP Management. Case studies-UNIX, SOLARIS thread management
Process description and control

Processes:
A program in execution
An instance of a program running on a computer
An entity that can be assigned to and executed on the computer
A process is comprised of:

o Program code (possibly shared)
o A set of data
o A number of attributes describing the state of the process
Process Control Block (PCB)
While the process is running it has a number of elements including

o Identifier
o State
o Priority
o Program counter
o Memory pointers
o Context data
o I/O status information
o Accounting information
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Process States
The behavior of an individual process is shown by listing the sequence of

instructions that are executed
This list is called a Trace
Dispatcher is a small program which switches the processor from one process to
another
Each process runs to completion

Program Counter
8000
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Two-State Process Model:
Process may be in one of two states

o Running
o Not-running
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The creation and Termination of Processes:

Creation
Termination
New batch job
Normal Completion
Interactive Login
Memory unavailable
Created by OS to provide a service
Protection error
Spawned by existing process
Operator or OS Intervention
Process Creation
The OS builds a data structure to manage the process
Traditionally, the OS created all processes

o But it can be useful to let a running process create another
This action is called process spawning

o Parent Process is the original, creating, process
o Child Process is the new process
Reasons for Process Creation:
New Batch job
Interactive Logon
Created by OS to provide a service
Spawned by existing process
Process Termination
There must be some way that a process can indicate completion.
This indication may be:

o A HALT instruction generating an interrupt alert to the OS.
o A user action (e.g. log off, quitting an application)
o A fault or error
o Parent process Terminating
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Five-State Process Model
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Suspended Processes:
Processor is faster than I/O so all processes could be waiting for I/O
o Swap these processes to disk to free up more memory and use processor
on more processes
Blocked state becomes suspend state when swapped to disk
Two new states

o Blocked/Suspend
o Ready/Suspend
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Reason for Process Suspension

Reason
Comment
Swapping
The OS needs to release sufficient main memory to bring in a

process that is ready to execute.
Other OS Reason
OS suspects process of causing a problem.
Interactive User Request
e.g. debugging or in connection with the use of a resource.
Timing
A process may be executed periodically (e.g., an accounting or

system monitoring process) and may be suspended while waiting
for the next time.
Parent Process Request
A parent process may wish to suspend execution of a descendent

to examine or modify the suspended process, or to coordinate the
activity of various descendants.
Process Description
Processes and Resources:
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Operating System Control Structures:
For the OS is to manage processes and resources, it must have information about
the current status of each process and resource.
Tables are constructed for each entity the operating system manages
OS Control Tables
Memory Tables
Memory tables are used to keep track of both main and secondary memory.
Must include this information:

o Allocation of main memory to processes
o Allocation of secondary memory to processes
o Protection attributes for access to shared memory regions
o Information needed to manage virtual memory
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I/O Tables
Used by the OS to manage the I/O devices and channels of the computer.
The OS needs to know

o Whether the I/O device is available or assigned
o The status of I/O operation
o The location in main memory being used as the source or destination of
the I/O transfer
File Tables
These tables provide information about:

o Existence of files
o Location on secondary memory
o Current Status
o Other attributes.
Sometimes this information is maintained by a file management system
Process Tables
To manage processes the OS needs to know details of the processes

o Current state
o Process ID
o Location in memory
Process control block

o Process image is the collection of program. Data, stack, and attributes
Process Attributes
We can group the process control block information into three general categories:
o Process identification
o Processor state information
o Process control information
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Process Identification
Each process is assigned a unique numeric identifier.
Many of the other tables controlled by the OS may use process identifiers to
cross-reference process tables
Processor State Information
This consists of the contents of processor registers.

o User-visible registers
o Control and status registers
o Stack pointers
Program status word (PSW)

o contains status information
o Example: the EFLAGS register on Pentium processors
Pentium II EFLAGS Register:
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Structure of Process Images in Virtual Memory:
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Process Control
Modes of Execution:
Most processors support at least two modes of execution
User mode
o Less-privileged mode
o User programs typically execute in this mode
System mode
o More-privileged mode
o Kernel of the operating system
Process Creation:
Once the OS decides to create a new process it:

o Assigns a unique process identifier
o Allocates space for the process
o Initializes process control block
o Sets up appropriate linkages
o Creates or expand other data structures
Process switch is switch the process state between the status like read, blocked,
suspend. Mode switch is the switch the process privilege between the mode like use
mode, kernel mode. Generally a mode switch is considered less expensive compared to a
process switch.
Process Switching:
Several design issues are raised regarding process switching

o What events trigger a process switch?
o We must distinguish between mode switching and process switching.
o What must the OS do to the various data structures under its control to
achieve a process switch?
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When to switch processes?

A process switch may occur any time that the OS has gained control from the
currently running process. Possible events giving OS control are:
Mechanism
Cause
Use
Interrupt
External to the execution of
Reaction to an asynchronous
the current instruction
external event
Trap
Associated with the execution Handling of an error or an
Supervisor call
of the current instruction
exception condition
Explicit request
Call to an operating system

function
The steps in a process switch are:

1. Save context of processor including program counter and other registers
2. Update the process control block of the process that is currently in the
Running state
3. Move process control block to appropriate queue ready; blocked;
ready/suspend
4. Select another process for execution
5. Update the process control block of the process selected
6. Update memory-management data structure
7. Restore context of the selected process
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Execution of the Operating System
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Non-process Kernel (a)
Execute kernel outside of any process
The concept of process is considered to apply only to user programs

o Operating system code is executed as a separate entity that operates in
privileged mode
Execution within User Processes (b)

o Operating system software within context of a user process
o No need for Process Switch to run OS routine
Process-based Operating System(c)
Process-based operating system

o Implement the OS as a collection of system process
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Processes and Threads
Resource ownership - process includes a virtual address space to hold the process
image
Scheduling/execution- follows an execution path that may be interleaved with

other processes
These two characteristics are treated independently by the operating system

o Dispatching is referred to as a thread or lightweight process
Multithreading:
Operating system supports multiple threads of execution within a single process
MS-DOS supports a single thread
UNIX supports multiple user processes but only supports one thread per process
Windows, Solaris, Linux, Mach, and OS/2 support multiple threads
Process:
Have a virtual address space which holds the process image
Protected access to processors, other processes, files, and I/O resources
Thread:
An execution state (running, ready, etc.)
Saved thread context when not running
Has an execution stack
Some per-thread static storage for local variables
Access to the memory and resources of its process

o All threads of a process share this
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Benefits of Threads
Takes less time to create a new thread than a process
Less time to terminate a thread than a process
Less time to switch between two threads within the same process
Since threads within the same process share memory and files, they can
communicate with each other without invoking the kernel
Uses of Threads in a Single-User Multiprocessing System
Foreground to background work
Asynchronous processing
Speed of execution
Modular program structure
Threads
Suspending a process involves suspending all threads of the process since all
threads share the same address space
Termination of a process, terminates all threads within the process
Thread States:
States associated with a change in thread state

o Spawn
Spawn another thread
o Block
o Unblock
o Finish
Deallocate register context and stacks
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Adobe PageMaker
User-Level Threads
All thread management is done by the application
The kernel is not aware of the existence of threads
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Kernel-Level Threads:
Windows is an example of this approach
Kernel maintains context information for the process and the threads
Scheduling is done on a thread basis
Combined Approaches
Example is Solaris
Thread creation done in the user space
Bulk of scheduling and synchronization of threads within application
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Symmetric Multiprocessing and Microkernels
Kernel can execute on any processor
Typically each processor does self-scheduling form the pool of available process
or threads
SMP Architecture:
Categories of Computer Systems:
Single Instruction Single Data (SISD) stream

o Single processor executes a single instruction stream to operate on data
stored in a single memory
Single Instruction Multiple Data (SIMD) stream

o Each instruction is executed on a different set of data by the different
processors
Multiple Instruction Single Data (MISD) stream

o A sequence of data is transmitted to a set of processors, each of which
executes a different instruction sequence. Never implemented
Multiple Instruction Multiple Data (MIMD)

o A set of processors simultaneously execute different instruction sequences
on different data sets
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Multiprocessor Operating System Design Considerations:
Simultaneous concurrent processes or threads
Scheduling
Synchronization
Memory management
Reliability and fault tolerance
Microkernels:
Small operating system core
Contains only essential core operating systems functions
Many services traditionally included in the operating system are now external
subsystems
o Device drivers
o File systems
o Virtual memory manager
o Windowing system
o Security services
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Benefits of a Microkernel Organization:
Uniform interface on request made by a process

o Dont distinguish between kernel-level and user-level services
o All services are provided by means of message passing
Extensibility
o Allows the addition of new services
Flexibility
o New features added
o Existing features can be subtracted
Portability
o Changes needed to port the system to a new processor is changed in the
microkernel - not in the other services
Reliability
o Modular design
o Small microkernel can be rigorously tested
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Distributed system support

o Message are sent without knowing what the target machine is
Object-oriented operating system

o Components are objects with clearly defined interfaces that can be
interconnected to form software
Microkernel Design:
Low-level memory management

o Mapping each virtual page to a physical page frame
Interprocess Communication
I/O and Interrupt Management
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Windows Thread and SMP Management
Implemented as objects
An executable process may contain one or more threads
Both processes and thread objects have built-in synchronization capabilities
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Windows Process Object
Windows Thread Object
Windows 2000 Thread States
Ready
Standby
Running
Waiting
Transition
Terminated
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CASE STUDIES: SOLARIS, UNIX, LINUX
Process includes the users address space, stack, and process control block
User-level threads
Lightweight processes (LWP)
Kernel threads
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Solaris Lightweight Data Structure:
Identifier
Priority
Signal mask
Saved values of user-level registers
Kernel stack
Resource usage and profiling data
Pointer to the corresponding kernel thread
Pointer to the process structure
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Linux Task Data Structure:
State
Scheduling information
Identifiers
Interprocess communication
Links
Times and timers
File system
Address space
Processor-specific context
Linux States of a Process:
Running
Interruptable
Uninterruptable
Stopped
Zombie
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UNIT 3
CONCURRENCY AND SCHEDULING
Principles of concurrency - Mutual exclusion, Semaphores, Monitors, Readers/Writers

Problem; Deadlocks Prevention- Avoidance Detection; Scheduling: Types of
scheduling Scheduling Algorithms, Case studies-UNIX scheduling.
Concurrency
3 different contexts:
Multiple applications: Allow processing time to be shared
Structured applications: set of concurrent processes
Operating system structure: implemented as set of processes or threads.
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Principles of Concurrency
In single processor multiprogramming system, process is interleaved in time to
yield the appearance of simultaneous execution.
Difficulties of Concurrency:
Sharing of global resources
Operating system managing the allocation of resources optimally
Difficult to locate programming errors
Process Interaction:
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Competition among Processes:
Mutual Exclusion
o Critical sections
Only one program at a time is allowed in its critical section
Example only one process at a time is allowed to send

command to the printer
Deadlock
Starvation
Mutual Exclusion
Hardware Support:
Interrupt Disabling
o A process runs until it invokes an operating system service or until it
is interrupted
o Disabling interrupts guarantees mutual exclusion
o Processor is limited in its ability to interleave programs
o Multiprocessing
disabling interrupts on one processor will not guarantee

mutual exclusion
Test and Set Instruction

boolean testset (int i) {
if (i == 0) {
i = 1;
return true;
}
else {
return false;
}
}
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Exchange Instruction
void exchange(int register,int memory)
{
int temp;
temp = memory;
memory = register;
register = temp;
}
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Semaphores
Special variable called a semaphore is used for signaling
If a process is waiting for a signal, it is suspended until that signal is sent
Semaphore is a variable that has an integer value

o May be initialized to a nonnegative number
o Wait operation decrements the semaphore value
o Signal operation increments semaphore value
Semaphore Primitives:
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Binary Semaphore Primitives:
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Mutual Exclusion Using Semaphores:
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Producer/Consumer Problem:
One or more producers are generating data and placing these in a buffer
A single consumer is taking items out of the buffer one at time
Only one producer or consumer may access the buffer at any one time
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Monitors
Monitor is a software module
Chief characteristics
o Local data variables are accessible only by the monitor
o Process enters monitor by invoking one of its procedures
o Only one process may be executing in the monitor at a time
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Synchronization:
Sender and receiver may or may not be blocking (waiting for message)
Blocking send, blocking receive

o Both sender and receiver are blocked until message is delivered
o Called a rendezvous
Nonblocking send, blocking receive

o Sender continues on
o Receiver is blocked until the requested message arrives
Nonblocking send, nonblocking receive

o Neither party is required to wait
Addressing:
Direct addressing
o Send primitive includes a specific identifier of the destination process
o Receive primitive could know ahead of time which process a message is
expected
o Receive primitive could use source parameter to return a value when the
receive operation has been performed
Indirect addressing
o Messages are sent to a shared data structure consisting of queues
o Queues are called mailboxes
o One process sends a message to the mailbox and the other process picks
up the message from the mailbox
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Message Format:
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Readers/Writers Problem
Any number of readers may simultaneously read the file
Only one writer at a time may write to the file
If a writer is writing to the file, no reader may read it
Deadlock
Permanent blocking of a set of processes that either compete for system resources
or communicate with each other
No efficient solution
Involve conflicting needs for resources by two or more processes
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Reusable Resources:
Used by only one process at a time and not depleted by that use
Processes obtain resources that they later release for reuse by other processes
Processors, I/O channels, main and secondary memory, devices, and data
structures such as files, databases, and semaphores
Deadlock occurs if each process holds one resource and requests the other
Example of Deadlock:
Resource Allocation Graphs:
Directed graph that depicts a state of the system of resources and processes
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Conditions for Deadlock:
Mutual exclusion
o Only one process may use a resource at a time
Hold-and-wait
o A process may hold allocated resources while awaiting assignment of
others
No preemption
o No resource can be forcibly removed from a process holding it
Circular wait
A closed chain of processes exists, such that each process holds at least one resource
needed by the next process in the chain
Deadlock Prevention
Mutual Exclusion
o Must be supported by the operating system
Hold and Wait

o Require a process request all of its required resources at one time
No Preemption
o Process must release resource and request again
o Operating system may preempt a process to require it releases its
resources
Circular Wait
o Define a linear ordering of resource types
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Deadlock Avoidance
A decision is made dynamically whether the current resource allocation request

will, if granted, potentially lead to a deadlock
Requires knowledge of future process request
Two Approaches to Deadlock Avoidance:
Do not start a process if its demands might lead to deadlock
Do not grant an incremental resource request to a process if this allocation might

lead to deadlock
Deadlock Avoidance:
Maximum resource requirement must be stated in advance
Processes under consideration must be independent; no synchronization

requirements
There must be a fixed number of resources to allocate
No process may exit while holding resources
Deadlock Detection
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Strategies once Deadlock Detected:
Abort all deadlocked processes
Back up each deadlocked process to some previously defined checkpoint, and

restart all process
o Original deadlock may occur
Successively abort deadlocked processes until deadlock no longer exists
Successively preempt resources until deadlock no longer exists
Selection Criteria Deadlocked Processes:
Least amount of processor time consumed so far
Least number of lines of output produced so far
Most estimated time remaining
Least total resources allocated so far
Lowest priority
Strengths and Weaknesses of the Strategies:
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Scheduling
Aim of Scheduling:
Assign processes to be executed by the processor(s)
Response time
Throughput
Processor efficiency
Long-Term Scheduling
Determines which programs are admitted to the system for processing
Controls the degree of multiprogramming
More processes, smaller percentage of time each process is executed
Medium-Term Scheduling
Part of the swapping function
Based on the need to manage the degree of multiprogramming

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Short-Term Scheduling
Known as the dispatcher
Executes most frequently
Invoked when an event occurs

o Clock interrupts
o I/O interrupts
o Operating system calls
o Signals
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Scheduling Algorithms
First-Come-First-Serve (FCFS)
Round-Robin
Shortest Process Next
Shortest Remaining Time
Highest Response Ratio Next (HRRN)
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First-Come-First-Serve (FCFS):
Each process joins the Ready queue
When the current process ceases to execute, the oldest process in the Ready
queue is selected
A short process may have to wait a very long time before it can execute
Favors CPU-bound processes
I/O processes have to wait until CPU-bound process completes
Round-Robin (RR):
Uses preemption based on a clock
An amount of time is determined that allows each process to use the

processor for that length of time
Clock interrupt is generated at periodic intervals
When an interrupt occurs, the currently running process is placed in the

read queue
o Next ready job is selected
Known as time slicing

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Shortest Process Next (SPN):
Nonpreemptive policy
Process with shortest expected processing time is selected next
Short process jumps ahead of longer processes
Predictability of longer processes is reduced
If estimated time for process not correct, the operating system may abort it
Possibility of starvation for longer processes
Shortest Remaining Time (SRT):
Preemptive version of shortest process next policy
Must estimate processing time
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Highest Response Ratio Next (HRRN):
Choose next process with the greatest ratio
CASE STUDY-UNIX Scheduling
Multilevel feedback using round robin within each of the priority queues
If a running process does not block or complete within 1 second, it is

preempted
Priorities are recomputed once per second
Base priority divides all processes into fixed bands of priority levels
Bands
Decreasing order of priority

o Swapper
o Block I/O device control
o File manipulation
o Character I/O device control
o User processes
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Page 92 of 157
UNIT 4
MEMORY
Memory management requirements, Partitioning, Paging, and Segmentation; Virtual
memory - Hardware and control structures, operating system software- Linux memory
management, Case studies- WINDOWS memory management, UNIX and SOLARIS
Memory management
Memory Management:
Subdividing memory to accommodate multiple processes
Memory needs to be allocated to ensure a reasonable supply of ready processes to

consume available processor time
Memory Management Requirements
Relocation
o Programmer does not know where the program will be placed in memory
when it is executed
o While the program is executing, it may be swapped to disk and returned to
main memory at a different location (relocated)
o Memory references must be translated in the code to actual physical
memory address
Protection
o Processes should not be able to reference memory locations in another
process without permission
o Impossible to check absolute addresses at compile time
o Must be checked at rum time
o Memory protection requirement must be satisfied by the processor
(hardware) rather than the operating system (software)
o Operating system cannot anticipate all of the memory references a
program will make
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Sharing
o Allow several processes to access the same portion of memory
o Better to allow each process access to the same copy of the program rather
than have their own separate copy
Logical Organization
o Programs are written in modules
o Modules can be written and compiled independently
o Different degrees of protection given to modules (read-only, execute-only)
o Share modules among processes
Physical Organization
o Memory available for a program plus its data may be insufficient
Overlaying allows various modules to be assigned the same region

of memory
o Programmer does not know how much space will be available
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Partitioning
Fixed Partitioning:
Equal-size partitions
o Any process whose size is less than or equal to the partition size can be
loaded into an available partition
o If all partitions are full, the operating system can swap a process out of a
partition
o A program may not fit in a partition. The programmer must design the
program with overlays
o Main memory use is inefficient. Any program, no matter how small,
occupies an entire partition. This is called internal fragmentation.
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Placement Algorithm with Partitions:
Equal-size partitions
o Because all partitions are of equal size, it does not matter which partition
is used
Unequal-size partitions
o Can assign each process to the smallest partition within which it will fit
o Queue for each partition
o Processes are assigned in such a way as to minimize wasted memory
within a partition
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Dynamic Partitioning
Partitions are of variable length and number
Process is allocated exactly as much memory as required
Eventually get holes in the memory. This is called external fragmentation
Must use compaction to shift processes so they are contiguous and all free
memory is in one block
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Dynamic Partitioning Placement Algorithm:
Operating system must decide which free block to allocate to a process
Best-fit algorithm
o Chooses the block that is closest in size to the request
o Worst performer overall
o Since smallest block is found for process, the smallest amount of
fragmentation is left
o Memory compaction must be done more often
First-fit algorithm
o Scans memory form the beginning and chooses the first available block
that is large enough
o Fastest
o May have many process loaded in the front end of memory that must be
searched over when trying to find a free block
Next-fit
o Scans memory from the location of the last placement
o More often allocate a block of memory at the end of memory where the
largest block is found
o The largest block of memory is broken up into smaller blocks
o Compaction is required to obtain a large block at the end of memory
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Buddy System:
Entire space available is treated as a single block of 2U
If a request of size s such that 2U-1 < s <= 2U, entire block is allocated
o Otherwise block is split into two equal buddies
o Process continues until smallest block greater than or equal to s is
generated
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Relocation
When program loaded into memory the actual (absolute) memory locations are
determined
A process may occupy different partitions which means different absolute

memory locations during execution (from swapping)
Compaction will also cause a program to occupy a different partition which

means different absolute memory locations
Addresses
Logical
o Reference to a memory location independent of the current assignment of
data to memory
o Translation must be made to the physical address
Relative
o Address expressed as a location relative to some known point
Physical
o The absolute address or actual location in main memory
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Paging
Partition memory into small equal fixed-size chunks and divide each process into
the same size chunks
The chunks of a process are called pages and chunks of memory are called frames
Operating system maintains a page table for each process

o Contains the frame location for each page in the process
o Memory address consist of a page number and offset within the page
Assignment of Process Pages to Free Frames:
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Segmentation
All segments of all programs do not have to be of the same length
There is a maximum segment length
Addressing consist of two parts - a segment number and an offset
Since segments are not equal, segmentation is similar to dynamic partitioning
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Virtual Memory
Hardware and Control Structures:
Memory references are dynamically translated into physical addresses at run time
o A process may be swapped in and out of main memory such that it
occupies different regions
A process may be broken up into pieces that do not need to located contiguously
in main memory
All pieces of a process do not need to be loaded in main memory during execution
Execution of a Program:
Operating system brings into main memory a few pieces of the program
Resident set - portion of process that is in main memory
An interrupt is generated when an address is needed that is not in main memory
Operating system places the process in a blocking state
Piece of process that contains the logical address is brought into main memory
o Operating system issues a disk I/O Read request
o Another process is dispatched to run while the disk I/O takes place
o An interrupt is issued when disk I/O complete which causes the operating
system to place the affected process in the Ready state
Types of Memory:
Real memory
o Main memory
Virtual memory
o Memory on disk
o Allows for effective multiprogramming and relieves the user of tight
constraints of main memory
Thrashing
Swapping out a piece of a process just before that piece is needed
The processor spends most of its time swapping pieces rather than executing user
instructions
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Principle of Locality
Program and data references within a process tend to cluster
Only a few pieces of a process will be needed over a short period of time
Possible to make intelligent guesses about which pieces will be needed in the
future
This suggests that virtual memory may work efficiently
Paging
Each process has its own page table
Each page table entry contains the frame number of the corresponding page in
main memory
A bit is needed to indicate whether the page is in main memory or not
Modify Bit in Page Table:
Modify bit is needed to indicate if the page has been altered since it was last
loaded into main memory
If no change has been made, the page does not have to be written to the disk when
it needs to be swapped out
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Inverted Page Table:
Page number
Process identifier
Control bits
Chain pointer
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Translation Lookaside Buffer:
Each virtual memory reference can cause two physical memory accesses
o One to fetch the page table
o One to fetch the data
To overcome this problem a high-speed cache is set up for page table entries
o Called a Translation Lookaside Buffer (TLB)
Given a virtual address, processor examines the TLB
If page table entry is present (TLB hit), the frame number is retrieved and the real
address is formed
If page table entry is not found in the TLB (TLB miss), the page number is used
to index the process page table
First checks if page is already in main memory

o If not in main memory a page fault is issued
The TLB is updated to include the new page entry
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Page Size:
Smaller page size, less amount of internal fragmentation
Smaller page size, more pages required per process
More pages per process means larger page tables
Larger page tables means large portion of page tables in virtual memory
Secondary memory is designed to efficiently transfer large blocks of data so a

large page size is better
Small page size, large number of pages will be found in main memory
As time goes on during execution, the pages in memory will all contain portions
of the process near recent references. Page faults low.
Increased page size causes pages to contain locations further from any recent
reference. Page faults rise.
Segmentation:
May be unequal, dynamic size
Simplifies handling of growing data structures
Allows programs to be altered and recompiled independently
Lends itself to sharing data among processes
Lends itself to protection
Segment Tables:
Corresponding segment in main memory
Each entry contains the length of the segment
A bit is needed to determine if segment is already in main memory
Another bit is needed to determine if the segment has been modified since it was
loaded in main memory
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Combined Paging and Segmentation:
Paging is transparent to the programmer
Segmentation is visible to the programmer
Each segment is broken into fixed-size pages
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Basic Replacement Algorithms:
Optimal policy
o Selects for replacement that page for which the time to the next reference
is the longest
o Impossible to have perfect knowledge of future events
Least Recently Used (LRU)

o Replaces the page that has not been referenced for the longest time
o By the principle of locality, this should be the page least likely to be
referenced in the near future
o Each page could be tagged with the time of last reference. This would
require a great deal of overhead
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First-in, first-out (FIFO)

o Treats page frames allocated to a process as a circular buffer
o Pages are removed in round-robin style
o Simplest replacement policy to implement
o Page that has been in memory the longest is replaced
o These pages may be needed again very soon
Clock Policy
o Additional bit called a use bit
o When a page is first loaded in memory, the use bit is set to 1
o When the page is referenced, the use bit is set to 1
o When it is time to replace a page, the first frame encountered with the use
bit set to 0 is replaced.
o During the search for replacement,each use bit set to 1 is changed to 0
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Cleaning Policy:
Demand cleaning
o A page is written out only when it has been selected for replacement
Precleaning
o Pages are written out in batches
Load Control:
Determines the number of processes that will be resident in main memory
Too few processes, many occasions when all processes will be blocked and much
time will be spent in swapping
Too many processes will lead to thrashing
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Operating System Softwares

Linux Memory Management
2 components:
1. First, Physical memory management system deals with allocating and freeing
pages, groups of pages and small blocks of memory.
2. The second component handles virtual memory, which is memory mapped into
the address space of running processes.
Management of Physical Memory:

Page allocator is responsible for allocating and freeing all physical pages and is
capable of allocating ranges of physically contiguous pages on request.
Buddy-Heap Algorithm:
Keep track of available physical pages
Pairs adjacent units of allocatable together.

8 KB
8 KB
16KB
8 KB
4 KB
4 KB
Fig: Splitting of Memory in a Buddy Heap
Address Translation:
Page directory
Page middle directory
Page table
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Linux processes:
Each process gets 3GB virtual memory
Remaining 1GB for kernel and page tables
Virtual address space composed of areas with same protection, paging properties
(pageable or not, direction of growth)
Each process has a linked list of areas, sorted by virtual address (text, data,
memory-mapped-files,)
Linux main memory management:
Kernel never swapped
The rest: user pages, file system buffers, variable-size device drivers
The buddy algorithm is used. In addition:

o Linked lists of same-size free blocks are maintained
o To reduce internal fragmentation, a second memory allocation scheme
manages smaller units inside buddy-blocks
Demand paging (no pre-paging)
Dynamic backing store management.
Page 116 of 157
Windows Memory Management

Virtual Address Space:
Virtual address space layout for 3 user processes
White areas are private per process
Shaded areas are shared among all processes
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Memory Management Concepts:
Each virtual page can be in one of following states:

o Free/invalid Currently not in use, a reference causes access violation
o Committed code/data was mapped to virtual page
o Reserved allocated to thread, not mapped yet. When a new thread starts,
1MB of process space is reserved to its stack
o Readable/writable/executable
Dynamic (just-in-time) backing store management

o Improves performance of writing modified data in chunks
o Up to 16 pagefiles
Supports memory-mapped files
Can use 4K or 4M pages
Implementation of Memory Management:
Fig: A page table entry for a mapped page on the Pentium
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Physical Memory Management:
Fig: Various page lists and transitions between them
Page 119 of 157
CASE STUDIES
UNIX and SOLARIS Memory Management
Paging system:
Page replacement:
o Page frame data table used for page replacement
o Lists are created within table using pointers (e.g., list of free
frames available; when number of frames on this table drops below
a threshold, the kernel will steal a number of pages to compensate)
o Page replacement algorithm in SVR4 is a modified clock policy
algorithm, the two-handed clock algorithm
It uses the reference bit in the page table entry for each
page in memory that is eligible (not locked) to be swapped
out
Bit is set to 0 when page is first brought in and set to 1

when page is referenced for read or write
The front-hand of the algorithm sweeps through the eligible

pages and sets reference bits to 1
The backhand, later, sweeps same list and checks the

referenced bit: if 0, page is placed on the list to be paged
out
Parameters: Scan rate and Handspead
Kernel memory allocator:
Requirement
o Kernel generates and destroys frequently small tables and buffers
(e.g, file descriptor blocks) which require dynamic memory
allocation
o These tables and buffers are much smaller than typical machine
page size: paging mechanism would be inefficient
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Solution: SVR4 uses the lazy buddy system

o Observation: demand for blocks of particular size varies slowly in
time
o Solution: defer coalescing blocks until it seems likely that it is
needed and then coalesce as many blocks as possible
o Strategy: try to maintain a pool of locally free blocks and only
invoke coalescing if the number of free blocks exceeds a threshold
o Criterion for coalescing: the number of locally free blocks of a
given size should not exceed the number of allocated blocks of that
size
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UNIX Page Daemon:
It is assumed useful to keep a pool of free pages
freeing of page frames is done by a pagedaemon - a process that sleeps most of

the time
awakened periodically to inspect the state of memory - if less than 'th of page
frames are free, then it frees page frames
this strategy performs better than evicting pages when needed (and writing the
modified to disk in a hurry)
The net result is the use of all of available memory as page-pool
Uses a global clock algorithm two-handed clock
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UNIT 5
INPUT/OUTPUT AND FILE SYSTEMS
I/O management and disk scheduling I/O devices, organization of I/O functions; OS
design issues, I/O Buffering, disk scheduling, Disk cache, File management
Organization, Directories, File sharing, Record blocking, Secondary storage
management; Case studies-LINUX I/O, UNIX File management.
I/O Management and Disk Scheduling

I/O Devices
Categories of I/O Devices:
Human readable
o Used to communicate with the user
o Printers
o Video display terminals
o Display
o Keyboard
o Mouse
Machine readable
o Used to communicate with electronic equipment
o Disk and tape drives
o Sensors
o Controllers
o Actuators
Communication
o Used to communicate with remote devices
o Digital line drivers
o Modems
Differences in I/O Devices
Data rate
o May be differences of several orders of magnitude between the data
transfer rates
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Application
o Disk used to store files requires file management software
o Disk used to store virtual memory pages needs special hardware and
software to support it
o Terminal used by system administrator may have a higher priority
Complexity of control
Unit of transfer
o Data may be transferred as a stream of bytes for a terminal or in larger
blocks for a disk
Data representation
o Encoding schemes
Error conditions
o Devices respond to errors differently
Organization of the I/O Function
Programmed I/O
o Process is busy-waiting for the operation to complete
Interrupt-driven I/O
o I/O command is issued
o Processor continues executing instructions
o I/O module sends an interrupt when done
Direct Memory Access (DMA)

o DMA module controls exchange of data between main memory and the
I/O device
o Processor interrupted only after entire block has been transferred
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Evolution of the I/O Function:
Controller or I/O module with interrupts

o Processor does not spend time waiting for an I/O operation to be
performed
Direct Memory Access

o Blocks of data are moved into memory without involving the processor
o Processor involved at beginning and end only
I/O module is a separate processor
I/O processor
o I/O module has its own local memory
o Its a computer in its own right
Direct Memory Access:
Processor delegates I/O operation to the DMA module
DMA module transfers data directly to or form memory
When complete DMA module sends an interrupt signal to the processor
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Operating System Design Issues
Efficiency
o Most I/O devices extremely slow compared to main memory
o Use of multiprogramming allows for some processes to be waiting on I/O
while another process executes
o I/O cannot keep up with processor speed
o Swapping is used to bring in additional Ready processes which is an I/O
operation
Generality
o Desirable to handle all I/O devices in a uniform manner
o Hide most of the details of device I/O in lower-level routines so that
processes and upper levels see devices in general terms such as read,
write, open, close, lock, unlock
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I/O Buffering
Reasons for buffering:

o Processes must wait for I/O to complete before proceeding
o Certain pages must remain in main memory during I/O
Block-oriented
o Information is stored in fixed sized blocks
o Transfers are made a block at a time
o Used for disks and tapes
Stream-oriented
o Transfer information as a stream of bytes
o Used for terminals, printers, communication ports, mouse and other
pointing devices, and most other devices that are not secondary storage
Single Buffer
Block-oriented
o User process can process one block of data while next block is read in
o Swapping can occur since input is taking place in system memory, not
user memory
o Operating system keeps track of assignment of system buffers to user
processes
Stream-oriented
o Used a line at time
o User input from a terminal is one line at a time with carriage return
signaling the end of the line
o Output to the terminal is one line at a time
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Double Buffer
Use two system buffers instead of one
A process can transfer data to or from one buffer while the operating system
empties or fills the other buffer
Circular Buffer
More than two buffers are used
Each individual buffer is one unit in a circular buffer
Used when I/O operation must keep up with process
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Disk Scheduling
Disk Performance Parameters
o To read or write, the disk head must be positioned at the desired track and
at the beginning of the desired sector
o Seek time
o Time it takes to position the head at the desired track
o Rotational delay or rotational latency
o Time it takes for the beginning of the sector to reach the head
Timing of a Disk I/O Transfer
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Disk Performance Parameters:
Access time
o Sum of seek time and rotational delay
o The time it takes to get in position to read or write
Data transfer occurs as the sector moves under the head
Disk Scheduling Policies:
Seek time is the reason for differences in performance
For a single disk there will be a number of I/O requests
If requests are selected randomly, we will poor performance
Disk Scheduling Algorithms:
First-in, first-out (FIFO)

o Process request sequentially
o Fair to all processes
o Approaches random scheduling in performance if there are many
processes
Priority
o Goal is not to optimize disk use but to meet other objectives
o Short batch jobs may have higher priority
o Provide good interactive response time
Last-in, first-out
o Good for transaction processing systems
The device is given to the most recent user so there should be little
arm movement
o Possibility of starvation since a job may never regain the head of the line
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Shortest Service Time First

o Select the disk I/O request that requires the least movement of the disk
arm from its current position
o Always choose the minimum Seek time
SCAN
o Arm moves in one direction only, satisfying all outstanding requests until
it reaches the last track in that direction
o Direction is reversed
C-SCAN
o Restricts scanning to one direction only
o When the last track has been visited in one direction, the arm is returned to
the opposite end of the disk and the scan begins again
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N-step-SCAN
o Segments the disk request queue into subqueues of length N
o Subqueues are processed one at a time, using SCAN
o New requests added to other queue when queue is processed
FSCAN
o Two queues
o One queue is empty for new requests
Disk Cache
Buffer in main memory for disk sectors
Contains a copy of some of the sectors on the disk
Least Recently Used
Least Recently Used:
The block that has been in the cache the longest with no reference to it is replaced
The cache consists of a stack of blocks
Most recently referenced block is on the top of the stack
When a block is referenced or brought into the cache, it is placed on the top of the
stack
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File Management
File management system consists of system utility programs that run as privileged
applications
Input to applications is by means of a file
Output is saved in a file for long-term storage
File System Properties:
Long-term existence
Sharable between processes
Structure
File Operations:
Create
Delete
Open
Close
Read
Write
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Terms Used with Files:
Field
o Basic element of data
o Contains a single value
o Characterized by its length and data type
Record
o Collection of related fields
o Treated as a unit
Example: employee record
File
o Collection of similar records
o Treated as a single entity
o Have file names
o May restrict access
Database
o Collection of related data
o Relationships exist among elements
Typical Operations:
Retrieve All
Retrieve One
Retrieve Next
Retrieve Previous
Insert One
Delete One
Update One
Retrieve Few
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File Management Systems
The way a user of application may access files
Programmer does not need to develop file management software
Meet the data management needs and requirements of the user
Guarantee that the data in the file are valid
Optimize performance
Provide I/O support for a variety of storage device types
Minimize or eliminate the potential for lost or destroyed data
Provide a standardized set of I/O interface routines
Provide I/O support for multiple users
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File Management Functions:
Identify and locate a selected file
Use a directory to describe the location of all files plus their attributes
On a shared system describe user access control
Blocking for access to files
Allocate files to free blocks
Manage free storage for available blocks
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File Organization
Criteria for File Organization:
Short access time

o Needed when accessing a single record
o Not needed for batch mode
Ease of update
o File on CD-ROM will not be updated, so this is not a concern
Economy of storage
o Should be minimum redundancy in the data
o Redundancy can be used to speed access such as an index
Simple maintenance
Reliability
File Organization:
The Pile
o Data are collected in the order they arrive
o Purpose is to accumulate a mass of data and save it
o Records may have different fields
o No structure
o Record access is by exhaustive search
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The Sequential File

o Fixed format used for records
o Records are the same length
o All fields the same (order and length)
o Field names and lengths are attributes of the file
o One field is the key filed
Uniquely identifies the record
Records are stored in key sequence
o New records are placed in a log file or transaction file

o Batch update is performed to merge the log file with the master file
Indexed Sequential File
Index provides a lookup capability to quickly reach the vicinity of the

desired record
o Contains key field and a pointer to the main file
o Indexed is searched to find highest key value that is equal to or
precedes the desired key value
o Search continues in the main file at the location indicated by the
pointer
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New records are added to an overflow file
Record in main file that precedes it is updated to contain a pointer to the

new record
The overflow is merged with the main file during a batch update
Multiple indexes for the same key field can be set up to increase efficiency
Indexed File
Uses multiple indexes for different key fields
May contain an exhaustive index that contains one entry for every record
in the main file
May contain a partial index
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The Direct or Hashed File

o Directly access a block at a known address
o Key field required for each record
File Directories
Contains information about files

o Attributes
o Location
o Ownership
Directory itself is a file owned by the operating system
Provides mapping between file names and the files themselves
Simple Structure for a Directory:
List of entries, one for each file
Sequential file with the name of the file serving as the key
Provides no help in organizing the files
Forces user to be careful not to use the same name for two different files
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Page 142 of 157
Two-level Scheme for a Directory:
One directory for each user and a master directory
Master directory contains entry for each user

o Provides address and access control information
Each user directory is a simple list of files for that user
Still provides no help in structuring collections of files
Hierarchical or Tree-Structured Directory:
Master directory with user directories underneath it
Each user directory may have subdirectories and files as entries
Files can be located by following a path from the root, or master, directory down
various branches
This is the pathname for the file
Can have several files with the same file name as long as they have unique path
names
Current directory is the working directory
Files are referenced relative to the working directory
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Page 144 of 157
File Sharing
In multiuser system, allow files to be shared among users
Two issues
o Access rights
o Management of simultaneous access
Access Rights:
None
o User may not know of the existence of the file
o User is not allowed to read the user directory that includes the file
Knowledge
o User can only determine that the file exists and who its owner is
Execution
o The user can load and execute a program but cannot copy it
Reading
o The user can read the file for any purpose, including copying and
execution
Appending
o The user can add data to the file but cannot modify or delete any of the
files contents
Updating
o The user can modify, deleted, and add to the files data. This includes
creating the file, rewriting it, and removing all or part of the data
Changing protection
o User can change access rights granted to other users
Deletion
o User can delete the file
Owners
o Has all rights previously listed
o May grant rights to others using the following classes of users
Specific user
User groups
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All for public files
Management of simultaneous Access:
User may lock entire file when it is to be updated
User may lock the individual records during the update
Mutual exclusion and deadlock are issues for shared access
Record Blocking
Fixed Blocking:
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Variable Blocking-Spanned:
Variable Blocking-Unspanned:
Page 147 of 157
Secondary Storage Management
Space must be allocated to files
Must keep track of the space available for allocation
Preallocation:
Need the maximum size for the file at the time of creation
Difficult to reliably estimate the maximum potential size of the file
Tend to overestimated file size so as not to run out of space
Methods of File Allocation:
Contiguous allocation
o Single set of blocks is allocated to a file at the time of creation
o Only a single entry in the file allocation table
Starting block and length of the file
o External fragmentation will occur

o Need to perform compaction
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Chained allocation
Allocation on basis of individual block
Each block contains a pointer to the next block in the chain
Only single entry in the file allocation table

o Starting block and length of file
No external fragmentation
Best for sequential files
No accommodation of the principle of locality
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Page 150 of 157
Indexed allocation
o File allocation table contains a separate one-level index for each file
o The index has one entry for each portion allocated to the file
o The file allocation table contains block number for the index
Page 151 of 157
Page 152 of 157
CASE STUDIES
LINUX FILE MANAGEMENT
Linux Virtual File System:
Uniform file system interface to user processes
Represents any conceivable file systems general feature and behavior
Assumes files are objects that share basic properties regardless of the target file
system
Page 153 of 157
Primary Objects in VFS:
Superblock object
o Represents a specific mounted file system
Inode object
o Represents a specific file
Dentry object
o Represents a specific directory entry
File object
o Represents an open file associated with a process
Page 154 of 157
UNIX File Management

Types of files:
o Regular, or ordinary
o Directory
o Special
o Named pipes
o Links
o Symbolic links
Inodes:
Index node
Control structure that contains key information for a particular file
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Page 156 of 157
Page 157 of 157

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CS0206-OPERATING SYSTEMS

CS0206 OPERATING SYSTEMS

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

COMPUTER SYSTEM OVERVIEW

Operating system goals:

Execute user programs and make solving user problems easier.

Make the computer system convenient to use.

Use the computer hardware in an efficient manner

Computer System Components:

1. Hardware provides basic computing resources (CPU, memory, I/O devices).

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Abstract View of System Components:

Operating System Definitions:

Control program controls the execution of user programs and operations of

Simple Batch Systems:

Add a card reader

Reduce setup time by batching similar jobs

Automatic job sequencing

Automatically transfers control from one job to another.

Initial control in monitor

When job completes control transfers back to monitor

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Memory Layout for a Simple Batch System:

Main Memory: Stores data and programs.

System interconnection: Some structures and mechanisms that provide for

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

The processor fetches the instruction from memory

Processor then executes instruction in the IR

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Signal sent to processor

Source and priority of interrupt are recorded

The Classes of Interrupts:

Program: Generated by some condition that occurs as a result of an instruction.

Timer: Generated by a timer within the processor.

I/O: Generated by an I/O controller.

Hardware failure: Generated by a failure such as power failure.

Interrupt is an interruption of the normal sequence of execution. After interrupt is

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Program Timing: Short I/O Wait

Program Timing: Long I/O Wait

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Multiple interrupts can occur close to one another.

To disable interrupt when executing the interrupt handler routine.

To define priorities for interrupts.

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

Contents of PC and PSW are stored automatically.

Interrupt service routine (ISR) is executed in supervisor mode.

ISR may store contents of other registers.

ISR may call other operating system routines.

Eventually contents of registers may be restored and execution continued in user

More than one process is active on a single processor

There is a ready queue of processes waiting for the processor

DEPARTMENT OF COMPUTER SCIENCE AND ENGINEERING

The Memory Hierarchy

Faster access time

Going down the hierarchy

Storage devices can be put in order of increasing capacity, namely,

o cost per bit decreases