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4. Introduction

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Operating system is a collection of programs. It is a software that

supports a computer's basic functions. It acts as an interface between
applications and computer hardware as shown below in the figure 4.1.
Examples of operating systems are Windows, Linux, MacOS, etc.

Figure 4.1 : OS Position

Operating system also does the task of managing computer

hardware. Operating system manage hardware by creating a uniform set of
functions or operations that can be performed on various classes of devices
(for instance read x bytes at address y from hard drive of any type, where x is
the number of bytes read). These general functions rely on a layer of drivers
that provide specific means to carry out operations on specific hardware.
Drivers usually are provided by the manufacturers, but the OS must also
provide a way to load and use drivers. OS must detect the device and select an
appropriate driver if several are available.

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4. Introduction
In the figure 4.2 below, OS interface is a set of commands or
actions that an operating system can perform and a way for a program or
person to activate them.

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Operating system is core software component of computer. It

performs many functions and acts as an interface between computer and the
outside world. A computer consists of several components including monitor,
keyboard, mouse, and other parts. Operating system provides an interface to
these parts through 'drivers'. This is why, when sometimes we install a new
printer or other piece of hardware, our system will ask us to install more
software called driver. A brief on device drivers is given in section 4.2.4, Device
Management.

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Operating system basically manages all internal components of

computer. It was developed to better use the computer system.

Figure 4.2 : Operating System Interfaces

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4.1 Basic Resources Managed By Operating System

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system:

Following are the basic resources that are managed by operating

Memory space (Memory management)

CPU time (Process management)

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Disk space (File system management)

Input-output device (Device management)

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4.1.a Basics Of Memory Management

Any program needs to be loaded in memory (RAM) before it can

actually execute. Random Access Memory (RAM) is a type of computer
memory that can be accessed randomly, i.e. any byte of memory can be
accessed without touching or traversing through the preceding bytes. RAM
these days is available with various storage capabilities (256MB, 512MB, 1GB,
2GB, 4GB, 6GB and 8GB sizes).
Memory management deals with managing computer's primary
memory. It decides the amount of memory to be allocated to a particular
program. It also keeps track of free or unallocated as well as allocated memory.
Memory management applies only to RAM.
The sole motto of memory management to be done by operating
system is how best to utilize the available memory. In this process we should
try to minimize fragmentation.

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4.1.a Basics Of Memory Management

i. Fragmentation

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It occurs when there are many free small blocks in memory that
are too small to satisfy any request. In computer storage, fragmentation is a
phenomenon in which storage space is used inefficiently, resulting in to
reduced capacity as well as performance. Fragmentation also leads to wastage
of storage space. The term also refers to the wasted space itself.

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There are three different types of fragmentation:

External fragmentation

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Internal fragmentation
Data fragmentation

It can be present in isolation or conjunction. When a computer

program is finished with a partition, it can put the partition back to the
computer. The size and amount of time for which a partition is held by a
program varies. During its life span, a computer program can request and free
many partitions of memory.
When a program starts, there are long and contiguous free
memory areas. Over the time and with use, these long contiguous regions
become fragmented into smaller contiguous areas. Eventually, it may become
impossible for the program to request large partitions of memory.

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i. Fragmentation
Internal Fragmentation

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Internal fragmentation is the space wasted inside the

allocated memory block because of the restriction on allowed sizes of
allocated blocks. Allocated memory can be slightly larger than
requested memory. The size difference is the memory internal to
partition but would not be used. Internal fragmentation is difficult to
reclaim. Design change is the best way to remove internal
fragmentation. For example, in dynamic memory allocation, memory
pools cut internal fragmentation by spreading the space overhead over a
larger number of objects.

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External Fragmentation

External fragmentation happens when a dynamic memory

allocation algorithm allocates some memory and a small piece is left
over which cannot be used effectively. The amount of usable memory
reduces drastically, if too much external fragmentation occurs. The total
memory space available is enough to satisfy a request but is not
contiguous and so, is wasted. Here the jargon 'external' is used to depict
that the storage that is further unusable is outside the allocated regions.
For example, consider a situation wherein a program
allocates three continuous blocks of memory and then frees the middle
one. The memory allocator can use this free block of memory for future
allocations. However, this free block cannot be used for allocation if the
memory to be allocated is larger in size than the free block. External
fragmentation also occurs in file systems as many files of different sizes
are created, size changed and deleted. The effect is even worse if a file
which is divided into many small pieces is deleted, because this leaves
almost equal small regions of free space.

Data Fragmentation

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Data fragmentation occurs when a collection of data in

memory is broken up into many pieces that are not close enough. It is
typically the result of attempting to insert a large object into storage
that has already suffered external fragmentation.

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4.1.a Basics Of Memory Management

ii. Memory Management Techniques

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Single Contiguous Allocation

Partitioned Memory Management Scheme (Refer Glossary for
scheme definition)

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Paged Memory Management

Segmented Memory Management

Single Contiguous Allocation

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Single
Contiguous Allocation is
the simplest form of
memory management. In
this type of memory
management, all memory
(with an exception of
small portion reserved for
running the operating
system) is available for a
Figure 4.3 : Single Contiguous Allocation
single program to run. So
only one program is
loaded in all available memory and so generally the rest of memory is wasted.
Simplest example of this type of memory management is MS-DOS. Advantage
of single contiguous memory allocation is, it supports fast sequential and
direct access. Provides good performance and the number of disk seek required
is minimal. Disadvantage of single contiguous memory allocation is
fragmentation.

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ii. Memory Management Techniques

Partitioned Memory Management Scheme

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This type of memory management divides primary memory into

multiple memory partitions, usually contiguous areas of memory. Memory
management here consists of allocating a partition to a job or program when it
starts and unallocating it, when job or program ends. A typical scenario of
partitioned memory management is depicted in the figure 4.4 below. This type
of memory management also needs some hardware support.

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The figure 4.4 below shows multiple memory partitions. Each

partition runs a process (Refer Glossary). Process 1, Process 2, etc. are the
processes allocated to a particular partition in memory. Once the process is
completed, partition gets empty. A is the base register address. Base register
contains the lowest memory address a process may refer to. We can get length
of a partition from Bounds register. Bounds register stores upper and lower
bounds on addresses in a time sharing environment. Time sharing
environment refers to concurrent use of computer by more than one user
users share the computers time. Time sharing is the term used synonymously
with multi-user.

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Figure 4.4 : Partitioned Memory Management

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ii. Memory Management Techniques

Partitioned memory management is further divided in to 2 types of
partitioning schemes:

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Fixed memory partitioning (Static partitioning)

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Main memory is divided into a number of static partitions

when a computer system starts. A process may be loaded into a
partition of equal or greater size. Advantage of such type of partitioning
is that it is simple to implement and has a little operating system
overhead. Disadvantages are inefficient use of memory due to internal
fragmentation. Also maximum number of active processes is fixed.

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Variable memory partitioning (Dynamic partitioning)

Such partitions are created dynamically so that each

process is loaded into a partition of exactly the same size as that
process. Advantage of such type of partitioning is that there is no
internal fragmentation. Also main memory is used more efficiently.
Disadvantage is inefficient use of processor due to the need for
compaction to counter external fragmentation.

For further details on types of partitioning please refer below link:

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ii. Memory Management Techniques

Paged Memory Management

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This type of memory management divides computer's primary

memory into fixed-size units known as page frames. The program's address
space is divided into pages of the same size. Usually with this type of memory
management, each job runs in its own address space. Advantage of paged
memory management is that there is no external fragmentation. But on the
contrary there is a small amount of internal fragmentation.

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Below is the Illustration representing paged memory

management. It depicts how logical pages address in memory can be mapped
to physical address. The operating system uses base address as a measure to
find addresses. Base address means starting address of a particular memory
block. According to the program written, CPU generates address. In this case,
address generated by CPU is called logical address. This address is added to
base address so that it forms physical address. To translate a logical address
into corresponding physical address, we need to divide the logical address into
page number and offset. Offset refers to a value being added to base address to
produce a second address.
For example, if B represents address 200, then the expressions,
B+10 would signify the address 210. 10 in expression is the offset. To specify
addresses using an offset is called relative addressing because the resulting
address is relative to some other point. Offset is also known as displacement.
In figure below, p represents page number and d is the offset. We use page
number as index to page table and the entry gives corresponding frame
number. 'f' in page table represents frame number. Frame number is
concatenated with the offset to get a corresponding physical address.

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Figure 4.5 : Paged Memory Management

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ii. Memory Management Techniques

Segmented Memory Management

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Segmented memory means, the division of computer's primary

memory into segments or sections as shown in figure 4.6. In this type of
memory management, there is reference to a memory location that includes a
value . This value identifies a segment and an offset within that segment. We
may create different segments for different program modules, or for different
types of memory usage such as code and data segments. Certain memory
segments may even be shared between programs. Segmented memory does not
provide user's program with a linear and contiguous (or continuous) address
space. Linear address space is a memory addressing scheme used in
processors where the whole memory can be accessed using a single address
that fits in a single address or instruction.

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Segments are areas of memory that usually correspond to a

logical grouping of information such as code procedure or a data array (Refer
Glossary). Segmentation allows better access protection than other memory
management schemes because memory references are relative to a specific
segment and hardware will not permit the application to reference memory not
defined for that segment. It is possible to implement segmentation with or
without paging.
Segmentation With Paging has the following advantages:

1.

Paging eliminates external fragmentation. As a result it provides

efficient use of main memory.

2.

Segmentation which is visible to the programmer, includes strength of

paging. It has the ability to handle growing data structures,
support for sharing, and modularity, and protection.

To combine fragmentation and paging, a user's address space is

broken into a number of segments. Each of these segments in turn is broken
into fixed-size pages. If size of a segment is less than a page in length, then the
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segment occupies just one page.

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Figure 4.6 : Segmented Memory Management

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4.1 Basic Resources Managed By Operating System

4.1.b Process Management

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CPU has multiple processes running at a time. CPU always has

certain programs scheduled in a queue waiting for their turn to execute. These
all programs must be scheduled by operating system.

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Operating system must allocate resources to processes, enable

processes to exchange and share information, enable synchronization among
processes, and protect resources of each process from other processes.
Synchronization means the coordination of events or processes so that a
system operates in unison.
Process creation involves four principle events:

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System initialization or start up. When an OS is booted,

typically several processes are created.
A process is run to execute a process creation system call. Most
of the times, a running process will issue system calls to create
one or more new processes to help it do its job. Creation of new
processes is useful when the work to be done can be easily
formulated as several related, but otherwise independent
interacting processes.
Request to create a new process is issued by user. In interactive
systems, users can start a program by clicking or double
clicking the icons or thumbnails or even by typing a command
on command prompt.
Batch job initiation. Users can submit batch jobs to the system
(most of the times, remotely). When OS knows that it has the
resources to run another job, a new process is created and the
next job is run from the input queue.
Several processes are created when an operating system boots.

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Some of them are foreground processes while others are the background
processes. Foreground processes interact with a user and perform work for
users. In multiprocessing environment, the process that accepts input from the
keyboard or other input device at a particular point in time is at times called
the foreground process. This means that any process that actively interacts
with user is a foreground process. Background processes are the processes
which are not associated with a particular user, but instead have some specific
function to be performed. For example email notification is an example of
background processes. System clock displayed at the bottom right corner of
status bar in windows is another example of background process.

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4.1.b Process Management

User logs off

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Some of the common reasons for process termination are:

A service request to terminate is executed by process

Error and fault conditions

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Normal completion

Time limit exceeded

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Memory unavailable
I/O failure

Fatal error, etc.

Figure 4.7 on next page contains great deal of information.

Let us consider a running process 'P' that issues an input-output

request
The process blocks.
Thereafter, at certain point of time later, a
disk interrupt occurs and the driver detects
that P's request is satisfied.
P is unblocked, i.e. the state of process P is
changed from blocked to ready.
Later, at some point of time, the operating
system looks for a ready job to run and picks

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the process/job P from the queue.

A preemptive scheduler in figure 4.7 below has the dotted line
'Preempt'; where as a non- preemptive scheduler doesn't.
The number of processes change for two arcs namely, create
and terminate.
Suspend and resume are a part of medium term scheduling
It is done on a bit longer time scale.

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It involves memory management as well.

It is also known as two level scheduling.

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4.1.b Process Management

1.

Preemptive scheduling:

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There are 2 types of scheduling:

Non preemptive scheduling:

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2.

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In a computer, tasks are assigned priorities. At times it is

necessary to run a certain task that has high priority before another task
(even if the task is in running state). Therefore, the running task is
interrupted for some time, put to either blocked or suspended state and
resumed later, when the priority task has finished its execution. This
process is called preemptive scheduling.

In non-preemptive scheduling, a running task executes till it

completes fully. It cannot be interrupted. That means when a process
enters the running state, it cannot be deleted from the scheduler until it
finishes its service time.

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Figure 4.7 : Process Management

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The figure 4.7 above shows various states of a process. Initially

the process is created. Once created, it goes to the ready state. Ready state
means the process is ready to execute. It has been loaded into the main
memory and is waiting for execution on a CPU. There can be many ready
processes waiting for execution at a given point of time. A queue of processes
which are ready to execute gets created in memory. One of the processes from
that queue is picked up for execution and its state gets changed to running. A
running process can be blocked. Blocked state means a process is blocked on
some event.

A process may be blocked due to various reasons such as when a

particular process has exhausted, the CPU time allocated to it, it is waiting for
an event to occur. Blocked process can either move to ready state or can move
to suspended state. In systems that support virtual memory, a process may be
swapped out, that is, it would be removed from main memory and would be
placed in virtual memory by the mid-term scheduler. This is called suspended
state of a process. From here the process may be swapped back in to the ready
state. Such state is called ready suspended state. Process that are blocked may
also be swapped out. Such a state of process where a process is both swapped
out and blocked is called blocked suspended state. Suspended processes can
be sent back to ready state only once they are released. This cycle continues till
a process finishes its execution i.e. terminated. A process may be terminated
from the running state by completing its execution or can be killed explicitly. In
either of these cases, we say that the process is terminated.

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4.1 Basic Resources Managed By Operating System

4.1.c File System Management

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Computer contains numerous files. They need to be organized in

a proper way so that we can keep track of those files. File retrieval should be
easier as well as faster. File system management helps us achieve this.

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File system manager is used by the operating system to do file

system management. File system manager organizes and keeps track of all the
files and directories on secondary storage media.

Figure 4.8 : File System Management

Figure 4.8 above shows a typical hierarchical file system
structure. Operating system keeps track of following tasks for providing
efficient file management:
It is able to identify numerous files by giving unique names to
them.
It maintains a list to keep track of exact file location.
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Provide fast and simple algorithms to write and read files in cooperation with device manager.
Grant and deny access rights on files to programs and users.
Allocate and de-allocate files so that files can be processed in cooperation with process manager.
Provide programs and users with simple commands for
handling files.

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4.1.c File System Management

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On storage medium, file gets saved in blocks or sectors. To access

these files, file manager and device manager works together. The device
manager knows where to find each sector on disk, but only file manager has a
list telling in what sectors either file is stored. This list is called File Allocation
Table (FAT). FAT has been in use under DOS for a long time. Some of its
alterations are still used by Win95 and Win98.

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Below are the different ways of allocating files:

Contiguous file allocation:

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In this type of file allocation, at the time of file creation, a

single set of blocks is allocated to a file. Each file is stored contiguously
in sectors, one sector after another. The advantage is that the File
Allocation Table has a single entry for each file, indicating the start
sector, the length, and the name. Moreover, it is also easy to get a single
block because its address can be easily calculated. The disadvantage
may be that it can be difficult to get a sufficiently large block of
contiguous blocks. Contiguous file allocation is now a days only used for
tapes and recordable CDs.
Non-contiguous file allocation:
With this type of allocation, all blocks of a file can be
distributed all over the storage medium. The File Allocation Table (FAT)
lists not only all files, but also has an entry for each sector the file
occupies. As all information is stored in the FAT, and there is no
assumption on the distribution of the file, this method of allocation, at
times, is also known as FAT.
The advantage is that it is very easy to get a single block,
because each block has its entry in the FAT. Also, it is a very simple
allocation method where no overhead is produced and no search method

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for free blocks is needed. The disadvantage is that FAT can grow to an
enormous size, which can slow down the system. Compaction would be
needed time to time. This type of file allocation is used for disk
allocation in MS-DOS.
Chained allocation:

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With chained file allocation only the first block of file gets
an entry in the FAT. A block has sectors in it. Of these, the first sector
has got data as well as a pointer at its end that points to the next sector
to be accessed after it (or indicates that it was the last). That means each
sector (if it is not a last sector) has got a pointer at its end pointing to the
next sector that should be accessed. The advantage again is that the FAT
has a single entry for each file, indicating position of the first sector and
file name. There is no need to store the files contiguously.

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The disadvantage of chained allocation is that it takes

much time to retrieve a single block because that information is neither
stored anywhere nor can it be calculated. If we want to access a
particular sector, all preceding sectors have to be read in order one after
another. This way, the information about location of the next block is
identified. Unix i-node is an example of this type of allocation. i-nodes
are data structures (Refer Glossary) of a file system used to store all the
important properties of each file: owner's group id and user id, access
permission on that file, size of the file and more. Unix i-node is an
operating system which has i-nodes as its data structure.
Indexed allocation:

With indexed file allocation also only the first block of file
gets an entry in the FAT. In the first sector, no data is stored. It has only
pointers to where the file is on storage medium. That is why the first
block is known as the index block. It just contains the pointers or index
to file location on a storage medium. Here also the FAT will only contain
a single entry for each file, indicating file name and position of the first
sector. It is easy to retrieve a single block because the information about
its location is stored in the first block.
The disadvantage of indexed allocation is that for each file
an additional sector is needed to keep track of the location of a file. A
very small file also always occupies at least two blocks, where as the
data could have easily fit in one block. This results in secondary storage
space wastage. Indexed allocation is implemented in all UNIX systems.
It is reliable as well as fast. Also, now-a-days, the wastage of storage

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space does not matter much.

The main concern of file system management is to provide a
strategy that lets the FAT not to grow too large and that makes it possible to
retrieve a special sector of file such that the storage space is not wasted much.

Es
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el

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4.1 Basic Resources Managed By Operating System

4.1.d Device Management

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Operating system also deals with device management, specially

input and output devices. In a multi-user system, there are shared devices like
printer, scanner, etc. Management of these devices by sending them
appropriate commands is the major task of operating system.

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A software routine which knows how to deal with each device is

called a driver and operating system requires drivers for the peripherals
attached to computer. When a new peripheral is added, device driver is
installed in to the operating system.

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Operating system also deals with the access time of these devices.
It helps make the device access fast and in the most efficient way possible.
Major concern of operating system in device management is to
prevent dead lock situation.

Dead Lock

Figure 4.9 : Dead Lock

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Above diagram depicts a typical dead lock situation, that serially

used devices can have. Dead lock is a situation where each set of processes is
waiting for an event that only other process in the set can cause.
For example, in the above diagram, Process Task 1 requests a
mutex or lock on object which is already held by Process Task 2. In turn,
Process Task 2 needs a resource to complete its process which is already held
by Process Task 1. So neither of the processes are releasing their resources or
mutex and waiting for another process to release a mutex so that they can get it
to complete its pending task. This situation would cause an indefinite wait for
processes leading to a situation known as dead lock.

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Mutex is the short form for Mutual Exclusion Object. A mutex is a

logical unit. It is a program object that allows multiple program threads to
share the same resource, but not simultaneously. File access is an example of
mutex. A mutex with unique name is created when the program starts. Mutex
must be locked by a thread that needs the resource. When data is no longer
needed, the mutex is set to unlock.

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OS helps in dealing with dead lock situation up to a certain

extent. Below are some of the strategies for dealing with deadlock:
Ostrich algorithm, i.e. ignoring the problem altogether. Ostrich
algorithm is a strategy of ignoring potential problems on the
basis that they may be exceedingly rare. Ostrich algorithm
assumes that ignoring the problem would be more cost-effective
as compared to allowing the problem to occur and then attempt
for its prevention. It may occur very infrequently. This can be
followed if cost of detection/prevention is not worth the time and
cost spent.
Detection and Recovery.
Avoiding deadlock by careful resource allocation.
Prevention of deadlock by structurally negating one of the four
necessary conditions.
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4.2 Resource Sharing Management

4.2.1 Multiplexing

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The primary task of operating system as discussed above is to

keep track of resources like memory, CPU utilization, storage device, and input
output devices, to grant resource requests, to mediate conflicting requests
from different programs, etc.

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Multiplexing is a method by which multiple analog data

signals/digital data streams are combined into one signal over a shared
medium. Multiplexing is used to share an expensive resource and thus help
reduce the cost.

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Communication channel is used for transmission of a

multiplexed signal. This channel may be a physical transmission medium.
Multiplexing basically works on the principle of division of signals. It divides
the capacity of the high level communication channel into several low level
logical channels. Each of these low level logical channel maps to each message
signal or data stream to be transferred. A reverse of this process is known as
demultiplexing. Demultiplexing can extract the original channels or signals on
the receiver side.
A device that performs the task of multiplexing is called a
multiplexer (MUX), and a device that performs the task of demultiplexing is
known as a demultiplexer (DEMUX).

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4.2.1 Multiplexing
Resource management basically includes multiplexing the
resources in two ways:

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Time Multiplexing

Space Multiplexing

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When a particular resource is time multiplexed, different

programs or users get their turn to use that resource one after another. Turns
for resource usage are decided as per the predefined operating system
algorithm. Printer is one of the best examples of in-time multiplexing. In a
network printer, different users get their turn to use the printer one after
another based on time.

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When a particular resource is space multiplexed, the resource is

shared equally in the available space. Time period for which a particular
resource is used does not matter anymore. That is each one gets a part of the
resource. Hard disk, main memory, etc are some of the examples of space
multiplexing. These resources are most of the times divided equally between
all the users.
To summarize, operating system is one of major programs,
without which it would be almost impossible for us to access the computer as
we are accessing it these days. Without operating system, computer would be
nothing but a monitor executing binary and machine language data.

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Introduction to Computer Systems

Introduction to Computer
Technology

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Glossary
Term
used

Description
Scheme in document refers to techniques.

Process

Job or a program that executes in memory.

Array means an ordered list of items. When data is

arranged in an ordered way, it is called data array.

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Data
array

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Scheme

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Data structure is a particular way of storing and

Data
organizing data in a computer so that it can be used
structure
efficiently.

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