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CONTENTS

Chapter 1: Fundamentals of Computer 3

Chapter 2: Computer Software 31

Chapter 3: Computer number System 68

Chapter 4: Data Base management System 104

Chapter 5: Information System 137

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FUNDAMENTALS OF COMPUTER

Structure of the Chapter

 Computer and its characteristics
 Components of computer
 Instruction cycle
 Computer hardware and peripherals
 Types of software
 Generations of computer
 Types of computer
 Computer memory

Objectives
After completion of this unit you should be able to

 Understand Von Neumann Architecture

 Understand how execution of programs take place in computer
 Differentiate between system software and application software
 Understand generation wise development of computer
 Differentiate between different types of memory used by a computer

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Introduction

Computer is an advanced electronic device that takes raw data as input from the user and
processes these data under the control of set of instructions (called program) and gives the
result (output) and saves output for the future use. It can process both numerical and non-
numerical (arithmetic and logical) calculations. A computer has four functions:

a. Accepts data (Input)

b. Processes data (Processing)
c. Produces (Output)
d. Stores results (Storage)

Input (Data): Input is the raw information entered into a computer from the input devices. It
is the collection of letters, numbers, images etc.

Process: Process is the operation of data as per given instruction. It is totally internal process
of the computer system.

Output: Output is the processed data given by computer after data processing. Output is
also called as result. We can save these results in the storage devices for the future use.

Input Process Output

Fig 1.1 Transformation Process

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Characteristics of Computer:

Computer is a versatile device. It can be designed to do any kind of activity provided all data
and instructions are made available to it in digital form. The important characteristics of
computer are:

 Speed: Modern computers have incredible speed of processing. Computer

speed is measured in units of millisecond (one thousandth of a second),
microsecond (one millionth of a second), nanosecond (one billionth of a
second), and pico-second (one trillionth of a second). Advanced computers,
including recent microcomputers called super microcomputers, operate in
nanoseconds and can carry out millions of instructions per second (MIPS).

 Accuracy: Computer can ensure very high degree of accuracy in computations. It

processes data according to the sequence of instructions. Hence, if input data and
procedures are correct, the output will be consistently accurate.

 Huge storage and fast retrieval: Computer has huge storage capability. For a
personal computer, 128 MB RAM is almost a standard toady. The main memory can
be upgraded further by inserting RAM chips that are available in modules of 64 MB,
128 MB and so on. Cache memory is also available in Pc. Cache memory is faster
access memory device and hence it improves processor performance. Secondary or
auxiliary storage devices are used for permanent storage. Modern computers have
enormous secondary storage capacity, e.g., a PC hard disk can store more than 80
GB of data. Pen drives, DVDs, CD-ROMs, CD-Rs, magnetic tapes etc. are other
secondary storage devices. A CD-ROM can store 650 MB and more of data on a
single disk.

 Versatility: Initially computer was designed to carry out only arithmetic operations.
By regular Upgradation now computer can perform multiple activities. They are
capable of performing almost any task that has a series of finite logical steps.
Computers can be used for communications, process control, research, weather
forecasting, healthcare, online trading, education, training, defense applications and
so on.

 Free from fatigue: Computer is free from fatigue. It does not get tired of work and
never loses concentration. It can perform basic arithmetic operations with the same
degree of speed and accuracy for any extent of time continuously, with the same
amount of efficiency as the first transaction. That enhances the usability of
computer. Huge volume of calculations can be done on computers without any fear
of loss of data.

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 Programmable: Computer can be programmed to function automatically and this

differentiates it from any other calculation device. It functions as programmed for
any stretch of time until the condition to terminate is satisfied.

 Networking capability: Computers can be interconnected into a network. Network

in turn can be connected to other networks. Networks extend the capability of
computers. The networks provide the basic infrastructure for electronic
communications, electronic commerce, online trading and information services.

Components of Computer

As per Charles Babbage’s basic structure of computer have components to receive inputs,
process inputs and communicate the outputs with users. The system is organized as follows:

Central Processing Unit (CPU): CPU is the most important component of a computer. It
typically consists of a control unit (CU), arithmetic and logical unit (ALU) and a primary
storage. CPU is the brain of a computer and all processing takes place in the CPU.

• Von Neumann Architecture: Model for designing and building computers, based on
the following three characteristics:

1) The computer consists of four main sub-systems:

• Memory
• ALU (Arithmetic/Logic Unit)
• Control Unit
• Input / Output System (I/O)
2) Program is stored in memory during execution.
3) Program instructions are executed sequentially

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Key board, CRT, Printers,

mouse, scanner, ALU CU Audio response
voice systems
recognition
system
Primary memory

RAM, ROM, Cache,

registers

Magnetic tape,
magnetic disc,
optical disk

Fig 1.2: Organization of computer

Primary memory

Random Access Memory (RAM) Read Only Memory (ROM)

Arithmetic Logical Unit

Register 1 Register 2 ……………………… Register n

…
Control Unit

Instruction Table of operation code

Fig 1.3: Central Processing Unit

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The functions of components of CPU are as follows:

Primary Memory: A memory or a storage space is required in a computer to store

programs and the data processed by programs. The main memory is made up of a large
number of cells with each cell capable of storing one bit. The cells may be organized as a set
of addressable words, each word storing a string of bits. The main memory provides random
access.
The main memory is divided into Random Access Memory (RAM) and Read Only Memory
(ROM).

 RAM is dynamic and volatile.

 ROM is read only memory and this memory cannot be erased and rewritten. That is,
ROM is non-volatile.

Arithmetic Logic Unit (ALU): ALU does all the arithmetic and logical operations.
Arithmetical operations involve manipulation of numerical data such as addition,
subtraction, division and multiplication. Logical operations compare relative magnitudes of
two numeric, alphabetic or alphanumeric data items such as greater than, less than, and
equal to.

Typical Schematic Symbol of an ALU

• A and B: the inputs to the ALU

R: Output or Result
• F: Code or Instruction from the Control Unit (aka as op-code)
• D: Output status; it indicates cases such as:

• carry-in
• carry-out,
• overflow,
• division-by-zero
• And . . .

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Fig 1.4: ALU

Function of ALU: An ALU performs basic arithmetic and logic operations. Examples of
arithmetic operations are addition, subtraction, multiplication, and division. Examples of
logic operations are comparisons of values such as NOT, AND, and OR. All information in a
computer is stored and manipulated in the form of binary numbers, i.e. 0 and 1.
Transistor switches are used to manipulate binary numbers, since there are only two
possible states of a switch: open or closed. An open transistor, through which there is no
current, represents a 0. A closed transistor, through which there is a current, represents a 1.
Operations can be accomplished by connecting multiple transistors. One transistor can be
used to control a second one, in effect turning the transistor switch on or off depending on
the state of the second transistor. This is referred to as a gate, because the arrangement can
be used to allow or stop a current.

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Control Unit (CU): The control unit controls and co-ordinates all the operations of the CPU
and peripheral devices. Its functions are to ensure that the program instructions are carried
out in the desired sequence and to control and co-ordinate the flow of data between the
CPU and the input-output devices.

Fig 1.5: Flow of data and control in Computer System

The Instruction Cycle: The Instruction Fetch Execute Cycle is one of the most important
mental models of computation as aptly put by Prof. Rockford Ross. This embodies the basic
principle of how all modern processors work. This functional model has remained more or
less the same over the decades no matter how and when the development of processors
have taken place ever since the days of Von Newmann architecture to today’s Super
computers.

The principles are fairly simple and can be easily generalized to any processor or Operating
System. It further proceeds to explain what happens when a computer is first switched on till
the time it is ready to accept instructions from the user.
Once a computer has been powered on it performs a continuous cycle of the following:

a. Fetch next instruction from memory

b. Decode the instruction

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c. Execute the instruction

An instruction as the name instructs the computer what to do. In simple terms, every line of
a program that we as users write instructs the computer to perform a series of operations.
We may argue that our programs comprise of the instructions belonging to one of those of
the High Level Languages like C, C++, Java etc. A computer understand these high level
instructions by converting them into a machine understandable form known as machine
language comprising of 1’s and 0’s. Thus the following instruction in C

int cnt;
cnt = cnt +2;
may get translated into the corresponding machine language as:

000101010101111101010101010000000111111…..

Users would not be able to understand this machine language. To make better sense we
resort to Assembly Language where each machine language instruction is assigned a code
known as a mnemonic. So instead of remembering some string of 0's and 1's, the
programmer would only need to remember short codes like ADD, MOV etc.

e.g. mov al, 21

The above mnemonic means to move the value of the hexadecimal number 21 into a
register called al. These mnemonics are in turn converted into machine instructions.

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The Instruction Cycle - Basic View

Once the computer has been started (bootstrapped) it continually executes instructions
(until the computer is stopped). Different instructions take different amounts of time to
execute (typically). All instructions and data are contained in main memory.

Start

Fetch instruction

Execute instruction

Fig 1.6: Instruction cycle basic view

The Instruction Cycle - Intermediate View

A complete instruction consists of operation code, addressing mode, zero or more operands
immediately available data (embedded within the instruction), the address where the data
can be found in main memory

Start

Fetch instruction

Decode instruction

Fetch operand

Execute instruction

Fig 1.7: Instruction cycle intermediate view

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Instruction Fetch Execute Cycle: A more complete form of the Instruction Fetch Execute
Cycle can be broken down into the following steps:

1. Fetch Cycle: The fetch cycle begins with retrieving the address stored in the Program
Counter (PC). The address stored in the PC is some valid address in the memory
holding the instruction to be executed. (In case this address does not exist we would
end up causing an interrupt or exception).The CPU completes this step by fetching
the instruction stored at this address from the memory and transferring this
instruction to a special register – Instruction Register (IR) to hold the instruction to
be executed. The program counter is incremented to point to the next address from
which the new instruction is to be fetched.

2. Decode Cycle: The decode cycle is used for interpreting the instruction that was
fetched in the Fetch Cycle. The operands are retrieved from the addresses if the
need be.

3. Execute Cycle: This cycle as the name suggests, simply executes the instruction that
was fetched and decoded.

4. Interrupt Cycle: An interrupt can occur any time during the program execution.
Whenever it is caused, a series of events take place so that the instruction fetch
execute cycle can again resume after the OS calls the routine to handle the
interrupt. Therefore, when an interrupt occurs, the following steps are performed by
the OS:
 Suspend the execution of current instruction

 Push the address of current instruction on the system stack

 Loading the PC with the address of the interrupt handler. This starts the
Instruction Fetch Execute cycle again for the instructions in the Interrupt
handler.

 Set the mode of operation as a privileged one often termed as the Supervisor
mode so that the OS can execute the handler.

 Once the OS completes the execution of the interrupt handler, the address of
the next instruction to be executed is obtained from popping the value of the
address in the stack. The suspended instruction can now continue with its
execution.
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Structure of the Control Unit:

 PC (Program Counter): stores the address of next instruction to fetch

 IR (Instruction Register): stores the instruction fetched from memory
 Instruction Decoder: Decodes instruction and activates necessary circuitry

PC IR

+1 Instruction Decoder

Fig 1.8: structure of the control unit

Program Execution:
 PC is set to the address where the first program instruction is stored in memory.
 Repeat until HALT instruction or fatal error
Fetch instruction
Decode instruction
Execute instruction
 End of loop

Fetch phase
 PC --> MAR (put address in PC into MAR)
 Fetch signal (signal memory to fetch value into MDR)
 MDR --> IR (move value to Instruction Register)
 PC + 1 --> PC (Increase address in program counter)

Decode Phase
 IR -> Instruction decoder (decode instruction in IR)
 Instruction decoder will then generate the signals to activate the circuitry to carry
out the instruction

Execute Phase
 Differs from one instruction to the next.

Example:
 LOAD X (load value in addr. X into register)
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• IR_address -> MAR

• Fetch signal
• MDR --> R

Instruction Set for Our Von Neumann Machine (ADD X)

Opcode Operation Meaning

0000 LOAD X Con(X) -> R
0001 STORE X R-> Con(X)
0010 CLEAR X 0-> Con (X)
0011 ADD X R+ Con(X) -> R
0100 OUT X Output in decimal notation, content of memory
location X
0101 HALT Stop program execution

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Computer System

All of the components of a computer system can be summarized with the simple equations.

Computer System

Hardware Software User

Fig 1.9: computer system

COMPUTER SYSTEM = HARDWARE + SOFTWARE+ USER

Hardware: the term hardware refers to all physical parts of the computer (or everything that
we can touch) are known as Hardware.

Hardware = CPU + Peripheral Devices

The basic components of hardware are as follows:

Hardware

Central Peripheral Device

Processing
Unit

Output
Input Secondary
Control Arithmetic Main devices
devices storage
Unit Logic Unit Memory

Fig 1.10: Computer Hardware

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Computer peripherals: The input/output and storage devices surround the central
processing unit (CPU). Hence, they are called the peripheral devices. They are usually the
electromechanical devices connected to the CPU that exchange data and programs with the
CPU. The users interact with the CPU through these devices. Thus, they act as interface
between users and the CPU. The CPU uses machine language, which is difficult for most
users. The input- output (1/0) devices help in taking the translated version of the input to
the machine's memory and similarly, to render the processed symbols into the language of
the user.

Input devices: Input devices allow the user to input data and instructions to the computer.
There are a variety of input devices. Direct entry of data generally requires a keyboard. It
may also use other devices for direct data entry like a touch sensitive screen, voice
recognition system and scanners. The popular input devices are as follows:

Keyboard: Keyboard is the most popular input device for direct entry of data and
instructions into computer. The standard QWERTY keyboard is used for computer. The
enhanced keyboard has 101 keys. In addition to them, the computer keyboard usually has
special keys like PageUp, PageDown, Print Screen etc. The computer keyboard is very much
like the electronic typewriter keyboard. But it has additional keys. Computer keyboard has
three types of keys:
 Alphanumeric keys for typing character and numeric data
 Punctuation keys like comma, period colon, semicolon, question mark etc.
 Special keys like function keys, control keys, arrow keys, caps lock etc.

The keyboard is linked to the CPU and it is also linked to the computer screen so that the
data entered into the memory can be seen by the user as he types in the data.

Mouse: A mouse is a small hand-held 'point and click' device that is connected to the CPU
through a cable. With the adoption of Graphical User Interface technology, mouse became
an essential input device for computer later in the 1980's. There are three types of mouse:
 mechanical,
 optomechanical
 optical.

Light Pen: Light pen consists of a stylus connected by a cable to the computer terminal.
When the stylus is brought into contact with the screen, a dot appears there on the
screen. By moving the stylus on the screen, lines and curves can be drawn on the screen
that can be stored and used as input.

Scanners: Scanners are direct-entry input devices. As the data entry is automatic, the
scanners ensure more accurate data entry. These scanners include optical scanners and
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magnetic ink character readers. The optical scanners use light for sensing input and they
include OCR, OMR and Barcode reader.

 Optical Mark Reader (OMR) reads the presence or absence of a mark on a paper
optically. Light is directed on to the paper and the reflected light is analyzed for the
detection of a mark. If a mark is there on the surface of the paper, that area sends
back lesser light are to the OMR. It is used to read multiple choice answers in a test
and the data are transferred to a computer for processing.

 Optical Character Reader detects shape, and can identify characters. It can examine
each character as if it were made up of a collection of minute spots. Once the whole
character has been scanned, the pattern detected is matched against a set of
patterns stored in the computer. The pattern that matches or nearly matches is
taken to be the character read. Patterns that cannot be identified are rejected. It is
used in mail sorting and credit card billing.

Output devices: Output devices return processed data that is information, back to the user.
Some of the commonly used output devices are:

 Monitor (Visual Display Unit): Out of all the output devices, monitor is perhaps the
most important output device because people interact with this device most
intensively than others. Computer information is displayed, visually with a video
adapter card and monitor. Information processed within the CPU, that needs to be
visually displayed, is sent to video adapter. The video adapter converts information
from the format used, in the same manner as a television displays information sent
to it by a cable service. Two basic types of monitors are used with microcomputers:

o Cathode Ray Tube (CRT): CRT or Cathode Ray Tube Monitor is the typical
monitor on a desktop computer. It looks a lot like a television screen, and
works the same way. This type uses a large vacuum tube, called cathode ray
tube (CRT).

o Liquid Crystal Displays (LCD): This type of monitors are also known as flat
panel monitor. Most of these employ liquid crystal displays (LCDs) to render
images.

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 Printer: After a document is created on the computer, it can be sent to a printer for
a hard copy (printout). Some printers offer special features such as colored and large
page formats. Some of the most commonly used printers are:

o Laser Printer: A laser printer produces high quality print that one normally
finds in publishing. It is extremely fast and quiet. Moreover, the operation of
a laser printer is easy with automatic paper loading and no smudging or
messing up of ink ribbons. Laser Printer can print up to 200 pages per
minute in monochrome (black and white) and up to 100 pages per minute in
colour.

o Ink-Jet Printer: An ink-jet printer: creates an image directly on paper by

spraying ink through as many as 64 tiny nozzles. Although the image it
produces is not generally quite as sharp as the output of a laser printer, the
quality of ink-jet images is still high.

o Dot Matrix Printer: The dot matrix printer was very popular at one point of
time. It is a very versatile and inexpensive output device. In dot matrix
printer the print head physically "hits" the paper through the ribbon and
produces text (or images) by combinations of dots; hence the name dot
matrix printer. Its speed is measured in characters per second (CPS).
Although it is less expensive, it is louder, slower and produces lower print
quality.

o Line Printer: A line printer is generally used with large computer systems to
produce text based data processing reports. Line printers are high-speed
printers with speeds ranging anywhere from 100 to about 3800 lines per
minute. In the past, print quality on line printers was not high.
Developments in technology are improving the print quality on line printers.
These are in the cost range of lakhs of Rupees.

 Plotter: A plotter is a special kind of output device that, like a printer, produces
images on paper, but does so in a different way. Plotters are designed to produce
large drawings or images, such as construction plans for buildings or blueprints for
mechanical objects. A plotter can be connected to the port normally used by a
printer. An array of different colored pens in a clip rack and a robotic arm is part of
plotter. The instructions that a plotter receives from a computer consist of a color,
and beginning and ending coordinates for a line. With that information, the plotter
picks up the appropriate pen through its arm, positions it at the beginning
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coordinates drops the pen down to the surface of the paper and draws to the ending
coordinates. Plotters draw curves by creating a sequence of very short straight lines.
Plotters usually come in two designs:
o Flat Bed: Plotters of small size to be kept on table with restriction of paper
size.
o Drum: These plotters are of big size using rolls of paper of unlimited length.

Software: Computer cannot do anything on its own. It is the user who instructs computer;
what to do, how to do and when to do. In order to perform any task, asset of instructions
needs to be given to the computer in a particular sequence. These sets of instructions are
called Programs. Software refers to a set of programs that makes the hardware perform a
particular set of tasks in particular order. Software can be classified mainly into following
categories and sub-categories:

 System Software: When you switch on the computer the programs stored in ROM
are executed which activates different units of your computer and makes it ready
for you to work on it. This set of programs can be called system software. System
software are sets of programs, responsible for running the computer, controlling
various operations of computer systems and management of computer resources.
Operating System (OS) falls under this category. An operating system is a system
software that provides an interface for a user to communicate with the computer,
manages hardware devices (disk drives, keyboard, monitor, etc), manages and
maintains disk file systems and supports application programs. Some popular
Operating systems are UNIX, Windows and Linux. Although operating system
provides all the features users need to use and maintain their systems, inevitably,
they still do not meet everyone’s expectations. This has led to another type of
system software called "Utilities". These are programs that bridge the gap between
the functionality of an OS and the needs of users. Utility programs are a broad
category of software such as compress (zip)/uncompress (unzip) files software,
antivirus software, split and join files software, etc

 Application Software: Application software is a set of programs, which are written

to perform specific tasks, for example: An application package for managing library
known as library information system is used to manage information of library such
as: keeping book details, account holder details, book issue details, book return
details etc. Another application package for managing student details is called
student’s information system, manages student’s roll no, name, parents name,

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address, class, section, processing of examination results etc. Application software

can be broadly classified into two types:

o Generalized packages: Generalized Packages are user friendly softwares

written to cater to user’s very general needs such as preparing documents,
drawing pictures, database to manage data/information, preparing
presentations, play games etc. It is a group of programs that provide
general purpose tools to solve specific problems. Some of the generalized
packages are listed below:
 Word Processing Software(for preparing documents): Word
Perfect, MS-Word, OpenOffice.org Writer

 Spreadsheets: Lotus Smart suites, MS excel, OpenOffice.org Calc,

Apple Numbers

 Presentations : Presentation Graphics, MS-PowerPoint,

OpenOffice.org Impress

 Database Management System: MS-Access, OpenOffice.org Base,

MS-SQL Server, ORACLE

 Graphics Tools: Paint shop pro, Adobe Photoshop

o Customized packages: These are the applications that are customized (or
developed) to meet the specific requirements of an
organization/institution. For example: Student information details, Payroll
packages, inventory control etc. These packages are developed using high-
level computer language.

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Generations of Computer:

Based on the characteristics of various computers developed from time to time they
are categorized in five generations.

 First Generation (1951-1959): first generation computers are characterized by

vacuum tubes which burned out very rapidly. These computers used machine
language or 0s and 1s. This generation also used magnetic tape. The technology
which was used in first generation computers is called vacuum tubes, the processing
was very slow and the size was very large. The first generation of computers are
characterized by:

o Vacuum tube technology

o Unreliable

o Supported Machine language only

o Very costly

o Generate lot of heat

o Slow Input / Output device

o Huge size

o Need of A.C.

o Non-portable

o Consumed lot of electricity

Some computers of this generation were:

o ENIAC

o EDVAC

o UNIVAC

o IBM-701

o IBM-650

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Second Generation (1959 – 1963): The second generation of computers used transistors
for the internal operations. They used magnetic core for the memory. These machines used
assembly language. The technology which was used in second generation computers is
called transistors, the processing was faster compared to first generation and the size was
smaller compared to first generation computers. The main features of Second Generation
are:

o Use of transistors

o Reliable as compared to First generation computers

o Smaller size as compared to First generation computers

o Generate less heat as compared to First generation computers

o Consumed less electricity as compared to First generation computers

o Faster than first generation computers

o Still very costly

o A.C. needed

o Support machine and assembly languages

Some computers of this generation were:

o IBM 1620

o IBM 7094

o CDC 1604

o CDC 3600

o UNIVAC 1108

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Third Generation (1963-1975): The third generation computers used integrated circuits
(IC) which used to incorporate many transistors and electronic circuits on a single chip. They
were characterized with high-level programming languages which required logic such as
BASIC, Pascal, C, COBOL, and Fortran. The processing is faster as compare to second
generation computer and it is smaller in size. The main features of Third Generation are:

o IC used

o More reliable

o Smaller size

o Generate less heat

o Faster

o Lesser maintenance

o Still costly

o A.C. needed

o Consumed lesser electricity

o Support high-level language

Some computers of this generation were:

o IBM-360 series

o Honeywell-6000 series

o PDP(Personal Data Processor)

o IBM-370/168

o TDC-316

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Fourth Generation (1975 onward): The fourth generation computers used VLSI (very
large scale integration) technology which incorporates millions of transistors and electronic
circuits on a single chip. Object-Oriented Programming (OOP) Languages such as Visual Basic,
and JAVA are characteristic of this computer generation. The main features of Fourth
Generation are:
o VLSI technology used
o Very cheap
o Portable and reliable
o Use of PC's
o Very small size
o Pipeline processing
o No A.C. needed
o Concept of internet was introduced
o Great developments in the fields of networks
o Computers became easily available

Some computers of this generation were:

o DEC 10

o STAR 1000

o PDP 11

o CRAY-1 (Super Computer)

o CRAY-X-MP (Super Computer)

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Fifth Generation (Future technology): The period of Fifth Generation is 1980-till date. In
the fifth generation, the VLSI technology became ULSI (Ultra Large Scale integration)
technology, resulting in the production of microprocessor chips having ten million electronic
components.

This generation is based on parallel processing hardware and AI (Artificial Intelligence)

software.

AI is an emerging branch in computer science which interprets means and methods of

making computers think like human beings.
All the higher level languages like C and C++, Jave, .Net, etc., are used in this generation.

AI includes:

o Robotics

o Neural networks

o Game Playing

o Development of expert systems to make decisions in real life situations.

o Natural language understanding and generation.

The main features of fifth generation of computers are as follows:

o ULSI technology

o Development of true artificial intelligence

o Development of Natural language processing

o Advancement in Parallel Processing

o Advancement in Superconductor technology

o More user friendly interfaces with multimedia features

o Availability of very powerful and compact computers at cheaper rates

Some computers types of this generation are:

o Desktop
o Laptop
o NoteBook
o UltraBook
o ChromeBook

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Types of Computer

Computers vary widely in terms of their size and purpose they serve. There are very small
computers that can be held on a palm. There are also large computers that take a whole
room to occupy. They are used by big organisations, public and private. Organisations use
computers for a variety of applications ranging from scientific to commercial in nature. The
most widely used computers are called personal computers that typically fit on a desktop.
Computers can be classified on several bases as follows.

1. On the basis of electronics or the Operating Principle:

 Analog computer: Analog computer operates on inputs of continuously varying

electrical voltage. It measures the input rather than counting. The name that is
derived from the Greek word 'analog' denotes that the computer functions by
establishing similarities between two quantities that are usually expressed as
voltages or currents. They are mainly used in scientific design and production
environments.

 Digital computer: A digital computer operates essentially by counting. All quantities

are expressed as discrete digits or numbers and computations are done with
numerical digits. Mathematical expressions are represented as binary digits (0 and 1)
and all operations are done using these binary digits at a very high rate. The digital
computer basically knows addition. Remaining operations, like multiplication and
division, are first converted -into addition and then calculated. Digital computer is
much faster than analog computer and the computations are far more accurate.
They come in various sizes starting from pocket size to the large systems occupying
big rooms. Most of the computers available today are digital.

 Hybrid computer: Hybrid computer combines features of both analog and digital
computers. In this computer, some calculations are done in the analog portion of
the computer and some are done in the digital portion of it. In a hospital, for
example, analog devices may measure patient's heart function, temperature and
other vital signs. These measurements may then be converted into numbers and
supplied to a digital component in the system.

2. On the basis of purpose of use, they can be classified into:

 Special purpose computer: Special purpose computer is tailor-made solely to

cater to the requirements of a particular task or application, for example,

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weather forecasting. It incorporates the instructions needed into the design of

internal storage so that it can perform the given task on a simple command.

 General purpose computer: The general-purpose computer is designed to meet

the needs of many different applications. The instructions needed to perform a
particular task are not wired permanently into the internal memory. When one
job is over, instructions for another job can be loaded into the internal memory
for processing.

3. On the basis of size, they can be classified into:

 Micro computer: Microcomputer is the low end computer. It is built on a single

chip microprocessor. Microcomputers include (a) portable computers and (b)
desktop computers

o Portable computer: Portable computer is a very small, easy to use

microcomputer. The users can carry it wherever they go Business
executives, travelling salesmen etc. carry it during travel for personal
use. This group includes personal digital assistant, pen-based computer,
hand-held computer, notebook computer and laptop computer. Laptop
computer is small in size and fits on to the user's lap. Notebook
computer is even smaller than laptop computer. Hand held computer is
smaller than notebook computer. The pen based computer uses an
electronic writing pad with an electronic pen.

o Desktop computer: Personal computer is a microprocessor based, single

user computer. The peripherals for personal computer include a
keyboard and a mouse as input devices, monitor to display information
and a hard disk for storage. The personal computer is also called
desktop computer as it is normally installed on a desktop and hence the
name 'desktop computer'. It is a self-contained system, usually designed
for use by one person at a time. Since the personal computers can be
easily linked to large computers, they form a very important component
of computer network. This type of computer is used as home computer
for family use or as personal computer by business executives or by
small businesses whose volumes of data and processing speed
requirements are small.

 Minicomputer: Minicomputer is a medium sized computer that is costlier and

more powerful than a microcomputer.. This can support up to a few hundred

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users at a time with multi-terminal, time-sharing system. Minis are the popular
data processing systems among the business organisations today. They have
many uses in business such as payroll processing, process control, invoicing, and
stock control. They are mainly used as departmental computers in large and
medium-sized organisations. They are also used in government departments,
universities and R & D establishments.

 Mainframe computer: The earliest computers were called mainframes due to

their size. The term is still used for the large computers of today. They have large
storage capacities, very high speed of processing (compared to micros and
minis) and can support a large number of terminals (Many hundreds to
thousands) for use by a variety of users simultaneously. They are kept in air-
conditioned environment in a special computer room. They are used by big
companies, banks, government departments, etc. as their main computer.

 Supercomputer: It is the fastest and the most expensive computer. This has
extremely large storage capacities and computing speeds that are at least ten
times faster than that of other computers. It can perform hundreds of millions of
instructions per second. The super computer is used for specialized applications
such as large-scale numerical problems in scientific and engineering disciplines.
These include applications in electronics, petroleum engineering, weather
forecasting, medicine and nuclear energy research.

Computer Memory

Computer memory

Primary storage Secondary storage

RAM ROM Cache Register

Fig 1.11: Computer Memory

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Random Access Memory: RAM or Random Access Memory is the central storage
unit in a computer system. It is the place in a computer where the operating system,
application programs and the data in current use are kept temporarily so that they can be
accessed by the computer’s processor. The more RAM a computer has, the more data a
computer can manipulate. Random access memory, also called the Read/Write memory, is
the temporary memory of a computer. It is said to be ‘volatile’ since its contents are
accessible only as long as the computer is on. The contents of RAM are cleared once the
computer is turned off.

Types of RAM: The various types of RAM are as follows:

 Dynamic Random Access Memory (DRAM): It is one of the least expensive RAMs. But it
requires frequent power refreshing to retain memory contents.

 SDRAM (Synchronous Dynamic Random Access Memory): It is a generic name for the
types of DRAM that are synchronized with the clock speed of the processor. The speed
of SDRAM is measured in terms of Megahertz. If the speed of the SDRAM and processor
is optimized, the processor can improve its performance.

 Static RAM: It does not need frequent power refreshing as is required for DRAM.
Hence, it is much faster than DRAM. But, it is more expensive than DRAM.

 Video RAM: It is used to store data for the video display monitor. It is actually a buffer
between the processor and the monitor.

 Flash RAM or flash memory is a non-volatile memory. It can be erased and

reprogrammed. It is used in PC cards of notebook computers, digital camera, cell
phones, embedded controllers etc.

ROM or Read Only Memory: It is a special type of memory which can only be read
and contents of which are not lost even when the computer is switched off. It typically
contains manufacturer’s instructions. Among other things, ROM also stores an initial
program called the ‘bootstrap loader’ whose function is to start the computer software
operating, once the power is turned on. Read-only memories can be manufacturer-
programmed or user-programmed.

Types of ROM: The various types of ROM are as follows:

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 Programmable read-only memory (PROM): These are programmed during

manufacturing process. The contents of each memory space are locked by a fuse and
an anti fuse (diodes). These are used for permanent data storage.

 Erasable programmable read-only memory (EPROM): This can be erased repeatedly

and reprogrammed by the user. Erasing is done by exposing EPROM to ultraviolet light
of a specific frequency. Reprogramming requires special EPROM Programmer kit.

 Electrically erasable programmable read-only-memory EEPROM: This can be erased

electrically and reprogrammed repeatedly.

Cache memory: Processors are generally able to perform operations on operands faster
than the access time of large capacity main memory. Though semiconductor memory which
can operate at speeds comparable with the operation of the processor exists, it is not
economical to provide all the main memory with very high speed semiconductor memory.
The problem can be solved by introducing a small block of high speed memory called a cache
between the main memory and the processor.

CPU Cache Main memory Secondary storage

Fig 1.12: cache memory

The CPU searches cache before it searches main memory for data and instructions. Cache is
physically located close to the CPU and hence access to cache is faster than to any other
memory. Often used instructions are kept in this cache to speed up the fetching of
instructions. Some processors use the cache as a work area also for temporary storage of
intermediate results.

Registers: The computer uses a number of special memory units called registers to speed
up the rate of information transfer between various units of the computer. They are not
treated as part of main memory and are used to retain information on a temporary basis.
The number of registers varies from computer to computer. Most computers use several
types of registers each designed to perform a specific function. These registers can receive
information, retain it temporarily and pass it on as directed by the control unit. The length of

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a register depends on the number of bits it can store. Thus a register which can store 16 bits
is normally referred to as 16-bit register. Although the number of registers varies from
computer to computer, some registers are common to all computers such as instruction
register, program counter register, etc.

Types of registers are as follows:

 Memory address register: This holds the address of the active memory location. When
an instruction is read from memory, the address is loaded from the program into this
register.
 Memory buffer register: It holds the contents of the memory word read from or written
in memory. A word to be stored in memory location must first be transferred to this
register frorn where it is written in memory.
 Program counter register: It holds the address of the next instruction to be executed by
the computer.
 Accumulator register: It holds the initial data to be operated upon, the intermediate
results and also the final results of processing operations.
 Instruction register: It holds the current instruction that is being executed.
 Input - output register: This holds all input information to be passed to the memory
and also the output information to be transferred to an output device

Virtual Memory: Primary storage imposed a constraint on program size of earlier

computers. Large programs that required greater memory than the available main memory
could not be run on the machine. Virtual storage was the technique developed to get rid of
this problem. This is an operating system technique which divides the program into pages or
segments and each page or segment is loaded into memory in turn. At any given time only
the page actually required is read into the memory from the backing store or secondary
storage. Another segment is loaded into memory when the program instructions required
are larger than the currently loaded. So, this software technique treats secondary storage as
an extension of the main memory and parts of a program are swapped in and out of the
main store. Thus, it enables a computer to run a program that is larger than its available
memory size and it gives an illusion to the programmer or user that the computer possesses
practically unlimited memory.

Secondary Storage: Primary storage has the following limitations:

 Limited capacity because the cost per bit is very high.
 It is volatile: Data stored in it is lost when the electric power is turned off.
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To overcome the limitations of primary memory secondary memory is used. Secondary

storage has virtually unlimited capacity as the cost per bit of storage is very low. Operating
speed of secondary memory is far slower than the primary memory. These are used to store
large volumes of data on a permanent basis.

Summary:

 ALU does all the arithmetic and logical operations. Arithmetical operations involve
manipulation of numerical data such as addition, subtraction, division and
multiplication. Logical operations compare relative magnitudes of two numeric,
alphabetic or alphanumeric data items such as greater than, less than, and equal to.
 CPU is the most important component of a computer. It typically consists of a
control unit (CU), arithmetic and logical unit (ALU) and a primary storage. CPU is the
brain of a computer and all processing takes place in the CPU.
 The control unit controls and co-ordinates all the operations of the CPU and
peripheral devices.
 The Instruction Fetch Execute Cycle is one of the most important mental models of
computation as aptly put by Prof. Rockford Ross. This embodies the basic principle
of how all modern processors work.
 System software are sets of programs, responsible for running the computer,
controlling various operations of computer systems and management of computer
resources. Operating System (OS) falls under this category.
 Application software is a set of programs, which are written to perform specific
tasks, for example: An application package for managing library known as library
information system is used to manage information of library such as: keeping book
details, account holder details, book issue details, book return details etc.
 RAM or Random Access Memory is the central storage unit in a computer system. It
is the place in a computer where the operating system, application programs and
the data in current use are kept temporarily so that they can be accessed by the
computer’s processor.
 The computer uses a number of special memory units called registers to speed up
the rate of information transfer between various units of the computer. They are
not treated as part of main memory and are used to retain information on a
temporary basis.

 Secondary storage has virtually unlimited capacity as the cost per bit of storage is
very low. Operating speed of secondary memory is far slower than the primary
memory. These are used to store large volumes of data on a permanent basis.
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COMPUTER SOFTWARE

Structure of the Chapter

 Computer software
 Compiler and interpreter
 Operating system
 Types of operating system
 Process and threads of operating system
 Memory management
 File management
 Deadlock in operating system
 UNIX architecture

Objectives
After completion of this unit you should be able to

 Understand the different types of software

 Differentiate between compiler and interpreter
 Understand the important functions of operating system
 Understand the difference between different types of schedulers
 Understand the concept of virtual memory
 Understand how to cope up with deadlock
 Understand the concepts of layers of UNIX

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Introduction:

Computer needs to be given instructions to perform any task. A set of instructions for a
specific task is termed a routine and a complete set of instructions to execute a related set
of tasks is a program. Computer programs or software can be divided into two major
categories: systems software and applications software. Application programs consist of
programs written for specific applications such as payroll processing and sales analysis.
System software is machine oriented, which creates an environment for, and facilitates, the
execution of application software. Software programs vary widely in size. A simple program
may consist of a few hundred lines of instructions in a programming language, while a large
one may consist of tens of thousands of lines of instructions.

Computer Software

System Software Application Software

General Purpose
System Management
Programs
Programs

System Support
Programs
Application Specific
Programs
System Development
Programs

Fig 2.1: Computer Software

System Software: System Software is a set of programs that manage the resources of a
computer system. System Software is a collection of system programs that perform a variety
of functions like File Editing; Resource Accounting; I/O Management; Storage, Memory
Management access management.

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 System Management Programs: These programs manage the hardware, software and
data resources of the computer system. It includes operating system, database
management system (DBMS) and telecommunication monitors. Operating system is an
integrated system of complex programs that manages the resources of the computer
and provides a user-interface that is easy to manage. DBMS is a set of programs that
controls creation, maintenance and use of database. It allows different applications to
share data and programs concurrently. It also secures data in the database from
misuses. DB2, Oracle, MS SQL Server etc are some of the examples of database
management systems.

 System support Programs: System support programs provide routine service functions
to the other computer programs & computer users: E.g. Utilities, libraries, performance
monitors & job accounting.

 System development programs: These programs assist in the creation of application

programs. E.g., language translators such as BASIC interpreter & application generators.

Assemblers: Programming in machine language is very difficult and cumbersome, so the

programmers began to use certain mnemonics for each machine instruction and this
language came to be called assembly language. These mnemonics were translated into
machine language later for execution. Programs called assemblers were written to automate
the translation of assembly language into machine language. The input to the assembler
program is called source program and the output in machine language is called the object
code.

Compiler: The development of high level language made computer programming a lot
easier. But the computer does not understand instructions in high level language. To
overcome this communication problem, system software was developed to translate the
instructions in high level language into machine language instructions. Compiler is a type of
system software that translates source code into object code and thus renders translator's
job between the machine and the user. The compiler is language specific and each high level
language requires a separate compiler for it. For example a COBOL compiler can translate
only source program in COBOL into equivalent machine code.
This software is called compiler as it compiles a set of machine instructions corresponding to
each instruction in high level language. During compilation the compiler analyses each
statement in the source code and generates a sequence of machine instructions to carry out
precisely the same operation specified by the statement. As the compiler analyses each
statement it uncovers certain types of errors called diagnostic errors such as the following:

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(a) Invalid characters

(b) Illegal combination of characters,
(c) Wrong sequence of instructions in a source program
When errors are located during compilation, such errors are displayed or listed by the
compiler for the programmer to modify the source program. Thus, it can locate syntax
errors. Each language has a set of syntax rules, a system of notations to be used, etc. The
compiler can detect only the syntax errors and cannot detect logical type of errors, which
the programmer has to detect and correct.

Interpreters: Interpreter is another type of system software used to translate the source
code in high level language into machine code. This translator program takes one instruction
in high level language and translates it into machine instruction for immediate execution.
Translation and execution alternate for each statement in the high level program.

Difference between Compiler and Interpreter:

 Compiler converts the entire source code into machine code and is not involved in its
execution. After compilation the object code is permanently stored for future use.
Whenever the program execution is required the object code is used to execute the
job. But in case of an interpreter, the object code is not permanently saved as the
translation and execution occur alternatively for each statement in the source program.
Every time the program is run each of the statements in source program is translated
and executed one by one.

 In the case of compiler, the source code needs to be translated into machine code only
once and the object code is used for repeated execution. Whereas interpreter
translates the source code instruction wise.
The advantage of an interpreter over compiler is fast response to changes in source
program. The interpreter eliminates the need for separate compiling run after each program
change to add features or correct errors. Moreover, a compiler is a complex program
compared to an interpreter. Interpreters are easy to write and they do not require large
memory space in the computer. The Interpreter, however, is a time consuming translation
method because each statement must be translated every time it is executed from the
source program. Thus, a compiled machine language program runs faster than an
interpreted program

Loaders and Linkers: Once the assembler produces an object program, it must be placed
into memory and executed. This loading of the object code into the memory of a computer
is done by a loader. A loader is a program that places programs into memory and prepares

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them for execution. In a loading scheme the assembler outputs the machine language
translation of a program on secondary storage device and a loader is placed in main
memory. The loader places into memory the machine language version of the users program
and transfers control to it. Since the loader program is much smaller than the assembler, this
makes more memory available to the user's program. The time taken for loading and
preparing an object program for execution is less.

Structured programs are designed in modules. Each module represents a small program for
a particular processing. The translator program converts these modules into object codes.
These object modules must be combined to form a load module for execution. The software
that links these object modules into a load module is called linker. Even if program is a single
unit without sub routines, it may have to be linked with sample routines offered by the
translator. These are called library routines. The linker program links the program with these
library routines and enables it to use these routines during execution. The load module,
which is ready for execution is usually stored on a secondary storage device. When the
program is run, the module is loaded into computer memory for execution by a piece of
system software called loader. Sometimes both linking and loading are done by the same
system software called loaders and linkers.

Editors: Editors are system software to facilitate editing of text and data. Editors are also
required for coding and debugging. For writing programs files are opened using an editor
program. The program file is saved on secondary storage device and retrieved for correction
of errors, modification, etc. The editor permits adding and deletion of texts, blocking of
texts, copying the blocked text, moving the block and combining files.

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Operating System

An operating System (OS) is an intermediary between users and computer hardware. It

provides users an environment in which a user can execute programs conveniently and
efficiently.
In technical terms, it is software which manages hardware. An operating System controls the
allocation of resources and services such as memory, processors, devices and information.

Definition
An operating system is a program that acts as an interface between the user and the
computer hardware and controls the execution of all kinds of programs

End User Programmer

Operating system
Designer
Application Software

Utility

Operating System

Computer Hardware

Fig 2.2: Layers of Computer system

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Important functions of Operating System:

 Memory Management: Memory management refers to management of Primary

Memory or Main Memory. Main memory is a large array of words or bytes where each
word or byte has its own address. It provides a fast storage that can be access directly
by the CPU. So for a program to be executed, it must in the main memory. Operating
System does the following activities for memory management.
 Keeps tracks of primary memory i.e. what part of it are in use by whom, what
part are not in use.
 In multiprogramming, OS decides which process will get memory when and how
much.
 Allocates the memory when the process requests it to do so.
 De-allocates the memory when the process no longer needs it or has been
terminated.

 Processor Management: In multiprogramming environment, OS decides which process

gets the processor when and how much time. This function is called process scheduling.
Operating System does the following activities for processor management.
 Keeps tracks of processor and status of process. Program responsible for this
task is known as traffic controller.
 Allocates the processor (CPU) to a process.
 De-allocates processor when processor is no longer required.

 Device Management: OS manages device communication via their respective drivers.

Operating System does the following activities for device management.
 Keeps tracks of all devices. Program responsible for this task is known as the I/O
controller.
 Decides which process gets the device when and for how much time.
 Allocates the device in the efficient way.
 De-allocates devices.

 File Management: A file system is normally organized into directories for easy
navigation and usage. These directories may contain files and other directions.
Operating System does the following activities for file management.
 Keeps track of information, location, uses, status etc. The collective facilities are
often known as file system.
 Decides who gets the resources.

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 Allocates the resources.

 De-allocates the resources.
Security: By means of password and similar other techniques, preventing unauthorized
access to programs and data.
 Control over system performance: Recording delays between request for a service and
response from the system.
 Job accounting: Keeping track of time and resources used by various jobs and users.
 Error detecting aids: Production of dumps, traces, error messages and other debugging
and error detecting aids.
 Coordination between other software and users: Coordination and assignment of
compilers, interpreters, assemblers and other software to the various users of the
computer systems.

Types of Operating Systems

 Batch Operating System: In Batch processing, same type of jobs batch together and
execute at a time. In this system the major task of operating system is to transfer
control from one job to the next. The job is submitted to the computer operator in form
of punch cards. The monitor is system software that is responsible for interpreting and
carrying out the instructions in the batch jobs. When the monitor starts a job, the entire
computer is dedicated to the job, which then controls the computer until it finishes. The
OS is always resident in memory. Common Input devices are card readers and tape
drives.
Common output devices were line printers, tape drives, and card punches. Users do not
interact directly with the computer systems, but he prepared a job (comprising of the
program, the data & some control information).

Operating system

User program area

Fig 2.3: Batch Processing

 Multiprogramming: Multiprogramming is a technique to execute number of programs

simultaneously by a single processor. In Multiprogramming, number of processes

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reside in main memory at a time. The OS picks and begins to execute one of the jobs in
the main memory. If any I/O wait happened in a process, then CPU switches from that
job to another job. Hence CPU in not idle at any time

Operating
Job 1 Job 2 Job 3 Job 4 Job 5
System

Fig 2.4: Multiprogramming

The main memory consists of 5 jobs at a time, the CPU executes one by one.
Advantages:
o Efficient memory utilization
o Throughput increases
o CPU is never idle, so performance increases

Application 1 Application 2 Application 3 Application 4

Operating System

CPU Assigned
All processes Process

Fig 2.5: multiprogramming Operating System

 Timesharing / Multitasking: In time sharing or multitasking there is simultaneous

interactive use of a computer system by many users in such a way that each one feels
that he/she is the sole user of the system. Multiple jobs are executed by switching the
CPU between them. In this, the CPU time is shared by different processes, so it is called
as “Time sharing Systems”. Time slice is defined by the OS, for sharing CPU time

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between processes. CPU is taken away from a running process when the allotted time
slice expires. Examples: Multics, Unix, etc.

Advantages of time sharing:

o Reduces CPU Idle time.
o Provides advantages of quick response time.
o Offers good computing facility to small users

Word Processor E-mail Web Anti virus

Browser

Operating system

CPU core CPU core

Fig 2.6: Multitasking

 Multiprocessing: Multiprocessing is the use of two or more central processing units

(CPUs) within a single computer system. The term also refers to the ability of a system to
support more than one processor and the ability to allocate tasks between them. An
operating system capable of supporting and utilizing more than one computer
processor. Examples: Linux, Unix, Windows 2000.
Systems that treat all CPUs equally are called symmetric multiprocessing (SMP)
systems.
If all CPUs are not equal, system resources may be divided in a number of ways,
including asymmetric multiprocessing (ASMP),

User User User User

Operating system

CPU CPU CPU CPU

2.7: Symmetric Multiprocessing

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User User User User

Operating System
CPU CPU CPU CPU

All I/O interrupt

Fig 2.8: Asymmetric Multiprocessing

CPU 0 CPU 1

Memory

Fig 2.9: Multi processing

 Single User Operating System: Provides a platform for only one user at a time. Single-
User, Single Tasking. As the name implies, this operating system is designed to manage
the computer so that one user can effectively do one thing at a time. The Palm OS for
Palm handheld computers is a good example of a modern single-user, single-task
operating system.

 Single-User, Multi-Tasking: This is the type of operating system most people use on
their desktop and laptop computers today. Example Microsoft's Windows, it's entirely
possible for a Windows user to be writing a note in a word processor while downloading
a file from the Internet while printing the text of an e-mail message.

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 Distributed operating System: Distributed systems use multiple central processors to

serve multiple real time application and multiple users. Data processing jobs are
distributed among the processors accordingly to which one can perform each job most
efficiently. The processors communicate with one another through various
communication lines (such as high-speed buses or telephone lines). These are referred
as distributed systems. Processors in a distributed system may vary in size and function.
These processors are referred as sites, nodes, and computers and so on.
The advantages of distributed systems are following.

o With resource sharing facility user at one site may be able to use the
resources available at another.
o Speedup the exchange of data with one another via electronic mail.
o If one site fails in a distributed system, the remaining sites can potentially
continue operating.
o Better service to the customers.
o Reduction of the load on the host computer.
o Reduction of delays in data processing

Fig 2.10: Distributed operating System

 Network operating System: Network Operating System runs on a server and provides
server the capability to manage data, users, groups, security, applications, and other
networking functions. The primary purpose of the network operating system is to allow
shared file and printer access among multiple computers in a network, typically a local
area network (LAN), a private network or to other networks. Examples of network
operating systems are Microsoft Windows Server 2003, Microsoft Windows Server 2008,
UNIX, Linux, Mac OS X, Novell NetWare, and BSD.

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The advantages of network operating systems are following.

o Centralized servers are highly stable.
o Security is server managed.
o Upgrades to new technologies and hardware can be easily integrated into
the system.
o Remote access to servers is possible from different locations and types of
systems.

Fig 2.11: Network Operating System

 Real Time operating System: Real time system is defined as a data processing system in
which the time interval required to process and respond to inputs is so small that it
controls the environment. Real time processing is always on line whereas on line system
need not be real time. The time taken by the system to respond to an input and display
of required updated information is termed as response time. So in this method response
time is very less as compared to the online processing.
Real-time systems are used when there are rigid time requirements on the operation of
a processor or the flow of data and real-time systems can be used as a control device in
a dedicated application. Real-time operating system has well-defined, fixed time
constraints otherwise system will fail. For example Scientific experiments, medical
imaging systems, industrial control systems, weapon systems, robots, and home-
appliance controllers, Air traffic control system etc.
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There are two types of real-time operating systems.

o Hard real-time systems guarantee that critical tasks complete on time. In
hard real-time systems secondary storage is limited or missing with data
stored in ROM. In these systems virtual memory is almost never found.

o Soft real time systems are less restrictive. Critical real-time task gets priority
over other tasks and retains the priority until it completes. These have
limited utility than hard real time systems. For example multimedia, virtual
reality, advanced science projects like under sea exploration, planetary rover
etc.

 Spooling: Spooling is an acronym for simultaneous peripheral operations on line.

Spooling refers to putting data of various I/O jobs in a buffer. This buffer is a special area
in memory or hard disk which is accessible to I/O devices. Operating system does the
following activities related to distributed environment.
 OS handles I/O device data spooling as devices have different data access rates.
 OS maintains the spooling buffer which provides a waiting station where data can
rest while the slower device catches up.
 OS maintains parallel computation because of spooling process as a computer can
perform I/O in parallel fashion. It becomes possible to have the computer read data
from a tape, write data to disk and to write out to a tape printer while it is doing its
computing task

Advantages
 The spooling operation uses a disk as a very large buffer.
 Spooling is capable of overlapping I/O operation for one job with processor
operations for another job.

Fig 2.12: Spooling

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Role of Operating System

1. Resource management: Allocation of computer resources such as memory to

various jobs is done by the operating system. It manages hard disk storage, the CPU,
main memory and other peripheral devices.
2. Data management: Operating system provides data management facilities such as
data organisation and retrieval from secondary storage devices. Files are created,
named, read, deleted and renamed by the operating system.
3. Job management: In multi-user systems, it selects new jobs for execution according
to the priority fixed.
4. Input/output management: It manages the flow of data and instructions between
the input/output devices and primary storage. It allocates and manages I/O
devices. It provides I/O instructions to start printing, stop printing etc. If user
intervention is required, for example, when printer is run out of paper, the operating
system sends an appropriate message to the user.
5. Maintaining Security: Maintain security, communication of error and error control
messages to the users, etc. are the other functions of the operating system.
6. Conflict resolution: When two or more programs call for the same resource
simultaneously, it results in conflict. Conflict resolution is another major function of
the operating system in multi-user systems. In resolving conflict between
applications, the operating system takes into account factors like criticality of
applications, priority of the user etc. and allocates resources accordingly. Many
operating systems have a set of modules that can be tailored for the requirements
of users.

The operating system offers various facilities like:

• Job control language
• Failure and recovery
• File security
• Logging
 Accounting
• Scheduling, and,
• Communication with the operator

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Operating System Processes:

A process is a program in execution. The execution of a process must progress in a

sequential fashion. A process is defined as an entity which represents the basic unit of work
to be implemented in the system.
Components of a process
Sl. No. Component Description
Object
1 Code to be executed.
Program
2 Data Data to be used for executing the program.
While executing the program, it may require some
3 Resources resources.

Verifies the status of the process execution. A

process can run to completion only when all
requested resources have been allocated to the
4 Status process. Two or more processes could be
executing the same program, each using their own
data and resources

Program: A program by itself is not a process. It is a static entity made up of program

statement while process is a dynamic entity. Program contains the instructions to be
executed by processor.
A program takes a space at single place in main memory and continues to stay there. A
program does not perform any action by itself.
Process States: As a process executes, it changes state. The state of a process is defined as
the current activity of the process. Process can have one of the following five states at a
time.

Sl. No. State Description

1 New The process is being created
The process is waiting to be assigned to a
Ready processor. Ready processes are waiting to
2
have the processor allocated to them by the
operating system so that they can run
Process instructions are being executed (i.e. The
3 Running process that is currently being executed).

5 Terminated The process has finished execution

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Process Control Block, PCB: Each process is represented in the operating system by a
process control block (PCB) also called a task control block. PCB is the data structure used by
the operating system. Operating system groups all information that needs about particular
process. PCB contains many pieces of information associated with a specific process which is
described below.

Sl. No. information Description

Pointer Pointer points to another process control block. Pointer is
1
used for maintaining the scheduling list
Process State
2 Process state may be new, ready, running, waiting and so on.
Program Counter indicates the address of the next instruction
Program Counter
3 to be executed for this process.

This information may include the value of base and limit

Memory
registers, the page tables, or the segment tables depending on
management
5 the memory system used by the operating system. This
information
information is useful for de allocating the memory when the
process terminates
This information includes the amount of CPU and real time
Accounting
used, time limits, job or process numbers, account numbers
6 information
etc.

Operating System Process Scheduling

The process scheduling is the activity of the process manager that handles the removal of
the running process from the CPU and the selection of another process on the basis of a
particular strategy. Process scheduling is an essential part of a Multiprogramming operating
system.
Scheduling queues refers to queues of processes or devices. When the process enters into
the system, then this process is put into a job queue. This queue consists of all processes in
the system. The operating system also maintains other queues such as device queue. Device
queue is a queue for which multiple processes are waiting for a particular I/O device. Each
device has its own device queue.

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Fig 2.13: Process scheduling queue

Queues are of two types

 Ready queue :
 Device queue

A newly arrived process is put in the ready queue. Processes waits in ready queue for
allocating the CPU. Once the CPU is assigned to a process, then that process will execute.
While executing the process, any one of the following events can occur.

 The process could issue an I/O request and then it would be placed in an I/O
queue.
 The process could create new sub process and will wait for its termination.
 The process could be removed forcibly from the CPU, as a result of interrupt
and put back in the ready queue.

Schedulers: Schedulers are special system software which handles process scheduling in
various ways. Their main task is to select the jobs to be submitted into the system and to
decide which process to run. Schedulers are of three types

 Long Term Scheduler: It is also called job scheduler. Long term scheduler
determines which programs are admitted to the system for processing. Job
scheduler selects processes from the queue and loads them into memory for
execution. Process loads into the memory for CPU scheduling. The primary
objective of the job scheduler is to provide a balanced mix of jobs, such as
I/O bound and processor bound. It also controls the degree of
multiprogramming. If the degree of multiprogramming is stable, then the
average rate of process creation must be equal to the average departure
rate of processes leaving the system.
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 Short Term Scheduler: It is also called CPU scheduler. Main objective is

increasing system performance in accordance with the chosen set of criteria.
CPU scheduler selects process among the processes that are ready to
execute and allocates CPU to one of them.

 Medium Term Scheduler: It removes the processes from the memory. It

reduces the degree of multiprogramming. The medium term scheduler is in-
charge of handling the swapped out-processes. Running process may
become suspended if it makes an I/O request. Suspended processes cannot
make any progress towards completion. In this condition, to remove the
process from memory and make space for other process, the suspended
process is moved to the secondary storage. This process is called swapping,
and the process is said to be swapped out or rolled out. Swapping may be
necessary to improve the process mix.

Comparison between the scheduler

Sl Short Term Medium Term

Long Term Scheduler
No. Scheduler Scheduler
It is a process
1 It is a job scheduler It is a CPU scheduler swapping scheduler.

Speed is in between
Speed is fastest
both
Speed is lesser than short among
2 short and long term
term scheduler other two
scheduler.

It provides lesser
It controls the degree of It reduces the degree
control
3 multiprogramming of multiprogramming.
over degree of
multiprogramming
It is also minimal in
It is almost absent or It is a part of Time
time
4 minimal sharing systems.
sharing system
in time sharing system
It selects those It can re-introduce the
It selects processes from processes process into memory
5 pool and loads them into which are ready to and execution can be
memory for execution execute continued.

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Context Switch: A context switch is the mechanism to store and restore the state or context
of a CPU in Process Control block so that a process execution can be resumed from the same
point at a later time. Using this technique a context switcher enables multiple processes to
share a single CPU. Context switching is an essential part of a multitasking operating system
features. When the scheduler switches the CPU from executing one process to execute
another, the context switcher saves the content of all processor registers for the process
being removed from the CPU, in its process descriptor. The context of a process is
represented in the process control block of a process. Context switch time is pure overhead.
Context switching can significantly affect performance as modern computers have a lot of
general and status registers to be saved.

Thread: A thread is a flow of execution through the process code, with its own program
counter, system registers and stack. A thread is also called a light weight process. Threads
provide a way to improve application performance through parallelism. Each thread belongs
to exactly one process and no thread can exist outside a process. Each thread represents a
separate flow of control. Threads have been successfully used in implementing network
servers and web server. They also provide a suitable foundation for parallel execution of
applications on shared memory multiprocessors.

Fig 2.14: Threads

Advantages of Thread:
 Thread minimizes context switching time.
 Use of threads provides concurrency within a process.
 Efficient communication.

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 Economy- It is more economical to create and context switch threads.

Difference between Process and Thread

S.N. Process Thread

Thread is light weight taking lesser

1 Process is resource intensive.
resources than a process.

Process switching needs interaction with Thread switching does not need to
2
operating system. interact with operating system.

In multiple processing environments each

All threads can share same set of open
3 process executes the same code but has its own
files, child processes.
memory and file resources.

If one process is blocked then no other process While one thread is blocked and waiting,
4
can execute until the first process is unblocked. second thread in the same task can run.

Multiple processes without using threads use Multiple threaded processes use fewer
5
more resources. resources.

In multiple processes each process operates One thread can read, write or change
6
independently of the others. another thread's data.

Memory Management

Memory management is the functionality of an operating system which handles or manages

primary memory. Memory management keeps track of each and every memory location
either it is allocated to some process or it is free. It checks how much memory is to be
allocated to processes. It decides which process will get memory at what time. It tracks
whenever some memory gets freed or unallocated and correspondingly it updates the
status.
Memory management provides protection by using two registers, a base register and a limit
register. The base register holds the smallest legal physical memory address and the limit
register specifies the size of the range. For example, if the base register holds 300000 and
the limit register is 111999, then the program can legally access all addresses from 300000
through 411999.

Instructions and data to memory addresses can be done in following ways:

 Compile time: When it is known at compile time where the process will reside,
compile time binding is used to generate the absolute code.
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 Load time: When it is not known at compile time where the process will reside in
memory, then the compiler generates re-locatable code.

 Execution time: If the process can be moved during its execution from one memory
segment to another, then binding must be delayed to be done at run time

Dynamic Loading: In dynamic loading, a routine of a program is not loaded until it is called
by the program. All routines are kept on disk in a re-locatable load format. The main
program is loaded into memory and is executed. Other routines methods or modules are
loaded on request. Dynamic loading makes better memory space utilization and unused
routines are never loaded.

Dynamic Linking: Linking is the process of collecting and combining various modules of code
and data into an executable file that can be loaded into memory and executed. Operating
system can link system level libraries to a program. When it combines the libraries at load
time, the linking is called static linking and when this linking is done at the time of execution,
it is called as dynamic linking. In static linking, libraries linked at compile time, so program
code size becomes bigger whereas in dynamic linking libraries linked at execution time so
program code size remains smaller.

Logical versus Physical Address Space: An address generated by the CPU is a logical address
whereas address actually available on memory unit is a physical address. Logical address is
also known a Virtual address. Virtual and physical addresses are the same in compile-time
and load-time address-binding schemes. Virtual and physical addresses differ in execution-
time address-binding scheme. The set of all logical addresses generated by a program is
referred to as a logical address space. The set of all physical addresses corresponding to
these logical addresses is referred to as a physical address space. The run-time mapping
from virtual to physical address is done by the memory management unit (MMU) which is a
hardware device. MMU uses following mechanism to convert virtual address to physical
address:
 The value in the base register is added to every address generated by a user process
which is treated as offset at the time it is sent to memory. For example, if the base
register value is 10000, then an attempt by the user to use address location 100 will
be dynamically reallocated to location 10100.
 The user program deals with virtual addresses; it never sees the real physical
addresses.

Swapping: Swapping is a mechanism in which a process can be swapped temporarily out of

main memory to a backing store, and then brought back into memory for continued
execution. Backing store is a usually a hard disk drive or any other secondary storage which
fast in access and large enough to accommodate copies of all memory images for all users. It
must be capable of providing direct access to these memory images. Major time consuming
part of swapping is transfer time. Total transfer time is directly proportional to the amount
of memory swapped. Let us assume that the user process is of size 100KB and the backing
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store is a standard hard disk with transfer rate of 1 MB per second. The actual transfer of the
100K process to or from memory will take
100KB / 1000KB per second
= 1/10 second
= 100 milliseconds

Fig 2.15: Swapping

Memory Allocation: Main memory usually has two partitions:

 Low Memory -- Operating system resides in this memory.
 High Memory -- User processes then held in high memory.

Operating system uses the following memory allocation mechanism.

Single-partition allocation: In this type of allocation, relocation-register scheme is used to

protect user processes from each other, and from changing operating-system code and data.
Relocation register contains value of smallest physical address whereas limit register
contains range of logical addresses. Each logical address must be less than the limit register.

Multiple partition allocation: In this type of allocation, main memory is divided into a
number of fixed-sized partitions where each partition should contain only one process.
When a partition is free, a process is selected from the input queue and is loaded into the
free partition. When the process terminates, the partition becomes available for another
process.

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Fragmentation: As processes are loaded and removed from memory, the free memory
space is broken into little pieces. It happens after sometimes that processes cannot be
allocated to memory blocks considering their small size and memory blocks remains unused.
This problem is known as Fragmentation.

Fragmentation is of two types:

 External fragmentation: Total memory space is enough to satisfy a request or to
reside a process in it, but it is not contiguous so it cannot be used.

 Internal fragmentation: Memory block assigned to process is bigger. Some portion

of memory is left unused as it cannot be used by another process.

Paging: External fragmentation is avoided by using paging technique. Paging is a technique

in which physical memory is broken into blocks of the same size called pages (size is power
of 2, between 512 bytes and 8192 bytes). When a process is to be executed, it's
corresponding pages are loaded into any available memory frames.
Logical address space of a process can be non-contiguous and a process is allocated physical
memory whenever the free memory frame is available. Operating system keeps track of all
free frames. Operating system needs n free frames to run a program of size n pages. Address
generated by CPU is divided into
 Page number (p) -- page number is used as an index into a page table which contains
base address of each page in physical memory.
 Page offset (d) -- page offset is combined with base address to define the physical
memory address.

Fig 2.16: Paging

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Segmentation: Segmentation is a technique to break memory into logical pieces where each
piece represents a group of related information. For example, data segments or code
segment for each process, data segment for operating system and so on. Segmentation can
be implemented using or without using paging. Unlike paging, segment is having varying
sizes and thus eliminates internal fragmentation. External fragmentation still exists but to
lesser extent.

Segment number (s): segment number is used as an index into a segment table which
contains base address of each segment in physical memory and a limit of segment.
Segment offset (o): segment offset is first checked against limit and then is combined with
base address to define the physical memory address.

Virtual memory: Virtual memory is a technique that allows the execution of processes which
are not completely available in memory. The main visible advantage of this scheme is that
programs can be larger than physical memory. Virtual memory is the separation of user
logical memory from physical memory. This separation allows an extremely large virtual
memory to be provided for programmers when only a smaller physical memory is available.
Following are the situations, when entire program is not required to be loaded fully in main
memory.
 User written error handling routines are used only when an error occurred in the
data or computation.
 Certain options and features of a program may be used rarely.
 Many tables are assigned a fixed amount of address space even though only a small
amount of the table is actually used.
 The ability to execute a program that is only partially in memory would counter
many benefits.
 Less number of I/O would be needed to load or swap each user program into
memory.
 A program would no longer be constrained by the amount of physical memory that
is available.
 Each user program could take less physical memory, more programs could be run
the same time, with a corresponding increase in CPU utilization and throughput.

Virtual memory is commonly implemented by demand paging. It can also be implemented in

a segmentation system. Demand segmentation can also be used to provide virtual memory.

Demand Paging: A demand paging system is quite similar to a paging system with swapping.
When we want to execute a process, we swap it into memory. Rather than swapping the
entire process into memory, however, we use a lazy swapper called pager. When a process
is to be swapped in, the pager guesses which pages will be used before the process is
swapped out again. Instead of swapping in a whole process, the pager brings only those
necessary pages into memory. Thus, it avoids reading into memory pages that will not be
used in anyway, decreasing the swap time and the amount of physical memory needed.
Hardware support is required to distinguish between those pages that are in memory and
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those pages that are on the disk using the valid-invalid bit scheme. Marking a page will have
no effect if the process never attempts to access the page. While the process executes and
accesses pages that are memory resident, execution proceeds normally.

Fig 2.17: Demand Paging

Steps of Demand Paging:

Step 1: Check an internal table for this process, to determine whether the reference was a
valid or it was an invalid memory access.

Step 2: If the reference was invalid, terminate the process. If it was valid, but page have not
yet brought in, page in the latter

Step 3: Find a free frame.

Step 4: Schedule a disk operation to read the desired page into the newly allocated frame.

Step 5: When the disk read is complete, modify the internal table kept with the process and
the page table to indicate that the page is now in memory.

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Step 6: Restart the instruction that was interrupted by the illegal address trap. The process
can now access the page as though it had always been in memory. Therefore, the operating
system reads the desired page into memory and restarts the process as though the page had
always been in memory.

Advantages: Following are the advantages of Demand Paging:

 Large virtual memory.
 More efficient use of memory.
 Unconstrained multiprogramming. There is no limit on degree of multiprogramming.

Disadvantages: Following are the disadvantages of Demand Paging:

 Number of tables and amount of processor overhead for handling page interrupts
are greater than in the case of the simple paged management techniques.
 Due to the lack of explicit constraints on jobs address space size

File System: A file is a named collection of related information that is recorded on secondary
storage such as magnetic disks, magnetic tapes and optical disks. In general, a file is a
sequence of bits, bytes, lines or records whose meaning is defined by the files creator and
user.

File Structure: File structure is a structure, which is according to a required format that
operating system can understand:
 A file has a certain defined structure according to its type.
 A text file is a sequence of characters organized into lines.
 A source file is a sequence of procedures and functions.
 An object file is a sequence of bytes organized into blocks that are understandable
by the machine.
 When operating system defines different file structures, it also contains the code to
support these file structure. UNIX, MS-DOS support minimum number of file
structure.

File Type: File type refers to the ability of the operating system to distinguish different types
of file such as text files source files and binary files etc. Many operating systems support
many types of files. Operating system like MS-DOS and UNIX has the following types of files:
 Ordinary files
o These are the files that contain user information.
o These may have text, databases or executable program.
o The user can apply various operations on such files like add, modify, delete
or even remove the entire file.

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 Directory files
o These files contain list of file names and other information related to these
files.

 Special files:
o These files are also known as device files.
o These files represent physical device like disks, terminals, printers, networks,
tape drive etc.
These files are of two types
o Character special files - data is handled character by character as in case of
terminals or printers.
o Block special files - data is handled in blocks as in the case of disks and
tapes.

File Access Mechanisms: File access mechanism refers to the manner in which the records of
a file may be accessed. There are several ways to access files
 Sequential access
 Direct/Random access
 Indexed sequential access

 Sequential access: A sequential access is that in which the records are accessed in
some sequence i.e. the information in the file is processed in order, one record after
the other. This access method is the most primitive one. Example: Compilers usually
access files in this fashion.

 Direct/Random access: Random access file organization provides, accessing the

records directly. Each record has its own address on the file with by the help of
which it can be directly accessed for reading or writing. The records need not be in
any sequence within the file and they need not be in adjacent locations on the
storage medium.

 Indexed sequential access: This mechanism is built up on base of sequential access.

An index is created for each file which contains pointers to various blocks. Index is
searched sequentially and its pointer is used to access the file directly.

Space Allocation: Files are allocated disk spaces by operating system. Operating systems
deploy following three main ways to allocate disk space to files.
 Contiguous Allocation
 Linked Allocation
 Indexed Allocation

 Contiguous Allocation:
o Each file occupies a contiguous address space on disk.
o Assigned disk address is in linear order.

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o Easy to implement.
o External fragmentation is a major issue with this type of allocation
technique.

 Linked Allocation:
o Each file carries a list of links to disk blocks.
o Directory contains link / pointer to first block of a file.
o No external fragmentation
o Effectively used in sequential access file.
o Inefficient in case of direct access file.

 Indexed Allocation:
o Provides solutions to problems of contiguous and linked allocation.
o An index block is created having all pointers to files.
o Each file has its own index block which stores the addresses of disk space
occupied by the file.
o Directory contains the addresses of index blocks of files.

Deadlock in operating system: In a multiprogramming system, processes request resources.

If those resources are being used by other processes then the process enters a waiting state.
However, if other processes are also in a waiting state, we have deadlock.
The formal definition of deadlock is as follows:
Definition: A set of processes is in a deadlock state if every process in the set is waiting for
an event (release) that can only be caused by some other process in the same set.

A deadlock occurs if and only if the following four conditions hold in a system
simultaneously:

1. Mutual Exclusion: At least one of the resources is non-sharable (that is; only a limited
number of processes can use it at a time and if it is requested by a process while it is being
used by another one, the requesting process has to wait until the resource is released.).

2. Hold and Wait: There must be at least one process that is holding at least one resource
and waiting for other resources that are being hold by other processes.

3. No Preemption: No resource can be preempted before the holding process completes its
task with that resource.

4. Circular Wait: There exists a set of processes: {P1, P2, ..., Pn} such that

P1 is waiting for a resource held by P2

P2 is waiting for a resource held by P3
...
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Pn-1 is waiting for a resource held by Pn

Pn is waiting for a resource held by P1

Methods for handling deadlocks are:

• Deadlock prevention
• Deadlock avoidance
• Deadlock detection and recovery
Deadlock Prevention: To prevent the system from deadlocks, one of the four discussed
conditions that may create a deadlock should be discarded. The methods for those
conditions are as follows:

Mutual Exclusion: In general, we do not have systems with all resources being sharable.
Some resources like printers, processing units are non-sharable. So it is not possible to
prevent deadlocks by denying mutual exclusion.

Hold and Wait: One protocol to ensure that hold-and-wait condition never occurs says each
process must request and get all of its resources before it begins execution. Another
protocol is “Each process can request resources only when it does not occupy any
resources.”
The second protocol is better. However, both protocols cause low resource utilization and
starvation. Many resources are allocated but most of them are unused for a long period of
time. A process that requests several commonly used resources causes many others to wait
indefinitely.

No Preemption: One protocol is “If a process that is holding some resources requests
another resource and that resource cannot be allocated to it, then it must release all
resources that are currently allocated to it.” Another protocol is “When a process requests
some resources, if they are available, allocate them. If a resource it requested is not
available, then we check whether it is being used or it is allocated to some other process
waiting for other resources. If that resource is not being used, then the OS preempts it from
the waiting process and allocate it to the requesting process. If that resource is used, the
requesting process must wait.” This protocol can be applied to resources whose states can
easily be saved and restored (registers, memory space). It cannot be applied to resources
like printers.

Circular Wait: One protocol to ensure that the circular wait condition never holds is “Impose
a linear ordering of all resource types.” Then, each process can only request resources in an
increasing order of priority.

For example, set priorities for r1 = 1, r2 = 2, r3 = 3, and r4 = 4. With these priorities, if

process P wants to use r1 and r3, it should first request r1, then r3.

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Another protocol is “Whenever a process requests a resource rj, it must have released all
resources rk with priority(rk) ≥ priority (rj).

Deadlock avoidance: Given some additional information on how each process will request
resources, it is possible to construct an algorithm that will avoid deadlock states. The
algorithm will dynamically examine the resource allocation operations to ensure that there
won't be a circular wait on resources. When a process requests a resource that is already
available, the system must decide whether that resource can immediately be allocated or
not. The resource is immediately allocated only if it leaves the system in a safe state. A state
is safe if the system can allocate resources to each process in some order avoiding a
deadlock. A deadlock state is an unsafe state.

Deadlock Detection: If a system has no deadlock prevention and no deadlock avoidance

scheme, then it needs a deadlock detection scheme with recovery from deadlock capability.
For this, information should be kept on the allocation of resources to processes, and on
outstanding allocation requests. Then, an algorithm is needed which will determine whether
the system has entered a deadlock state. This algorithm must be invoked periodically.

Recovery from Deadlock: If the system is in a deadlock state, some methods for recovering
it from the deadlock state must be applied. There are various ways for recovery:

• Allocate one resource to several processes, by violating mutual exclusion.

• Preempt some resources from some of the deadlocked processes.
• Abort one or more processes in order to break the deadlock.

If preemption is used:

1. Select a victim. (Which resource(s) is/are to be preempted from which process?)

2. Rollback: If we preempt a resource from a process, roll the process back to some safe
state and make it continue.
Here the OS may be probably encounter the problem of starvation. How can we guarantee
that resources will not always be preempted from the same process?

Recovery from Deadlock: If the system is in a deadlock state, some methods for recovering
it from the deadlock state must be applied. There are various ways for recovery:
• Allocate one resource to several processes, by violating mutual exclusion.
• Preempt some resources from some of the deadlocked processes.
• Abort one or more processes in order to break the deadlock.

If preemption is used:
1. Select a victim. (Which resource(s) is/are to be preempted from which process?)

2. Rollback: If we preempt a resource from a process, roll the process back to some safe
state and make it continue.
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Here the OS may be probably encounter the problem of starvation. How can we guarantee
that resources will not always be preempted from the same process?

In selecting a victim, important parameters are:

• Process priorities
• How long the process has occupied?
• How long will it occupy to finish its job
• How many resources of what type did the process use?
• How many more resources does the process need to finish its job?
• How many processes will be rolled back? (More than one victim may be selected.)

For rollback, the simplest solution is a total rollback. A better solution is to roll the victim
process back only as far as it’s necessary to break the deadlock. However, the OS needs to
keep more information about process states to use the second solution. To avoid starvation,
ensure that a process can be picked as a victim for only a small number of times. So, it is a
wise idea to include the number of rollbacks as a parameter.

UNIX Operating System

UNIX is a popular multi-user, multi-tasking OS. It has the attributes as stability, portability,
security It is created at Bell Labs by Dennis Ritchie and Ken Thompson (won the ACM Turing
Award in 1983). Unix is considered one of the greatest achievements in computer science. It
has been around since the 1960s in various forms, e.g., AIX, SCO Unix, SunOS, FreeBSD,
OpenBSD, NetBSD, Linux, Mac OS X.

Description: Figure 2.18 below provides a general description of the UNIX architecture. The
underlying hardware is surrounded by the operating system software. The operating system
is often called the system kernel, or simply the kernel, to emphasize its isolation from the
user and applications. UNIX comes equipped with a number of user services and interfaces
that are considered part of the system. These can be grouped into the shell, other interface
software, and the components of the C compiler (compiler, assembler, loader). The layer
outside of this consists of user applications and the user interface to the C compiler. A closer
look at the kernel is provided in Figure 2.19. User programs can invoke operating system
services either directly or through library programs. The system call interface is the
boundary with the user and allows higher-level software to gain access to specific kernel
functions. At the other end, the operating system contains primitive routines that interact
directly with the hardware. Between these two interfaces, the system is divided into two
main parts, one concerned with process control and the other concerned with file
management and I/O. The process control subsystem is responsible for memory
management, the scheduling and dispatching of processes, and the synchronization and
inter process communication of processes. The file system exchanges data between memory
and external devices either as a stream of characters or in blocks. To achieve this, a variety
of device drivers are used. For block-oriented transfers, a disk cache approach is used: a
system buffer in main memory is interposed between the user address space and the
external device.
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Fig 2.18: General UNIX Architecture

Fig 2.19: Traditional UNIX Kernel

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UNIX Layers: There are several “layers” in the UNIX environment, from the “lowest”
(farthest removed from the user), which is called the kernel, to the “highest”, the graphical
user interface (GUI). Each of these layers will be described very briefly below.

The Kernel: The kernel is the lowest layer of the operating system, and accounts for
hardware devices, data storage, and executing other regularly scheduled tasks. This layer is
machine dependent, unlike the rest of the operating system. Individual tasks that a user
performs constitute separate processes. Users usually run many processes concurrently
during normal operations.

The Shell: Users of UNIX systems do not interact directly with the kernel. User commands
are sent to the kernel via a shell. This part of the operating system is a high-level
programming language that interprets user commands, executes the appropriate program,
sends requests to the kernel, and delivers the resulting output to the user. The shell is an
interface that lets you customize your user environment and automate complex operations.

The Graphical User Interface (GUI): The GUI is the highest level of the UNIX operating
system. It is simply the window display environment that you see on the screen when using
a workstation. You can customize this environment to suit your tastes as well, for example,
you can set the background color, font size, window size, and have a clock or calendar
automatically appear when you log in. If you have multiple windows open simultaneously,
you will have to use the cursor to “activate” the window you want to use. A mouse controls
the movement of the cursor.

Hardware UNIX UNIX Shell Graphic User Interface

Kernel

Fig 2.20: UNIX layers

Summary
 Editors are system software to facilitate editing of text and data. Editors are also
required for coding and debugging. For writing programs files are opened using an
editor program.
 Multiprocessing is the use of two or more central processing units (CPUs) within a
single computer system. The term also refers to the ability of a system to support
more than one processor and the ability to allocate tasks between them.
 A process is a program in execution. The execution of a process must progress in a
sequential fashion. A process is defined as an entity which represents the basic unit
of work to be implemented in the system.

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 Compiler converts the entire source code into machine code and is not involved in
its execution. After compilation the object code is permanently stored for future
use.
 Each process is represented in the operating system by a process control block (PCB)
also called a task control block. PCB is the data structure used by the operating
system. Operating system groups all information that needs about particular
process.
 A context switch is the mechanism to store and restore the state or context of a CPU
in Process Control block so that a process execution can be resumed from the same
point at a later time.
 A thread is a flow of execution through the process code, with its own program
counter, system registers and stack. A thread is also called a light weight process.
 Virtual memory is the separation of user logical memory from physical memory. This
separation allows an extremely large virtual memory to be provided for
programmers when only a smaller physical memory is available.
 A file is a named collection of related information that is recorded on secondary
storage such as magnetic disks, magnetic tapes and optical disks. In general, a file is
a sequence of bits, bytes, lines or records whose meaning is defined by the files
creator and user.
 In a multiprogramming system, processes request resources. If those resources are
being used by other processes then the process enters a waiting state. However, if
other processes are also in a waiting state, we have deadlock.
 UNIX is a popular multi-user, multi-tasking OS. It has the attributes as stability,
portability, security It is created at Bell Labs by Dennis Ritchie and Ken Thompson
(won the ACM Turing Award in 1983). Unix is considered one of the greatest
achievements in computer science. It has been around since the 1960s in various
forms, e.g., AIX, SCO Unix, SunOS, FreeBSD, OpenBSD, NetBSD, Linux, Mac OS X.
 There are several “layers” in the UNIX environment, from the “lowest” (farthest
removed from the user), which is called the kernel, to the “highest”, the graphical
user interface (GUI).

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COMPUTER NUMBER SYSTEM

Structure of the Chapter

 Computer number system
 Conversion of numbers
 Computer arithmetic
 Boolean Algebra
 Logic gates

Objectives
After completion of this unit you should be able to

 Understand the needs of different number systems

 Convert numbers in different number systems
 Understand 1’s complement and 2’s complement ways of representation
 Understand the different postulates of Boolean algebra and able to use them to
simplify expressions
 Draw the logical circuits of Boolean expressions

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Introduction
The original computers were designed to be high-speed calculators. The designers needed
to use the electronic components available at the time. The designers realized they could
use a simple coding system--the binary system-- to represent their numbers.

When we type some letters or words, the computer translates them in numbers as
computers can understand only numbers. A computer can understand positional number
system where there are only a few symbols called digits and these symbols represent
different values depending on the position they occupy in the number.

A value of each digit in a number can be determined using:

 The digit
 The position of the digit in the number
 The base of the number system (where base is defined as the total number
of digits available in the number system).

All the different types of information in computers can be represented using binary code.

 Numbers
 Letters of the alphabet and punctuation marks
 Microprocessor instruction
 Graphics/Video
 Sound

Bits and Bytes: A binary digit is a single numeral in a binary number. Each 1 and 0 in the
number below is a binary digit:

10010101

The term “binary digit” is commonly called a “bit.”

Eight bits grouped together is called a “byte.”

Computer Number Systems

o Decimal Numbers
o Binary Numbers
o Octal numbers
o Hexadecimal Numbers

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Decimal Number System: The number system that we use regularly is the decimal number
system. The prefix “deci-” stands for 10. It has base 10. There are 10 symbols that represent
quantities: 0, 1, 2, 3, 4, 5, 6, 7, 8, 9
In decimal number system, the successive positions to the left of the decimal point
represent units, tens, hundreds, thousands and so on.
Each position represents a specific power of the base (10).
For example, the decimal number 1234 consists of the digit 4 in the units position, 3 in the
tens position, 2 in the hundreds position, and 1 in the thousands position, and its value can
be written as

(1x1000)+ (2x100)+ (3x10)+ (4x1)

(1x103)+ (2x102)+ (3x101)+ (4x100)

1000 + 200 + 30 + 4

1234

For whole numbers, the rightmost digit position is the one’s position (100 = 1). The numeral
in that position indicates how many ones are present in the number. The next position to
the left is ten’s, then hundred’s, thousand’s, and so on. Each digit position has a weight that
is ten times the weight of the position to its right.

In a positional notation system, the number base is called the radix. Thus, the base ten
systems that we normally use have a radix of 10. The term radix and base can be used
interchangeably. When writing numbers in a radix other than ten, or where the radix isn’t
clear from the context, it is customary to specify the radix using a subscript.

Binary Numbers: The prefix “bi-” stands for 2. The binary number system is a Base 2
number system: There are 2 symbols that represent quantities 0, 1. Each place value in a
binary number is a power of 2. The binary number system is also a positional notation
numbering system, but in this case, the base is not ten, but is instead two. Each digit position
in a binary number represents a power of two. So, when we write a binary number, each
binary digit is multiplied by an appropriate power of 2 based on the position in the number:

For example:

101101 = 1 x 25 + 0 x 24 + 1 x 23 + 1 x 22 + 0 x 21 + 1 x 20

= 1 x 32 + 0 x 16 + 1 x 8 + 1 x 4 + 0 x 2 + 1 x 1

= 32 + 8 + 4 + 1 = 45

Octal number: Octal stands for 8, so in this system there are 8 fundamental numbers:
0,1,2,3,4,5,6 and 7. Every other number can be formed by these fundamental numbers.

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For example:

5270 = 5×83+2×82 + 7×81 +0×80

 5270 = 2560+128+56+0
 5270 = 2744

Hexadecimal Numbers: The prefix “hexa-” stands for 6 and the prefix “deci-’ stands for 10.
The hexadecimal number system is a Base 16 number system:

There are 16 symbols that represent quantities:

0, 1, 2, 3, 4, 5, 6, 7, 8, 9, A, B, C, D, E, F

Each place value in a hexadecimal number is a power of 16.

Hexadecimal Numbers

Decimal Binary Octal Hexadecimal Decimal Binary Octal Hexadecimal

0 0000 0 0 8 1000 10 8
1 0001 1 1 9 1001 11 9
2 0010 2 2 10 1010 12 A
3 0011 3 3 11 1011 13 B
4 0100 4 4 12 1100 14 C
5 0101 5 5 13 1101 15 D
6 0110 6 6 14 1110 16 E
7 0111 7 7 15 1111 17 F

The reason for the common use of hexadecimal numbers is the relationship between the
numbers 2 and 16. Sixteen is a power of 2 (16 = 24). Because of this relationship, four digits
in a binary number can be represented with a single hexadecimal digit. This makes
conversion between binary and hexadecimal numbers very easy, and hexadecimal can be
used to write large binary numbers with much fewer digits. When working with large digital
systems, such as computers, it is common to find binary numbers with 8, 16 and even 32
digits. Writing a 16 or 32 bit binary number would be quite tedious and error prone. By using
hexadecimal, the numbers can be written with fewer digits and much less likelihood of error.

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Conversion:

Decimal to Other Base System: Steps are as follows:

 Step 1 – Divide the decimal number to be converted by the value of the new base.
 Step 2 - Get the remainder from Step 1 as the rightmost digit (least significant digit)
of new base number.
 Step 3 - Divide the quotient of the previous divide by the new base.
 Step 4 - Record the remainder from Step 3 as the next digit (to the left) of the new
base number.
 Repeat Steps 3 and 4, getting remainders from right to left, until the quotient
becomes zero in Step 3.
 The last remainder thus obtained will be the most significant digit (MSD) of the new
base number.

Example 1: convert (37)10 to binary

37 / 2 = 18 remainder 1 (least significant digit)

18 / 2 = 9 remainder 0
9/2=4 remainder 1
4/2=2 remainder 0
2/2=1 remainder 0
1/2=0 remainder 1 (most significant digit)
The resulting binary number is: 100101

(37)10 = (100101)2

Example 2: convert (93)10 to binary

93 / 2 = 46 remainder 1 (least significant digit)

46 / 2 = 23 remainder 0
23 / 2 = 11 remainder 1
11 / 2 = 5 remainder 1
5/2=2 remainder 1
2/2=1 remainder 0
1/2=0 remainder 1 (most significant digit)
The resulting binary number is: 1011101

(93)10 = (1011101)2

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Example 3: convert (3710)10 to octal

3710 / 8 = 463 remainder 6 (least significant digit)
463 / 8 = 57 remainder 7
57 / 8 = 7 remainder 1
7/8 = 0 remainder 7 (most significant digit)
(3710)10 = (7176)8

Example 4: convert (93)10 to octal

93 / 8 = 11 remainder 5 (least significant digit)
11 / 8 = 1 remainder 3
1/8=0 remainder 1 (most significant digit)
The resulting octal number is: 135

(93)10 = (135)8

Example 5: convert (3710)10 to hexadecimal

3710 / 16 = 231 remainder 14(E) (least significant digit)
231 / 16 = 14 remainder 7
14 / 16 = 0 remainder 14(E) (most significant digit)
(3710)10 = (E7E)16

Example 6: convert (93)10 to hexadecimal

93 / 16 = 5 remainder 13(D) (least significant digit)
5 / 16 = 0 remainder 5 (most significant digit)
The resulting hexadecimal number is: 5D

(93)10 = (5D)16

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Other base system to Decimal System: Steps are as follows:

 Step 1 - Determine the column (positional) value of each digit (this depends on the
position of the digit and the base of the number system).
 Step 2 - Multiply the obtained column values (in Step 1) by the digits in the
corresponding columns.
 Step 3 - Sum the products calculated in Step 2. The total is the equivalent value in
decimal.

Example 7: Convert (10101)2 to decimal

Step 1: Starting with the 1s place; write the binary place value over each digit in the
binary number being converted.
24 23 22 21 20
1 0 1 0 1
Step 2: Multiply the digits with respective place values and take a summation
1×24 + 0×23 + 1×22+0×21+1×20 = 21
So we can write (10101)2 = (21)10
Example 8: Convert (10651)8 to decimal
Step 1: Starting with the 1s place; write the binary place value over each digit in the
binary number being converted.
84 83 82 81 80
1 0 6 5 1
Step 2: Multiply the digits with respective place values and take a summation
1×84 + 0×83 + 6×82+5×81+1×80 = 4521
So we can write (10651)8 = (4521)10
Example 9: Convert (A65E)16 to decimal
Step 1: Starting with the 1s place; write the binary place value over each digit in the
binary number being converted.
163 162 161 160
A 6 5 E
Step 2: Multiply the digits with respective place values and take a summation
10×163 + 6×162 + 5×161+14×160= 42590

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So we can write (A65E)8 = (42590)10

Binary to Octal: Steps are as follows:

 Step 1 - Divide the binary digits into groups of three (starting from the right).

 Step 2 - Convert each group of three binary digits to one octal digit.
Example 10: Convert (10101101)8 to octal

010101101

2 5 5
So (10101101)8 = (255)8
Converting Binary Numbers to Hexadecimal

Example 11: Convert (110001011011)2 to hexadecimal

Step 1: Starting with the LEAST SIGNIFICANT digit, mark off the digits in groups of 4. For
example, to convert 110001011011 to hexadecimal, mark off the digits in groups of four.
1100|0101|1011
Step 2: Convert each group of four digits to its hexadecimal character.
1100|0101|1011

C 5 B
So (110001011011)2 = (C5B)16
Octal to binary: steps are as follows:
Step 1 - Convert each octal digit to a 3 digit binary number (the octal digits may be treated as
decimal for this conversion).

Step 2 - Combine all the resulting binary groups (of 3 digits each) into a single binary
number.

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Example 12: Convert (67502)8 to binary

6 7 5 0 2

110 111 101 000 010

So (67502)8= (110111101000010)2
Hexadecimal to binary: steps are as follows:
Step 1 - Convert each hexadecimal digit to a 4 digit binary number
Step 2 - Combine all the resulting binary groups (of 4 digits each) into a single binary
number.
Example 13: Convert (6E50C)16 to binary

6 E 5 0 C

0110 1110 0101 0000 1100

So (6E50C)16 = (01101110010100001100)2
Conversion of decimal fractions to other base: Begin with the decimal fraction and multiply
by 2 or 8 or 16 depending on the base. The whole number part of the result is the first binary
or octal or hexadecimal digit to the right of the point.
Next we disregard the whole number part of the previous result and the fractional part is
again multiplied by 2 or 8or 16 and the process continues till the fractional part becomes
zero.
Example 14: Convert (0.625)10 to binary.
0.625×2 = 1.25 first binary digit will be 1
0.25×2 = 0.50 second binary digit will be 0
0.50×2 = 1.00 third binary digit will be 1
Since the fractional part becomes zero so the fraction terminates
(0.625)10 =( 0.101)2

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Example 15: Convert (0.6025)10 to octal.

0.6025×8 = 4.82 first octal digit will be 4

0.82×8 = 6.56 second octal digit will be 6
0.56×8 = 4.48 third octal digit will be 4
0.48×8 = 3.84 fourth octal digit will be 3
…………………………………………………..
(0.6025)10 =( 0.4643)8 (Upto 4 decimal places)

Example 16: Convert (0.6025)10 to hexadecimal.

0.6025×16 = 9.64 first hexadecimal digit will be 9

0.64×16 = 10.24 second hexadecimal digit will be A
0.24×16 = 3.84 third hexadecimal digit will be 3
0.84×16 = 13.44 fourth hexadecimal digit will be D
………………………………………………………………
(0.6025)10 =( 0.9A3D)16 (Upto 4 decimal places)

Example 17: convert the decimal number 250.5 to binary, octal and hexadecimal.

Binary conversion
Integral part = 250 and fractional part = 0.5

Conversion of integral part

250 / 2 = 125 remainder 0 (least significant digit)
125 / 2 = 62 remainder 1
62 / 2 = 31 remainder 0
31 / 2 = 15 remainder 0

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15 / 2 = 7 remainder 1
7/2=3 remainder 1
3/2=1 remainder 1
1/2 = 0 remainder 1 (most significant digit)
(11110010)2

Conversion of fractional part

0.50×2 = 1.00 first binary digit right to the decimal point will be 1
Since the fractional part becomes zero so the fraction terminates.

So (250.5)10 = (11110010.1)2

Octal conversion:
Conversion of integral part
250 / 8 = 31 remainder 2 (least significant digit)
31 / 8 = 3 remainder 7
3/8=0 remainder 3 (most significant digit)
(372)8
Conversion of fractional part
0.50×8 = 4.00 first octal digit right to the decimal point will be 4
Since the fractional part becomes zero so the fraction terminates.

So (250.5)10 = (372.4)8

Hexadecimal conversion
Conversion of integral part
250 / 16 = 15 remainder 10(A) (least significant digit)
15 / 16 = 0 remainder 15(F) (most significant digit)
(FA)16

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Conversion of fractional part

0.50×16 = 8.00 first hexadecimal digit right to the decimal point will be 8
Since the fractional part becomes zero so the fraction terminates.
So (250.5)10 = (FA.8)16

Computer Arithmetic:
Representing Negative Numbers – (Sign & Magnitude method): As there is no third symbol
available to store a negative symbol explicitly we must use a bit to show if a number is
negative or not. We name this bit the “Sign Bit”. We use the left most bit as sign bit. If the
Sign Bit is 1 then the number is negative and itf it is 0 then the number is positive.
+3 can be written as 0 0000011

Sign bit
-3 can be written as 1 0000011

Sign bit
Binary Arithmetic Rules
• 0+0=0
• 0+1=1
• 1+0=1
• 1 + 1 = 0 (carry 1)
• 1+1+1 = 1 (carry 1)

Problems with this method

Addition and subtraction calculations give incorrect results:
For example: +3 + -3 should give us answer zero
In a 8 bit register with first bit as sign bit +3 will be represented as 0 0000011 and -3 will be
represented as 1 0000011
Let us add the numbers by binary addition method
0 0000011
+1 0000011
1 0000110 the decimal equivalent = -6 and not 0
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One’s complement Method: Subtraction of a number from another can be obtained by

adding the complement of the second number to the first number.
5-3 = 5+(-3)
Subtraction of binary numbers using 1’s complement method allows subtraction only by
addition. The 1’s complement of a binary number can be obtained by changing all 1s to 0s
and all 0s to 1s.
• Binary number = 1011
• 1’s complement = 0100
Subtract (1010)2 from (1111)2
Direct Subtraction
1111
- 1010
0101
1’s complement subtraction:
1’s complement of 1010 is 0101
Adding this number to 1111
1111
+ 0101
1 0100
Carry

Add Carry 1
0101
Example: Perform the following operation using 1,s complement: 101011-10001
1’s complement of 010001 is 101110
Adding this number to 101011
101011
+ 101110
Carry 1 011001

Add 1
carry 11010

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2’s complement method: The 2’s complement of binary number can be obtained by adding
1 to its 1’s complement:
Subtract (1010)2 from (1111)2
First we have to convert 1010 to 2’s complement
1’s complement of 1010 = 0101 then add 1 to it
So 2’s complement = 0101
+ 1
0110
Now adding this number to 1111
1111
+ 0110

Carry 1 0101

Carry is discarded so the answer is 0101

Example 1: Perform the operation (+20)-(-12) in binary using signed 2’s complement
representation for negative numbers.
Binary conversion of 20
20 / 2 = 10 remainder 0
10 / 2 = 5 remainder 0
5/2=2 remainder 1
2/2=1 remainder 0
1/2 = 0 remainder 1 (most significant digit)
(20)10 = (10100)2
Conversion of 12
12 / 2 = 6 remainder 0
6/2=3 remainder 0
3/2=1 remainder 1
1/2=0 remainder 1 (most significant digit)
(12)10 = (1100)2
12 in 5 bits = 01100
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For -12 we will take 2’s complement

1’s complement of 12 = 10011
Adding 1 + 1
10100
(20)10-(-12)10= (10100)2 – (10100)2
So again we have to take 2’s complement of 10100
1’s complement = 01011
Adding 1 + 1
01100
Adding this number to 10100
10100
01100
100000

Example 2: Perform the following operations

(i) 11001101-10101110 (by 1’s complement method)
(ii) 1010111-1000110 (by 2’s complement method)
(iii) 10010-10011(by 2’s complement method)
(iv) 100-110000 (by 2’s complement method)

Solution (i). 11001101-10101110 (by 1’s complement method)

1’s complement of 10101110 = 01010001
Adding this number to 11001101
11001101
+ 01010001

Carry 100011110
1
Add carry
00011111
Answer is 00011111

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Solution (ii) 1010111-1000110 (by 2’s complement method)

First we have to convert 1000110 to 2’s complement
1’s complement of 1000110 is 0111001

Adding 1 to it
0111001
1
0111010
So 2’s complement of 1000110 is 0111010
Adding this number to 1010111
1010111
0111010
1 0010001
By ignoring the carry bit the answer is 0010001

Solution (iii) 10010-10011(by 2’s complement method)

Conversion of 10011 to 2’s complement
1’s complement of 10011 is 01100
Adding 1 to it
01100
1
01101
Adding this number to 10010
10010
01101
11111

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The result is negative as it starts with 1 so reconversion is needed. For this 1 will be
subtracted from the answer

11111 – 1 = 11110
Then 1’s complement will be taken
1’s complement of 11110 = 00001
So the answer is – 00001

Solution (iv) 100-110000 (by 2’s complement method)

Conversion of 110000 to 2’s complement
1’s complement of 110000 is 001111
Adding 1 to it
001111
1
010000

Adding this number to 000100

00100
10000
10100
Since the left most digit is 1 so the number is negative. To reconvert it first 1 will be
deducted from 10100
10100 – 1= 10011
1’s complement of 010011 is 101100 so the answer is – 101100

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Floating point representation of numbers:

A floating-point number (or real number) can represent a very large (1.23×10^88) or a very
small (1.23×10^-88) value. It could also represent very large negative number (-1.23×10^88)
and very small negative number (-1.23×10^88), as well as zero.
A floating-point number is typically expressed in the scientific notation, with a fraction (F),
and an exponent (E) of a certain radix (r), in the form of F×r^E. Decimal numbers use radix of
10 (F×10^E); while binary numbers use radix of 2 (F×2^E).
Representation of floating point number is not unique. For example, the number 55.66 can
be represented as5.566×10^1, 0.5566×10^2, 0.05566×10^3, and so on. The fractional part
can be normalized. In the normalized form, there is only a single non-zero digit before the
radix point. For example, decimal number 123.4567 can be normalized as 1.234567×10^2;
binary number 1010.1011B can be normalized as 1.0101011B×2^3.
It is important to note that floating-point numbers suffer from loss of precision when
represented with a fixed number of bits (e.g., 32-bit or 64-bit). This is because there
are infinite number of real numbers (even within a small range of says 0.0 to 0.1). On the
other hand, a n-bit binary pattern can represent a finite 2^n distinct numbers. Hence, not all
the real numbers can be represented. The nearest approximation will be used instead,
resulted in loss of accuracy.
Binary Logic and Gates: Boolean algebra is a useful mathematical system for specifying and
transforming logic functions. We study Boolean algebra as a foundation for designing and
analyzing digital systems! Boolean algebra is a mathematical system for the manipulation of
variables that can have one of two values.
– formal logic, these values are “true” and “false.”
– In digital systems, these values are “on” and “off,” 1 and 0, or “high” and
“low.”
Boolean expressions are created by performing operations on Boolean variables.
Common Boolean operators include AND, OR, and NOT.
 AND operator: It is a binary operator and is also known as a Boolean product. It is
denoted by a dot (·).
0.0=0
0.1=0
1.0=0
1.1=1
And operator says that the result is true only both of the operands are true else false.
 OR operator: It is a binary operator and is also known as a Boolean sum. It is
denoted by a dot (+).

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0+0=0
0+1=1
1+0=1
1+1=1
OR operator says that the result is true if at least one of the operand is true.
 NOT operator: It is most often designated by an over bar. It is sometimes indicated
by a prime mark ( ‘ ) or an “elbow” (). It is a unary operator.
0’ = 1
1’ = 0
Boolean algebra Postulates:
 Commutative Law
x•y=y•x x+y=y+x
Truth tables to prove the law
x y x.y y.x x+y y+x
0 0 0 0 0 0
0 1 0 0 1 1
1 0 0 0 1 1
1 1 1 1 1 1

 Identity Element
x•1=x x+0=x

Truth tables to prove the law

x 1 x.1 0 x+0
0 1 0 0 0
1 1 1 0 1

 Complement
x • x’ = 0 x + x’ = 1

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Truth tables to prove the law

x x’ x.x’ x+x’
0 1 0 1
1 0 0 1
Boolean algebra Theorems
Duality: The dual of a Boolean algebraic expression is obtained by interchanging the AND
and the OR operators and replacing the 1’s by 0’s and the 0’s by 1’s.
● x•(y+z)=(x•y)+(x•z)
Truth tables to prove the law
x y z y+z x.(y+z) x.y x.z (x.y)+(x.z)
0 0 0 0 0 0 0 0
0 0 1 1 0 0 0 0
0 1 0 1 0 0 0 0
0 1 1 1 0 0 0 0
1 0 0 0 0 0 0 0
1 0 1 1 1 0 1 1
1 1 0 1 1 1 0 1
1 1 1 1 1 1 1 1
● x+(y•z)=(x+y)•(x+z)
Truth tables to prove the law
x y z y.z x+(y.z) x+y x+z (x+y).(x+z)
0 0 0 0 0 0 0 0
0 0 1 0 0 0 1 0
0 1 0 0 0 1 0 0
0 1 1 1 1 1 1 1
1 0 0 0 1 1 1 1
1 0 1 0 1 1 1 1
1 1 0 0 1 1 1 1
1 1 1 1 1 1 1 1
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Theorem 5: DeMorgan
● ( x • y )’ = x’ + y’ ( x + y )’ = x’ • y’
x y x.y (x.y)’ x+y (x+y)’ x’ y’ x’+y’ x’.y’
0 0 0 1 0 1 1 1 1 1
0 1 0 1 1 0 1 0 1 0
1 0 0 1 1 0 0 1 1 0
1 1 1 0 1 0 0 0 0 0

Theorem 6: Absorption
 x•(x+y)=x x+(x•y)=x
x y x+y x.(x+y) x.y x+(x.y)
0 0 0 0 0 0
0 1 1 0 0 0
1 0 1 1 0 1
1 1 1 1 1 1

Simplification of Boolean functions:

Example 1: (A'BC') + (A'B'C) + (A'BC) + (AB'C)
 A'BC' + A'B'C + A'BC + AB'C
 A'BC' + A'BC +A'B'C + + AB'C
 A’B(C’+C) +B’C(A’+A)
 A’B +B’C (since (C’+C = A’+A = 1)

Example 2: C + (BC)’
 C +B’ +C’ ( By D Morgan’s law)
 C + C’ + B’
 1 + B’ ( Since C+C’ =1)
 1

Example 3: (AB)’(A’ + B)(B’ + B)

 (AB)’(A’ + B)(1) (Since B+B’ = 1)
 (AB)’(A’ + B)
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 (A’+B’)(A’+B)
 A’A’+A’B+B’A’+B’B
 A’ + A’ (B+B’) + 0 (since B’B )
 A’ + A’ (since B+B’ = 1)
 A’

Example 4: (A + C)(AD + AD’) + AC + C

 (A+C)(A(D+D’) +C (A+1)
 (A+C) A + C ( since D+D’ = 1 and A + 1= 1)
 A + AC + C
 A + C (A+1)
 A+ C
Example 5: A’(A + B) + (B + AA)(A + B’)
 A’(A + B) + (B + A)(A + B’) ( since AA = A)
 A’A + A’B + BA + BB’+ AA+AB’
 0 +A’B +BA + 0 +A + AB’ ( Since A’A = B’B = 0)
 A’B +BA + A + AB’
 B (A’ +A) + A (1+B’)\
 B + A ( since A’+A = 1 and 1 + B’ = 1)
Example 6: A(A + B’C) + A(B’ + C)
 AA + AB’C + AB’ + AC
 A + AC + AB’C + AB’
 A ( 1 +C) + AB’(C+1)
 A + AB’
 A(1+B’)
 A
Example 7: AB+A(B+C)+B(B+C)
 AB+AB+AC+BB+BC
 AB+AC+B+BC ( since AB+AB = AB)
 AB+AC+B(1+C)
 AB+AC+B ( Since 1+C =1)
 AB+B+AC
 B(A+1)+AC
 B+AC (Since A+1 =1)
Logic Gates: Formal logic is a branch of mathematics that deals with true and false values
instead of numbers.
In the mid-19th century, George Bool developed many Logic ideas. Boolean logic deals with
equations where the operators are “AND” or “OR” instead of “add” and “multiply”.

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Logic Gates & Symbols

• AND gate: The AND gate is an electronic circuit that gives a gives a true output (1)
only if (1) only if all its inputs its inputs are true. A dot (·) is used to show the AND
operation i.e. A·B. Note that the dot is sometimes omitted i.e. AB.
Truth Table
A B A.B
0 0 0
0 1 0
1 0 0
1 1 1

• OR gate: The OR gate isA.B an electronic circuit that gives a true output (1) if one or
more of its inputs are true. A plus (+) is used to show the OR operation.

Truth Table
A B A+B
0 0 0
0 1 1
1 0 1
1 1 1

A+B

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• NOT gate: The NOT gate is an electronic circuit that produces an inverted version of
the input at its output. It is also known as an inverter. If the input variable is A, the
inverted output is known as NOT A. This is also shown as A', or Ā

Truth table
A A’
0 1
1 0

A’

NAND gate: This is a NOT-AND gate which is equal to an AND gate followed by a NOT
gate. The outputs of all NAND gates are true if any of the inputs are false. The symbol is
an AND gate with a small circle on the output. The small circle represents inversion.
Truth Table
A B (A.B)’
0 0 1
0 1 1
1 0 1
1 1 0

(XY)’

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Logical Equivalence: A NAND gate gives the same results as an AND gate feeding into a NOT
gate. Circuits are logically equivalent if they produce the same truth table output.
A B A.B NOT A.B NAND AB
0 0 0 1 1
0 1 0 1 1
1 0 0 1 1
1 1 1 0 0

• NOR gate: • This is a NOT-OR gate which is equal to an OR gate followed by a NOT
gate. The outputs of all NOR gates are false if any of the inputs are true. The symbol
is an OR gate with a small circle on the output. The small circle represents inversion
represents inversion.

Truth Table
A B (A+B)’
0 0 1
0 1 0
1 0 0
1 1 0

EXOR gate: The 'Exclusive-OR' gate is a circuit which will give a true output if either
but not both, of its two inputs are true. An encircled plus sign is used to show the
EOR operation.

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Truth Table
A B (A+B)

0 0 0
0 1 1
1 0 1
1 1 0

A EXOR B

Universal gates: Any function can be implemented using only NAND or only NOR gates so
they are called universal gates.
NAND gate as a universal gate:
• Implement NOT using NAND

Truth table
A A NAND A A’
0 1 1
1 0 0

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• Implementation of AND using NAND

Truth Table
A B (A.B)’ ((A.B)’.(A.B)’)’ A.B
0 0 1 0 0
0 1 1 0 0
1 0 1 0 0
1 1 0 1 1

• Implementation of OR using NAND

Truth Table
A B (A.A)’= A’ (B.B)’= B’ (A’.B’)’ A+B
0 0 1 1 0 0
0 1 1 0 1 1
1 0 0 1 1 1
1 1 0 0 1 1

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NOR gate as a universal gate:

• Implement NOT using NOR

Truth table
A A NOR A A’
0 1 1
1 0 0

• Implementation of AND using NOR

Truth Table
A B (A+A)’= A’ (B+B)’= B’ (A’+B’)’ A.B
0 0 1 1 0 0
0 1 1 0 0 0
1 0 0 1 0 0
1 1 0 0 1 1

Example 1: construct a logical circuit with AND,OR and NOT gates for the following Boolean
expression
X = ((A+B)’+C’DE)+BC’D

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Example 2: Sketch the logic circuit for the Boolean expression with truth table:
Z = AC+BC+ABC

A B C ABC AC BC Z
0 0 0 0 0 0 0
0 0 1 0 0 0 0
0 1 0 0 0 0 0
0 1 1 0 0 1 1
1 0 0 0 0 0 0
1 0 1 0 1 0 1
1 1 0 0 0 0 0
1 1 1 1 1 1 1

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Example 3: Sketch the logic circuit for the Boolean expression with truth table:
Z = (A+B’+C+D’)’+(B’CD’)’

A B C D B’ D’ B’CD’ (B’CD’)’ A+B’+C+D’ (A+B’+C+D’)’ Z

0 0 0 0 1 1 0 1 1 0 1
0 0 0 1 1 0 0 1 1 0 1
0 0 1 0 1 1 1 0 1 0 0

0 0 1 1 1 0 0 1 1 0 1
0 1 0 0 0 1 0 1 1 0 1
0 1 0 1 0 0 0 1 0 1 1
0 1 1 0 0 1 0 1 1 0 1
0 1 1 1 0 0 0 1 1 0 1
1 0 0 0 1 1 0 1 1 0 1
1 0 0 1 1 0 0 1 1 0 1
1 0 1 0 1 1 1 0 1 0 0
1 0 1 1 1 0 0 1 1 0 1
1 1 0 0 0 1 0 1 1 0 1
1 1 0 1 0 0 0 1 1 0 1
1 1 1 0 0 1 0 1 1 0 1
1 1 1 1 0 0 0 1 1 0 1

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Example 4: Sketch the logic circuit for the Boolean expression with truth table:
Z = A’BC’+ABC’+A’BC

A B C A’ C’ A’BC’ ABC’ A’BC Z

0 0 0 1 1 0 0 0 0
0 0 1 1 0 0 0 0 0
0 1 0 1 1 1 0 0 1
0 1 1 1 0 0 0 1 1
1 0 0 0 1 0 0 0 0
1 0 1 0 0 0 0 0 0
1 1 0 0 1 0 1 0 1
1 1 1 0 0 0 0 0 0

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Example 5: Sketch the logic circuit for the Boolean expression with truth table:
Z = (A+B)C+(A’+C’)B

A B C (A+B) (A+B)C A’ C’ (A’+C’) (A’+C’)B Z

0 0 0 0 0 1 1 1 0 0
0 0 1 0 0 1 0 1 0 0
0 1 0 1 0 1 1 1 1 1
0 1 1 1 1 1 0 1 1 1
1 0 0 1 0 0 1 1 0 0
1 0 1 1 1 0 0 0 0 1
1 1 0 1 0 0 1 1 1 1
1 1 1 1 1 0 0 0 0 1

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Summary:
 Number systems are simply ways to count things. Ours is the base-10 or radix-10
system.
 All computers use the binary system : Binary number system: Base = 2. Thus there are 2
numbers: 0 and 1 A single binary number is called a Binary digit , or bit.
 Octal numbers have base 8 and the fundamental numbers are 0,1,2,3,4,5,6 and 7
 Hexa-decimal numbers have base 16 and fundamental numbers are
0,1,2,3,4,5,6,7,8,9,A,B,C,D,E and F.
 Boolean algebra provides a concise way to express the operation of a logic circuit
formed by a combination of logic gates so that the output can be determined for
various combinations of input values.
 There are basically three fundamental gates OR, AND and NOT gate

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DATA BASE MANAGEMENT SYSTEM

Structure of the Chapter

 Introduction to Data Base Management System
 Characteristics of DBMS
 Advantages and disadvantages of DBMS
 Database Architecture
 Entity relationship model
 Normalization of database

Objectives
After completion of this unit you should be able to

 Understand the need of Data Base Management System

 Find out the functional areas of DBMS
 Understand the benefits of DBMS over Flat file system
 Benefit of three level architecture of DBMS
 Normalize database up to third normal form

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Introduction
Data is collection of facts and figures which can be processed to produce information. Name
of a student, age, class and her subjects can be counted as data for recording purposes.
Mostly data represents recordable facts. Data aids in producing information which is based
on facts. For example, if we have data about marks obtained by all students, we can then
conclude about toppers and average marks etc.

A database is a collection of data, typically describing the activities of one or more related
organizations. A database management system stores data, in such a way which is easier to
retrieve, manipulate and helps to produce information. It is a collection of data. This is a
collection of related data with an implicit meaning and hence is a database.

The primary goal of a DBMS is to provide a way to store and retrieve database information
that is both convenient and efficient. Database systems are designed to manage large bodies
of information. Management of data involves both defining structures for storage of
information and providing mechanisms for the manipulation of information. In addition, the
database system must ensure the safety of the information stored, despite system crashes
or attempts at unauthorized access. If data are to be shared among several users, the system
must avoid possible anomalous results.

Database management system

 Is a collection of interrelated data

 Is a set of programs to access the data
 Contains information about a particular enterprise
 Provides an environment that is both convenient and efficient to use.

Application areas of Database

 Banking: all transactions

 Airlines: reservations, schedules
 Universities: registration, grades
 Sales: customers, products, purchases
 Manufacturing: production, inventory, orders, supply chain
 Human resources: employee records, salaries, tax deductions

Characteristics of DBMS: Modern DBMS has the following characteristics:

 Real-world entity: Modern DBMS are more realistic and uses real world
entities to design its architecture. It uses the behavior and attributes too.
For example, an employee database may use employee as entity and their
designation as their attribute.

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 Relation-based tables: DBMS allows entities and relations among them to

form as tables. This eases the concept of data saving. A user can
understand the architecture of database just by looking at table names etc.

 Isolation of data and application: A database system is entirely different

than its data. Where database is said to active entity, data is said to be
passive one on which the database works and organizes. DBMS also stores
metadata which is data about data, to ease its own process.

 Less redundancy: DBMS follows rules of normalization, which splits a

relation when any of its attributes is having redundancy in values. Following
normalization, which itself is a mathematically rich and scientific process,
make the entire database to contain as less redundancy as possible.

 Consistency: DBMS always enjoy the state on consistency where the

previous form of data storing applications like file processing does not
guarantee this. Consistency is a state where every relation in database
remains consistent. There exist methods and techniques, which can detect
attempt of leaving database in inconsistent state.

 Query Language: DBMS is equipped with query language, which makes it

more efficient to retrieve and manipulate data. A user can apply as many
and different filtering options, as he or she wants.

 ACID Properties: DBMS follows the concepts for ACID properties, which
stands for Atomicity, Consistency, Isolation and Durability. These concepts
are applied on transactions, which manipulate data in database. ACID
properties maintains database in healthy state in multi-transactional
environment and in case of failure.

 Multiuser and Concurrent Access: DBMS support multi-user environment

and allows them to access and manipulate data in parallel. Though there
are restrictions on transactions when they attempt to handle same data
item, but users are always unaware of them.

 Multiple views: DBMS offers multiples views for different users. A user who
is in sales department will have a different view of database than a person
working in production department. This enables user to have a concentrate
view of database according to their requirements.

 Security: Features like multiple views offers security at some extent where
users are unable to access data of other users and departments. DBMS
offers methods to impose constraints while entering data into database
and retrieving data at later stage. DBMS offers many different levels of
security features, which enables multiple users to have different view with
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different features. For example, a user in sales department cannot see data
of purchase department is one thing, additionally how much data of sales
department he can see, can also be managed.

File Oriented Approach: The earliest business computer systems were used to process
business records and produce information. They were generally faster and more accurate
than equivalent manual systems. These systems stored groups of records in separate files,
and so they were called file processing systems. In a typical file processing systems, each
department has its own files, designed specifically for those applications. The department
itself working with the data processing staff, sets policies or standards for the format and
maintenance of its files. Programs are dependent on the files and vice-versa; that is, when
the physical format of the file is changed, the program has also to be changed. Although the
traditional file oriented approach to information processing is still widely used, it does have
some very important disadvantages.

Database Oriented Approach to Data Management: Consider part of a savings-bank

enterprise that keeps information about all customers and savings accounts. One way to
keep the information on a computer is to store it in operating system files. To allow users to
manipulate the information, the system has a number of application programs that
manipulate the files, including

 A program to debit or credit an account

 A program to add a new account
 A program to find the balance of an account
 A program to generate monthly statements

System programmers wrote these application programs to meet the needs of the bank. New
application programs are added to the system as the need arises.

For example, suppose that the savings bank decides to offer checking accounts. As a result,
the bank creates new permanent files that contain information about all the checking
accounts maintained in the bank, and it may have to write new application programs to deal
with situations that do not arise in savings accounts, such as overdrafts. Thus, as time goes
by, the system acquires more files and more application programs.

The typical file-processing system is supported by a conventional operating system. The

system stores permanent records in various files, and it needs different application
programs to extract records from, and add records to, the appropriate files. Before database
management systems (DBMSs) came along, organizations usually stored information in such
systems.

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Keeping organizational information in a file-processing system has a number of major

disadvantages:

Data redundancy and inconsistency: Since different programmers create the files and
application programs over a long period, the various files are likely to have different formats
and the programs may be written in several programming languages. Moreover, the same
information may be duplicated in several places (files). For example, the address and
telephone number of a particular customer may appear in a file that consists of savings-
account records and in a file that consists of checking-account records. This redundancy
leads to higher storage and access cost. In addition, it may lead to data inconsistency; that is,
the various copies of the same data may no longer agree. For example, a changed customer
address may be reflected in savings-account records but not elsewhere in the system.

Difficulty in accessing data: Suppose that one of the bank officers needs to find out the
names of all customers who live within a particular postal-code area. The officer asks the
data-processing department to generate such a list. Because the designers of the original
system did not anticipate this request, there is no application program on hand to meet it.
There is, however, an application program to generate the list of all customers. The bank
officer has now two choices: either obtains the list of all customers and extracts the needed
information manually or ask a system programmer to write the necessary application
program. Both alternatives are obviously unsatisfactory. Conventional file-processing
environments do not allow needed data to be retrieved in a convenient and efficient
manner. More responsive data-retrieval systems are required for general use.

Data isolation: Because data are scattered in various files and files may be in different
formats, writing new application programs to retrieve the appropriate data is difficult.

Integrity problems: The data values stored in the database must satisfy certain types of
consistency constraints. For example, the balance of a bank account may never fall below a
prescribed amount. Developers enforce these constraints in the system by adding
appropriate code in the various application programs. However, when new constraints are
added, it is difficult to change the programs to enforce them.

Atomicity problems: A computer system, like any other mechanical or electrical device, is
subject to failure. In many applications, it is crucial that, if a failure occurs, the data be
restored to the consistent state that existed prior to the failure. Consider a program to
transfer Rs.5000 from account A to account B. If a system failure occurs during the execution
of the program, it is possible that the Rs.5000 was removed from account A but was not
credited to account B, resulting in an inconsistent database state. Clearly, it is essential to
database consistency that either both the credit and debit occur, or that neither occur. That
is, the funds transfer must be atomic—it must happen in its entirety or not at all. It is
difficult to ensure atomicity in a conventional file-processing system.

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Concurrent-access anomalies: For the sake of overall performance of the system and faster
response, many systems allow multiple users to update the data simultaneously. In such an
environment, interaction of concurrent updates may result in inconsistent data. Consider
bank account A, containing Rs.5000. If two customers withdraw funds (say Rs.500 and
Rs.1000 respectively) from account A at about the same time, the result of the concurrent
executions may leave the account in an incorrect (or inconsistent) state.

Security problems: Not every user of the database system should be able to access all the
data. For example, in a banking system, payroll personnel need to see only that part of the
database that has information about the various bank employees. They do not need access
to information about customer accounts. But, since application programs are added to the
system in an ad hoc manner, enforcing such security constraints is difficult.

Advantages and Disadvantages of a DBMS

Using a DBMS to manage data has many advantages:

 Data independence: Application programs should be as independent as possible

from details of data representation and storage. The DBMS can provide an abstract
view of the data to insulate application code from such details.

 Efficient data access: A DBMS utilizes a variety of sophisticated techniques to store

and retrieve data efficiently. This feature is especially important if the data is stored
on external storage devices.

 Data integrity and security: If data is always accessed through the DBMS, the DBMS
can enforce integrity constraints on the data. For example, before inserting salary
information for an employee, the DBMS can check that the department budget is
not exceeded. Also, the DBMS can enforce access controls that govern what data is
visible to different classes of users.

 Data administration: When several users share the data, centralizing the
administration of data can offer significant improvements. Experienced
professionals who understand the nature of the data being managed, and how
different groups of users use it, can be responsible for organizing the data
representation to minimize redundancy.

 Reduced application development time: Clearly, the DBMS supports many

important functions that are common to many applications accessing data stored in
the DBMS. This, in conjunction with the high-level interface to the data, facilitates
quick development of applications. Such applications are also likely to be more
robust than applications developed from scratch because many important tasks are
handled by the DBMS instead of being implemented by the application.

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Disadvantages of DBMS:

 Danger of a Overkill: For small and simple applications for single users a database
system is often not advisable.

 Complexity: A database system creates additional complexity and requirements. The

supply and operation of a database management system with several users and
databases is quite costly and demanding.

 Qualified Personnel: The professional operation of a database system requires

appropriately trained staff. Without a qualified database administrator nothing will
work for long.

 Costs: Through the use of a database system new costs are generated for the system
itself but also for additional hardware and the more complex handling of the system.

 Lower Efficiency: A database system is a multi-use software which is often less

efficient than specialized software which is produced and optimized exactly for one
problem.

Database Users: DBMS is used by various users for various purposes. Some may involve in
retrieving data and some may involve in backing it up. Some of them are described as
follows:

 Administrators: A bunch of users maintain the DBMS and are responsible for
administrating the database. They are responsible to look after its usage and by
whom it should be used. They create users access and apply limitation to maintain
isolation and force security. Administrators also look after DBMS resources like
system license, software application and tools required and other hardware related
maintenance.

 Designer: This is the group of people who actually works on designing part of
database. The actual database is started with requirement analysis followed by a
good designing process. They people keep a close watch on what data should be
kept and in what format. They identify and design the whole set of entities,
relations, constraints and views.

 End Users: This group contains the persons who actually take advantage of
database system. End users can be just viewers who pay attention to the logs or
market rates or end users can be as sophisticated as business analysts who take the
most of it.

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Levels of Abstraction in a DBMS:

Databases change over time as information is inserted and deleted. The collection of
information stored in the database at a particular moment is called an instance of the
database. The overall design of the database is called the database schema. Schemas are
changed infrequently, if at all.

Database systems have several schemas, partitioned according to the levels of abstraction.
The physical schema describes the database design at the physical level, while the logical
schema describes the database design at the logical level. A database may also have several
schemas at the view level, sometimes called sub schemas that describe different views of
the database.

A data definition language (DDL) is used to define the external and conceptual schemas.

 Conceptual Schema: The conceptual schema (sometimes called the logical schema)
describes the stored data in terms of the data model of the DBMS. In a relational
DBMS, the conceptual schema describes all relations that are stored in the database.
In a university database, these relations contain information about entities, such as
students and faculty, and about relationships, such as students’ enrollment in
courses. All student entities can be described using records in a Students relation. In
fact, each collection of entities and each collection of relationships can be described
as a relation, leading to the following conceptual schema:
o Students(sid: string, name: string, login: string, age: integer,)
o Faculty(fid: string, fname: string, sal: real)
o Courses(cid: string, cname: string, credits: integer)
o Rooms(rno: integer, address: string, capacity: integer)
o Enrolled(sid: string, cid: string, grade: string)
o Teaches(fid: string, cid: string)

 The physical schema: This schema specifies additional storage details. Essentially,
the physical schema summarizes how the relations described in the conceptual
schema are actually stored on secondary storage devices such as disks and tapes. A
sample physical schema for the university database follows:

o Store all relations as unsorted files of records. (A file in a DBMS is either a

collection of records or a collection of pages, rather than a string of
characters as in an operating system.)

o Create indexes on the first column of the Students, Faculty, and Courses
relations, the sal column of Faculty, and the capacity column of Rooms
Decisions about the physical schema are based on an understanding of how
the data is typically accessed. The process of arriving at a good physical
schema is called physical database design.

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 External Schema: External schemas, which usually are also in terms of the data
model of the DBMS, allow data access to be customized (and authorized) at the level
of individual users or groups of users. Any given database has exactly one
conceptual schema and one physical schema because it has just one set of stored
relations, but it may have several external schemas, each tailored to a particular
group of users. Each external schema consists of a collection of one or more views
and relations from the conceptual schema. A view is conceptually a relation, but the
records in a view are not stored in the DBMS. Rather, they are computed using a
definition for the view, in terms of relations stored in the DBMS.

Fig 4.1: Three level architecture

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The Three Schema Architecture

External schema: It describes a subset of the database that a particular user group is
interested in, according to the format the format user wants, and hides the rest - may
contain virtual data that is derived from the files, but is not explicitly stored.

Conceptual schema: It hides the details of physical storage structures and concentrates on
describing entities, data types, relationships, operations, and constraints.

Internal schema: It describes the physical storage structure of the DB and uses a low-level
(physical) data model to describe the complete details of data storage and access paths Data
and meta-data. Three schemas are only meta-data (descriptions of data). Data actually
exists only at the physical level

Mapping: DBMS must transform a request specified on an external schema into a request
against the conceptual schema, and then into the internal schema.

 It requires information in meta-data on how to accomplish the mapping among

various levels
 overhead (time-consuming) leading to inefficiencies

Logical data independence: The capacity to change the conceptual schema without having
to change external schema or application programs is called logical data independence.

Example: record of an employee is defined as below.

Employee (E#, Name, Address, Salary)

A view including only E# and Name is not affected by changes in any other attributes.

Logical data independence is the capacity to change the conceptual schema without having
to change external schemas or application programs. We may change the conceptual
schema to expand the database (by adding a record type or data item), or to reduce the
database (by removing a record type or data item). In the latter case, external schemas that
refer only to the remaining data should not be affected. Only the view definition and the
mappings need be changed in a DBMS that supports logical data independence.

Physical data independence: The capacity to change the internal schema without having to
change the conceptual (or external) schema.

 Internal schema may change to improve the performance (e.g., creating additional
access structure)

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 easier to achieve logical data independence, because application programs are

dependent on logical structures

Entity Relationship Model

An Entity-relationship model (ERM) is an abstract and conceptual representation of data. •
ER modeling is a DB modeling method, used to produce a type of conceptual schema of a
system. Diagrams created by this process are called ER diagrams.

Overview of database design: The database design process can be divided into six steps.
The ER model is most relevant to the first three steps.

 Requirements Analysis: The very first step in designing a database application is to

understand what data is to be stored in the database, what applications must be
built on top of it, and what operations are most frequent and subject to
performance requirements. In other words, we must find out what the users want
from the database.

 Conceptual Database Design: The information gathered in the requirements

analysis step is used to develop a high-level description of the data to be stored in
the database, along with the constraints that are known to hold over this data. This
step is often carried out using the ER model, or a similar high-level data model.

 Logical Database Design: We must choose a DBMS to implement our database

design, and convert the conceptual database design into a database schema in the
data model of the chosen DBMS. We will only consider relational DBMSs, and
therefore, the task in the logical design step is to convert an ER schema into a
relational database schema.

 Schema Refinement: The fourth step in database design is to analyze the collection
of relations in our relational database schema to identify potential problems, and to
refine it. In contrast to the requirements analysis and conceptual design steps, which
are essentially subjective, schema refinement can be guided by some elegant and
powerful theory like the theory of normalizing relations—restructuring them to
ensure some desirable properties.

 Physical Database Design: In this step we must consider typical expected workloads
that our database must support and further refine the database design to ensure
that it meets desired performance criteria.
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 Security Design: In this step, we identify different user groups and different roles
played by various users (e.g., the development team for a product, the customer
support representatives, the product manager). For each role and user group, we
must identify the parts of the database that they must be able to access and the
parts of the database that they should not be allowed to access, and take steps to
ensure that they can access only the necessary parts.

Entities, Attributes, and Entity Sets

The basic object that the ER model represents is an entity, which is a "thing" in the real
world with an independent existence. An entity may be an object with a physical existence—
a particular person, car, house, or employee—or it may be an object with a conceptual
existence—a company, a job, or a university course. Each entity has attributes—the
particular properties that describe it. For example, an employee entity may be described by
the employee’s name, age, address, salary, and job. A particular entity will have a value for
each of its attributes. The attribute values that describe each entity become a major part of
the data stored in the database.

Symbols and notations

Entity Weak entity

Weak relationship
Relationship

Multi valued
Attribute attribute

Relationships and relationship sets: A relationship is an association among two or more

entities. For example, we may have the relationship that Amit works in the pharmacy
department. As with entities, we may wish to collect a set of similar relationships into a
relationship set.

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Entity with attributes: let employee be an entity. It can have several attributes like employee
code (E-No.), employee name (E-NAME), address (ADD), phone number (Ph.No.),
department no.(DEPT No., designation.

E-NAME
E-No.

ADD
EMPLOYEE

DESIGNATION.

Ph. No.
DEPT No.

Several types of attributes occur in the ER model: simple versus composite; single-valued
versus multivalued; and stored versus derived.

Composite Versus Simple (Atomic) Attributes: Composite attributes can be divided into
smaller subparts, which represent more basic attributes with independent meanings. For
example, the Address attribute of the employee entity can be sub-divided into Street
Address, City, State, and PIN code Attributes that are not divisible are called simple or
atomic attributes. The value of a composite attribute is the concatenation of the values of its
constituent simple attributes.

House
no.

Address
Street no.

PIN City

State

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Single-valued Versus Multi-valued Attributes: Most attributes have a single value for a
particular entity; such attributes are called single-valued. For example, Age is a single-valued
attribute of person. In some cases an attribute can have a set of values for the same entity—
for example, phone no. attribute for an employee, or a College Degrees attribute for a
person. One person may not have a college degree, another person may have one, and a
third person may have two or more degrees; so different persons can have different
numbers of values for the College Degrees attribute. Such attributes are called multi-valued.
A multi-valued attribute may have lower and upper bounds on the number of values allowed
for each individual entity.

College Degree

Stored Versus Derived Attributes: In some cases two (or more) attribute values are
related—for example, the Age and Birth Date attributes of a person. For a particular person
entity, the value of Age can be determined from the current (today’s) date and the value of
that person’s Birth Date. The Age attribute is hence called a derived attribute and is said to
be derivable from the Birth Date attribute, which is called a stored attribute. Some attribute
values can be derived from related entities; for example, an attribute Number of Employees
of a department entity can be derived by counting the number of employees related to
(working for) that department.

Entity Types and Entity Sets: A database usually contains groups of entities that are similar.
For example, a company employing hundreds of employees may want to store similar
information concerning each of the employees. These employee entities share the same
attributes, but each entity has its own value(s) for each attribute. An entity type defines a
collection (or set) of entities that have the same attributes. Each entity type in the database
is described by its name and attributes. The following figure shows two entity types, named
EMPLOYEE and DEPARTMENT, and a list of attributes for each. The collection of all entities
of a particular entity type in the database at any point in time is called an entity set; the
entity set is usually referred to using the same name as the entity type. For example,
EMPLOYEE refers to both a type of entity as well as the current set of all employee entities in
the database. An entity type is represented in ER diagrams as a rectangular box enclosing
the entity type name. Attribute names are enclosed in ovals and are attached to their entity
type by straight lines. Composite attributes are attached to their component attributes by
straight lines. Multi-valued attributes are displayed in double ovals.

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E-NAME

E-No.
ADD
EMPLOYEE

DESIGNATI
ON.
Ph. No.
DEPT No.

D-NAME

D-No.
ADD
DEPARTMENT

PH. No

Key Attributes of an Entity Type: An important constraint on the entities of an entity type is
the key or uniqueness constraint on attributes. An entity type usually has an attribute whose
values are distinct for each individual entity in the collection. Such an attribute is called a key
attribute, and its values can be used to identify each entity uniquely. For example E-No
(employee code ) is unique for EMPLOYEE so this is the primary key. Sometimes, several
attributes together form a key, meaning that the combination of the attribute values must
be distinct for each entity. If a set of attributes possesses this property, we can define a
composite attribute that becomes a key attribute of the entity type. Notice that a composite
key must be minimal; that is, all component attributes must be included in the composite
attribute to have the uniqueness property. In ER diagrammatic notation, each key attribute
has its name underlined inside the oval, specifying that an attribute is a key of an entity type
means that the preceding uniqueness property must hold for every extension of the entity
type. Hence, it is a constraint that prohibits any two entities from having the same value for
the key attribute at the same time.

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Relationship: A relationship describes relations between entities.

Types of relationships: There are three types of relationships

 Binary relationship
 Recursive relationship
 Ternary relationship

Binary relationship: Binary relationship means relation between two entities

One – to – One:

One – to – Many: One entity is associated with many number of same entity.

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Many-to-many:

Recursive relationship: When an entity is related to itself it is known as recursive

relationship.

Ternary Relationship: When three entities participate in a relationship

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ER example 1: A student has a student number (identifying), a name, an address (with

street number, street and district) and several phone numbers”

ER example 2: A Hospital case

ER Example 3: A Company Database

 A company will have different departments.
 Each department has a name, number and an employee who manages the
department.
 We keep track of the start date of the department manager.
 A department may have several locations.
 Each department controls a number of PROJECTs.
 Each project has a unique name, unique number and is located at a single location

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There will be employees. Each employee works for one department but may work on several
projects. We keep track of the number of hours per week that an employee currently works
on each project. We also keep track of the direct supervisor of each employee. Each
employee may have a number of DEPENDENTs. For each dependent, we keep track of their
name, sex, Birth date, and relationship to the employee.

Entity sets: Here we are having entities like

 Employee: (Emp-code, Emp-name, Address, DOB, salary, Sex)

 Department:(Dept-name, location, Dept-code)
 Project:(P-name, P-code, location)
 Dependant: (d-name, sex, Birth date, relationship)

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Integrity Constraints: Before one can start to implement the database tables, one must
define the integrity constraints. Integrity means something like 'be right' and consistent. The
data in a database must be right and in good condition. There are the domain integrity, the
entity integrity, the referential integrity and the foreign key integrity constraints.

Domain Integrity: Domain integrity means the definition of a valid set of values for an
attribute. Definition should be like

- data type,
- length or size
- is null value allowed
- is the value unique or not for an attribute.

The default value, the range (values in between) and/or specific values for the attribute may
also be defined. Some DBMS allow defining the output format and/or inputting mask for the
attribute. These definitions ensure that a specific attribute will have a right and proper value
in the database.

Entity Integrity Constraint: The entity integrity constraint states that primary keys can't be
null. There must be a proper value in the primary key field. This is because the primary key
value is used to identify individual rows in a table. If there were null values for primary keys,
it would mean that we could not identify those rows. On the other hand, there can be null
values other than primary key fields. Null value means that one doesn't know the value for
that field. Null value is different from zero value or space.

Referential Integrity Constraint: The referential integrity constraint is specified between

two tables and it is used to maintain the consistency among rows between the two tables.
The rules are:
1. A record from a primary table cannot be deleted if matching records exist in a related
table.
2. A primary key value in the primary table cannot be changed if that record has related
records.
3. A value cannot be entered in the foreign key field of the related table that doesn't exist in
the primary key of the primary table.
4. A Null value can be entered in the foreign key, specifying that the records are unrelated.

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Foreign Key Integrity Constraint: There are two foreign key integrity constraints: cascade
update related fields and cascade delete related rows. These constraints affect the
referential integrity constraint.

Cascade Update Related Fields: Any time the primary key of a row in the primary table is
changed, the foreign key values are updated in the matching rows in the related table. This
constraint overrules rule 2 in the referential integrity constraints.

Cascade Delete Related Rows: Any time you delete a row in the primary table, the matching
rows are automatically deleted in the related table. This constraint overrules rule 1 in the
referential integrity constraints.

Database Normalization
Un-normalized data exists in flat files. Normalization is the process of moving data into
related tables. Database normalization is the process of removing redundant data from
tables to improve storage efficiency, data integrity, and scalability.

In the relational model, methods exist for quantifying how efficient a database is. These
classifications are called normal forms (or NF), and there are algorithms for converting a
given database between them.
Normalization generally involves splitting existing tables into multiple ones, which must be
re-joined or linked each time a query is issued.

A properly normalized database should have the following characteristics

 Scalar values in each fields
 Absence of redundancy.
 Minimal use of null values.
 Minimal loss of information.

Edgar F. Codd first proposed the process of normalization and what came to be known as
the 1st normal form. In his paper A Relational Model of Data for Large Shared Data Banks
Codd stated: “There is, in fact, a very simple elimination procedure which we shall call
normalization. Through decomposition non simple domains are replaced by ‘domains
whose elements are atomic values.’”

Levels of Normalization: Levels of normalization based on the amount of redundancy in the

database. Various levels of normalization are:
o First Normal Form (1NF)
o Second Normal Form (2NF)
o Third Normal Form (3NF)

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o Boyce-Codd Normal Form (BCNF)

o Fourth Normal Form (4NF)
o Fifth Normal Form (5NF)
o Domain Key Normal Form (DKNF)

Example of Normalization:

A Typical Spreadsheet File

Emp No Employee Name Time Card No Time Card Date Dept No Dept
Name
10 Ranjan Banerjee 106 11/02/2013 20 Marketing
10 Ranjan Banerjee 106 11/02/2013 20 Marketing
10 Ranjan Banerjee 106 11/02/2013 20 Marketing
10 Ranjan Banerjee 115 11/09/2013 20 Marketing
99 Sonal Kapoor 10 Accounting
500 Neha Sinha 107 11/02/2013 50 Shipping
500 Neha Sinha 107 11/02/2013 50 Shipping
700 Mohan Das 108 11/02/2013 50 Shipping
700 Mohan Das 116 11/09/2002 50 Shipping

700 Mohan Das 116 11/09/2002 50 Shipping

Employee, Department, and Time Card Data in Three Tables

Table: Employees

EmpNo Emp-Name Dept No

10 Ranjan Banerjee 20
500 Neha Sinha 50
700 Mohan Das 50
99 Sonal Kapoor 10

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Table: Departments
Dept No Dept Name
10 Accounting
20 Marketing
50 Shipping

Table: Time Card Data

Time Card No Emp No Time Card Date

106 10 11/02/2013

107 500 11/02/2013

108 700 11/02/2013

115 10 11/09/2013

116 700 11/09/2013

Problem without Normalization

Example 1: suppose you were looking to start an online bookstore. You would need to track
certain information about the books available to your site viewers, such as: Title; Author;
Author Biography; ISBN; Price; Subject; Number of Pages; Publisher Description; Review;
Reviewer Name

Let's start by adding a couple of books written by Luke Welling and Laura Thomson. Because
this book has two authors, we are going to need to accommodate both in our table.

Title Author 1 Author 2 ISBN Subject Pages Publisher

PHP and Luke Laura 0672317842 MySQL 867 Sams
MySQL Web Welling Thomson PHP
Development
MySQL Luke Laura 0672325845 MySQL 300 Sams
Tutorial Welling Thomson

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Let's take a look at some issues involved in this table design:

First, this table is not very efficient with storage. Let’s imagine for a second that Luke and
Laura were extremely busy writers and managed to produce 500 books for our database.
The combination of their two names is 25 characters long, and since we will repeat their two
names in 500 rows we are wasting 25 × 500 = 12,500 bytes of storage space unnecessarily.
This creates data redundancy.

Second, this design does not protect data integrity. Let’s once again imagine that Luke and
Laura have written 500 books. Someone has had to type their names into the database 500
times, and it is very likely that one of their names will be misspelled at least once (i.e..
Thompson instead of Thomson). Our data is now corrupt, and anyone searching for book by
author name will find some of the results missing. The same thing could happen with
publisher name. Sams publishes hundreds of titles and if the publisher's name were
misspelled even once the list of books by publisher would be missing titles.

Third, this table does not scale well. First of all, we have limited ourselves to only two
authors, yet some books are written by over a dozen people.

Example 2:

S-Id S-name S-address Subject opted

401 Anjan Kolkata Biology
402 Ashok Delhi Mathematics
403 Naveen Noida Mathematics

401 Anjan Kolkata Physics

Updating problem: To update the address of a student whose record is there for more than
once we have to update S- address column more than once else data will become
inconsistent.

Insertion Problem: For inserting the record of a student who has taken new admission but
not opted for any subject yet we have to leave the subject opted column null for the
student.

Deletion Problem: Suppose the student 402 has opted out temporarily from the subject
Mathematics then we have to delete the row but it will delete the whole student record.

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First Normal Form: The normalization process involves getting our data to conform to three
progressive normal forms, and a higher level of normalization cannot be achieved until the
previous levels have been achieved (there are actually five normal forms). The First Normal
Form (or 1NF) involves removal of redundant data from horizontal rows. We want to ensure
that there is no duplication of data in a given row, and that every column stores the least
amount of information possible (making the field atomic).

• Each column must have a unique value.

• Each row of data must have a unique identifier (Primary key).

In our example1 table above we have two violations of First Normal Form. First, we have
more than one author field, and our subject field contains more than one piece of
information. With more than one value in a single field, it would be very difficult to search
for all books on a given subject. In addition, with two author fields we have two fields to
search in order to look for a book by a specific author. We could get around these problems
by modifying our table to have only one author field, with two entries for a book with two
authors, as in the following table:

Title Author ISBN Subject Pages Publisher

PHP and
MySQL Web Luke Welling 0672317842 MySQL 867 Sams
Development
PHP and
Laura
MySQL Web 0672317842 PHP 867 Sams
Thomson
Development
MySQL
Luke Welling 0672325845 MySQL 300 Sams
Tutorial
MySQL Laura
0672325845 MySQL 300 Sams
Tutorial Thomson

While this approach has no redundant columns and the subject column has only one piece
of information, we do have a problem that we now have two rows for a single book. Also, to
ensure that we can do a search of author and subject (i.e. books on PHP by Luke Welling),
we would need four rows to ensure that we had each combination of author and subject.

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Example 2: We want to create a table of user information, and we want to store each users'
Name, Company, Company Address, and some personal urls. You might start by defining a
table structure like this:

User id. Name company company-address url

1 Jack ABC 1 Work Lane abc.com,xyz.com

2 Jill XYZ 1 Job Street abc.com,xyz.com

This table is in un-normalized form because none of rules of normalization have been
applied yet.

Changing this to first normal form

Notice how we're breaking that first rule by repeating the url1 and url2 fields?

User id Name Company company-address url

1 Jack ABC 1 Work Lane abc.com

2 Jack ABC 1 Work Lane xyz.com

3 Jill XYZ 1 Job Street abc.com

4 Jill XYZ 1 Job Street xyz.com

Now the table is said to be in the First Normal Form. We've solved the problem of url field
problem, but by doing so we have created some problems. Every time we input a new
record into the users table, we've got to duplicate all that company and user name data. Not
only will our database grow much larger than we'd ever want it to, but we could easily begin
corrupting our data by misspelling some of that redundant information.

Second Normal Form: It should be in First normal form

 There must not be any partial dependency on any column on primary key. It means
that for a table that has concatenated primary key each column of the table which is
not a part of the primary key must depend upon entire concatenated key for its
existence.
 If any column depends on only one part of the concatenated key then it is not in 2nd
normal form.

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Example: Customer table

C-id C-name Order -id Order name Sale details

101 Rohan 10 Order 1 Sale 1
101 Rohan 11 Order 2 Sale 2
102 Ravi 12 Order 3 Sale 3
103 Ranjan 13 Order 4 Sale 4

In the above table concatenation of c-id and order –id is the primary key so the table is in 1st
Normal Form. But it is not in 2nd Normal Form as there is partial dependence. C-name only
depends on c-id and Order name only depends on Order-id. The tables will be decomposed
to make them in second normal form.

Customer detail

C-id C-name

101 Rohan

102 Ravi

103 Ranjan

Order Details

Order-id Order name

10 Order 1
11 Order 2
12 Order 3
13 Order 4

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Sale details

C-id Order-id Sale details

101 10 Sale 1
101 11 Sale 2
102 12 Sale 3
103 13 Sale 4

Now the tables are in second normal form

Third normal form: the conditions for third normal form are

 The table has to be in second normal form.

 No non key field depend upon each other.
 All non key field depend only on primary key.

Example 1

Item Colour Price Tax

T-Shirt Red, blue 240.00 0.60

Polo Red, yellow 240.00 0.60

T-Shirt Red, blue 240.00 0.60

Sweat- shirt Blue, black 500.00 1.25

The table is not is 1st normal form because there are multiple records in colour field. Row 1
and row 3 are the same so there are duplicate records and there is no primary key. So first it
needs to be converted in first normal form.

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1NF

Item Colour Price Tax

T-Shirt Red 240.00 0.60

Polo Red 240.00 0.60

T-Shirt blue 240.00 0.60

Sweat- shirt Blue 500.00 1.25

Polo Yellow 240.00 0.60

Sweat-shirt black 500.00 1.25

The above table is not in 2nd normal form as price and tax depend on item but not on colour.

Conversion in 2nd Norma Form

Item Table

Item Colour
T-Shirt Red
Polo Red
T-Shirt blue

Sweat- shirt Blue

Polo Yellow

Sweat-shirt black

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Price table

Item Price Tax

T-Shirt 240.00 0.60

Polo 240.00 0.60

Sweat- shirt 500.00 1.25

The tables are not in third normal form as tax depends on price but both are non key fields.

Conversion in third normal form

Item Table

Item Colour
T-Shirt Red
Polo Red
T-Shirt blue

Sweat- shirt Blue

Polo Yellow

Sweat-shirt black

Price table

Item Price

T-Shirt 240.00

Polo 240.00

Sweat- shirt 500.00

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Tax table

Price Tax

240.00 0.60

240.00 0.60

500.00 1.25

Example 2: Un-normalized Table:

Student-
ID Student- Advisor- Advisor- Adv-
Class1 Class2 Class3
Name ID Name Room

Naresh 159-02
1022 Rohan 10 412 101-07 143-01
Sharma

4123 Rakesh 12 Asha Singh 216 101-07 159-02 214-01

Table in First Normal Form

 No Repeating Fields
 Data in Smallest Parts

Student-ID Student-name Advisor-ID Advisor-Name Adv-Room Class no.

1022 Rohan 10 Naresh Sharma 412 101-07

1022 Rohan 10 Naresh Sharma 412 143-01

1022 Rohan 10 Naresh Sharma 412 159-02

4123 Rakesh 12 Asha Singh 216 101-07

4123 Rakesh 12 Asha Singh 216 159-02

4123 Rakesh 12 Asha Singh 216 214-01

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Tables in Second Normal Form: Redundant Data Eliminated

Table: Students

Student-ID Student-name Advisor-ID Advisor-Name Adv-Room

1022 Rohan 10 Naresh Sharma 412

4123 Rakesh 12 Asha Singh 216

Table: Registration

Student-ID Class no.

1022 101-07

1022 143-01
1022 159-02
4123 201-01

4123 211-02

4123 214-01
Tables in Third Normal Form: Data Not Dependent On Key is Eliminated

Advisor table:

Advisor-ID Advisor-Name Adv-Room

10 Naresh Sharma 412

12 Asha Singh 216

Student table:

Student-ID Student-name Advisor-ID

1022 Rohan 10
4123 Rakesh 12

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Table: Registration

Student-ID Class no.

1022 101-07

1022 143-01

1022 159-02
4123 201-01

4123 211-02

4123 214-01

Summary
 Database is collection of data which is related by some aspect. Data is collection of facts
and figures which can be processed to produce information. Name of a student, age,
class and her subjects can be counted as data for recording purposes.
 3-tier architecture separates it tier from each other on basis of users.
 Database (Data) Tier: At this tier, only database resides. Database along with its query
processing languages sits in layer-3 of 3-tier architecture. It also contains all relations
and their constraints.
 Application (Middle) Tier: At this tier the application server and program, which access
database, resides. For a user this application tier works as abstracted view of database.
Users are unaware of any existence of database beyond application. For database-tier,
application tier is the user of it. Database tier is not aware of any other user beyond
application tier. This tier works as mediator between the two.
 User (Presentation) Tier: An end user sits on this tier. From a user’s aspect this tier is
everything. He/she doesn't know about any existence or form of database beyond this
layer. At this layer multiple views of database can be provided by the application. All
views are generated by applications, which reside in application tier.
 Entity-Relationship model is based on the notion of real world entities and relationship
among them. While formulating real-world scenario into database model, ER Model
creates entity set, relationship set, general attributes and constraints.

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INFORMATION SYSTEM

Structure of the Chapter

 Introduction to information system
 Business Process modeling
 Categories of information system
 Individuals in information system
 IT enables services

Objectives
After completion of this unit you should be able to

 Understand the need of information system

 Understand the different components of information system
 Understand the difference between data and information
 Understand the role of individuals in information system
 Differentiate between IT services and IT enabled services

Introduction
In this age of information, almost all fields of endeavor such as education, manufacturing,
research, games, entertainment, and business treat information systems as a need. Indeed,
every activity in our daily life today requires people to get involved in the use of information
systems. Have you ever used an ATM to withdraw money or to buy goods at a large
supermarket? In both cases, you are indirectly using the facilities offered by an information
system.

System: A system is simply a group of activities and elements, which have been arranged to
achieve a certain objective. An information system is a combination of hardware, software
and telecommunication systems, which can support business operations to increase
productivity, and help managers make decisions.

In this age, the success of a business depends on the information system. Organisations
today use information systems:

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 to offer services with greater satisfaction to customers,

 to access a wider range of information,
 to handle business changes at a greater speed,
 to increase the productivity of workers.
Based on a number of researches, an effective information system should be able to exceed
customer expectations and fulfill business needs.

Modeling the business process: Many companies today use information as a basis to
increase productivity, producing quality products, providing quality services, creating
customer confidence, and making timely decisions. As such, information technology has
become the prime reason for the success and failure of a company to compete in business.
This illustrates the impact of information technology on business operations today. As a
result, designing an information system of high quality is important so that organisations can
compete successfully in the global market. Information systems experts need to understand
the business operation of a company before they can design a comprehensive system. Every
business situation is likely to be different. As an example, business transactions at a
supermarket, bank, and hotel require information systems that are different and unique. A
systems analyst applies a technique called Business Process Modeling to represent
company’s operations and information requirements. A systems analyst works in an
information technology based department. This person is responsible for planning, analysing
and implementing information systems.

Business Profile, Model and Process: In trying to understand the operation of a certain
company, a system analyst needs to develop a business profile and consider a number of
business models. Business profile covers ownership, structure, and management of the
company, together with its customers and suppliers; while a business model can take the
form of a brick-and-mortar type, a virtual store, and so on. They can be as detailed as these,
or can just be in brief forms. Business Process explains a certain process, activity, and the
results expected. It is basically a way of doing business, which begins with the customer and
ends with the customer. Customers can either be external or internal.
Sub process: Check
student status

Input (Accept student

registration Sub process: Approve
registration

Output: A complete registration list

Update registration
list

Fig 5.1: Student Registration (Business Process)

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The above business process has a beginning and an end, three sub-processes and result.
When a company tries to simplify operations, or tries to decrease operational cost, or
increase value to customers, the company is said to be involved in business process re-
engineering (BPR).

Information System Components

A system is a set of related components, which can process input to produce a certain
output. Every system requires a form of data input. For example, an ATM machine accepts
data when you enter the PIN number. A washing machine accepts data when you select the
start buttons. They process the inputs and produce their respective outputs. In an
information system, input data consist of facts and figures, which form the system’s raw
material. Information is data that has been usefully processed. However, an information
system does not only contain data and information. There are also other elements inside the
system, which are related and are in support of one another. The presence of these related
elements makes information more useful ă whereby, it can be made available, can be
processed, distributed, manipulated, saved, and so on. This combination gives rise to a
system, which is orderly and as such it is called an "Information System". The activity of
converting data into information is called a process. An information system contains FIVE
main components:

Hardware: Hardware is the physical embodiment of an information system. It is one of the

main elements which create the information system cycle. Information system's hardware
refers to all types of hardware and the media used for input, processing, managing,
distributing and saving information that are being used in an organisation. Examples of the
hardware are the physical computers, networks, communication equipment, scanners,
digital drives, and so on.

Input hardware Processing Output

hardware hardware

Storage
hardware

Fig 5.2: Basic Hardware of a Computer

Functions of the Basic Hardware of a Computer

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Type of
Functions Examples
Hardware
Input Giving data input to the system. Keyboard, mouse, pointer,
screen, touch ball and scanner.
Processing Operating the computer system. Central processing unit and
memory.
Output Can display results or output which are Screen, microphone and printer.
generated from the computer system.
Storage For storing data inside the computer. Hard disk, floppy disk, CD-ROM
and magnetic tape.

Software: Software consists of two categories - the system software and the application
software. System Software controls the computer and contains the operating system and
device drivers, which can communicate with the hardware. It can also modify data into a
new form, prevent viruses and make copies. Application Software contains programs which
can help users and enable companies to perform business functions. Users can increase
productivity with the presence of application software such as spreadsheets, word
processing, ordering systems, and accounts receivable.

Data: Data refers to the raw facts on anything or entities like student names, courses and
marks. The raw data that has not yet been provided can be processed to become more
useful information. Information is an organized, meaningful and useful interpretation of data
-such as a company’s performances or a student's academic performance. Information
systems change data into information, which is useful and capable of giving a certain
meaning to its users.

Data Process Information

Name Salary
Rohan 43000 Number of employees = 5
Asha 45000 Average salary = 39200
Process
Nishant 36000 Highest salary = 45000
Ahsaan 35000 Lowest salary = 35000
Neelam 37000

Based on the example in the above figure, we can understand that records inside every
attribute under the DATA item do not give any specific meaning. Every data or record here is
a raw fact. After going through processes such as addition, ordering, combining,
manipulating and so on, many kinds of information can be produced. The information
generated is not limited to a certain form. It can be interpreted in many ways according to
the needs and wills of customers.

Process: Process or procedure explains the activities carried out by users, managers and
staff. Process is important for supporting a certain business model available as written
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documents or as reference materials on-line. Process is a guide consisting of orderly steps,

which need to be followed and implemented in order to get a certain decision on a certain
matter.
The procedure for using a certain matter is very wide and very important to ensure that it
can be implemented with success. All the information system components contain
management and implementation procedures on their own, and they are different from
each other.

Human: The main objective of an information system is to provide invaluable information to

managers and users, whether inside or outside the company. Users can be broken up into
three categories, which are:

o End-Users, consisting of the staff, customers, suppliers and others who

communicate with the information system.
o Internal Users, including the managers, technicians, sales representatives
and corporate officers.
o External Users, consisting of the customers who use the company’s system
for performing transactions, suppliers who use the system for planning
sales, and the staff who use the system outside office hours.

The success or failure of an information system depends on whether the system that has
been developed can fulfill the user's requirements, and the users feel satisfied with the
results and the system's operation. A successful system requires integrated efforts from
information technology experts such as the system analysts, programmers and the
information technology managers so as to fulfill business needs and to support company's
objectives.

Information System Categories

Now there are several approaches to solving a certain problem. There are also several types
of information systems, which are developed to overcome specific problems, besides trying
to fulfill the user's requests in general. In a large organisation, solving business problems
such as the management of staff salaries, processing of business data and others is normally
done by the use of large computers with internal and external networks.
Every type of information system has a role to play. If you look at the functions and the
scope of usage, information systems can be divided into six main categories.

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System
Explanation
Category
Better known as TPS and is one of the first systems to be automated.
Can access and record information about all transactions related to the
organisation.
● Transactions occur whenever there exist activities involving sales order
processing, accounts receivable, accounts payable, inventory
Transaction and ordering as well as payroll.
Processing ● These transactions involve credit and debit in the company’s ledger
System account.
● The output from this transaction is the account statement, which is used
to generate financial reports.
● TPS now uses the latest technology which uses the E-commerce concept.
This is a new challenge in the field of transaction processing which begins to
shift to the on-line transaction processing system.
 This system will take the information that has been
extracted from TPS and generate reports which are required by the
Management management for planning and controlling a company's business.
Information ● This system is capable of fulfilling the needs of management in acquiring
System the information that:
(a) is brief and useful.
(b) can be obtained and processed at the right time to make a decision.
 A decision support system specifically used by the
executive management in making strategic decisions.
● It is a tool that provides online access directly to the relevant information,
in the format that is useful and can be browsed.
● Relevant information is timely, precise and useful in business aspects,
according to the interest of certain managers.
● Useful format, and can be browsed easily; will mean that the system has
Executive
been specially built for the use of individuals who have little time to spare,
Information
are less skilful in using the keyboard and less experienced with computers.
System
● This system can be surfed easily so that managers can identify strategic
issues and can then explore information for getting the sources about those
issues.
 It is also an information system that combines the
features of information reporting system and decision support system.
It focuses on fulfilling the strategic information needs of the top
management.
 The main focus of this information system is for the
effectiveness of the manager in analysing the information and making a
Decision
decision.
Support
● It is used for handling decisions that are not structured, i.e. decisions
System
which are made when an emergency happens.
● This system uses a database management system, query language,
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financial modeling, electronic spread sheet, statistical analysis program,

report generator or graphic software for supplying the information needed.
● Office automation is wider than word processing and form processing.
● This information system covers activities in the office, which can improve
work flow and communication among workers, whether inside or outside
Office the office.
Information ● The focus of this system is on the collection of information for whoever
System needs it.
● The functions of this system are word processing, e-mails, work group
programming, work group scheduling, facsimili processing, e-document,
imaging and management of work flow.
● It is a program that produces a decision which is almost similar to
decisions made by an expert in a certain discipline.
● This information system can imitate the way humans think and consider in
making a decision.
● An expert system will combine the use of knowledge, facts and techniques
to make a decision.
Expert
● An expert can always give a certain decision which is accurate as well as
System
ensuring maximum benefit to all the people concerned. Unfortunately, the
sources for expert services are limited.
● Realising the high value of knowledge and the expertise owned by the
expert, researchers have tried to transfer and save in the computers the
knowledge and expertise owned by the experts.
● Through this work, the expert system is made.

Individuals in the Information System

To handle an information system's project, we need to have a systematic work plan. An
information systems architecture provides a work plan, which is unique, whereby various
individuals with different objectives can manage and see the building blocks of an
information system. If you intend to develop an information system, the individuals involved
in the development will see the system from a different perspective. These individuals can
be categorized into four groups:

Systems Owner: The systems owner bears the cost of system development and
maintenance. He has the right over the system, determines the interest over the system and
determines the policies over its use. The system owner is also responsible for system
justification and system acceptance. In certain situations, the system owner is also a system
user. System owners always think of the return value, which can be obtained by developing
the information system. This return is valued from various aspects such as:
 What are the benefits of the system?
 What are the mission and objectives?
 What is the cost of developing the system?
 What is the cost of operating the system?

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 Can the investment pay back the capital?

 What are the benefits that can be measured from the system?

Systems User: The system user is an individual who uses the system for producing
something, or uses the system to help him in his daily jobs. Directly, users are the ones who
get the benefits from the system that has been developed. Besides being the initiators for
the new information system request, users also determine:

o The problems to be solved;

o Opportunities to be exploited;
o The needs to be fulfilled;
o Business constraints to be overcome by the system; and
o Whether the information system that has been developed is easy or difficult to
use.

Compared to the system owner, the system users are not so interested in the cost and
benefits of the system. They often emphasize the business needs inside the system. System
users can be divided into three main categories: internet, external and mobile users.

a. Internal User: Employees who work in the company to develop the

information system. Internal users constitute the highest percentage
among those who use the said system. They include the support and
administrative staff, the technical and professional staff, supervisors,
the management and the executives.

b. Mobile User: Mobile users are the users who often do jobs outside the
company. Examples of these users are salesmen and sales
representatives. They often do jobs that require travelling from place
to place, meeting customers, buyers and so on. Organisations which
have users of this kind often have complex information system designs
because the system that is developed needs to accommodate the
information needed by users of this kind. In fulfilling the information
needs of mobile users, the information should be accessible wherever
they are. Therefore, the information system that has been developed
should provide a telecommunications environment and the network to
enable information stored in the database to be accessible by users.

c. External User: The information system can now connect the system to
other individuals as users of the system. Due to global competition,
businesses are redesigned to enable connectivity with other
organisations, partners, suppliers, customers and end users. As an
example, you need not fill up any form to apply for entry into OUM.
With the information system provided by OUM, you just need to go to
the OUM website, fill up the application form online, and send the form

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online. Now, the facility is provided, but in future it may be necessary

to change our way of life.

Systems Designer: Systems designers are experts in the technical field who would design a
system for fulfilling the needs of users. They are responsible for manipulating the needs of
business users and the constraints in technical solutions. They design computer files,
databases, input, output, screen, networks, and programs that can fulfill the needs of system
users. They are also responsible for integrating the technical solutions into the daily business
environment. Systems designers understand the technological environment better when
compared to systems owners and systems users. They always provide alternatives and
design systems based on technological constraints at that time. Now, systems designers give
more attention to technical experts such as:

 Database designers who provide focus on the data;

 Programmers and software engineers who provide focus on the process;
 Systems integrators who provide focus on the system interfaces; and
 Telecommunication and network experts who provide focus on the geographic
locations.

Systems Developer: Systems developers are the experts in the technical field who would
develop, test and produce a system, which can operate successfully. They build the system
components based on the design specifications of the system designers. In many situations,
system designers are the system developers. They use technology to develop information
systems. Among the individuals who get involved directly in information system
development, you maybe ask what is the role of the systems analyst? In actual fact, the
systems analysts are really acting as facilitators for information systems development. The
system analyst has the expertise that is owned by all the above individuals. They should feel
comfortable with the views of all the individuals mentioned above. For the systems owners
and users, the systems analyst should develop and update their views. The duty of the
systems analyst is to ensure that the technical knowledge of systems designers and
developers are consistent with the current business needs.

IT enabled services: IT Enabled services (ITES), also called web enabled services
or remote services or Tele-working, covers the entire gamut of operations which exploit
Information Technology for improving efficiency of an organization. These services provide a
wide range of career options that include opportunities in call centers, medical transcription,
medical billing and coding, back office operations, revenue claims processing, legal
databases, content development, payrolls, logistics management, GIS (Geographical
Information System), HR services, web services etc.

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A Typology of IT Services and IT-Enabled Services

IT services IT-enabled services

Application services Engineering services Business process services
Application development Manufacturing Horizontal processes
and maintenance engineering  Customer interaction and
Application Upstream product support (including call centers)
development engineering  Human resource management
Application - Concept design  Finance and administration
development integration - Simulation Supply chain (procurement
and testing - Design engineering logistics management)
Application Downstream product
maintenance engineering Vertical processes
- Computer-aided design,  Banking
System integration manufacture and  Insurance
 Analysis engineering  Travel
 Design - Embedded software  Manufacturing
Development - Localization  Telecommunications
 Integration and testing Plant and process Pharmaceuticals
 Package engineering  Other
implementation

Knowledge process
Software product outsourcing
IT infrastructure services development  Business and financial
Help desks  Product development research
 Desktop support  System testing Animation
Data center services  Porting1/variants  Data analytics
 Mainframe support  Localization  Legal process and patent
Network operations  Maintenance and support research
 Gaming  Other high-end processes
Consulting
 IT consulting
 Network consulting

IT enabled service in a bank:

A call center for bank is required to provide an effective enquiry‐response service to bank’s
existing and prospective customers. The scope of enquires includes:
 bank’s new and existing products,
 interest rates, branch,
 ATM locations,
 status enquiry of previous requests, etc.

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The call centre is expected to be in a position to provide expert responses with accurate
information. The various functions that a Call Center can provide are broadly listed below.

 Basic Banking Transactions:

The call centre responds to inbound calls from existing customers,
Answer enquiries on account balance, transactions, maturity, record requests for
cheque book, account statements, etc., and forward
the requests to the designated office(s) of the Bank.
 Marketing functions:
Thecall centre provides Tele‐Marketing facility for the products and services of the b
ank. It makes out‐bound calls to existing customers for up‐selling and cross‐selling of
bank’s products or source data on prospective customers from the market then call
them under various campaignlaunched by the Bank from time‐to‐time. This helps in
generating leadscontacting hot leads for fixing the appointments for relationship
executives, etc.

The customer queries can be classified as under.

 Transaction Enquiry
Balance enquiry, statement view, cheques collected
 Transaction Request
Request for cheque book, term deposit, demand draft
 Products and Services
Various Schemes, Interest rates, EMIs, maturity values,

The outbound (Dialing) module can also provide for the collection reminder and follow up
service.

Enquiries

 Deposits – product information

 Loans – product information
 Electronic funds Transfer – Product Information
 Credit / debit Card – Product information
 Depository Product Information
 Insurance / Mutual Funds Product Information
 Branch / Extn. Counter / RO / CO / HO / ATM Location – enquiry
 Charges / Commission enquiry

Complaints: Complaint regarding ATM

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Summary

 Information systems are the combination of people, information technology, and

business processes to accomplish a business objective.

 An information system contains FIVE main components:

o Hardware
o Software
o Data
o Process
o Human

 As per the functions and the scope of usage, information systems can be divided into
six main categories.
o Transaction processing system
o Management information System
o Executive information System
o Decision support System
o Office Automation system
o Expert system

 Individuals in information system can be categorized in four groups;

o System Owner
o System User
o System Designer
o System developer

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