Operating System

UNIT 1
CHAPTER 1
Introduction
1.0 Objectives
1.1 Introduction
1.2 What is operating system
1.2.1 Definition
1.2.2 The Operating System as an Extended Machine
1.2.3 The Operating System as a Resource Manager
1.3 History of operating system
1.3.1 First Generation OS
1.3.2 Second Generation OS
1.3.3 Third Generation OS
1.3.4 Fourth Generation OS
1.3.5 Fifth Generation OS
1.4 Computer hardware
1.4.1 Processor
1.4.2 Memory
1.4.3 Disk
1.4.4 Booting of system
1.5 Let us Sum Up
1.6 List of Reference
1.7 Bibliography
1.8 Unit End Exercise
1.0 Objectives
The objective of the chapter is as follow
 To get familiar with core component of operating systems
 To understand the different generation of operating system
 To understand the different functionality of system
1.1 Introduction
 Operating systems provides a clear, best and simple view of the computer to the users.
 Operating system performs the function of resource handling and distributing the
resources to the different part of the system
 It is the intermediary between users and the computer system and provide a level of
abstraction due to which complicated details can be kept hidden from the user
1.2 What is Operating System
1.2.1 Definition :
 Operating System is a system software which acts as an intermediary between
user and hardware.
 Operating System keeps the complicated details of the hardware hidden from the
user and provides user with easy and simple interface.
 It performs functions which involves allocation of resources efficiently between
user program, file system, Input Output device
Figure 1. Abstract view of Operating system
Reference: Modern Operating system, Fourth edition, Andrew S. Tanenbaum, Herbert Bos
Explanation of Figure 1
 The hardware components lies at the bottom of the diagram. It is considered as
the most crucial part of computer system. To protect the hardware from direct
access, it is kept at the lowest level of hierarchy. Hardware components includes
circuits, input output device, monitor etc
 Operating system runs in the kernel mode of the system wherein the OS gets an
access to all hardware and can execute all machine instructions. Other part of the
system runs in user mode
1.2.2 The Operating System as an Extended Machine

 The structure of computers system at the machine-language level is complicated
to program, especially for input/output. Programmers don’t deal with hardware,
so a level of abstraction is supposed to be maintained.
 Operating systems provides layer of abstraction for using disks: files.
 Abstraction allows a programs to create, write, and read files, without having to
deal with the messy details of how the hardware actually works
 Abstraction is the key to managing all the complexity.
 Good abstractions turn a nearly impossible task into two manageable ones.
 The first is defining and implementing the abstractions.
 The second is using these abstractions to solve the problem at hand.
 operating system primarily provides abstractions to application programs in a top-
down view
 Eg : It is much easier to deal with photos, emails, songs, and Web pages than with
the details of these files on SATA (or other) disks.
1.2.3 The Operating System as a Resource Manager

 Modern computers consist of processors, memories, timers, disks, mice, network
interfaces, printers, and a wide variety of other devices.
 In the bottom-up view, the operating system provides for an orderly and
controlled allocation of the processors, memories, and I/O devices among the
various programs.
 Operating system allows multiple programs to be in memory and run at the same
time.
 Resource management includes multiplexing (sharing) resources in two different
 ways: in time and in space.
 In time multiplexed, different programs takes turns using CPU. First one of them
gets to use the resource, then the another, and so on.
 Eg: Sharing the printer. When multiple print jobs are queued up for printing on a
single printer, a decision has to be made about which one is to be printed next
 In space multiplexing, Instead of the customers taking turns, each one gets part of
the resource.
 Eg: main memory is divided up among several running programs, so each one can
be resident at the same time
1.3 History of Operating system

English mathematician Charles Babbage (1792–1871) developed the first true digital
computer which was purely mechanical, and the technology of his day could not produce
1.3.1 First Generation OS

 First generation were also known as Vacuum Tube
 Single group of people were responsible for creating, building, programming, operating,
and maintenance of each machine
 Programming was done by connecting the electrical circuit on plugboard with thousands
of cables
 Programmer used to sign up for a block of time using the signup sheet on the wall
 then come down to the machine room, insert his or her plugboard into the computer, and
spend the next few hours hoping that none of the 20,000 or so vacuum tubes would burn
out during the run.
Year 19545 -55
Programming language Machine language
Operating system Unheard
Hardware Vacuum tubes, plugboard, Cables
Computers ENIAC, Z3, Colossus
1.3.2 Second Generation OS-:

 Second Generation computers were also known as Transistors and Batch Systems.
 Computer in this era was reliable and manufactured for the purpose of selling it to the
customers like government agencies or universities .
 Separate groups were formed for working ono designing, building and coding aspects of
computer
 Computers were known as mainframes and were kept in separate rooms.
 Separate machines were build for calculation and for input/output.
 Programs were known as job. Jobs were entered in groups called as batch
 second-generation computers were used for scientific and engineering calculations of
physics and engineering.
Year 1955 -65
Programming language Fortran, assembler
Operating system IBM’s operatinf system FM
Hardware Transistors and Batch Systems, punch card, magnetic tape
Computers Mainframe. IBM 1401, IBM 7094
1.3.3 Third Generation OS-:

 Third Generation computers were known ICs and Multiprogramming
 Maintaining two computers were not easy so IBM introduced its first computer names
System 360 made by using Integrated circuit
 The main purpose of this generation was all software, including the operating system,
OS/360, worked on all models
 Important feature identified in this generation was
 multiprogramming where in when one job was waiting for I/O to complete, another job
could be using the CPU. This way maximum utilization of CPU could be achieved
 Spooling that has an ability to read jobs from cards onto the disk
 Time sharing, which allocates the CPU in turns to number of users
 Third generation computers were used for Large scientific calculations and massive
commercial data-processing runs
Year 1965-1980
Programming language Integrated Circuit
Operating system Linux MINIX
Hardware Integrated circuit
Computers System/360.
1.3.4 Fourth Generation OS-:
 Fourth generation computers were also known as Personal computers

 Extremely small size computers could be created using microchips which made it possible
for a single individual to have his own personal computer
 Companies like Intel and IBM started creating OS for their respective CPU
 User friendly GUI were built for general purpose usage
 Microsoft came up with different versions of Windows
 Network operating systems and distributed systems became popular in this era
 In network operating system, users log in to remote machines and copy files from one
machine to another.
 A distributed operating system, is composed of multiple processors but appears to its
users as a single uniprocessor unit
Year 1980 – Present
Programming language High level programming language
Operating system DOS, Windows, UNIX, FreeBSD
Hardware LSI(large Scale Integration) circuit, chips, transistors
Computers IBM 4341, DEC 10,STAR 100
1.3.5 Fifth Generation OS

 Fifth generation was also known as Mobile computer, made by using Ultra Large Scale
Integrated Chips
 New operating systems like symbians, Blackberry OS, iOS ,Android became popular in the
market
 Devices become more portable and smaller in size
 Artificial intelligence is used on a large scale to construct a device which uses natural
language processing for analysis of input.
 Computers in this era were capable of self learning
Year 1990 – Present

Programming language High level programming language
Operating system iOS, Android, Symbians,RIM
Hardware Ultra large scale integrated chip
Computers Handheld devices, wearable devices, PDA, Smart phone
1.4 Computer Hardware

1.4.1 Processor
 CPU is the most vital part of the computer. The instructions are fetched from the
memory and executed by CPU using fetch-decode-execute
 CPUs contains registers inside to hold key variables and temporary data.
 Special registers called as program counter contains memory address of the next
instruction to be fetched. Program Status Word contains the condition code bits
 The Intel Pentium 4 introduced multithreading or hyperthreading to the x86
processor, allowing the CPU to hold the state of two different threads and then
switch back and forth in nanosecond.
 A GPU is a processor with thousands of tiny cores which are very good for many
small computations done in parallel like rendering polygons in graphics
applications
1.4.2 Memory
The basic expectations from the memory is its speed, storage and performance but a
single memory is not capable of fulfilling the same
The memory system is based on hierarchy of layers.
Registers inside the CPU forms the top layer in the hierarchy which gives quick access to
data.
Cache memory is next in the hierarchy. Most heavily used data are kept inside the cache
for high speed access using cache hit and cache miss.
Two types of cache are present in the system depending upon the manufacturing
company cache L1 and L2
The cache that is always inside the CPU is L1 which enters decoded instructions inside the
CPU
L2 cache holds megabytes of memory words which were recently used
The difference between the L1 and L2 caches lies in the timing.
Main memory comes next in the hierarchy also known as RAM. Cache Miss request goes
inside the main memory for
Figure 2. Memory hierarchy

1.4.3 Disk
Figure 3. Disk Structure

 Disk is a mechanical device capable of storage which is cheaper and larger than
RAM.
 The only problem is that the time to randomly access data on it is slower.
 A disk consists metal plats that rotate at 5400, 7200, 10,800 RPM or more.
 An arm pivots over the plats from the corner
 Each of the heads can read an annular region called a track.
 Together, all the tracks for a given arm position form a cylinder.
 Each track is divided into some number of sectors, typically 512 bytes per sector.
1.4.4 Booting the computer

 Process of loading the kernel is known as booting the system
 Parent board consist of a program called as BIOS(Basic Input Output System)
 BIOS starts with its responsibility of checking RAM, basic devices and PCI buses as
soon as the system is booted. It scans and checks the response of the devices.
 Once the initial check is done, BIOS starts the boot device from the hard disk
 First section of the boot device is read into the memory and executed
 The secondary boot loader present inside the sector is read inside the memory
 The loader reads the operating system and starts it
1.5 Let us Sum Up

 Operating System is a system software which acts as an intermediary between user and
hardware
 The Operating System acts as an Extended Machine by providing level of abstraction.
 Operating System is responsible for Resource allocation
 Five generations of computer operating systems have been evolved.
 Different components of hardware interact with operating system which in turn interacts
with the other applicationss

Modern Operating system, Fourth edition, Andrew S. Tanenbaum, Herbert Bos
https://www.geeksforgeeks.org/generations-of-computer/
1.7 Bibliography
Modern Operating System by galvin
1. Explain Third Generation operating system

2. Define Operating System. Explain the role of OS as extended machine.
3. Write a short note on fifth generation Operating System.
4. With suitable diagram explain the structure of disk drive.
5. Explain the process of Booting in computer
6. Define Operating System. How it can be used as a resource manager.
UNIT 1
CHAPTER 2
2.0 Objectives
2.1 Introduction
2.2 Different Operating Systems
2.2.1 Mainframe Operating Systems
2.2.2 Server Operating Systems
2.2.3 Multiprocessor Operating System
2.2.4 Personal Operating Systems
2.2.5 Handheld Operating System
2.2.6 Embedded Operating Systems
2.2.7 Sensor-Node Operating System
2.2.8 Real-Time Operating Systems
2.2.9 Smart Card Operating System
2.3 Operating system Concepts
2.4 System Calls
2.4.1 System calls for Process management
2.4.2 System calls for File management
2.4.3 System calls for Directory management
2..4.4 Windows Win32 API
2.5 Operating System
2.5.1 Monolithic System
2.5.2 Layered System
2.5.3 Microkernels
2.5.4 Client Server System
2.5.5 Exokernel
2.5 Let us Sum Up
2.7 Bibliography
1.0 Objectives
 To understand the operating system services provided to the users and processes,
 To understand the various operating system structures.
 To describe various types of operating system
2.1 Introduction
An operating system provides the environment within which programs are
executed.
It is important to understand the goals of the system which will help us to select the
algorithm and strategies for the designing of the system
2.2 Different Operating System
2.2.1 Mainframe Operating Systems:

 Mainframe operating systems are used in web servers of e commerce websites or servers
dedicated for business-to-business transaction.
 The operating systems of Mainframe operating systems are oriented in such a way that it
can handle many jobs simultaneously
 Mainframe Operating systems can deal with large amount of input output transaction.
 The main services of mainframe operating systems are
 to handle batch processing of jobs
 to handle transaction processing of multiple request
 timesharing of servers allowing multiple remote users to have an access to the server
2.2.2 Server Operating Systems

 Server Operating Systems are the ones that runs on the machine which are dedicated
servers
 Solaris, Linux and Windows are some examples of Server Operating Systems
 Server Operating Systems allows sharing of multiple resources like hardware, files or print
services
 Web pages are stored on a dedicated server to handle request and response
2.2.3 Multiprocessor Operating System

 Multiprocessor Operating Systems are also known as parallel computers or
multicomputer depending upon how multiple processors are connected and shared.
 These computers have high speed communication mechanism with strong connectivity
 Personal computer are also created and embedded with the multiprocessor technology.
 Multiprocessor operating system give high processing speed as multiple processors into
single system
2.2.4 Personal Operating Systems

 Personal operating systems are installed in machines used by common and large number
of users
 They support multiprogramming, running multiple programs like word, excel, games, and
Internet access simultaneously on one machine.
 Examples Linux, Windows, Mac
2.2.5 Handheld Operating System

 Handheld operating systems are found in all handheld devices like Smart phone and
tablets. It is also known as Personal Digital Assistant.
 The most popular operating systems in today’s market are android and iOS.
 These operating systems need high processing processor. It is also embedded with
different types of sensor.
2.2.6 Embedded Operating Systems

 Embedded operating systems are designed for those devices which are not considered as
computers. These operating systems are preinstalled on the devices by the device
manufacturer.
 All pre installed softwares are in ROM and no changes could be done to it by the users.
 The best example of embedded operating systems is washing machines, oven etc
2.2.8 Real-Time Operating Systems

 Real Time Operating systems have strict time constraints due to which it is used in
applications that are very critical in terms of safety.
 Real time operating system are classified into hard real time and soft real time
 Hard real time systems have very stringent time constraints, certain actions should occur
at that time only. Components are tightly coupled in hard real time
 Soft real time operating system is the one where missing of deadlines some time will not
cause damage
2.2.9 Smart Card Operating System

 Smart Card Operating Systems runs on smart cards. They contain processor chip
embedded inside the CPU chip.
 They have very high processing power and memory constraints
 These operating systems can handle single function like making electronic payment and are
license softwares.
2.3 Operating system Concepts

Operating Systems concepts deals with process, address space, file, input output devices
Process: A process is a program which is in execution mode. Each process has an address
space. All data related to process is stored in a table called as process table. All details for
running the program is contained in the process. A process can reside in anyone of the
five states in its life time. There are background and foreground processes running in the
systems carrying out different functions. These processes communicates with each other
using interprocess communication
Address space: Computer need a mechanism to distinguish between process sitting inside
the main memory. This is done by allocating he process to an address space. computers
addresses are 32 or 64 bits, giving an address space of 232 or 264 bytes. Virtual address
spaces are playing an important role in dealing with the problem of insufficient memory
space.
Files are the data which the user want to retrieve back from the computer. Operating
systems is supposed to maintain the data in hard disk and retrieve it from it when ever
needed. Operating system arranges files in the form of hierarchy. The data goes inside the
directory.
Shell
Shell is the command interpreter for UNIX. Shell become the intermediate between the
user on the terminal and the operating systems. Every shell has a terminal for entering
the data and to get the output. Instructions are given in the form of commands to the
computer.
2.4 System Calls

It is a way by which user program request for services from the kernel .
System calls provide an interface to the services made available by an operating
system.
Step by step explanation of system call mechansim
 A process running a user program in user mode want to execute read instruction a file, it
has to execute a trap instruction to transfer control to the operating system.
 System call read has three parameters: the first one specifying the file, the second one
pointing to the buffer, and the third one giving the number of bytes to read.
 count = read(fd, buffer, nbytes);
 the parameters are first pushed onto stack.
 library procedure are called in the step 4.
 The library procedure, possibly written in assembly language, typically puts the system-
call number in a place where the operating system expects it, such as a register (step 5)
 Then it executes a TRAP instruction to switch from user mode to kernel mode and start
execution at a fixed address within the kernel (step 6).
 The kernel code that starts following the TRAP examines the system-call number and then
dispatches to the correct system-call handler, usually via a table of pointers to system-call
handlers indexed on system-call number (step 7).
 At that point the system-call handler runs (step 8).
 Once it has completed its work, control may be returned to the user-space library
procedure at the instruction following the TRAP instruction (step 9).
 12. This procedure then returns to the user program in the usual way procedure calls
return (step 10).
Figure 2.1. System call for read

2.4.1 System calls for Process management

 A system to create a new process or a duplicate process is fork
 The duplicate process will have all data in the file description and registers common.
 The original process is known as parent process and the duplicate is known as the child
process
 The fork call returns a value, which is zero in the child and equal to the child’s PID (Process
IDentifier) in the parent.
 System calls like exit would request the services for terminating a process
 Loading of program or changing of the original image with duplicate needs execution of
exec
 Pid would help to distinguish between child and parent process
 Eg of Process management system calls in Linux
 fork: for creating a duplicate process from parent process
 wait: process are supposed to wait for other processes to complete their work
 exec: loads the selected program into the memory
 exit: terminates the process
2.4.2 System calls for File management

 A file is open using a system call open.
 The mode in which the file is supposed to be open is specified using the parameter.
Parameters also consist of the names of the file to open or a new one to be created .
 The files are closed using the close systems.
 Associated with each file is a pointer that indicates the current position in the file.
 When reading (writing) sequentially, it normally points to the next byte to be read
(written). The lseek call changes the value of the position pointer, so that subsequent calls
to read or write can begin anywhere in the file.
 Lseek has three parameters: the first is the file descriptor for the file, the second is a file
position, and the third tells whether the file position is relative to the beginning of the file,
the current position, or the end of the file.
 Eg of systems calls for file management
 open: for opening the file for reading, writing
 close: to close the opened file
 read: for reading the data from the file into buffer
 write: for writing the data from the buffer into file
2.4.3 System calls for Directory management
 mkdir is a system call that creates and empty directories, whereas rmdir removes an
empty directories.
 link allows the same file to appear under two or more names, often in different
directories for allowing several members of the same programming team to share a
common file, with each of them having the file appear in his own directory, possibly under
different names.
 By executing the mount system call, the USB file system can be attached to the root file
system
 The mount call makes it possible to integrate removable media into a single integrated file
hierarchy, without having to worry about which device a file is on
2..4.5 Windows Win32 API
 Window’s program are event driven. An event occurs that calls the procedure to handle it.
Windows functioning is most driven by GUI based interactions like mouse movement.
There are system calls which are exclusively present windows to deal with GUI and many
of the systems calls which are present in UNIX are missing here.
 Following are some of it:
 CreateProcess: Creates a new process in Win32
 WaitForSingleObject: Waits for a process to exit
 ExitProcess: Terminates the execution of process
 CreateFile: Opens an existing file or creates a new one
2.5 Operating System
2.5.1 Monolithic System
 In the monolithic approach the entire operating system runs as a single program in kernel
mode
 The operating system is written as a collection of procedures, linked together into a single
large executable program.
 Each procedure in the system is free to call any other process
 Being able to call any procedure makes the system very efficient
 No information hiding —every procedure is visible to every other procedure
 Eg MS DOS and LINUX
 This organization suggests a basic structure for the operating system:
 Main Function- invokes requested service procedure
 Service Procedures- carry out system calls
 Utility functions- Help service procedures to perform certain tasks
 Disadvantage:
 Difficult and complicated structure
 A crash in any of these procedures will take down the entire operating system
Figure 2.2. Monolithic Structure

2.5.2 Layered System
Figure 2.2. Layered Struture

 The operating system is organized as a hierarchy of layers, each one constructed upon the
one below it.The first system constructed in this way was the THE system. The same
concept of layered approach was also implemented by MULTICS with concentric rings.
The procedures in out rings are supposed to make a system call to access the process in
the inner ring
 The diagram reflects the structure of The operating system with following details
 Layer 0 dealt with allocation of the processor, switching between processes when
interrupts occurred or timers expired.
 Layer 1 did the memory management. It allocated space for processes in main memory
 Layer 2 handled communication between each process and the operator console
 Layer 3 took care of managing the I/O devices and buffering the information streams
 Layer 4 was where the user programs were found.
 Layer 5 : The system operator process was located.
 TRAP instruction whose parameters were carefully checked for validity before the call was
allowed to proceed.
2.5.3 Microkernels
 Microkernel structure focusses on making the kernel smaller by reducing the non
essential components from the kernel. These non essential components are placed in user
space
 The basic idea behind the microkernel design is to achieve high reliability by splitting the
operating system up into small, well-defined modules
 the microkernel—runs in kernel mode
 The main function of microkernel is to provide a communication facility between the
client program and various services that are also running in user space
 All new services are added to the user space and the kernel don’t need to be modified
 Microkernel provides high security and reliability as most of the services are running in
user space , if a service fails the rest operating system remains untouched
 Disadvantage :
 Performance decrease due to increased system function overhead
2.5.4 Client Server System
 The servers, each of which provides some service, and the clients, which use these
services. This model is known as the client-server model.
 Since clients communicate with servers by sending messages, the clients need not know
whether the messages are handled locally on their own machines, or whether they are
sent across a network to servers on a remote machine.
 As far as the client is concerned,: requests are sent and replies come back.
 Thus the client-server model is an abstraction that can be used for a single machine or for
a network of machines
2.5.5 Exokernel
 Exokernel runs in the bottom layer of kernel mode.
 Its job is to allocate resources to virtual machines and then check attempts to use them to
make sure no machine is trying to use somebody else’s resources.
 The advantage of the exokernel scheme is that it saves a layer of mapping whereas the
virtual machine monitor must maintain tables to remap disk addresses
 The exokernel need only to keep track of which virtual machine
 has been assigned which resource
2.5 Let us Sum Up
1. Different types of operating systems are used in different types of machines depending
upon the need of the user. Some of it are mainframe operating system, server operating
system, embedded operating system, handheld operating system
2. System calls explains what the operating system does. Different types of system calls are
used in operating system activities like file management, process creation, directory
management.
3. The structure of the operating system has evolved with time. Most common ones includes
monolithic, layered, microkernel etc

2.7 Bibliography
Operating System concepts, Eighth edition, Silberschatz, Galvin Gagne
1. Explain the micro kernel approach of Operating System design

2. Explain client-server model
3. List various Operating Systems. Explain any two.
4. With suitable diagram explain the structure of disk drive.
5. What do you mean by system call? Write system calls for directory management.
6. List and explain any five system calls used in file management
UNIT 1
CHAPTER 3
Processes and Threads
3.0 Objectives
3.1 Introduction
3.2 Process
3.2.1 Process Creation
3.2.2 Process Termination
3.2.3 Process State
3.3 Threads
3.3.1 Thread Usage
3.3.2 Classical Thread Model
3.3.3 Implementing thread in User Space
3.4.4 Implementing thread in Kernel Space
3.4.5 Hybrid Implementation
3.4 Interprocess Communication
3.4.1 Race Condition
3.4.2 Critical Region
3.4.3 Mutual Exclusion and busy waiting
3.4.4 Sleep and Wake up
3.4.5 Semaphores
3.4.6 Mutex
3.5 Scheduling
3.5.1 First Come First Serve Scheduling
3.5.2 Shortest Job First Scheduling
3.5.3 Priority Scheduling
3.5.4 Round Robin Scheduling
3.5.5 Multiple Queue
3.6 Classical IPC problem
3.6.1 Dinning Philosopher
3.6.2 Reader Writer
3.7 Let us Sum Up
3.9 Bibliography
1.0 Objectives
 To understand process and thread and its importance in operating system.
 To understand various concepts related to process like scheduling, termination, creation
 To understand interprocess communication in process
3.4 Introduction
The most important concept of any operating system is process which is an abstraction of a running
program.
They support the ability to perform concurrent operation even with single processor
Modern computing exists only because of process.
Operating system can make the computer more productive by switching the CPU between processes
3.2 Process
 Definition : Process is a program in execution
 A running process are organized into sequential processes. Every process needs CPU for
completing its execution. CPU switches back and forth between these running processes
 In any multiprogramming system, the CPU switches from process to process quickly, running
each for tens or hundreds of milliseconds
 A process is an activity of some kind. It has a program, input, output, and a state.
 A single processor may be shared among several processes, with some scheduling algorithm
being accustomed to determine when to stop work on one process and service a different
one. In contrast, a program is something that may be stored on disk, not doing anything
 Process memory is divided into four sections:
 The text section comprises the compiled program code, read in from non-volatile storage
when the program is launched.
 The data section stores global and static variables, allocated and initialized prior to executing
main.
 The heap is used for dynamic memory allocation, and is managed via calls to new, delete,
malloc, free, etc.
 The stack is used for local variables
3.2.1 Process Creation:

Four principle events cause processes to be created:
3. System initialization.
 When an operating system is booted, numerous processes are created.
 Some of these are foreground processes: processes that interact with (human) users and
perform work for them.
 Others run in the background also called as daemons and not associated with particular
users, but instead have some specific function.
2. Execution of a process-creation system call by a running process.
 A running process will issue system calls to create one or more new processes to help it do
its job
3. A user request to create a new process.
 A new process is created by having an existing process execute a process creation system
call
 In UNIX, system call to create a new process: fork()
 In Windows, CreateProcess(), with 10 parameters handles both process creation and
loading the correct program into the new process.
4. Initiation of a batch job
 Users can submit batch jobs to the system.
 When the operating system creates a new process and runs the next job from the input
queue in it
3.2.2 Process Termination

Process can be terminated by a call to kill in UNIX or TerminateProcess in windows
Process will be terminated due to following reason
Normal exit:
 Most processes terminates when they have completed their work and executes a system call
to exit
 This call is exit() in UNIX and ExitProcess in windows
Error exit:
 The third type of error occurs due to program bug like executing an illegal instruction,
referencing
 3on-existent memory, or dividing by zero.
Fatal exit:
 A termination of a process occurs when it discovers a fatal error.
 For example, if a user types the command
 cc xyz.c
 to compile the program xyz.c and if no such file exists, the compiler simply announces this
fact and exits.
Killed by another process:
A process executes a system call to kill some other process.
In UNIX this call is called as kill. The corresponding Win32 function is TerminateProcess.
3.2.3 Process States
Figure 3.1
Reference : “Operating System Concepts” by Abraham Silberschatz, Greg Gagne, and Peter Baer
Galvin
Process model makes it easier to understand what is going on inside the system. Some of the
processes run programs that carry out commands typed in by a user other processes are part of the
system processes.
When a disk interrupt occurs, the system makes a decision to stop running the current process and
run the disk process, which was blocked waiting for that interrupt.
Any process in the system is present in any one of the given states
New – The process is in the stage of being created.

Ready – The process has all the resources available that it needs to run, but the CPU is not currently
working on this process’s instructions.
Running – The CPU is working on this process’s instructions.
Waiting – The process cannot run at the moment, because it is waiting for some resource to become
available or for some event to occur. For example the process may be waiting for keyboard input,
disk access request, inter-process messages, a timer to go off, or a child process to finish.
Terminated – The process has completed.
 3.3 Thread
 A thread is a basic unit of CPU utilization, consisting of a program counter, a stack, and a set
of registers.
 A process have a single thread of control – There is one program counter, and one sequence
of instructions that can be carried out at any given time
 Decomposing an application into multiple sequential threads that run in quasi-parallel, the
programming model becomes simpler
 Thread has an ability to share an address space and all of its data among themselves. This
ability is essential for certain applications.
 Threads are lighter weight than processes, they are faster to create and destroy than
processes.
 3.3.1 Classical Thread Model
 A process contains a number of resources such as address space, open files, accounting
information, etc.
 In addition to these resources, a process has a thread of control, e.g., program counter,
register contents, stack.
 The idea of threads is to permit multiple threads of control to execute within one process.
 This is often called multithreading and threads are also known as lightweight processes.
Since threads in the same process share state and stack so switching between them is much
less expensive than switching between separate processes.
 Individual threads within the same process are not completely independent but are
cooperating and all are from the same process.
 The shared resources makes it easier between threads to use each other resources
 A new thread in the same process is created by a library routine like thread_create; similarly
thread_exit terminatea a thread.
3.3.3 Implementing thread in User Space

 The entire thread package is kept in the user space and kernel has no knowledge about it.
 Kernel manages ordinary and single threaded processes
 The threads run on top of a run-time system.
 Run time system is a collection of procedures that manage threads.
 eg pthread create, pthread exit, pthread join, and pthread yield,
 Each process needs to have its own private thread table to keep track of the threads in that
process.
 The thread table keeps a track of each thread’s properties
 Thread tables are managed by runtime system
Advantages:
 Can be implemented on the OS that do not support thread and thread are implemented by
library
 Requires no modification in the operating system.
 It gives better performance as there is no context switching involved from kernel.
 Each process is allowed to have its own customized scheduling algorithm.
Disadvantages
Implementing blocking system calls would cause all thread to stop.
If a thread starts running, no other thread would be able to run unless the thread voluntarily leaves
the CPU.
Figure 3.2
3.3.4 Implementing thread in User Kernel
Kernel manages the thread by keeping a track of all threads by maintaining a thread table in the
system.
When a thread wants to create a new thread or destroy an existing thread, it makes a kernel call,
which then does the creation or destruction by updating the kernel thread table.
The kernel’s thread table holds each thread’s registers, state, and other information and also
maintains the traditional process table to keep track of processes
Advantages:
Thread-create and friends are now systems and hence much slower.
A thread that blocks causes no particular problem. The kernel can run another thread from this
process or can run another process.
Similarly a page fault in one thread does not automatically block the other threads in the process.
Disadvantages:
Relatively greater cost of creating and destroying threads in the kernel
When a signal comes in then which thread should handle it is a problem
Figure 3.4
3.4.5 Hybrid implementation
Hybrid implementation combines the advantages of userlevel threads with kernel-level threads. One
way is use kernel-level threads and then multiplex user-level threads onto some or all of them.
This model provides maximum flexibility
The kernel is aware of only the kernel-level threads and schedules those.
These user-level threads are created, destroyed, and scheduled like the user-level threads in a
process that runs on an operating system without multithreading capability
Figure 3.4
3.4. Interprocess Communication –

 It is a mechanism that allows the exchange of data between processes
 Enables resource and data sharing between the processes without interference.
 To provide information about process status to other processes.
 Three problems which are faced,
 How one process can pass information to another?
 The second has to do with making sure two or more processes do not get in each other’s
way.
 The third concerns proper sequencing when dependencies are present.
3.4.1 Race Condition:

1. In operating system processes that are working together may share some common storage that
each one can read and write.
2. The shared storage may be in main memory.
3. Several processes access and manipulates shared data simultaneously.
4. Final value of shared data depends upon which process finishes last.
Fig. shows
Figure 3.5
1. In the above example, file name is entered in the special spooler directory for printing.
2. he printer daemon prints the files and then removes their names from the directory.
3. Imagine that our spooler directory has a very large number of slots, numbered 0, 1, 2, …,
each one capable of holding a file name.
4. two shared variables,
5. in – variable pointing to next free slot
6. out – variable pointing to next file to be printed.
7. Process A reads in and stores the value, 7, next free slot. Just then a clock interrupt occurs
and the CPU decides that process switches to process B.
8. Process B also reads in and gets a 7 in local variable next free slot.
9. Process B now continues to run. It stores the name of its file in slot 7 and Then it goes off
and does other things.
10. Eventually, process A runs again, starting from the place it left off.
11. It looks at next free slot, finds a 7 there, and writes its file name in slot 7, erasing the name
that process B just put there.
3.4.2 Critical Region

Definition : Part of the program where the shared memory is accessed is called the critical
region or critical section
Race condition can be avoided by ensuring that no two processes are ever in their critical regions
at the same time.
Following four conditions needed to have a good solution:
1. No two processes may be simultaneously inside their critical regions.
2. No assumptions may be made about speeds or the number of CPUs.
3. No process running outside its critical region may block any process.
4. No process should have to wait forever to enter its critical region.
3.4.3 Mutual Exclusion and busy waiting

No other process will enter its critical region, when one process is in its critical region,
Following are the ways for achieving mutual exclusion
3.4.3.1 Disabling interrupts

Each process disables all interrupts just after entering in its critical section and re-enable all
interrupts just before leaving critical section.
With interrupts turned off the CPU could not be switched to other process. Hence, no other
process will enter its critical section and mutual exclusion will be achieved.
But disabling interrupts is sometimes a useful technique within the kernel of an operating system,
but it is not appropriate as a general mutual exclusion mechanism for user’s process. The reason is
that it is unwise to give user process the power to turn off interrupts.
3.4.3.2 Lock Variables

A single, shared, lock variable is considered initially at 0. When a process wants to enter in its
critical section, it first test the lock. If lock is 0, the process first sets it to 1 and then enters the
critical section. If the lock is already 1, the process just waits until lock variable becomes 0. Thus, a
0 means that no process in its critical section, and 1 means to wait since some process is in its
critical section.
But the technique has a drawback as explained Suppose that one process reads the lock and sees
that it is 0. Before it can set the lock to 1, another process is scheduled, runs, and sets the lock to
1. When the first process runs again, it will also set the lock to 1, and two processes
will be in their critical regions at the same time.
3.4.3.3 Strict Alternation

The integer variable ‘turn’ keeps track of whose turn is to enter the critical section.
Initially, process A inspect turn, finds it to be 0, and enters in its critical section.
Process B also finds it to be 0 and sits in a loop continually testing ‘turn’ to see when it becomes 1.
Continuously testing a variable waiting for some value to appear is called the Busy-Waiting.
Busy waiting wastes CPU time and should be avoided
3.4.4 Sleep and Wake

sleep: A system call that causes the caller to block or remain suspended until another process
wakes it up.
Wakeup: The process to be awakened is passed as a parameter to the wakeup system call.
3.4.4.1 Producer Consumer Problem (Bounded Buffer)

The producer-consumer problem also known as bounded buffer problem which assumes that
there is a fixed sized buffer available.
To suspend the producers when the buffer is full, to suspend the consumers when the buffer is
empty, and to make sure that only one process at a time manipulates a buffer so there are no race
conditions.
Two processes share a common, fixed-size (bounded) buffer. The producer puts information into
the buffer and the consumer takes information out.
Problem arises if the following scenario comes across:
The producer wants to put a new data in the buffer, but buffer is already full.
Solution: Producer goes to sleep and to be awakened when the consumer has removed data.
The consumer wants to remove data from the buffer but buffer is already empty.
Solution: Consumer goes to sleep until the producer puts some data in buffer and wakes consumer
up.
Conclusion
This approaches also leads to same race conditions we have seen in earlier approaches. Race
condition can occur due to the fact that access to ‘count’ is unconstrained. The essence of the
problem is that a wakeup call, sent to a process that is not sleeping, is lost.
3.4.5 Semaphore
E. W. Dijkstra (1965) suggest semaphore, an integer variable to count the number of wakeups
saved for future use. A semaphore could have the value 0, indicating that no wakeups were saved,
or some positive value if one or more wakeups were pending.
Two operations are performed on semaphores called as down(sleep) and up(wakeup).
Processes to synchronize their activities.
These operations are also known as: wait() denoted by P and signal() is denoted by V.
wait(S)
{
while (S <= 0)
;
S--;
}
signal(S)
{
S++;
}
3.4.6 Mutex
 Mutex is a simplified version of the semaphore used for managing mutual exclusion of
shared resources.
 They are easy and efficient to implement and useful in thread packages that are
implemented entirely in user space.
 A mutex is a shared variable that can be in one of two states: unlocked or
 Locked.
 The semaphore is initialized to the number of resources available.
 Each process that wishes to use a resource performs a wait() operation on the semaphore.
When a process releases a resource, it performs a signal() operation.
 When the count for the semaphore goes to 0, all resources are being used.
 Any processes that wish to use a resource will block until the count becomes greater than
0.
3.5 Scheduling
The part of the operating system that makes the choice is called the scheduler, and the
algorithm it uses is called the scheduling algorithm
Processes are of two types Compute bound or Input output bound
Compute-bound processes have long CPU bursts and infrequent I/O waits
I/O-bound processes have short CPU bursts and frequent I/O waits.
The length of the CPU burst is an important factor
It takes the same time to issue the hardware request to read a disk block no
matter how much or how little time it takes to process the data after they arrive.
Scheduling is of two types preemptive and non preemptive
Scheduling algorithm are classified as Batch, Interactive and Real Time
CPU scheduling takes place when one of the following condition is true
Switching of process from the running state to waiting state
Switching of process from the running state to ready state
Switching of process from the waiting state to ready state
When a process terminates
scheduling under conditions 1 and 4 is called as non-preemptive scheduling.
scheduling under conditions 2 and 3 is preemptive scheduling
3.5.1 FIRST COME FIRST SERVE(FCFS)

 It is a non preemtive algorithm where the ready queue is based on FIFO procedure.
 Processes are assigned to the CPU in the order they requested it.
 The strength of FCFS algorithm is that it is easy to understand and equally easy to program.
 It has a major disadvantage of high amount of waiting time
 It also suffers from convoy effect where in many small process have to wait for a longer
process to release CPU.
Process Burst Time Arrival Start Wait Finish TA

1 24 0 0 0 24 24
2 3 0 24 24 27 27
3 3 0 27 27 30 30
Gantt chart:
average waiting time: (0+24+27)/3 = 17

average turnaround time: (24+27+30) = 27
3.5.2 SHORTEST JOB FIRST(SJF)

Each process is associated the length of its next CPU burst.
According to the algorithm the scheduler selects the process with the shortest time
SJF is of two types
non-preemptive: A process once scheduled will continue running until the end of its CPU burst time
preemptive also known as shortest remaining time next(SRTN): A process preempt if a new process
arrives with a CPU burst of less length than the remaining time of the currently executing process.
SJF is an optimal algorithm which gives minimum average waiting time for any set of processes but
suffers from the drawback of assuming the run times are known in advance.
SJF (Non Preemptive)

1 6 0 3 3 9 9
2 8 0 16 16 24 24
3 7 0 9 9 16 16
4 3 0 0 0 3 3
Gantt chart:
average waiting time: (3+16+9+0)/4 = 7

average turnaround time: (9+24+16+3)/4 = 13

1 8 0 0 9 17 17
2 4 1 1 0 5 4
3 9 2 17 15 26 24
4 5 3 5 2 10 7
Gantt chart:
average waiting time: (9+0+15+2)/4 = 6.5
average turnaround time: (17+4+24+7)/4 = 13
3.5.3 PRIORITY SCHEDULING

 Priority scheduling associates a priority number with each process in its PCB block
 The runnable process with the highest priority is assigned to the CPU
 A clash of 2 processes with the same priority is handled using FCFS
 The need to take external factors into account leads to priority scheduling.
 To prevent high-priority processes from running indefinitely, the scheduler may decrease
the priority of the currently running process at each clock tick
 Priorities can be assigned to processes statically or dynamically
 The algorithm faces with starvation low priority processes may never execute, they may
have to wait indefinitely for the CPU therefore as a solution ageing is attached with each
Priority
number
1 10 3 0 6 6 16 16
2 1 1 0 0 0 1 1
3 2 4 0 16 16 18 18
4 1 5 0 18 18 19 19
5 5 2 0 1 1 6 6
average waiting time: (6+0+16+18+1)/5 = 8.2
average turnaround time: (16+1+18+19+6)/4 = 12
3.5.4 ROUND ROBIN SCHEDULING(RR)

Round Robin scheduling algorithm has been designed specifically for time sharing system
Time quantum or time slice is a small unit of time defined after which pre-emption of process would
take place.
The ready queue is based on FIFO order with each process getting access in circular manner
The RR scheduling algorithm is thus preemptive. If there are n processes in the ready queue and the
time quantum is q, then each process gets 1/n of the CPU time in chunks of at most q time units.
Each process must wait no longer than (n − 1) × q time units until its next time quantum.
The selection of time slice (q) plays an important role.
if q is very large, Round Robin behaves like FCFS
if q is very small, it will result into too many context switch leading to the overhead time
1 24 0 0 6 30 30
2 3 0 4 4 7 7
3 3 0 7 7 10 10
Time quantum = 4
Gantt chart:
average waiting time: (6+4+7)/3 = 5.67
average turnaround time: (30+7+10)/3 = 15.67
3.5.5 MULTIPLE QUEUES

 Division is made between foreground or interactive and background or batch processes and
batch processes
 These two types of processes have different response-time requirements and so may have
different scheduling needs.
 foreground processes may have priority over background processes.
 A multilevel queue scheduling algorithm partitions the ready queue into several separate
queues
 The processes are permanently assigned to one queue, generally based on some property of
the process, such as memory size, process priority, or process type.
 Each queue has its own scheduling algorithm.
 The foreground queue might be scheduled by an RR algorithm, while the background queue
is scheduled by an FCFS algorithm
 There must be scheduling among the queues, which is commonly implemented as fixed-
priority preemptive scheduling
3.6 Classical IPC problem

3.6.1 Dinning Philosophers problem
 Five silent philosophers sit at a round table with bowls of spaghetti. Forks are placed
between each pair of adjacent philosophers.
 Each philosopher must alternately think and eat.
 However, a philosopher can only eat spaghetti when he has both left and right forks.
Each fork can be held by only one philosopher and so a philosopher can use the fork only
if it is not being used by another philosopher.
 After he finishes eating, he needs to put down both forks so they become available to
others.
 A philosopher can take the fork on his right or the one on his left as they become
available, but cannot start eating before getting both of them.
 The problem is how to design a discipline of behaviour (a concurrent algorithm) such
that no philosopher will starve.
 Mutual exclusion is the basic idea of the problem; the dining philosophers create a
generic and abstract scenario useful for explaining issues of this type.
 The failures these philosophers may experience are analogous to the difficulties that
arise in real computer programming when multiple programs need exclusive access to
shared resources
Problem :
Dinning philosopher suffers from the problem of deadlock when everyone want to eat
simultaneously. If all five philosophers take their left forks simultaneously. None will be able to take
their right forks, and there will be a deadlock.
The second problem of starvation arises when the philosophers could start the algorithm
simultaneously, picking up their left forks, seeing that their right forks were not available, putting
down their left forks, waiting, picking up their left forks again simultaneously, and so on, forever.
Figure 3.6 Dinning Philosopher Problem
3.6.2 Readers and Writers problem

The dining philosophers problem is useful for modelling processes that are
competing for exclusive access to a limited number of resources, such as I/O devices
 There is a data area that is shared among a number of processes.
 Any number of readers may simultaneously write to the data area. Only one writer at a time
may write to the data area.
 If a writer is writing to the data area, no reader may read it.
 If there is at least one reader reading the data area, no writer may write to it.
 Readers only read and writers only write.
 The Reader and Writer problem, which models access to a database.
 For example, an airline reservation system, with many competing processes wishing to read
and write it.
 It is acceptable to have multiple processes reading the database at the same time, but if one
process is updating the database, no other process should access the database, not even
readers.
 To avoid this situation, the program could be written slightly differently: when a
 reader arrives and a writer is waiting, the reader is suspended behind the writer instead of
being admitted immediately.
2.5 Let us Sum Up

 Processes can communicate with one another using interprocess communication
 Primitives
 A process can be running, runnable, or blocked and can change state when it or another
process executes one of the interprocess communication primitives.
 Interprocess communication primitives can be used to solve such problems as
 the producer-consumer, dining philosophers, and reader-writer
Operating System concepts, Eighth edition, Silberschatz, Galvin Gagne
http://academic.udayton.edu/SaverioPerugini/courses/cps346/lecture_notes/scheduling.ht
ml
2.7 Bibliography
Operating Systems – Internal Design and Principles , William Stallings
1. Write a short note on process termination.

2. Write a short note on process model.
3. What is race condition? How mutual exclusion handles race condition
4. With suitable example explain the shortest job first scheduling algorithm.
5. Explain round robin scheduling give proper example.
84
UNIT 2
CHAPTER 4
Memory Management
Objectives:-
 description of various ways of organizing memory hardware.

 techniques of allocating memory to processes.
 paging works in contemporary computer systems.
 To describe the benefits of a virtual memory system.
 To explain the concepts of demand paging, page-replacement algorithms, and allocation
of page frames.
 To discuss the principles of the working-set model.
 To examine the relationship between shared memory and memory-mapped files.
 To explore how kernel memory is managed
.
1.1 Introduction:
We showed how the CPU can be shared by a set of processes. As a result of CPU scheduling, we
can improve both the utilization of the CPU and the speed of the computer’s response to its
users. To realize this increase in performance, however, we must keep several processes in
memory— that is, we must share memory. In this chapter, we discuss various ways to manage
memory. The memory management algorithms vary from a primitive bare-machine approach to
paging and segmentation strategies. Each approach has its own advantages and disadvantages.
Selection of a memory-management method for a specific system depends on many factors,
especially on the hardware design of the system. As we shall see, many algorithms require
hardware support, leading many systems to have closely integrated hardware and operating-
system memory management.
1.2Address Space:
An address space defines a range of discrete addresses, each of which may correspond to
a network host, peripheral device, disk sector, a memory cell or other logical or physical entity.
For software programs to save and retrieve stored data, each unit of data must have an address
where it can be individually located or else the program will be unable to find and manipulate the
data. The number of address spaces available will depend on the underlying address structure
and these will usually be limited by the computer architecture being used.
1.2.1 Logical Versus Physical Address Space
An address generated by the CPU is commonly referred to as a logical address,whereas an
address seen by the memory unit—that is, the one loaded into the memory-address register of the
memory—is commonly referred to as a physical address.
The compile-time and load-time address-binding methods generate

identical logical and physical addresses. However, the execution-time
Fig: Convert logical addresses to physical addresses?

Ask Question
1.2.2Address Mapping & Translation
Another common feature of address spaces are mappings and translations, often forming
numerous layers. This usually means that some higher-level address must be translated to lower-
level ones in some way. For example, file system on a logical disk operates linear sector
numbers, which have to be translated to absolute LBA sector addresses, in simple cases,
via addition of the partition's first sector address. Then, for a disk drive connected via Parallel
ATA, each of them must be converted to logical cylinder-head-sector address due to the
interface historical shortcomings. It is converted back to LBA by the disk controller then, finally,
to physical cylinder, head and sector numbers.
Fig: Illustration of translation from logical block addressing to physical geometry
1.2.3 virtual address space to physical address space
The Domain Name System maps its names to (and from) network-specific addresses (usually IP
addresses), which in turn may be mapped to link layer network addresses via Address Resolution
Protocol. Also, network address translation may occur on the edge of different IP spaces, such as
a local area network and the Internet.
An iconic example of virtual-to-physical address translation is virtual memory, where
different pages of virtual address space map either to page file or to main memory physical
address space. It is possible that several numerically different virtual addresses all refer to one
physical address and hence to the same physical byte of RAM. It is also possible that a single
virtual address maps to zero, one, or more than one physical address.
Fig: Illustration of translation from virtual address space to physical address space.
1.2.4 Types of Memory Address
The operating system takes care of mapping the logical addresses to physical addresses at the
time of memory allocation to the program. There are three types of addresses used in a program
before and after memory is allocated −
S.N. Memory Addresses & Description
1
Symbolic addresses
The addresses used in a source code. The variable names, constants, and instruction labels are
the basic elements of the symbolic address space.
2
Relative addresses
At the time of compilation, a compiler converts symbolic addresses into relative addresses.
3
Physical addresses
The loader generates these addresses at the time when a program is loaded into main memory.
1.2.4.1 symbolic addressing :
An addressing scheme whereby reference to an address is made by some convenient symbol that
(preferably) has some relationship to the meaning of the data expected to be located at that
address. It serves as an aid to the programmer. The symbolic address is replaced by some form of
computable/computed address during the operation of an assembler or compiler.
1.2.4.2 Relative addressing
is the technique of addressing instructions and data areas by designating their location in relation
to the location counter or to some symbolic location. This type of addressing is always in
bytes—never in bits, words, or instructions. Thus, the expression *+4 specifies an address that is
4 bytes greater than the current value of the location counter. In the sequence of instructions in
the following example, the location of the CR machine instruction can be expressed in two
ways, ALPHA+2, or BETA-4, because all the machine instructions in the example are for 2 byte
instructions.
Fig: Relative Addressing
1.2.4.3 Physical Address
identifies a physical location of required data in a memory. The user never directly deals with the
physical address but can access by its corresponding logical address. The user program generates
the logical address and thinks that the program is running in this logical address but the program
needs physical memory for its execution, therefore, the logical address must be mapped to the
physical address by MMU before they are used. The term Physical Address Space is used for all
physical addresses corresponding to the logical addresses in a Logical address space.
1.2.5 Difference between logical address and physical address:
PARAMETER LOGICAL ADDRESS PHYSICAL ADDRESS

Basic generated by CPU location in a memory unit
Address Logical Address Space is set of all all physical addresses mapped to the
logical addresses generated by CPU corresponding logical addresses.
in
Visibility User can view the logical address of User can never view physical address
a program. of program.
Generation generated by the CPU Computed by MMU
Access The user can use the logical address The user can indirectly access physical
to access the physical address. address but not directly.
1.3 Virtual Memory
The memory-management algorithms outlined in Chapter 8 are necessary because of one basic
requirement: The instructions being executed must be the entire logical address space in physical
memory. Dynamic loading can help to ease this restriction, but it generally requires special
precautions and extra
A computer can address more memory than the amount physically installed on the system. This
extra memory is actually called virtual memory and it is a section of a hard disk that's set up to
emulate the computer's RAM.
The main visible advantage of this scheme is that programs can be larger than physical memory.
Virtual memory serves two purposes. First, it allows us to extend the use of physical memory
by using disk. Second, it allows us to have memory protection, because each virtual address is
translated to a physical address.
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.
Modern microprocessors intended for general-purpose use, a memory management unit, or
MMU, is built into the hardware. The MMU's job is to translate virtual addresses into physical
addresses. A basic example is given below −
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.
Virtual memory involves the separation of logical memory as perceived by users from physical
memory. This separation allows an extremely large virtual memoryto be provided for
programmerswhenonly a smaller physicalmemory is available .Virtual memory makes the task of
programming much easier, because the programmer no longer needs to worry about the amount
of physical memory available; she can concentrate instead on the problem to be programmed.
1.3.1 Demand Paging
A demand paging system is quite similar to a paging system with swapping where processes
reside in secondary memory and pages are loaded only on demand, not in advance. When a
context switch occurs, the operating system does not copy any of the old program’s pages out to
the disk or any of the new program’s pages into the main memory Instead, it just begins
executing the new program after loading the first page and fetches that program’s pages as they
are referenced.
While executing a program, if the program references a page which is not available in the main
memory because it was swapped out a little ago, the processor treats this invalid memory
reference as a page fault and transfers control from the program to the operating system to
demand the page back into the memory.
Advantages
Following are the advantages of Demand Paging −
 Large virtual memory.

 More efficient use of memory.
 There is no limit on degree of multiprogramming.
Disadvantages
 Number of tables and the amount of processor overhead for handling page interrupts are
greater than in the case of the simple paged management techniques.
1.3.4 Page Replacement Algorithm
Page replacement algorithms are the techniques using which an Operating System decides
which memory pages to swap out, write to disk when a page of memory needs to be allocated.
Paging happens whenever a page fault occurs and a free page cannot be used for allocation
purpose accounting to reason that pages are not available or the number of free pages is lower
than required pages.
When the page that was selected for replacement and was paged out, is referenced again, it has
to read in from disk, and this requires for I/O completion. This process determines the quality of
the page replacement algorithm: the lesser the time waiting for page-ins, the better is the
algorithm.
A page replacement algorithm looks at the limited information about accessing the pages
provided by hardware, and tries to select which pages should be replaced to minimize the total
number of page misses, while balancing it with the costs of primary storage and processor time
of the algorithm itself. There are many different page replacement algorithms. We evaluate an
algorithm by running it on a particular string of memory reference and computing the number of
page faults,
1.3.5 Optimal Page algorithm
 An optimal page-replacement algorithm has the lowest page-fault rate of all algorithms.
An optimal page-replacement algorithm exists, and has been called OPT or MIN.
 Replace the page that will not be used for the longest period of time. Use the time when a
page is to be used.
1.3.6 Least Recently Used (LRU) algorithm
 Page which has not been used for the longest time in main memory is the one which will
be selected for replacement.
 Easy to implement, keep a list, replace pages by looking back into time.
1.3.7 Page Buffering algorithm
 To get a process start quickly, keep a pool of free frames.

 On page fault, select a page to be replaced.
 Write the new page in the frame of free pool, mark the page table and restart the process.
 Now write the dirty page out of disk and place the frame holding replaced page in free
pool.
1.3.8 Least frequently Used(LFU) algorithm
 The page with the smallest count is the one which will be selected for replacement.
 This algorithm suffers from the situation in which a page is used heavily during the
initial phase of a process, but then is never used again.
1.3.9 Most frequently Used(MFU) algorithm
 This algorithm is based on the argument that the page with the smallest count was
probably just brought in and has yet to be used
UNIT 2
Chapter 5
Paging and segmentation.
Objectives:
 Memory management goals

 Segmentation
 Paging
 Page replacement algorithms
 Design issues for paging
systems
 Implementation issues of Segmentation .
1. Objectives of a Memory Management (MM) System
Relocation
 Relocatability - the ability to move process around in memory without it affecting

its execution
 OS manages memory, not programmer, and processes may be moved around in
memory
 MM must convert program's logical addresses into physical addresses
 Process's first address is stored as virtual address 0
 Static Relocation - Program must be relocated before or during loading of
process into memory. Program must always be loaded into same address space
in memory, or relocator must be run again.
 Dynamic Relocation - Process can be freely moved around in memory. Virtual-to-
physical address space mapping is done at run-time.
Protection
 Write Protection - to prevent data & instructions from being over-written.

 Read Protection - To ensure privacy of data & instructions.
 OS needs to be protected from user processes, and user processes need to be
protected from each other.
 Memory protection (to prevent memory overlaps) is usually supported by the
hardware (limit registers), because most languages allow memory addresses to
be computed at run-time.
Sharing
 Sometimes distinct processes may need to execute the same process (e.g.,
many users executing same editor), or even the same data (when one process
prepares data for another process).
 When different processes signal or wait the same semaphore, they need to
access the same memory address.
 OS has to allow sharing, while at the same time ensure protection.
Logical Organisation of Memory
 Uni-dimensional address space
 If memory was segmented then it would be possible to code programs and sub-
routines separately, each with its own degree of protection.
 The MM would manage inter-segment references at run-time, and could allow a
segment to be accessed by many different processes.
Physical Organisation of Memory
 PM is expensive, so tends to be limited - but the amount of PM helps to

determine the degree of multiprogramming (the number of runnable processes
that can be simultaneously maintained)
 A two-level storage scheme (one RAM, the other slower secondary disk) can be
used to virtually increase the overall amount of PM.
 Processes can be kept in secondary storage and only brought into PM when
needed. MM and OS have to manage operation of moving processes between
the two levels.
2.0 Paging and segmentation
Paging and segmentation are processes by which data is stored to, then retrieved from,
a computer's storage disk.
Paging is a computer memory management function that presents storage locations to

the computer's CPU as additional memory, called virtual memory. Each piece of data
needs a storage address.
Segmentation is a virtual process that creates variable-sized address spaces in

computer storage for related data, called segments. This process speed retrieval.
Managing computer memory is a basic operating system function -- both paging and
segmentation are basic functions of the OS. No system can efficiently rely on limited
RAM alone. So the computer’s memory management unit (MMU) uses the storage
disk, HDD or SSD, as virtual memory to supplement RAM.
2.1 What is Paging?
As mentioned above, the memory management function called paging specifies storage
locations to the CPU as additional memory, called virtual memory. The CPU cannot
directly access storage disk, so the MMU emulates memory by mapping pages to
frames that are in RAM.
Before we launch into a more detailed explanation of pages and frames, let’s define
some technical terms.
 Page: A fixed-length contiguous block of virtual memory residing on disk.
 Frame: A fixed-length contiguous block located in RAM; whose sizing is identical to

pages.
 Physical memory: The computer’s random access memory (RAM), typically contained
in DIMM cards attached to the computer’s motherboard.
 Virtual memory: Virtual memory is a portion of an HDD or SSD that is reserved to

emulate RAM. The MMU serves up virtual memory from disk to the CPU to reduce the
workload on physical memory.
 Virtual address: The CPU generates a virtual address for each active process. The
MMU maps the virtual address to a physical location in RAM and passes the address to
the bus. A virtual address space is the range of virtual addresses under CPU control.
 Physical address: The physical address is a location in RAM. The physical address
space is the set of all physical addresses corresponding to the CPU’s virtual addresses.
A physical address space is the range of physical addresses under MMU control.
2.0 Fig: Paging concept
By assigning an address to a piece of data using a "page table" between the CPU and
the computer's physical memory, a computer's MMU enables the system to retrieve that
data whenever needed.
2.2 The Paging Process

A page table stores the definition of each page. When an active process requests data,
the MMU retrieves corresponding pages into frames located in physical memory for
faster processing. The process is called paging.
The MMU uses page tables to translate virtual addresses to physical ones. Each table
entry indicates where a page is located: in RAM or on disk as virtual memory. Tables
may have a single or multi-level page table such as different tables for applications and
segments.
However, constant table lookups can slow down the MMU. A memory cache called the
Translation Lookaside Buffer (TLB) stores recent translations of virtual to physical
addresses for rapid retrieval. Many systems have multiple TLBs, which may reside at
different locations, including between the CPU and RAM, or between multiple page
table levels.
Different frame sizes are available for data sets with larger or smaller pages and
matching-sized frames. 4KB to 2MB are common sizes, and GB-sized frames are
available in high-performance servers.
2.3 Paging with Example
In Operating Systems, Paging is a storage mechanism used to retrieve processes from

the secondary storage into the main memory in the form of pages.
The main idea behind the paging is to divide each process in the form of pages. The
main memory will also be divided in the form of frames.
One page of the process is to be stored in one of the frames of the memory. The pages
can be stored at the different locations of the memory but the priority is always to find
the contiguous frames or holes.
Pages of the process are brought into the main memory only when they are required
otherwise they reside in the secondary storage.
Different operating system defines different frame sizes. The sizes of each frame must
be equal. Considering the fact that the pages are mapped to the frames in Paging, page
size needs to be as same as frame size.
2.1A fig: Paging process
Example
Let us consider the main memory size 16 Kb and Frame size is 1 KB therefore the main
memory will be divided into the collection of 16 frames of 1 KB each.
There are 4 processes in the system that is P1, P2, P3 and P4 of 4 KB each. Each
process is divided into pages of 1 KB each so that one page can be stored in one
frame.
Initially, all the frames are empty therefore pages of the processes will get stored in the
contiguous way.
Frames, pages and the mapping between the two is shown in the image below.
2.1 B fig: Paging process
Let us consider that, P2 and P4 are moved to waiting state after some time. Now, 8
frames become empty and therefore other pages can be loaded in that empty place.
The process P5 of size 8 KB (8 pages) is waiting inside the ready queue.
Given the fact that, we have 8 non contiguous frames available in the memory and
paging provides the flexibility of storing the process at the different places. Therefore,
we can load the pages of process P5 in the place of P2 and P4.
2.1 C fig: Paging process
2.4 Design Issues of Paging.
 The Working Set Model. In the purest form of paging, processes are started up with
none of their pages in memory. ...
 Local versus Global Allocation Policies. In the preceding sections we have discussed
several algorithms for choosing a page to replace when a fault occurs. ...
 Page Size. ...
 Virtual Memory Interface.
3.0 Segmentation
In Operating Systems, Segmentation is a memory management technique in which, the

memory is divided into the variable size parts. Each part is known as segment which
can be allocated to a process.
What is Segmentation?
The process known as segmentation is a virtual process that creates address spaces of
various sizes in a computer system, called segments. Each segment is a different virtual
address space that directly corresponds to process objects.
The details about each segment are stored in a table called as segment table. Segment
table is stored in one (or many) of the segments.
Segment table contains mainly two information about segment:
1. Base: It is the base address of the segment

2. Limit: It is the length of the segment.
3.1 Why Segmentation is required?
Till now, we were using Paging as our main memory management technique. Paging is
more close to Operating system rather than the User. It divides all the process into the
form of pages regardless of the fact that a process can have some relative parts of
functions which needs to be loaded in the same page.
Operating system doesn't care about the User's view of the process. It may divide the
same function into different pages and those pages may or may not be loaded at the
same time into the memory. It decreases the efficiency of the system.
It is better to have segmentation which divides the process into the segments. Each
segment contain same type of functions such as main function can be included in one
segment and the library functions can be included in the other segment,
3.2 Translation of Logical address into physical address by segment table
CPU generates a logical address which contains two parts:
1. Segment Number
2. Offset
The Segment number is mapped to the segment table. The limit of the respective
segment is compared with the offset. If the offset is less than the limit then the address
is valid otherwise it throws an error as the address is invalid.
In the case of valid address, the base address of the segment is added to the offset to
get the physical address of actual word in the main memory.
3.0 Fig : Segmentation
 Advantages of Segmentation
1. No internal fragmentation
2. Average Segment Size is larger than the actual page size.
3. Less overhead
4. It is easier to relocate segments than entire address space.
5. The segment table is of lesser size as compare to the page table in paging.
 Disadvantages
1. It can have external fragmentation.
2. it is difficult to allocate contiguous memory to variable sized partition.
3. Costly memory management algorithms.
Difference between Paging and Segmentation:
S.NO PAGING SEGMENTATION
In paging, program is
divided into fixed or In segmentation, program is
1. mounted size pages. divided into variable size sections.
For paging operating For segmentation compiler is
2. system is accountable. accountable.
Page size is determined by Here, the section size is given by
3. hardware. the user.
It is faster in the comparison
4. of segmentation. Segmentation is slow.
Paging could result in Segmentation could result in
5. internal fragmentation. external fragmentation.
In paging, logical address is
split into page number and Here, logical address is split into
6. page offset. section number and section offset.
Paging comprises a page While segmentation also
table which encloses the comprises the segment table
base address of every which encloses segment number
7. page. and segment offset.

4.0 Page Replacement Algorithms in Operating Systems
In an operating system that uses paging for memory management, a page replacement
algorithm is needed to decide which page needs to be replaced when new page comes
in.
Page Fault – A page fault happens when a running program accesses a memory page
that is mapped into the virtual address space, but not loaded in physical memory.
Since actual physical memory is much smaller than virtual memory, page faults happen.
In case of page fault, Operating System might have to replace one of the existing pages
with the newly needed page. Different page replacement algorithms suggest different
ways to decide which page to replace. The target for all algorithms is to reduce the
number of page faults.
 Page Replacement Algorithms :
4.1 First In First Out (FIFO) –
This is the simplest page replacement algorithm. In this algorithm, the operating
system keeps track of all pages in the memory in a queue, the oldest page is in the
front of the queue. When a page needs to be replaced page in the front of the queue
is selected for removal.
Example-1Consider page reference string 1, 3, 0, 3, 5, 6 with 3 page frames.Find
number of page faults.
Initially all slots are empty, so when 1, 3, 0 came they are allocated to the empty
slots —> 3 Page Faults.
when 3 comes, it is already in memory so —> 0 Page Faults.
Then 5 comes, it is not available in memory so it replaces the oldest page slot i.e 1.
—>1 Page Fault.
6 comes, it is also not available in memory so it replaces the oldest page slot i.e 3 —
>1 Page Fault.
Finally when 3 come it is not avilable so it replaces 0 1 page fault
4.2 Optimal Page replacement –
In this algorithm, pages are replaced which would not be used for the longest
duration of time in the future.
Example-2:Consider the page references 7, 0, 1, 2, 0, 3, 0, 4, 2, 3, 0, 3, 2, with 4
page frame. Find number of page fault.
Initially all slots are empty, so when 7 0 1 2 are allocated to the empty slots —> 4
Page faults
0 is already there so —> 0 Page fault.
when 3 came it will take the place of 7 because it is not used for the longest duration
of time in the future.—>1 Page fault.
0 is already there so —> 0 Page fault..
4 will takes place of 1 —> 1 Page Fault.
Now for the further page reference string —> 0 Page fault because they are already
available in the memory.
Optimal page replacement is perfect, but not possible in practice as the operating
system cannot know future requests. The use of Optimal Page replacement is to set
up a benchmark so that other replacement algorithms can be analyzed against it.
4.3 Least Recently Used –

In this algorithm page will be replaced which is least recently used.
Example-3Consider the page reference string 7, 0, 1, 2, 0, 3, 0, 4, 2, 3, 0, 3, 2 with 4
page frames.Find number of page faults.
Initially all slots are empty, so when 7 0 1 2 are allocated to the empty slots —> 4
Page faults
0 is already their so —> 0 Page fault.
when 3 came it will take the place of 7 because it is least recently used —>1 Page
fault
0 is already in memory so —> 0 Page fault.
4 will takes place of 1 —> 1 Page Fault
Now for the further page reference string —> 0 Page fault because they are already
available in the memory.
UNIT 2
Chapter 6
File System
Objectives:
 Files
 Directories
 file system implementation
 file-system management and optimization
 MS-DOS file system
 UNIX V7 file system
 CDROM file system
1.0 File
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.
1.2 File Structure
A File Structure should be according to a required format that the 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.
1.3 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 have the following types
of files −
1)Ordinary files
 These are the files that contain user information.

 These may have text, databases or executable program.
 The user can apply various operations on such files like add, modify, delete or
even remove the entire file.
2)Directory files
 These files contain list of file names and other information related to these files.
3)Special files
 These files are also known as device files.

 These files represent physical device like disks, terminals, printers, networks,
tape drive etc.
These files are of two types −
 Character special files − data is handled character by character as in case of
terminals or printers.
 Block special files − data is handled in blocks as in the case of disks and
tapes.
1.4 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
1)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.
2)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.
3)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.
1.5 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
1)Contiguous Allocation
 Each file occupies a contiguous address space on disk.

 Assigned disk address is in linear order.
 Easy to implement.
 External fragmentation is a major issue with this type of allocation technique.
2)Linked Allocation
 Each file carries a list of links to disk blocks.

 Directory contains link / pointer to first block of a file.
 No external fragmentation
 Effectively used in sequential access file.
 Inefficient in case of direct access file.
3)Indexed Allocation
 Provides solutions to problems of contiguous and linked allocation.

 A index block is created having all pointers to files.
 Each file has its own index block which stores the addresses of disk space
occupied by the file.
 Directory contains the addresses of index blocks of files.
2.0 Structures of Directory in Operating System
A directory is a container that is used to contain folders and file. It organizes files and
folders into a hierarchical manner.
There are several logical structures of a directory, these are given below.
1. Single-level directory –
Single level directory is simplest directory structure.In it all files are contained in
same directory which make it easy to support and understand.
A single level directory has a significant limitation, however, when the number of files
increases or when the system has more than one user. Since all the files are in the
same directory, they must have the unique name . if two users call their dataset test,
then the unique name rule violated.
Advantages:
 Since it is a single directory, so its implementation is very easy.
 If the files are smaller in size, searching will become faster.
 The operations like file creation, searching, deletion, updating are very easy
in such a directory structure.
Disadvantages:
 There may chance of name collision because two files can not have the same
name.
 Searching will become time taking if the directory is large.
 In this can not group the same type of files together.
2. Two-level directory –
As we have seen, a single level directory often leads to confusion of files names
among different users. the solution to this problem is to create a separate directory
for each user.
In the two-level directory structure, each user has there own user files directory
(UFD). The UFDs has similar structures, but each lists only the files of a single user.
system’s master file directory (MFD) is searches whenever a new user id=s logged
in. The MFD is indexed by username or account number, and each entry points to
the UFD for that user.
Advantages:
 We can give full path like /User-name/directory-name/.
 Different users can have same directory as well as file name.
 Searching of files become more easy due to path name and user-grouping.
Disadvantages:
 A user is not allowed to share files with other users.

 Still it not very scalable, two files of the same type cannot be grouped
together in the same user.
3. Tree-structured directory –
Once we have seen a two-level directory as a tree of height 2, the natural
generalization is to extend the directory structure to a tree of arbitrary height.
This generalization allows the user to create there own subdirectories and to
organize on their files accordingly.
A tree structure is the most common directory structure. The tree has a root
directory, and every file in the system have a unique path.
Advantages:
 Very generalize, since full path name can be given.
 Very scalable, the probability of name collision is less.
 Searching becomes very easy, we can use both absolute path as well as
relative.
Disadvantages:
 Every file does not fit into the hierarchical model, files may be saved into
multiple directories.
 We can not share files.
 It is inefficient, because accessing a file may go under multiple directories.
4. Acyclic graph directory –

An acyclic graph is a graph with no cycle and allows to share subdirectories and
files. The same file or subdirectories may be in two different directories. It is a
natural generalization of the tree-structured directory.
It is used in the situation like when two programmers are working on a joint project
and they need to access files. The associated files are stored in a subdirectory,
separating them from other projects and files of other programmers, since they are
working on a joint project so they want the subdirectories to be into their own
directories. The common subdirectories should be shared. So here we use Acyclic
directories.
It is the point to note that shared file is not the same as copy file . If any programmer
makes some changes in the subdirectory it will reflect in both subdirectories.
Advantages:
 We can share files.
 Searching is easy due to different-different paths.
Disadvantages:
 We share the files via linking, in case of deleting it may create the problem,
 If the link is softlink then after deleting the file we left with a dangling pointer.
 In case of hardlink, to delete a file we have to delete all the reference
associated with it.
5. General graph directory structure –

In general graph directory structure, cycles are allowed within a directory structure
where multiple directories can be derived from more than one parent directory.
The main problem with this kind of directory structure is to calculate total size or
space that has been taken by the files and directories.
Advantages:
 It allows cycles.
 It is more flexible than other directories structure.
Disadvantages:
 It is more costly than others.
 It needs garbage collection.
3.0 File System Implementation
A file is a collection of related information. The file system resides on secondary storage
and provides efficient and convenient access to the disk by allowing data to be stored,
located, and retrieved.
File system organized in many layers :
 I/O Control level –
Device drivers acts as interface between devices and Os, they help to transfer data
between disk and main memory. It takes block number a input and as output it
gives low level hardware specific instruction.
/li>
 Basic file system –
It Issues general commands to device driver to read and write physical blocks on
disk.It manages the memory buffers and caches. A block in buffer can hold the
contents of the disk block and cache stores frequently used file system metadata.
 File organization Module –
It has information about files, location of files and their logical and physical
blocks.Physical blocks do not match with logical numbers of logical block
numbered from 0 to N. It also has a free space which tracks unallocated blocks.
 Logical file system –
It manages metadata information about a file i.e includes all details about a file
except the actual contents of file. It also maintains via file control blocks. File
control block (FCB) has information about a file – owner, size, permissions,
location of file contents.
Advantages :
1. Duplication of code is minimized.

2. Each file system can have its own logical file system.
Disadvantages :
If we access many files at same time then it results in low performance.

We can implement file system by using two types data structures :
1. On-disk Structures –
Generally they contain information about total number of disk blocks, free disk blocks,
location of them and etc. Below given are different on-disk structures :
1) Boot Control Block –

It is usually the first block of volume and it contains information needed to
boot an operating system.In UNIX it is called boot block and in NTFS it is
called as partition boot sector.
2) Volume Control Block –
It has information about a particular partition ex:- free block count, block
size and block pointers etc.In UNIX it is called super block and in NTFS it
is stored in master file table.
3) Directory Structure –
They store file names and associated inode numbers.In UNIX, includes
file names and associated file names and in NTFS, it is stored in master
file table.
4) Per-File FCB –
It contains details about files and it has a unique identifier number to allow
association with directory entry. In NTFS it is stored in master file table.
2. In-Memory Structure :
They are maintained in main-memory and these are helpful for file system management
for caching. Several in-memory structures given below :
1) Mount Table –
It contains information about each mounted volume.
2) Directory-Structure cache –
This cache holds the directory information of recently accessed
directories.
3) System wide open-file table –
It contains the copy of FCB of each open file.
4) Per-process open-file table –
It contains information opened by that particular process and it maps with
appropriate system wide open-file.
3)Directory Implementation :
1)Linear List –
It maintains a linear list of filenames with pointers to the data blocks.It is time-
consuming also.To create a new file, we must first search the directory to be
sure that no existing file has the same name then we add a file at end of the
directory.To delete a file, we search the directory for the named file and
release the space.To reuse the directory entry either we can mark the entry
as unused or we can attach it to a list of free directories.
2)Hash Table –
The hash table takes a value computed from the file name and returns a
pointer to the file. It decreases the directory search time. The insertion and
deletion process of files is easy. The major difficulty is hash tables are its
generally fixed size and hash tables are dependent on hash function on that
size.
4.0 File System Management and Optimization
1)Disk-Space Management
Since all the files are normally stored on disk one of the main concerns of
file system is management of disk space.
2)Block Size
The main question that arises while storing files in a fixed-size blocks is
the size of the block. If the block is too large space gets wasted and if the
block is too small time gets waste. So, to choose a correct block size
some information about the file-size distribution is required. Performance
and space-utilization are always in conflict.
3)Keeping track of free blocks
After a block size has been finalized the next issue that needs to be
catered is how to keep track of the free blocks. In order to keep track there
are two methods that are widely used:
 Using a linked list: Using a linked list of disk blocks with each
block holding as many free disk block numbers as will fit.
 Bitmap: A disk with n blocks has a bitmap with n bits. Free

blocks are represented using 1's and allocated blocks as 0's
as seen below in the figure.
4)Disk quotas
Multiuser operating systems often provide a mechanism for enforcing disk

quotas. A system administrator assigns each user a maximum allotment of
files and blocks and the operating system makes sure that the users do
not exceed their quotas. Quotas are kept track of on a per-user basis in a
quota table.
5)File-system Backups
If a computer's file system is irrevocably lost, whether due to hardware or

software restoring all the information will be difficult, time consuming and
in many cases impossible. So it is adviced to always have file-system
backups.
Backing up files is time consuming and as well occupies large amount of
space, so doing it efficiently and convenietly is important. Below are few
points to be considered before creating backups for files.
 Is it requied to backup the entire file system or only a part of

it.
 Backing up files that haven't been changed from previous

backup leads to incremental dumps. So it's better to take a
backup of only those files which have changed from the time
of previous backup. But recovery gets complicated in such
cases.
 Since there is immense amount of data, it is generally

desired to compress the data before taking a backup for the
same.
 It is difficult to perform a backup on an active file-system

since the backup may be inconsistent.
 Making backups introduces many security issues
There are two ways for dumping a disk to the backup disk:
 Physical dump: In this way dump starts at block 0 of the

disk, writes all the disk blocks onto thee output disk in order
and stops after copying the last one.
Advantages: Simplicity and great speed.
Disadvantages: inability to skip selected directories, make
incremental dumps, and restore individual files upon request
 Logical dump: In this way the dump starts at one or more

specified directories and recursively dump all files and
directories found that have been changed since some given
base date. This is the most commonly used way.
The above figure depicts a popular algorithm used in many UNIX systems
wherein squares depict directories and circles depict files. This algorith
dumps all the files and directories that have been modified and also the
ones on the path to a modified file or directory. The dump algorithm
maintains a bitmap indexed by i-node number with several bits per i-node.
Bits will be set and cleared in this map as the algorithm proceeds.
Although logical dumping is straightforward, there are few issues
associated with it.
 Since the free block list is not a file, it is not dumped and
hence it must be reconstructed from scratch after all the
dumps have been restored
 If a file is linked to two or more directories, it is important that

the file is restored only one time and that all the directories
that are supposed to point to it do so
 UNIX files may contain holes
 Special files, named pipes and all other files that are not real
should never be dumped.
6)File-system Consistency
To deal with inconsistent file systems, most computers have a utility

program that checks file-system consistency. For example, UNIX has fsck
and Windows has sfc. This utility can be run whenever the system is
booted. The utility programs perform two kinds of consistency checks.
 Blocks: To check block consistency the program builds two

tables, each one containing a counter for each block, initially
set to 0. If the file system is consistent, each block will have
a 1 either in the first table or in the second table as you can
see in the figure below.
In case if both the tables have 0 in it that may be because
the block is missing and hence will be reported as a missing
block. The two other situations are if a block is seen more
than once in free list and same data block is present in two
or more files.
 In addition to checking to see that each block is properly

accounted for, the file-system checker also checks the
directory system. It too uses a table of counters but per file-
size rather than per block. These counts start at 1 when a
file is created and are incremented each time a (hard) link is
made to the file. In a consistent file system, both counts will
agree
7)File-system Performance
Since the access to disk is much slower than access to memory, many file
systems have been designed with various optimizations to improve
performance as described below.
8)Caching
The most common technique used to reduce disk access time is the block
cache or buffer cache. Cache can be defined as a collection of items of
the same type stored in a hidden or inaccessible place. The most common
algorithm for cache works in such a way that if a disk access is initiated,
the cache is checked first to see if the disk block is present. If yes then the
read request can be satisfied without a disk access else the disk block is
copied to cache first and then the read request is processed.
The above figure depicts how to quickly determine if a block is present in a

cache or not. For doing so a hash table can be implemented and look up
the result in a hash table.
8)Block Read Ahead
Another technique to improve file-system performance is to try to get

blocks into the cache before they are needed to increase the hit rate. This
works only when files are read sequentially. When a file system is asked
for block 'k' in the file it does that and then also checks before hand if 'k+1'
is available if not it schedules a read for the block k+1 thinking that it might
be of use later.
9)Reducing disk arm motion
Another way to increase file-system performance is by reducing the disk-

arm motion by putting blocks that are likely to be accessed in sequence
close to each other,preferably in the same cylinder.
In the above figure all the i-nodes are near the start of the disk, so the
average distance between an inode and its blocks will be half the number
of cylinders, requiring long seeks. But to increase the performance the
placement of i-nodes can be modified as below.
10) Defragmenting Disks
Due to continuous creation and removal of files the disks get badly
fragmented with files and holes all over the place. As a consequence,
when a new file is created, the blocks used for it may be spread all over
the disk, giving poor performance. The performance can be restored by
moving files around to make them contiguous and to put all (or at least
most) of the free space in one or more large contiguous regions on the
disk.
5.0 MS-DOS Filesystem
The MS-DOS filesystem is very straightforward. It is a 16-bit system based on a File

Allocation Table, or FAT16 (FAT for short). The purpose of the file allocation table is to
keep track of where to find files on the disk.
In MS-DOS, every DOS based partition has a letter: (A: or B: or C:). Typically, the drive
letters A: and B: are reserved for floppy drives. You will most frequently find that the C:
drive is the 'bootable partition'. Each drive has a root directory ('\') so the root directory
on a given drive looks like this: C:\
Changing drives is as simple as typing the name of the drive letter:
A:> C: <enter>
C:>
MS-DOS then stores files to the system in any arrangement you choose. You can
create directories, and store files within those directories. A typical file/path might look
like this:
C:\ms-dos\mydir\filename.txt
LIMITATIONS
FAT16 filesystems are compatible with all Microsoft operating systems, but it has
severe limitations. First, all files on the system are limited to eight characters and a
three letter extension. The MS-DOS filesystem also has a limit of approximately 2.1
Gigabytes owing to the fact that the MS-DOS operating system doesn't recognize 'Int
13' based commands, and therefore cannot issue commands to access the remainder
of larger disks.
Keep in mind that MS-DOS is a legacy system kept around for doing command line
based work in Windows.
6.0 Unix File System
Unix file system is a logical method of organizing and storing large amounts of information in a
way that makes it easy to manage. A file is a smallest unit in which the information is stored. Unix
file system has several important features. All data in Unix is organized into files. All files are
organized into directories. These directories are organized into a tree-like structure called the file
system.
Files in Unix System are organized into multi-level hierarchy structure known as a directory tree.
At the very top of the file system is a directory called “root” which is represented by a “/”. All
other files are “descendants” of root.
Directories or Files and their description –

 / : The slash / character alone denotes the root of the filesystem tree.
 /bin : Stands for “binaries” and contains certain fundamental utilities, such as ls or cp, which are
generally needed by all users.
 /boot : Contains all the files that are required for successful booting process.
 /dev : Stands for “devices”. Contains file representations of peripheral devices and pseudo-devices.
 /etc : Contains system-wide configuration files and system databases. Originally also contained
“dangerous maintenance utilities” such as init,but these have typically been moved to /sbin or
elsewhere.
 /home : Contains the home directories for the users.
 /lib : Contains system libraries, and some critical files such as kernel modules or device drivers.
 /media : Default mount point for removable devices, such as USB sticks, media players, etc.
 /mnt : Stands for “mount”. Contains filesystem mount points. These are used, for example, if the
system uses multiple hard disks or hard disk partitions. It is also often used for remote (network)
filesystems, CD-ROM/DVD drives, and so on.
 /proc : procfs virtual filesystem showing information about processes as files.
 /root : The home directory for the superuser “root” – that is, the system administrator. This
account’s home directory is usually on the initial filesystem, and hence not in /home (which may be
a mount point for another filesystem) in case specific maintenance needs to be performed, during
which other filesystems are not available. Such a case could occur, for example, if a hard disk drive
suffers physical failures and cannot be properly mounted.
 /tmp : A place for temporary files. Many systems clear this directory upon startup; it might have
tmpfs mounted atop it, in which case its contents do not survive a reboot, or it might be explicitly
cleared by a startup script at boot time.
 /usr : Originally the directory holding user home directories,its use has changed. It now holds
executables, libraries, and shared resources that are not system critical, like the X Window System,
KDE, Perl, etc. However, on some Unix systems, some user accounts may still have a home
directory that is a direct subdirectory of /usr, such as the default as in Minix. (on modern systems,
these user accounts are often related to server or system use, and not directly used by a person).
 /usr/bin : This directory stores all binary programs distributed with the operating system not
residing in /bin, /sbin or (rarely) /etc.
 /usr/include : Stores the development headers used throughout the system. Header files are mostly
used by the #include directive in C/C++ programming language.
 /usr/lib : Stores the required libraries and data files for programs stored within /usr or elsewhere.
 /var : A short for “variable.” A place for files that may change often – especially in size, for
example e-mail sent to users on the system, or process-ID lock files.
 /var/log : Contains system log files.
 /var/mail : The place where all the incoming mails are stored. Users (other than root) can access
their own mail only. Often, this directory is a symbolic link to /var/spool/mail.
 /var/spool : Spool directory. Contains print jobs, mail spools and other queued tasks.
 /var/tmp : A place for temporary files which should be preserved between system reboots.
Types of Unix files – The UNIX files system contains several different types of files :
1. Ordinary files – An ordinary file is a file on the system that contains data, text, or program
instructions.
 Used to store your information, such as some text you have written or an image you have drawn.
This is the type of file that you usually work with.
 Always located within/under a directory file.
 Do not contain other files.
 In long-format output of ls -l, this type of file is specified by the “-” symbol.
2. Directories – Directories store both special and ordinary files. For users familiar with Windows
or Mac OS, UNIX directories are equivalent to folders. A directory file contains an entry for every
file and subdirectory that it houses. If you have 10 files in a directory, there will be 10 entries in the
directory. Each entry has two components.
(1) The Filename
(2) A unique identification number for the file or directory (called the inode number)
 Branching points in the hierarchical tree.
 Used to organize groups of files.
 May contain ordinary files, special files or other directories.
 Never contain “real” information which you would work with (such as text). Basically, just used
for organizing files.
 All files are descendants of the root directory, ( named / ) located at the top of the tree.
In long-format output of ls –l , this type of file is specified by the “d” symbol.
3. Special Files – Used to represent a real physical device such as a printer, tape drive or terminal,
used for Input/Output (I/O) operations. Device or special files are used for device
Input/Output(I/O) on UNIX and Linux systems. They appear in a file system just like an ordinary
file or a directory.
On UNIX systems there are two flavors of special files for each device, character special files and
block special files :
 When a character special file is used for device Input/Output(I/O), data is transferred one character
at a time. This type of access is called raw device access.
 When a block special file is used for device Input/Output(I/O), data is transferred in large fixed-size
blocks. This type of access is called block device access.
For terminal devices, it’s one character at a time. For disk devices though, raw access means
reading or writing in whole chunks of data – blocks, which are native to your disk.
 In long-format output of ls -l, character special files are marked by the “c” symbol.
 In long-format output of ls -l, block special files are marked by the “b” symbol.
4. Pipes – UNIX allows you to link commands together using a pipe. The pipe acts a temporary
file which only exists to hold data from one command until it is read by another.A Unix pipe
provides a one-way flow of data.The output or result of the first command sequence is used as the
input to the second command sequence. To make a pipe, put a vertical bar (|) on the command line
between two commands.For example: who | wc -l
7.0 What is CDFS (Compact Disc File System)?
Introduction:
CDFS stands for Compact Disc File System. Before the era of CDFS, there was no
medium for people to store their memories or files that they want to store for the long term
purpose. The storing of data and information was a major problem because in that time
the world needs a system that can store multiple files in compressed format. But the
revolution of technology changed the culture of the world and new advanced things
started coming to the market. CDFS came into the picture on 21 August 1999. At that
time CDFS is considered the most advanced technology in the technology Industry.
There were many features offered by CDFS that came into limelight immediately:
1. It is a file system for read-only and write-once CD-ROMs.
2. It exports all tracks and boot images on a CD as normal files.
3. CDFS provides a wide range of services which include creation, replacing,
renaming, or deletion of files on write-once media.
4. It uses a VCACHE driver to control the CD-ROM disc cache allowing for a
smoother playback.
5. It includes several disc properties like volume attributes, file attributes, and file
placement.
History:
CDFS was developed by Simson Garfinkel and J. Spencer Love at the MIT Media Lab
between 1985 and 1986. CDFS was developed from the write-once CD-ROM simulator.
They are designed to store any data and information on read-only and write-once media.
A great setback for CDFS was that it never gets sold. The File System source code was
published on the internet.
Disk Images can be saved using the CDFS standard, which may be used to burn ISO
9660 discs. ISO 9660 also referred to as CDFS by some hardware and software
providers, is a file system published by ISO (International Organization for
Standardization) for optical disc media.
Applications:
A file system is a systematic organized way in which files have to get organized in a hard
disk. The file system is initiated when a user opens a hard disk to access files. Here are
some applications of the Compact Disk File System:
1. CDFS creates a way in which the system first sets up the root directory and then
automatically creates all the subsequent folders for it.
2. The system also provides a wide range of services for all users. You can create
new files or folders which are added to the main root file or we can say the “file
tree” of the system.
3. There was also a problem of transferring data or files from CDs to a laptop or
computer. But CDFS shows us a great solution to solve this problem. It is useful for
burning discs that can be exchanged between different devices.
4. CDFS is not specific to a single Operating System, it means that a disc burned on
Macintosh using CDFS can be read on a Windows or Linux based computer.
5. It can operate over numerous Operating System. It means if a user started shifting
files from Macintosh using Compact Disk File System, he can also operate the files
in Windows Operating System.
6. Disc Pictures are also saved using proper system standards. All files have a
typical.ISO name extension.
Types:
There are different versions of Compact Disk File System:
1. Clustered operated system. (can be Global or Grid)
2. Flash operated
3. Object file system
4. Semantic
5. Steganographic process
6. Versioning
7. Synthetic operated system
UNIT 3
Chapter no 7
Principles of I/O hardware and Software
7.0 Objectives:
 To understand PRINCIPLES OF I/O HARDWARE

 To learn PRINCIPLES OF I/O SOFTWARE
 To learn different, I/O SOFTWARE LAYERS
In addition to providing abstractions such as processes, address spaces, and files,

an operating system also controls all the computer’s I/O (Input/Output) devices. It
must issue commands to the devices, catch interrupts, and handle errors. It should
also provide an interface between the devices and the rest of the system that is
simple and easy to use. To the extent possible, the interface should be the same for
all devices (device independence). The I/O code represents a significant fraction of
the total operating system. How the operating system manages I/O is the subject of
this chapter.
This chapter is organized as follows. We will look first at some of the principles of I/O
hardware and then at I/O software in general. I/O software can be structured in
layers, with each having a well-defined task. We will look at these layers to see what
they do and how they fit together. Next, we will look at several I/O devices in detail:
disks, clocks, keyboards, and displays. For each device we will look at its hardware
and software. Finally, we will consider power management.
7.1 PRINCIPLES OF I/O HARDWARE

Different people look at I/O hardware in different ways. In this book we are
concerned with programming I/O devices, not designing, building, or maintaining
them, so our interest is in how the hardware is programmed, not how it works inside.
7.1.1 I/O Devices
I/O devices can be roughly divided into two categories: block devices and
character devices. A block device is one that stores information in fixed-size blocks,
each one with its own address. Common block sizes range from 512 to 65,536
bytes. All transfers are in units of one or more entire (consecutive) blocks. The
essential property of a block device is that it is possible to read or write each block
independently of all the other ones. Hard disks, Blu-ray discs, and USB sticks are
common block devices.
The other type of I/O device is the character device. A character device delivers or
accepts a stream of characters, without regard to any block structure. It is not
addressable and does not have any seek operation. Printers, network interfaces,
mice (for pointing), rats (for psychology lab experiments), and most other devices
that are not disk-like can be seen as character devices.
I/O devices cover a huge range in speeds, which puts considerable pressure on the
software to perform well over many orders of magnitude in data rates. Figure 7.1
shows the data rates of some common devices.
Figure 7.1 data rates of devices
7.1.2 Device Controllers

I/O units often consist of a mechanical component and an electronic component. It is
possible to separate the two portions to provide a more modular and general design.
The electronic component is called the device controller or adapter. On personal
computers, it often takes the form of a chip on the parent board or a printed circuit
card that can be inserted into a (PCIe) expansion slot. The mechanical component is
the device itself.
7.1.3 Memory-Mapped I/O

Each controller has a few registers that are used for communicating with the CPU.
By writing into these registers, the operating system can command the device to
deliver data, accept data, switch itself on or off, or otherwise perform some action.
By reading from these registers, the operating system can learn what the device’s
state is, whether it is prepared to accept a new command, and so on.
Each control register is assigned a unique memory address to which no memory is
assigned. This system is called memory-mapped I/O. In most systems, the
assigned addresses are at or near the top of the address space.
7.1.4 Direct Memory Access
No matter whether a CPU does or does not have memory-mapped I/O, it needs to
address the device controllers to exchange data with them. The CPU can request
data from an I/O controller one byte at a time, but doing so wastes the CPU’s time,
so a different scheme, called DMA (Direct Memory Access) is often used. To
simplify the explanation, we assume that the CPU accesses all devices and memory
via a single system bus that connects the CPU, the memory, and the I/O devices.
We already know that the real organization in modern systems is more complicated,
but all the principles are the same. The operating system can use only DMA if the
hardware has a DMA controller, which most systems do.
Sometimes this controller is integrated into disk controllers and other controllers, but
such a design requires a separate DMA controller for each device. More commonly,
a single DMA controller is available (e.g., on the parentboard) for regulating transfers
to multiple devices, often concurrently.
Fig 7.2 DMA controller
Some DMA controllers can also operate in either mode. In the former mode, the
DMA controller requests the transfer of one word and gets it. If the CPU also wants
the bus, it has to wait. The mechanism is called cycle stealing because the device
controller sneaks in and steals an occasional bus cycle from the CPU once in a
while, delaying it slightly.
In block mode, the DMA controller tells the device to acquire the bus, issue a series
of transfers, then release the bus. This form of operation is called burst mode. It is
more efficient than cycle stealing because acquiring the bus takes time and multiple
words can be transferred for the price of one bus acquisition. The down side to burst
mode is that it can block the CPU and other devices for a substantial period if a long
burst is being transferred.
7.1.5 Interrupts Revisited

In a typical personal computer system, the interrupt structure is as shown in Fig. 7.3
At the hardware level, interrupts work as follows. When an I/O device has finished
the work given to it, it causes an interrupt (assuming that interrupts have been
enabled by the operating system). It does this by asserting a signal on a bus line that
it has been assigned. This signal is detected by the interrupt controller chip on the
parent board, which then decides what to do.
Fig 7.3 Interrupts
If no other interrupts are pending, the interrupt controller handles the interrupt
immediately. However, if another interrupt is in progress, or another device has
made a simultaneous request on a higher-priority interrupt request line on the bus,
the device is just ignored for the moment. In this case it continues to assert an
interrupt signal on the bus until it is serviced by the CPU. To handle the interrupt, the
controller puts a number on the address lines specifying which device wants
attention and asserts a signal to interrupt the CPU. The interrupt signal causes the
CPU to stop what it is doing and start doing something else. The number on the
address lines is used as an index into a table called the interrupt vector to fetch a
new program counter. This program counter points to the start of the corresponding
interrupt-service procedure.
Precise Interrupts
An interrupt that leaves the machine in a well-defined state is called a precise
interrupt.
Such an interrupt has four properties:
1. The PC (Program Counter) is saved in a known place.
2. All instructions before the one pointed to by the PC have completed.
3. No instruction beyond the one pointed to by the PC has finished.
4. The execution state of the instruction pointed to by the PC is known.
7.2 PRINCIPLES OF I/O SOFTWARE
First we will look at its goals and then at the different ways I/O can be done from the
point of view of the operating system.
7.2.1 Goals of the I/O Software
A key concept in the design of I/O software is known as device independence.
What it means is that we should be able to write programs that can access any I/O
device without having to specify the device in advance. For example, a program that
reads a file as input should be able to read a file on a hard disk, a DVD, or on a USB
stick without having to be modified for each different device.
It is up to the operating system to take care of the problems caused by the fact that
these devices really are different and require very different command sequences to
read or write.
Another important issue for I/O software is error handling. In general, errors should
be handled as close to the hardware as possible. If the controller discovers a read
error, it should try to correct the error itself if it can.
Still another important issue is that of synchronous (blocking) vs. asynchronous
(interrupt-driven) transfers. Most physical I/O is asynchronous—the CPU starts the
transfer and goes off to do something else until the interrupt arrives. User programs
are much easier to write if the I/O operations are blocking—after a read system call
the program is automatically suspended until the data are available in the buffer. It is
up to the operating system to make operations that are actually interrupt-driven look
blocking to the user programs.
The final concept that we will mention here is sharable vs. dedicated devices. Some
I/O devices, such as disks, can be used by many users at the same time. No
problems are caused by multiple users having open files on the same disk at the
same time. Other devices, such as printers, have to be dedicated to a single user
until that user is finished. Then another user can have the printer.
7.2.2 Programmed I/O
The simplest form of I/O is to have the CPU do all the work. This method is called
programmed I/O.
It is simplest to illustrate how programmed I/O works by means of an example.
Consider a user process that wants to print the eight-character string ‘‘ABCDEFGH’’
on the printer via a serial interface. Displays on small embedded systems sometimes
work this way. The software first assembles the string in a buffer in user space, as
shown in Fig. 7.4
Fig 7.4 programmed I/O
The user process then acquires the printer for writing by making a system call to
open it. If the printer is currently in use by another process, this call will fail and
return an error code or will block until the printer is available, depending on the
operating system and the parameters of the call. Once it has the printer, the user
process makes a system call telling the operating system to print the string on the
printer.
The operating system then (usually) copies the buffer with the string to an array, say,
p, in kernel space, where it is more easily accessed (because the kernel may have to
change the memory map to get at user space). It then checks to see if the printer is
currently available. If not, it waits until it is. As soon as the printer is available, the
operating system copies the first character to the printer’s data register, in this
example using memory-mapped I/O. This action activates the printer. The character
may not appear yet because some printers buffer a line or a page before printing
anything. In Fig. 7.4 (b), however, we see that the first character has been printed
and that the system has marked the ‘‘B’’ as the next character to be printed. As soon
as it has copied the first character to the printer, the operating system checks to see
if the printer is ready to accept another one. Generally, the printer has a second
register, which gives its status. The act of writing to the data register causes the
status to become not ready. When the printer controller has processed the current
character, it indicates its availability by setting some bit in its status register or putting
some value in it.
At this point the operating system waits for the printer to become ready again.
When that happens, it prints the next character, as shown in Fig. 7.4 (c). This loop
continues until the entire string has been printed. Then control returns to the user
process.
7.2.3 Interrupt-Driven I/O

Now let us consider the case of printing on a printer that does not buffer characters
but prints each one as it arrives. If the printer can print, say 100 characters/ sec,
each character takes 10 msec to print. This means that after every character is
written to the printer’s data register, the CPU will sit in an idle loop for 10 msec
waiting to be allowed to output the next character. This is more than enough time to
do a context switch and run some other process for the 10 msec that would
otherwise be wasted.
The way to allow the CPU to do something else while waiting for the printer to
become ready is to use interrupts. When the system call to print the string is made,
the buffer is copied to kernel space, as we showed earlier, and the first character is
copied to the printer as soon as it is willing to accept a character. At that point the
CPU calls the scheduler and some other process is run. The process that asked for
the string to be printed is blocked until the entire string has printed.
7.2.4 I/O Using DMA
An obvious disadvantage of interrupt-driven I/O is that an interrupt occurs on every
character. Interrupts take time, so this scheme wastes a certain amount of CPU time.
A solution is to use DMA. Here the idea is to let the DMA controller feed the
characters to the printer one at time, without the CPU being bothered. In essence,
DMA is programmed I/O, only with the DMA controller doing all the work, instead of
the main CPU. This strategy requires special hardware (the DMA controller) but
frees up the CPU during the I/O to do other work.
The big win with DMA is reducing the number of interrupts from one per character to
one per buffer printed. If there are many characters and interrupts are slow, this can
be a major improvement. On the other hand, the DMA controller is usually much
slower than the main CPU. If the DMA controller is not capable of driving the device
at full speed, or the CPU usually has nothing to do anyway while waiting for the DMA
interrupt, then interrupt-driven I/O or even programmed I/O may be better.
7.3 I/O SOFTWARE LAYERS
I/O software is typically organized in four layers, as shown in Fig. 7.5 Each layer has
a well-defined function to perform and a well-defined interface to the adjacent layers
.
Figure 7.5 I/O SOFTWARE LAYERS
7.3.1 Interrupt Handlers

When the interrupt happens, the interrupt procedure does whatever it has to in order
to handle the interrupt. Then it can unblock the driver that was waiting for it. In some
cases it will just complete up on a semaphore. In others it will do a signal on a
condition variable in a monitor. In still others, it will send a message to the blocked
driver. In all cases the net effect of the interrupt will be that a driver that was
previously blocked will now be able to run. This model works best if drivers are
structured as kernel processes, with their own states, stacks, and program counters.
Of course, reality is not quite so simple. Processing an interrupt is not just a matter of
taking the interrupt, doing an up on some semaphore, and then executing an IRET
instruction to return from the interrupt to the previous process. There is a great deal
more work involved for the operating system. We will now give an outline of this work
as a series of steps that must be performed in software after the hardware interrupt
has completed. It should be noted that the details are highly system dependent, so
some of the steps listed below may not be needed on a particular machine, and
steps not listed may be required. Also, the steps that do occur may be in a different
order on some machines.
1. Save any registers (including the PSW) that have not already been saved by the
interrupt hardware.
2. Set up a context for the interrupt-service procedure. Doing this may involve setting
up the TLB, MMU and a page table.
3. Set up a stack for the interrupt service-procedure.
4. Acknowledge the interrupt controller. If there is no centralized interrupt controller,
reenable interrupts.
5. Copy the registers from where they were saved (possibly some stack) to the
process table.
6. Run the interrupt-service procedure. It will extract information from the interrupting
device controller’s registers.
7. Choose which process to run next. If the interrupt has caused some high-priority
process that was blocked to become ready, it may be chosen to run now.
8. Set up the MMU context for the process to run next. Some TLB setup may also be
needed.
9. Load the new process’ registers, including its PSW.
10. Start running the new process.
7.3.2 Device Drivers
Earlier in this chapter we looked at what device controllers do. We saw that each
controller has some device registers used to give it commands or some device
registers used to read out its status or both. The number of device registers and the
nature of the commands vary radically from device to device. For example, a mouse
driver has to accept information from the mouse telling it how far it has moved and
which buttons are currently depressed. In contrast, a disk driver may have to know
all about sectors, tracks, cylinders, heads, arm motion, motor drives, head settling
times, and all the other mechanics of making the disk work properly.
Obviously, these drivers will be very different.
Consequently, each I/O device attached to a computer needs some device-specific
code for controlling it. This code, called the device driver, is generally written by the
device’s manufacturer and delivered along with the device. Since each operating
system needs its own drivers, device manufacturers commonly supply drivers for
several popular operating systems.
Each device driver normally handles one device type, or at most, one class of closely
related devices. For example, a SCSI disk driver can usually handle multiple SCSI
disks of different sizes and different speeds, and perhaps a SCSI Blu-ray disk as
well. On the other hand, a mouse and joystick are so different that different drivers
are usually required. However, there is no technical restriction on having one device
driver control multiple unrelated devices. It is just not a good idea in most cases.
Sometimes though, wildly different devices are based on the same underlying
technology. The best-known example is probably USB, a serial bus technology that
is not called ‘‘universal’’ for nothing. USB devices include disks, memory sticks,
cameras, mice, keyboards, mini-fans, wireless network cards, robots, credit card
readers, rechargeable shavers, paper shredders, bar code scanners, disco balls,
and portable thermometers. They all use USB and yet they all do very different
things. The trick is that USB drivers are typically stacked, like a TCP/IP stack in
networks.
In order to access the device’s hardware, actually, meaning the controller’s registers,
the device driver normally has to be part of the operating system kernel, at least with
current architectures. Actually, it is possible to construct drivers that run in user
space, with system calls for reading and writing the device registers. This design
isolates the kernel from the drivers and the drivers from each other, eliminating a
major source of system crashes—buggy drivers that interfere with the kernel in one
way or another. For building highly reliable systems, this is definitely the way to go.
7.3.3 Device-Independent I/O Software

Although some of the I/O software is device specific, other parts of it are device
independent. The exact boundary between the drivers and the device-independent
software is system (and device) dependent, because some functions that could be
done in a device-independent way may actually be done in the drivers, for efficiency
or other reasons. The functions shown in Fig. 7.6 are typically done in the device-
independent software.
Fig 7.6 Device-Independent I/O Software Function
The basic function of the device-independent software is to perform the I/O functions
that are common to all devices and to provide a uniform interface to the user-level
software. We will now look at the above issues in more detail.
Uniform Interfacing for Device Drivers

A major issue in an operating system is how to make all I/O devices and drivers look
more or less the same. If disks, printers, keyboards, and so on, are all interfaced in
different ways, every time a new device comes along, the operating system must be
modified for the new device. Having to hack on the operating system for each new
device is not a good idea.
Buffering
Buffering is also an issue, both for block and character devices, for a variety of
reasons. To see one of them, consider a process that wants to read data from an
(ADSL—Asymmetric Digital Subscriber Line) modem, something many people use at
home to connect to the Internet. One possible strategy for dealing with the incoming
characters is to have the user process do a read system call and block waiting for
one character. Each arriving character causes an interrupt. The interrupt-service
procedure hands the character to the user process and unblocks it. After putting the
character somewhere, the process reads another character and blocks again.
Error Reporting
Errors are far more common in the context of I/O than in other contexts. When they
occur, the operating system must handle them as best it can. Many errors are device
specific and must be handled by the appropriate driver, but the framework for error
handling is device independent.
One class of I/O errors is programming errors. These occur when a process asks for
something impossible, such as writing to an input device (keyboard, scanner, mouse,
etc.) or reading from an output device (printer, plotter, etc.). Other errors are
providing an invalid buffer address or other parameter, and specifying an invalid
device (e.g., disk 3 when the system has only two disks), and so on. The action to
take on these errors is straightforward: just report back an error code to the caller.
Another class of errors is the class of actual I/O errors, for example, trying to write a
disk block that has been damaged or trying to read from a camcorder that has been
switched off. In these circumstances, it is up to the driver to determine what to do. If
the driver does not know what to do, it may pass the problem back up to device-
independent software.
What this software does depends on the environment and the nature of the error. If it
is a simple read error and there is an interactive user available, it may display a
dialog box asking the user what to do. The options may include retrying a certain
number of times, ignoring the error, or killing the calling process. If there is no user
available, probably the only real option is to have the system call fail with an error
code.
Allocating and Releasing Dedicated Devices

Some devices, such as printers, can be used only by a single process at any given
moment. It is up to the operating system to examine requests for device usage and
accept or reject them, depending on whether the requested device is available or
not. A simple way to handle these requests is to require processes to perform opens
on the special files for devices directly. If the device is unavailable, the open fails.
Closing such a dedicated device then releases it.
An alternative approach is to have special mechanisms for requesting and releasing
dedicated devices. An attempt to acquire a device that is not available blocks the
caller instead of failing. Blocked processes are put on a queue. Sooner or later, the
requested device becomes available and the first process on the queue is allowed to
acquire it and continue execution.
Device-Independent Block Size

Different disks may have different sector sizes. It is up to the device-independent
software to hide this fact and provide a uniform block size to higher layers, for
example, by treating several sectors as a single logical block. In this way, the higher
layers deal only with abstract devices that all use the same logical block size,
independent of the physical sector size. Similarly, some character devices deliver
their data one byte at a time (e.g., mice), while others deliver theirs in larger units
(e.g., Ethernet interfaces). These differences may also be hidden.
7.3.4 User-Space I/O Software

Although most of the I/O software is within the operating system, a small portion of it
consists of libraries linked together with user programs, and even whole programs
running outside the kernel. System calls, including the I/O system calls, are normally
made by library procedures.
When a C program contains the call
count = write(fd, buffer, nbytes);
the library procedure write might be linked with the program and contained in the
binary program present in memory at run time. In other systems, libraries can be
loaded during program execution. Either way, the collection of all these library
procedures is clearly part of the I/O system.
While these procedures do little more than put their parameters in the appropriate
place for the system call, other I/O procedures actually do real work.
Inparticular, formatting of input and output is done by library procedures.
One example from C is printf, which takes a format string and possibly some
variables as input, builds an ASCII string, and then calls wr ite to output the string.
As an example of printf, consider the statement
printf("The square of %3d is %6d\n", i, i*i);
It formats a string consisting of the 14-character string ‘‘The square of ’’ followed by
the value i as a 3-character string, then the 4-character string ‘‘ is ’’, then i2 as 6
characters, and finally a line feed.
An example of a similar procedure for input is scanf, which reads input and stores it
into variables described in a format string using the same syntax as printf.
The standard I/O library contains a number of procedures that involve I/O and all run
as part of user programs.
Not all user-level I/O software consists of library procedures. Another important
category is the spooling system. Spooling is a way of dealing with dedicated I/O
devices in a multiprogramming system.
Consider a typical spooled device: a printer. Although it would be technically easy to
let any user process open the character special file for the printer, suppose a
process opened it and then did nothing for hours. No other process could print
anything.
Instead what is done is to create a special process, called a daemon, and a special
directory, called a spooling directory. To print a file, a process first generates the
entire file to be printed and puts it in the spooling directory. It is up to the daemon,
which is the only process having permission to use the printer’s special file,to print
the files in the directory. By protecting the special file against direct use by users, the
problem of having someone keeping it open unnecessarily long is eliminated.
Spooling is used not only for printers. It is also used in other I/O situations.
Exercise 7.4
Q.1) What is the use of Boot Block?
Q.2) What is Sector Sparing?
Q.3) Explain Direct Memory Access?
Q.4) Explain Programmed I/O in details.
Q.5) Explain Device-Independent I/O Software.
UNIT 3
Chapter 8
I/O Devices
8.0 Objectives:
 To understand the Disk concept
 To learn CLOCKS Concept
 To learn different, USER INTERFACES
 To understand THIN CLIENTS and Power management
In addition to providing abstractions such as processes, address spaces, and files,
an operating system also controls all the computer’s I/O (Input/Output) devices. It
must issue commands to the devices, catch interrupts, and handle errors. It should
also provide an interface between the devices and the rest of the system that is
simple and easy to use. To the extent possible, the interface should be the same for
all devices (device independence). The I/O code represents a significant fraction of
the total operating system. How the operating system manages I/O is the subject of
this chapter.
This chapter is organized as follows. We will look first at some of the principles of I/O
hardware and then at I/O software in general. I/O software can be structured in
layers, with each having a well-defined task. We will look at these layers to see what
they do and how they fit together. Next, we will look at several I/O devices in detail:
disks, clocks, keyboards, and displays. For each device we will look at its hardware
and software. Finally, we will consider power management.
8.1 DISKS
We will begin with disks, which are conceptually simple, yet very important. After that
we will examine clocks, keyboards, and displays.
8.1.1 Disk Hardware
Disks come in a variety of types. The most common ones are the magnetic hard
disks. They are characterized by the fact that reads and writes are equally fast,
which makes them suitable as secondary memory (paging, file systems, etc.). Arrays
of these disks are sometimes used to provide highly reliable storage. For distribution
of programs, data, and movies, optical disks (DVDs and Blu-ray) are also important.
Finally, solid-state disks are increasingly popular as they are fast and do not contain
moving parts. In the following sections we will discuss magnetic disks as an example
of the hardware and then describe the software for disk devices in general.
Magnetic Disks
Magnetic disks are organized into cylinders, each one containing as many tracks as
there are heads stacked vertically. The tracks are divided into sectors, with the
number of sectors around the circumference typically being 8 to 32 on floppy disks,
and up to several hundred on hard disks. The number of heads varies from 1 to
about 16.
Older disks have little electronics and just deliver a simple serial bit stream. On these
disks, the controller does most of the work. On other disks, in particular, IDE
(Integrated Drive Electronics) and SATA (Serial ATA) disks, the disk drive itself
contains a microcontroller that does considerable work and allows the real controller
to issue a set of higher-level commands. The controller often does track caching,
bad-block remapping, and much more.
A device feature that has important implications for the disk driver is the possibility
of a controller doing seeks on two or more drives at the same time. These are known
as overlapped seeks. While the controller and software are waiting for a seek to
complete on one drive, the controller can initiate a seek on another drive. Many
controllers can also read or write on one drive while seeking on one or more other
drives, but a floppy disk controller cannot read or write on two drives at the same
time. (Reading or writing requires the controller to move bits on a microsecond time
scale, so one transfer uses up most of its computing power.) The situation is different
for hard disks with integrated controllers, and in a system with more than one of
these hard drives they can operate simultaneously, at least to the extent of
transferring between the disk and the controller’s buffer memory. Only one transfer
between the controller and the main memory is possible at once, however. The
ability to perform two or more operations at the same time can reduce the average
access time considerably.
Figure 8.1 compares parameters of the standard storage medium for the original IBM
PC with parameters of a disk made three decades later to show how much disks
changed in that time. It is interesting to note that not all parameters have improved
as much. Average seek time is almost 9 times better than it was, transfer rate is
16,000 times better, while capacity is up by a factor of 800,000. This pattern has to
do with relatively gradual improvements in the moving parts, but much higher bit
densities on the recording surfaces.
Fig 8.1 compares parameters
One thing to be aware of in looking at the specifications of modern hard disks is that
the geometry specified, and used by the driver software, is almost always different
from the physical format. On old disks, the number of sectors per track was the same
for all cylinders. Modern disks are divided into zones with more sectors on the outer
zones than the inner ones.
RAID
CPU performance has been increasing exponentially over the past decade, roughly
doubling every 18 months. Not so with disk performance. In the 1970s, average seek
times on minicomputer disks were 50 to 100 msec. Now seek times are still a few
msec. In most technical industries (say, automobiles or aviation), a factor of 5 to 10
performance improvement in two decades would be major news (imagine 300-MPG
cars), but in the computer industry it is an embarrassment.
Thus the gap between CPU performance and (hard) disk performance has become
much larger over time. Can anything be done to help?
Yes! As we have seen, parallel processing is increasingly being used to speed up

CPU performance. It has occurred to various people over the years that parallel I/O
might be a good idea, too. In their 1988 paper, Patterson et al. suggested six specific
disk organizations that could be used to improve disk performance, reliability, or both
(Patterson et al., 1988). These ideas were quickly adopted by industry and have led
to a new class of I/O device called a RAID. Patterson et al.
defined RAID as Redundant Array of Inexpensive Disks, but industry redefined
the I to be ‘‘Independent’’ rather than ‘‘Inexpensive’’ (maybe so they could charge
more?). Since a villain was also needed (as in RISC vs. CISC, also due to
Patterson), the bad guy here was the SLED (Single Large Expensive Disk).
The fundamental idea behind a RAID is to install a box full of disks next to the
computer, typically a large server, replace the disk controller card with a RAID
controller, copy the data over to the RAID, and then continue normal operation. In
other words, a RAID should look like a SLED to the operating system but have better
performance and better reliability. In the past, RAIDs consisted almost exclusively of
a RAID SCSI controller plus a box of SCSI disks, because the performance was
good and modern SCSI supports up to 15 disks on a single controller. Now a days,
many manufacturers also offer (less expensive) RAIDs based on SATA. In this way,
no software changes are required to use the RAID, a big selling point for many
system administrators.
In addition to appearing like a single disk to the software, all RAIDs have the
property that the data are distributed over the drives, to allow parallel operation.
Several different schemes for doing this were defined by Patterson et al. Nowadays,
most manufacturers refer to the seven standard configurations as RAID level 0
through RAID level 6. In addition, there are a few other minor levels that we will not
discuss. The term ‘‘level’’ is something of a misnomer since no hierarchy is involved;
there are simply seven different organizations possible.
8.1.2 Disk Formatting
A hard disk consists of a stack of aluminum, alloy, or glass platters typically 3.5 inch
in diameter (or 2.5 inch on notebook computers). On each platter is deposited a thin
magnetizable metal oxide. After manufacturing, there is no information whatsoever
on the disk. Before the disk can be used, each platter must receive a low-level
format done by software. The format consists of a series of concentric tracks, each
containing some number of sectors, with short gaps between the sectors. The format
of a sector is shown in Fig. 8.2
Fig 8.2
The preamble starts with a certain bit pattern that allows the hardware to recognize
the start of the sector. It also contains the cylinder and sector numbers and some
other information. The size of the data portion is determined by the low level
formatting program. Most disks use 512-byte sectors. The ECC field contains
redundant information that can be used to recover from read errors. The size and
content of this field varies from manufacturer to manufacturer, depending on how
much disk space the designer is willing to give up for higher reliability and how
complex an ECC code the controller can handle. A 16-byte ECC field is not unusual.
Furthermore, all hard disks have some number of spare sectors allocated to be used
to replace sectors with a manufacturing defect.
The position of sector 0 on each track is offset from the previous track when the low-
level format is laid down. This offset, called cylinder skew, is done to improve
performance. The idea is to allow the disk to read multiple tracks in one continuous
operation without losing data.
8.1.3 Disk Arm Scheduling Algorithms
In this section we will look at some issues related to disk drivers in general.
First, consider how long it takes to read or write a disk block. The time required is
determined by three factors:
1. Seek time (the time to move the arm to the proper cylinder).
2. Rotational delay (how long for the proper sector to appear under the reading
head).
3. Actual data transfer time.
For most disks, the seek time dominates the other two times, so reducing the mean
seek time can improve system performance substantially.
If the disk driver accepts requests one at a time and carries them out in that order,
that is, FCFS (First-Come, First-Served), little can be done to optimize seek time.
However, another strategy is possible when the disk is heavily loaded. It is likely that
while the arm is seeking on behalf of one request, other disk requests may be
generated by other processes. Many disk drivers maintain a table, indexed by
cylinder number, with all the pending requests for each cylinder chained together
in a linked list headed by the table entries.
Given this kind of data structure, we can improve upon the first-come, first served
scheduling algorithm. To see how, consider an imaginary disk with 40 cylinders.
A request comes in to read a block on cylinder 11. While the seek to cylinder 11 is in
progress, new requests come in for cylinders 1, 36, 16, 34, 9, and 12, in that order.
They are entered into the table of pending requests, with a separate linked list for
each cylinder. The requests are shown in Fig. 8.3 . When the current request (for
cylinder 11) is finished, the disk driver has a choice of which request to handle next.
Using FCFS, it would go next to cylinder 1, then to 36, and so on. This algorithm
would require arm motions of 10, 35, 20, 18, 25, and 3, respectively, for a total of
111 cylinders.
Fig 8.3
8.1.4 Error Handling

Disk manufacturers are constantly pushing the limits of the technology by increasing
linear bit densities. A track midway out on a 5.25-inch disk has a circumference of
about 300 mm. If the track holds 300 sectors of 512 bytes, the linear recording
density may be about 5000 bits/mm taking into account the fact that some space is
lost to preambles, ECCs, and intersector gaps. Recording 5000 bits/mm requires an
extremely uniform substrate and a very fine oxide coating. Unfortunately, it is not
possible to manufacture a disk to such specifications without defects. As soon as
manufacturing technology has improved to the point where it is possible to operate
flawlessly at such densities, disk designers will go to higher densities to increase the
capacity. Doing so will probably reintroduce defects.
Manufacturing defects introduce bad sectors, that is, sectors that do not correctly
read back the value just written to them. If the defect is very small, say, only a few
bits, it is possible to use the bad sector and just let the ECC correct the errors every
time. If the defect is bigger, the error cannot be masked.
There are two general approaches to bad blocks: deal with them in the controller or
deal with them in the operating system. In the former approach, before the disk is
shipped from the factory, it is tested and a list of bad sectors is written onto the disk.
For each bad sector, one of the spares is substituted for it.
There are two ways to do this substitution. In Fig. 8.4 (a) we see a single disk track
with 30 data sectors and two spares. Sector 7 is defective. What the controller can
do is remap one of the spares as sector 7 as shown in Fig. 8.4(b). The other way is
to shift all the sectors up one, as shown in Fig. 8.4 (c). In both cases the controller
has to know which sector is which. It can keep track of this information through
internal tables (one per track) or by rewriting the preambles to give the remapped
sector numbers. If the preambles are rewritten, the method of Fig. 8.4(c) is more
work (because 23 preambles must be rewritten) but ultimately gives better
performance because an entire track can still be read in one rotation.
Fig 8.4
Errors can also develop during normal operation after the drive has been installed.
The first line of defense upon getting an error that the ECC cannot handle is to just
try the read again. Some read errors are transient, that is, are caused by specks of
dust under the head and will go away on a second attempt. If the controller notices
that it is getting repeated errors on a certain sector, it can switch to a spare before
the sector has died completely. In this way, no data are lost and the operating
system and user do not even notice the problem. Usually, the method of Fig. 8.4(b)
has to be used since the other sectors might now contain data. Using the method of
Fig. 8.4(c) would require not only rewriting the preambles, but copying all the data as
well.
8.1.5 Stable Storage
As we have seen, disks sometimes make errors. Good sectors can suddenly
become bad sectors. Whole drives can die unexpectedly. RAIDs protect against a
few sectors going bad or even a drive falling out. However, they do not protect
against write errors laying down bad data in the first place. They also do not protect
against crashes during writes corrupting the original data without replacing them by
newer data.
For some applications, it is essential that data never be lost or corrupted, even in the
face of disk and CPU errors. Ideally, a disk should simply work all the time with no
errors. Unfortunately, that is not achievable. What is achievable is a disk subsystem
that has the following property: when a write is issued to it, the disk either correctly
writes the data or it does nothing, leaving the existing data intact.
Such a system is called stable storage and is implemented in software (Lampson
and Sturgis, 1979). The goal is to keep the disk consistent at all costs. Below we will
describe a slight variant of the original idea.
Before describing the algorithm, it is important to have a clear model of the possible
errors. The model assumes that when a disk writes a block (one or more sectors),
either the write is correct or it is incorrect and this error can be detected on a
subsequent read by examining the values of the ECC fields. In principle, guaranteed
error detection is never possible because with a, say, 16-byte ECC field guarding a
512-byte sector, there are 24096 data values and only 2144 ECC values. Thus if a
block is garbled during writing but the ECC is not, there are billions upon billions of
incorrect combinations that yield the same ECC. If any of them occur, the error will
not be detected. On the whole, the probability of random data having the proper 16-
byte ECC is about 2−144, which is small enough that we will call it zero, even though
it is really not.
The model also assumes that a correctly written sector can spontaneously go bad
and become unreadable. However, the assumption is that such events are so rare
that having the same sector go bad on a second (independent) drive during a
reasonable time interval (e.g., 1 day) is small enough to ignore.
The model also assumes the CPU can fail, in which case it just stops. Any disk write
in progress at the moment of failure also stops, leading to incorrect data in one
sector and an incorrect ECC that can later be detected. Under all these conditions,
stable storage can be made 100% reliable in the sense of writes either working
correctly or leaving the old data in place. Of course, it does not protect against
physical disasters, such as an earthquake happening and the computer falling 100
meters into a fissure and landing in a pool of boiling magma. It is tough to recover
from this condition in software.
Stable storage uses a pair of identical disks with the corresponding blocks working
together to form one error-free block. In the absence of errors, the corresponding
blocks on both drives are the same. Either one can be read to get the same result.
To achieve this goal, the following three operations are defined:
1. Stable writes. A stable write consists of first writing the block on drive 1, then
reading it back to verify that it was written correctly. If it was not, the write and reread
are done again up to n times until they work. After n consecutive failures, the block is
remapped onto a spare and the operation repeated until it succeeds, no matter how
many spares have to be tried. After the write to drive 1 has succeeded, the
corresponding block on drive 2 is written and reread, repeatedly if need be, until it,
too, finally succeeds. In the absence of CPU crashes, when a stable write
completes, the block has correctly been written onto both drives and verified on both
of them.
2. Stable reads. A stable read first reads the block from drive 1. If this yields an
incorrect ECC, the read is tried again, up to n times. If all of these give bad ECCs,
the corresponding block is read from drive 2. Given the fact that a successful stable
write leaves two good copies of the block behind, and our assumption that the
probability of the same block spontaneously going bad on both drives in a
reasonable time interval is negligible, a stable read always succeeds.
3. Crash recovery. After a crash, a recovery program scans both disks comparing
corresponding blocks. If a pair of blocks are both good and the same, nothing is
done. If one of them has an ECC error, the bad block is overwritten with the
corresponding good block. If a pair of blocks are both good but different, the block
from drive 1 is written onto drive 2.
In the absence of CPU crashes, this scheme always works because stable writes
always write two valid copies of every block and spontaneous errors are assumed
never to occur on both corresponding blocks at the same time. What about in the
presence of CPU crashes during stable writes? It depends on precisely when the
crash occurs. There are five possibilities, as depicted in Fig. 8.5
Fig 8.5
8.2 CLOCKS
Clocks (also called timers) are essential to the operation of any multiprogrammed
system for a variety of reasons. They maintain the time of day and prevent one
process from monopolizing the CPU, among other things. The clock software can
take the form of a device driver, even though a clock is neither a block device, like a
disk, nor a character device, like a mouse. Our examination of clocks will follow the
same pattern as in the previous section: first a look at clock hardware and then a
look at the clock software.
8.2.1 Clock Hardware
Two types of clocks are commonly used in computers, and both are quite different
from the clocks and watches used by people. The simpler clocks are tied to the 110-
or 220-volt power line and cause an interrupt on every voltage cycle, at 50 or 60 Hz.
These clocks used to dominate, but are rare nowadays.
When a piece of quartz crystal is properly cut and mounted under tension, it can be
made to generate a periodic signal of very great accuracy, typically in the range of
several hundred megahertz to a few gigahertz, depending on the crystal chosen.
Using electronics, this base signal can be multiplied by a small integer to get
frequencies up to several gigahertz or even more. At least one such circuit is usually
found in any computer, providing a synchronizing signal to the computer’s various
circuits. This signal is fed into the counter to make it count down to zero. When the
counter gets to zero, it causes a CPU interrupt.
Programmable clocks typically have several modes of operation. In one-shot mode,
when the clock is started, it copies the value of the holding register into the counter
and then decrements the counter at each pulse from the crystal. When the counter
gets to zero, it causes an interrupt and stops until it is explicitly started again by the
software. In square-wave mode, after getting to zero and causing the interrupt, the
holding register is automatically copied into the counter, and the whole process is
repeated again indefinitely. These periodic interrupts are called clock ticks.
8.2.2 Clock Software
All the clock hardware does is generate interrupts at known intervals. Everything else
involving time must be done by the software, the clock driver. The exact duties of the
clock driver vary among operating systems, but usually include most of the following:
1. Maintaining the time of day.
2. Preventing processes from running longer than they are allowed to.
3. Accounting for CPU usage.
4. Handling the alar m system call made by user processes.
5. Providing watchdog timers for parts of the system itself.
6. Doing profiling, monitoring, and statistics gathering.
The first clock function, maintaining the time of day (also called the real time) is not
difficult.
8.3 USER INTERFACES: KEYBOARD, MOUSE, MONITOR
Every general-purpose computer has a keyboard and monitor (and sometimes a
mouse) to allow people to interact with it. Although the keyboard and monitor are
technically separate devices, they work closely together. On mainframes, there are
frequently many remote users, each with a device containing a keyboard and an
attached display as a unit. These devices have historically been called terminals.
People frequently still use that term, even when discussing personal computer
keyboards and monitors (mostly for lack of a better term).
8.3.1 Input Software
User input comes primarily from the keyboard and mouse (or somtimes touch
screens), so let us look at those. On a personal computer, the keyboard contains an
embedded microprocessor which usually communicates through a specialized serial
port with a controller chip on the parentboard (although increasingly keyboards are
connected to a USB port). An interrupt is generated whenever a key is struck and a
second one is generated whenever a key is released. At each of these keyboard
interrupts, the keyboard driver extracts the information about what happens from the
I/O port associated with the keyboard. Everything else happens in software and is
pretty much independent of the hardware.
Most of the rest of this section can be best understood when thinking of typing
commands to a shell window (command-line interface). This is how programmers
commonly work. We will discuss graphical interfaces below. Some devices, in
particular touch screens, are used for input and output. We hav e made an (arbitrary)
choice to discuss them in the section on output devices. We will discuss graphical
interfaces later in this chapter.
Keyboard Software
The number in the I/O register is the key number, called the scan code, not the
ASCII code. Normal keyboards have fewer than 128 keys, so only 7 bits are needed
to represent the key number. The eighth bit is set to 0 on a key press and to 1 on a
key release. It is up to the driver to keep track of the status of each key (up or down).
So all the hardware does is give press and release interrupts. Software does the
rest.
When the A key is struck, for example, the scan code (30) is put in an I/O register. It
is up to the driver to determine whether it is lowercase, uppercase, CTRLA, ALT-A,
CTRL-ALT-A, or some other combination. Since the driver can tell which keys hav e
been struck but not yet released (e.g., SHIFT), it has enough information to do the
job.
For example, the key sequence DEPRESS SHIFT, DEPRESS A, RELEASE A,
RELEASE SHIFT indicates an uppercase A. However, the key sequence DEPRESS
SHIFT, DEPRESS A, RELEASE SHIFT, RELEASE A also indicates an uppercase A.
Although this keyboard interface puts the full burden on the software, it is extremely
flexible. For example, user programs may be interested in whether a digit just typed
came from the top row of keys or the numeric keypad on the side. In principle, the
driver can provide this information.
Two possible philosophies can be adopted for the driver. In the first one, the driver’s
job is just to accept input and pass it upward unmodified. A program reading from the
keyboard gets a raw sequence of ASCII codes. (Giving user programs the scan
codes is too primitive, as well as being highly keyboard dependent.) This philosophy
is well suited to the needs of sophisticated screen editors such as emacs, which
allow the user to bind an arbitrary action to any character or sequence of characters.
It does, however, mean that if the user types dste instead of date and then corrects
the error by typing three backspaces and ate, followed by a carriage return, the user
program will be given all 11 ASCII codes typed, as follows:
d s t e←←←a t e CR
Not all programs want this much detail. Often they just want the corrected input, not
the exact sequence of how it was produced. This observation leads to the second
philosophy: the driver handles all the intraline editing and just delivers corrected lines
to the user programs. The first philosophy is character oriented; the second one is
line oriented. Originally they were referred to as raw mode and cooked mode,
respectively.
Mouse Software
Most PCs have a mouse, or sometimes a trackball, which is just a mouse lying on its
back. One common type of mouse has a rubber ball inside that protrudes through a
hole in the bottom and rotates as the mouse is moved over a rough surface. As the
ball rotates, it rubs against rubber rollers placed on orthogonal shafts. Motion in the
east-west direction causes the shaft parallel to the y-axis to rotate; motion in the
north-south direction causes the shaft parallel to the x-axis to rotate. Another popular
type is the optical mouse, which is equipped with one or more light-emitting diodes
and photodetectors on the bottom. Early ones had to operate on a special mousepad
with a rectangular grid etched onto it so the mouse could count lines crossed.
Modern optical mice have an image-processing chip in them and make continuous
low-resolution photos of the surface under them, looking for changes from image to
image. Whenever a mouse has moved a certain minimum distance in either direction
or a button is depressed or released, a message is sent to the computer. The
minimum distance is about 0.1 mm (although it can be set in software). Some people
call this unit a mickey. Mice (or occasionally, mouses) can have one, two, or three
buttons, depending on the designers’ estimate of the users’ intellectual ability to keep
track of more than one button. Some mice have wheels that can send additional data
back to the computer. Wireless mice are the same as wired mice except that instead
of sending their data back to the computer over a wire, they use low-power radios,
for example, using the Bluetooth standard.
8.3.2 Output Software

Now let us consider output software. First we will look at simple output to a text
window, which is what programmers normally prefer to use. Then we will consider
graphical user interfaces, which other users often prefer.
Text Windows
Output is simpler than input when the output is sequentially in a single font, size, and
color. For the most part, the program sends characters to the current window and
they are displayed there. Usually, a block of characters, for example, a line, is written
in one system call.
Screen editors and many other sophisticated programs need to be able to update the
screen in complex ways such as replacing one line in the middle of the screen. To
accommodate this need, most output drivers support a series of commands to move
the cursor, insert and delete characters or lines at the cursor, and so on. These
commands are often called escape sequences. In the heyday of the dumb 25 × 80
ASCII terminal, there were hundreds of terminal types, each with its own escape
sequences. As a consequence, it was difficult to write software that worked on more
than one terminal type.
One solution, which was introduced in Berkeley UNIX, was a terminal database
called termcap. This software package defined a number of basic actions, such as
moving the cursor to (row, column). To move the cursor to a particular location, the
software, say, an editor, used a generic escape sequence which was then converted
to the actual escape sequence for the terminal being written to. In this way, the editor
worked on any terminal that had an entry in the termcap database.
Much UNIX software still works this way, even on personal computers. Eventually,
the industry saw the need for standardizing the escape sequence, so an ANSI
standard was developed.
8.4 THIN CLIENTS
Over the years, the main computing paradigm has oscillated between centralized
and decentralized computing. The first computers, such as the ENIAC, were, in fact,
personal computers, albeit large ones, because only one person could use one at
once. Then came timesharing systems, in which many remote users at simple
terminals shared a big central computer. Next came the PC era, in which the users
had their own personal computers again.
While the decentralized PC model has advantages, it also has some severe
disadvantages that are only beginning to be taken seriously. Probably the biggest
problem is that each PC has a large hard disk and complex software that must be
maintained. For example, when a new release of the operating system comes out, a
great deal of work has to be done to perform the upgrade on each machine
separately.
At most corporations, the labor costs of doing this kind of software maintenance
dwarf the actual hardware and software costs. For home users, the labor is
technically free, but few people are capable of doing it correctly and fewer still enjoy
doing it. With a centralized system, only one or a few machines have to be updated
and those machines have a staff of experts to do the work. A related issue is that
users should make regular backups of their gigabyte file systems, but few of them
do. When disaster strikes, a great deal of moaning and wringing of hands tends to
follow. With a centralized system, backups can be made every night by automated
tape robots.
Another advantage is that resource sharing is easier with centralized systems.
A system with 256 remote users, each with 256 MB of RAM, will have most of that
RAM idle most of the time. With a centralized system with 64 GB of RAM, it never
happens that some user temporarily needs a lot of RAM but cannot get it because
it is on someone else’s PC. The same argument holds for disk space and other
resources. Finally, we are starting to see a shift from PC-centric computing to Web-
centric computing. One area where this shift is very far along is email. People used
to get their email delivered to their home machine and read it there. Nowadays,
many people log into Gmail, Hotmail, or Yahoo and read their mail there. The next
step is for people to log into other Websites to do word processing, build
spreadsheets, and other things that used to require PC software. It is even possible
that eventually the only software people run on their PC is a Web browser, and
maybe not even that. It is probably a fair conclusion to say that most users want
high-performance interactive computing but do not really want to administer a
computer. This has led researchers to reexamine timesharing using dumb terminals
(now politely called thin clients) that meet modern terminal expectations.
8.5 POWER MANAGEMENT
The first general-purpose electronic computer, the ENIAC, had 18,000 vacuum tubes
and consumed 140,000 watts of power. As a result, it ran up a nontrivial electricity
bill. After the invention of the transistor, power usage dropped dramatically and the
computer industry lost interest in power requirements. However, nowadays power
management is back in the spotlight for several reasons, and the operating system is
playing a role here.
Let us start with desktop PCs. A desktop PC often has a 200-watt power supply
(which is typically 85% efficient, that is, loses 15% of the incoming energy to heat). If
100 million of these machines are turned on at once worldwide, together they use
20,000 megawatts of electricity. This is the total output of 20 average-sized nuclear
power plants. If power requirements could be cut in half, we could get rid of 10
nuclear power plants. From an environmental point of view, getting rid of 10 nuclear
power plants (or an equivalent number of fossil-fuel plants) is a big win and well
worth pursuing.
The other place where power is a big issue is on battery-powered computers,
including notebooks, handhelds, and Webpads, among others. The heart of the
problem is that the batteries cannot hold enough charge to last very long, a few
hours at most. Furthermore, despite massive research efforts by battery companies,
computer companies, and consumer electronics companies, progress is glacial. To
an industry used to a doubling of performance every 18 months (Moore’s law),
having no progress at all seems like a violation of the laws of physics, but that is the
current situation. As a consequence, making computers use less energy so existing
batteries last longer is high on everyone’s agenda. The operating system plays a
major role here, as we will see below.
At the lowest level, hardware vendors are trying to make their electronics more
energy efficient. Techniques used include reducing transistor size, employing
dynamic voltage scaling, using low-swing and adiabatic buses, and similar
techniques.
These are outside the scope of this book, but interested readers can find a good
survey in a paper by Venkatachalam and Franz (2005). There are two general
approaches to reducing energy consumption. The first one is for the operating
system to turn off parts of the computer (mostly I/O devices) when they are not in
use because a device that is off uses little or no energy. The second one is for the
application program to use less energy, possibly degrading the quality of the user
experience, in order to stretch out battery time. We will look at each of these
approaches in turn, but first we will say a little bit about hardware design with respect
to power usage.
8.6 Exercise
Q.1) What problems could occur if a system allowed a file system to be mounted
simultaneously at more than one location?
Q.2) What criteria should be used in deciding which strategy is best utilized for a
particular file?
Q.3) What is meant by RAID?
Q.4) What are the various Disk-Scheduling Algorithms?
Q.5) What is Low-Level Formatting?
Q.6) Explain POWER MANAGEMENT in details
Q.7) Explain Thin Clients in details.
UNIT 3
Chapter 9
Deadlocks
9.0 Objectives:
 To understand what is a Deadlock

 learn how to make Resource acquisition
 learn different methods Detecting Deadlocks and Recovering
 To understand The Ostrich Algorithm
A deadlock occurs when every member of a set of processes is waiting for an event
that can only be caused by a member of the set.
Often the event waited for is the release of a resource.
In the automotive world deadlocks are called gridlocks.
 The processes are the cars.

 The resources are the spaces occupied by the cars
Figure 9.a Deadlock

For a computer science example consider two processes A and B that each want to
print a file currently on tape.
1. A has obtained ownership of the printer and will release it after printing one file.
2. B has obtained ownership of the tape drive and will release it after reading one
file.
3. A tries to get ownership of the tape drive, but is told to wait for B to release it.
4. B tries to get ownership of the printer, but is told to wait for A to release the
printer.
9.1 Resources
The resource is the object granted to a process.
9.1.1: Preemptable and Non-preemptable Resources
 Resources come in two types

1. Preemptable, meaning that the resource can be taken away from its
current owner (and given back later). An example is memory.
2. Non-preemptable, meaning that the resource cannot be taken away. An
example is a printer.
 The interesting issues arise with non-preemptable resources so those are the
ones we study.
 Life history of a resource is a sequence of
1. Request
2. Allocate
3. Use
4. Release
 Processes make requests, use the resource, and release the resource. The
allocate decisions are made by the system and we will study policies used to
make these decisions.
9.1.2: Resource Acquisition
Simple example of the trouble you can get into.
 Two resources and two processes.

 Each process wants both resources.
 Use a semaphore for each. Call them S and T.
 If both processes execute P(S); P(T); --- V(T); V(S)
all is well.
 But if one executes instead P(T); P(S); -- V(S); V(T)
disaster! This was the printer/tape example just above.
Recall from the semaphore/critical-section treatment, that it is easy to cause trouble if a

process dies or stays forever inside its critical section. Similarly, we assume that no
process maintains a resource forever. It may obtain the resource an unbounded number
of times (i.e. it can have a loop forever with a resource request inside), but each time it
gets the resource, it must release it eventually.
9.2 Introduction to Deadlocks:
To repeat: A deadlock occurs when a every member of a set of processes is waiting for
an event that can only be caused by a member of the set.
Often the event waited for is the release of a resource.
9.2.1: (Necessary) Conditions for Deadlock
The following four conditions (Coffman; Havender) are necessary but not sufficient for
deadlock. Repeat: They are not sufficient.
1. Mutual exclusion: A resource can be assigned to at most one process at a time

(no sharing).
2. Hold and wait: A processing holding a resource is permitted to request another.
3. No preemption: A process must release its resources; they cannot be taken
away.
4. Circular wait: There must be a chain of processes such that each member of the
chain is waiting for a resource held by the next member of the chain.
The first three are characteristics of the system and resources. That is, for a given
system with a fixed set of resources, the first three conditions are either true or false:
They don't change with time. The truth or falsehood of the last condition does indeed
change with time as the resources are requested/allocated/released.
9.2.2: Deadlock Modeling
Following are several examples of a Resource Allocation Graph, also called

a Reusable Resource Graph.
Figure 9.1 Resource Allocation Graph
 The processes are circles.

 The resources are squares.
 An arc (directed line) from a process P to a resource R signifies that process P
has requested (but not yet been allocated) resource R.
 An arc from a resource R to a process P indicates that process P has been
allocated resource R.
There are four strategies used for dealing with deadlocks.
1. Ignore the problem

2. Detect deadlocks and recover from them
3. Avoid deadlocks by carefully deciding when to allocate resources.
4. Prevent deadlocks by violating one of the 4 necessary conditions.
9.3: Ignoring the problem--The Ostrich Algorithm
The “put your head in the sand approach”.
 If the likelihood of a deadlock is sufficiently small and the cost of avoiding a

deadlock is sufficiently high it might be better to ignore the problem.
 For example if each PC deadlocks once per 100 years, the one reboot may be
less painful that the restrictions needed to prevent it.
 Clearly not a good philosophy for nuclear missile launchers.

 For embedded systems (e.g., missile launchers) the programs run are fixed in
advance so many of the questions Tanenbaum raises (such as many processes
wanting to fork at the same time) don't occur.
9.4: Detecting Deadlocks and Recovering
9.4.1: Detecting Deadlocks with Single Unit Resources
Consider the case in which there is only one instance of each resource.
 Thus a request can be satisfied by only one specific resource.
 In this case the 4 necessary conditions for deadlock are also sufficient.
 Remember we are making an assumption (single unit resources) that is often

invalid. For example, many systems have several printers and a request is given
for “a printer” not a specific printer. Similarly, one can have many tape drives.
 So the problem comes down to finding a directed cycle in the resource allocation
graph. Why?
Answer: Because the other three conditions are either satisfied by the system we
are studying or are not in which case deadlock is not a question. That is,
conditions 1,2,3 are conditions on the system in general not on what is
happening right now.
To find a directed cycle in a directed graph is not hard. The idea is simple.
1. For each node in the graph do a depth first traversal to see if the graph is a DAG
(directed acyclic graph), building a list as you go down the DAG (and pruning it
as you backtrack back up).
2. If you ever find the same node twice on your list, you have found a directed
cycle, the graph is not a DAG, and deadlock exists among the processes in your
current list.
3. If you never find the same node twice, the graph is a DAG and no deadlock
occurs.
4. The searches are finite since there are a finite number of nodes.
9.4.2: Detecting Deadlocks with Multiple Unit Resources
This is more difficult.

Figure 9.2 Resource allocation graph
 The figure on the above shows a resource allocation graph with multiple unit
resources.
 Each unit is represented by a dot in the box.
 Request edges are drawn to the box since they represent a request for any dot in
the box.
 Allocation edges are drawn from the dot to represent that this unit of the resource
has been assigned (but all units of a resource are equivalent and the choice of
which one to assign is arbitrary).
 Note that there is a directed cycle in red, but there is no deadlock. Indeed the
middle process might finish, erasing the green arc and permitting the blue dot to
satisfy the rightmost process.
 An algorithm for detecting deadlocks in this more general setting. The idea is as
follows.
1. look for a process that might be able to terminate (i.e., all its request arcs
can be satisfied).
2. If one is found pretend that it does terminate (erase all its arcs), and
repeat step 1.
3. If any processes remain, they are deadlocked.
 The algorithm just given makes the most optimistic assumption about a running
process: it will return all its resources and terminate normally. If we still find
processes that remain blocked, they are deadlocked.
9.4.3: Recovery from deadlock

Suppose that our deadlock detection algorithm has succeeded and detected a
deadlock. What next? Some way is needed to recover and get the system going again.
In this section we will discuss various ways of recovering from deadlock.
Preemption
In some cases it may be possible to temporarily take a resource away from its current
owner and give it to another process.
Perhaps you can temporarily preempt a resource from a process. Not likely.
For example, to take a laser printer away from its owner, the operator can collect all the
sheets already printed and put them in a pile. Then the process can be suspended
(marked as not runnable). At this point the printer can be assigned to another process.
When that process finishes, the pile of printed sheets can be put back in the printer’s
output tray and the original process restarted.
Rollback
If the system designers and machine operators know that deadlocks are likely, they can
arrange to have processes checkpointed periodically. Checkpointing a process means
that its state is written to a file so that it can be restarted later
Database (and other) systems take periodic checkpoints. If the system does take
checkpoints, one can roll back to a checkpoint whenever a deadlock is detected.
Somehow must guarantee forward progress.
Kill processes
The crudest but simplest way to break a deadlock is to kill one or more processes. One
possibility is to kill a process in the cycle. With a little luck, the other processes will be
able to continue. If this does not help, it can be repeated until the cycle is broken.
Can always be done but might be painful. For example some processes have had
effects that can't be simply undone. Print, launch a missile, etc.
9.5: Deadlock Avoidance
In the discussion of deadlock detection, we tacitly assumed that when a process asks
for resources, it asks for them all at once (Figure 9.3 R Matrix ). In most systems,
however, resources are requested one at a time. The system must be able to decide
whether granting a resource is safe or not and make the allocation only when it is safe.
Thus, the question arises: Is there an algorithm that can always avoid deadlock by
making the right choice all the time? The answer is a qualified yes—we can avoid
deadlocks, but only if certain information is available in advance.
9.5.1 Resource Trajectories
We plot progress of each process along an axis. In the example we show, there are two
processes, hence two axes, i.e., planar. This procedure assumes that we know the
entire request and release pattern of the processes in advance so it is not a practical
solution. I present it as it is some motivation for the practical solution that follows, the
Banker's Algorithm.
Figure 9.3 R Matrix
 We have two processes H (horizontal) and V.

 The origin represents them both starting.
 Their combined state is a point on the graph.
 The parts where the printer and plotter are needed by each process are
indicated.
 The dark green is where both processes have the plotter and hence execution
cannot reach this point.
 Light green represents both having the printer; also impossible.
 Pink is both having both printer and plotter; impossible.
 Gold is possible (H has plotter, V has printer), but the system can't get there.
 The upper right corner is the goal; both processes have finished.
 The red dot is ... (cymbals) deadlock. We don't want to go there.
 The cyan is safe. From anywhere in the cyan we have horizontal and vertical
moves to the finish point (the upper right corner) without hitting any impossible
area.
 The magenta interior is very interesting. It is
o Possible: each processor has a different resource
o Not deadlocked: each processor can move within the magenta
o Deadly: deadlock is unavoidable. You will hit a magenta-green boundary
and then will no choice but to turn and go to the red dot.
 The cyan-magenta border is the danger zone.
 The dashed line represents a possible execution pattern.
 With a uniprocessor no diagonals are possible. We either move to the right
meaning H is executing or move up indicating V is executing.
 The trajectory shown represents.
1. H excuting a little.
2. V excuting a little.
3. H executes; requests the printer; gets it; executes some more.
4. V executes; requests the plotter.
 The crisis is at hand!
 If the resource manager gives V the plotter, the magenta has been entered and
all is lost. “Abandon all hope ye who enter here” --Dante.
 The right thing to do is to deny the request, let H execute moving horizontally
under the magenta and dark green. At the end of the dark green, no danger
remains, both processes will complete successfully. Victory!
 This procedure is not practical for a general purpose OS since it requires
knowing the programs in advance. That is, the resource manager, knows in
advance what requests each process will make and in what order.
3.5.2: Safe States
Avoiding deadlocks given some extra knowledge.
 Not surprisingly, the resource manager knows how many units of each resource
it had to begin with.
 Also it knows how many units of each resource it has given to each process.
 It would be great to see all the programs in advance and thus know all future
requests, but that is asking for too much.
 Instead, when each process starts, it announces its maximum usage. That is
each process, before making any resource requests, tells the resource manager
the maximum number of units of each resource the process can possible need.
This is called the claim of the process.
o If the claim is greater than the total number of units in the system the
resource manager kills the process when receiving the claim (or returns
an error code so that the process can make a new claim).
o If during the run the process asks for more than its claim, the process is
aborted (or an error code is returned and no resources are allocated).
o If a process claims more than it needs, the result is that the resource
manager will be more conservative than need be and there will be more
waiting.
Definition: A state is safe if there is an ordering of the processes such that: if the
processes are run in this order, they will all terminate (assuming none exceeds its
claim).
Recall the comparison made above between detecting deadlocks (with multi-unit
resources) and the banker's algorithm
 The deadlock detection algorithm given makes the most optimistic assumption
about a running process: it will return all its resources and terminate normally. If
we still find processes that remain blocked, they are deadlocked.
 The banker's algorithm makes the most pessimistic assumption about a running
process: it immediately asks for all the resources it can (details later on “can”). If,
even with such demanding processes, the resource manager can assure that all
process terminates, then we can assure that deadlock is avoided.
In the definition of a safe state no assumption is made about the running processes;
that is, for a state to be safe termination must occur no matter what the processes do
(providing the all terminate and to not exceed their claims). Making no assumption is the
same as making the most pessimistic assumption.
Give an example of each of the four possibilities. A state that is
1. Safe and deadlocked--not possible.
2. Safe and not deadlocked--trivial (e.g., no arcs).
3. Not safe and deadlocked--easy (any deadlocked state).
4. Not safe and not deadlocked—interesting
Is the figure on the Below safe or not?

Figure 9.4 safe state
 You can NOT tell until I give you the initial claims of the process.
 Please do not make the unfortunately common exam mistake to give an example
involving safe states without giving the claims.
 For the figure on the right, if the initial claims are:

P: 1 unit of R and 2 units of S (written (1,2))
Q: 2 units of R and 1 units of S (written (2,1))
the state is NOT safe.
 But if the initial claims are instead:

P: 2 units of R and 1 units of S (written (2,1))
Q: 1 unit of R and 2 units of S (written (1,2))
the state IS safe.
 Explain why this is so.
A manager can determine if a state is safe.
 Since the manager know all the claims, it can determine the maximum amount of
additional resources each process can request.
 The manager knows how many units of each resource it has left.
The manager then follows the following procedure, which is part of Banker's
Algorithms discovered by Dijkstra, to determine if the state is safe.
1. If there are no processes remaining, the state is safe.
2. Seek a process P whose max additional requests is less than what remains (for
each resource type).
o If no such process can be found, then the state is not safe.
o The banker (manager) knows that if it refuses all requests excepts those
from P, then it will be able to satisfy all of P's requests. Why?
Ans: Look at how P was chosen.
3. The banker now pretends that P has terminated (since the banker knows that it
can guarantee this will happen). Hence the banker pretends that all of P's
currently held resources are returned. This makes the banker richer and hence
perhaps a process that was not eligible to be chosen as P previously, can now
be chosen.
4. Repeat these steps.
Example 1
 One resource type R with 22 unit

 Three processes X, Y, and Z with initial claims 3, 11, and 19 respectively.
 Currently the processes have 1, 5, and 10 units respectively.
 Hence the manager currently has 6 units left.
 Also note that the max additional needs for the processes are 2, 6, 9
respectively.
 So the manager cannot assure (with its current remaining supply of 6 units) that
Z can terminate. But that is not the question.
 This state is safe
1. Use 2 units to satisfy X; now the manager has 7 units.
2. Use 6 units to satisfy Y; now the manager has 12 units.
3. Use 9 units to satisfy Z; done!
9.6: Deadlock Prevention
Attack one of the coffman/havender conditions
9.6.1: Attacking Mutual Exclusion

First let us attack the mutual exclusion condition. If no resource were ever assigned
exclusively to a single process, we would never hav e deadlocks. For data, the simplest
method is to make data read only, so that processes can use the data concurrently.
However, it is equally clear that allowing two processes to write on the printer at the
same time will lead to chaos. By spooling printer output, several processes can
generate output at the same time. In this model, the only process that actually requests
the physical printer is the printer daemon. Since the daemon never requests any other
resources, we can eliminate deadlock for the printer. If the daemon is programmed to
begin printing even before all the output is spooled, the printer might lie idle if an output
process decides to wait several hours after the first burst of output. For this reason,
daemons are normally programmed to print only after the complete output file is
available. However, this decision itself could lead to deadlock. What would happen if
two processes each filled up one half of the available spooling space with output and
neither was finished producing its full output? In this case, we would have two
processes that had each finished part, but not all, of their output, and could not
continue. Neither process will ever finish, so we would have a deadlock on the disk.
9.6.2: Attacking Hold and Wait
Require each process to request all resources at the beginning of the run. This is often
called One Shot.
If we can prevent processes that hold resources from waiting for more resources, we
can eliminate deadlocks. One way to achieve this goal is to require all processes to
request all their resources before starting execution. If everything is available, the
process will be allocated whatever it needs and can run to completion. If one or more
resources are busy, nothing will be allocated and the process will just wait.
An immediate problem with this approach is that many processes do not know how
many resources they will need until they hav e started running.
9.6.3: Attacking No Preempt
If a process has been assigned the printer and is in the middle of printing its output,
forcibly taking away the printer because a needed plotter is not available is tricky at best
and impossible at worst. However, some resources can be virtualized to avoid this
situation. Spooling printer output to the disk and allowing only the printer daemon
access to the real printer eliminates deadlocks involving the printer, although it creates
a potential for deadlock over disk space. With large disks though, running out of disk
space is unlikely.
9.6.4: Attacking Circular Wait
The circular wait can be eliminated in several ways. One way is simply to have a rule
saying that a process is entitled only to a single resource at any moment. If it needs a
second one, it must release the first one. For a process that needs to copy a huge file
from a tape to a printer, this restriction is unacceptable. Another way to avoid the
circular wait is to provide a global numbering of all the resources, as shown in Fig. 9.b
Now the rule is this: processes can request resources whenever they want to, but all
requests must be made in numerical order. A process may request first a printer and
then a tape drive, but it may not request first a plotter and then a printer.
Figure 9. a) numerically order resource b) resource graph
9.7: Issues
9.7.1: Two-phase locking
Although both avoidance and prevention are not terribly promising in the general case,
for specific applications, many excellent special-purpose algorithms are known. As an
example, in many database systems, an operation that occurs frequently is requesting
locks on several records and then updating all the locked records. When multiple
processes are running at the same time, there is a real danger of deadlock. The
approach often used is called two-phase locking.
9.7.2: Starvation
As usual FCFS is a good cure. Often this is done by priority aging and picking the
highest priority process to get the resource. Also can periodically stop accepting new
processes until all old ones get their resources.
A problem closely related to deadlock is starvation. In a dynamic system, requests for

resources happen all the time. Some policy is needed to make a decision about who
gets which resource when. This policy, although seemingly reasonable, may lead to
some processes never getting service even though they are not deadlocked. As an
example, consider allocation of the printer. Imagine that the system uses some
algorithm to ensure that allocating the printer does not lead to deadlock. Now suppose
that several processes all want it at once. Who should get it? One possible allocation
algorithm is to give it to the process with the smallest file to print (assuming this
information is available). This approach maximizes the number of happy customers and
seems fair. Now consider what happens in a busy system when one process has a
huge file to print. Every time the printer is free, the system will look around and choose
the process with the shortest file. If there is a constant stream of processes with short
files, the process with the huge file will never be allocated the printer. It will simply
starve to death (be postponed indefinitely, even though it is not blocked).
Problems on Deadlock:
Problem 01:
A system is having 3 user processes each requiring 2 units of resource R. The minimum
number of units of R such that no deadlock will occur-
1. 3
2. 5
3. 4
4. 6
Solution-
In worst case,
The number of units that each process holds = One less than its maximum demand
So,
 Process P1 holds 1 unit of resource R
Thus,
 Maximum number of units of resource R that ensures deadlock = 1 + 1 + 1 = 3
 Minimum number of units of resource R that ensures no deadlock = 3 + 1 = 4
Problem-02:
A system is having 3 user processes P1, P2 and P3 where P1 requires 2 units of

resource R, P2 requires 3 units of resource R, P3 requires 4 units of resource R. The
minimum number of units of R that ensures no deadlock is _____?
Solution-
In worst case,
The number of units that each process holds = One less than its maximum demand
So,
 Process P2 holds 2 units of resource R
 Process P3 holds 3 units of resource R
Thus,
 Maximum number of units of resource R that ensures deadlock = 1 + 2 + 3 = 6
 Minimum number of units of resource R that ensures no deadlock = 6 + 1 = 7
9.8 Exercise
Q. 1) Explain how the system can recover from the deadlock using
(a) recovery through preemption.
(b) recovery through rollback.
(c) recovery through killing processes.
Q. 2) Explain deadlock detection and recovery.
Q.3) How deadlock can be prevented?
Q.4) Explain deadlock prevention techniques in Details.
Q.5) Explain Deadlock Ignorance.
Q.6) Define the Deadlock with Suitable examples.
Q.7) Explain Deadlock Avoidance in details.
Q.8) Explain other issues in deadlocks.
Q.9) Explain Resource Acquisition in Deadlock.
Q.10) A system is having 3 user processes P1, P2 and P3 where P1 requires 21 units
of resource R, P2 requires 31 units of resource R, P3 requires 41 units of resource R.
The minimum number of units of R that ensures no deadlock is _____?
UNIT 4:
CHAPTER 10
Virtualization and Cloud
10.0 Objectives
10.1 Introduction
10.1.1 About VMM
10.1.2 Advantages
10.2 Introduction - Cloud
10.3 Requirements for Virtualization
10.4 Type 1 & Type 2 Hypervisors
10.5 Let us sum it up
10.6 List of references
10.7 Bibliography
10.8 Unit end exercise
10.0 Objectives
The objectives of this chapter is as follows:

i) The objective of this chapter is make students learn about the different
Virtualization and Cloud technologies.
ii) To learn why there is a need of virtualization in a company or a data centre.
iii) What are the requirements of Virtualization.
10.1 Introduction to Virtualization & Cloud
In some situations, an organization needs a multi-computer, for example a company

has an email server, a Web server, an FTP server, some e-commerce servers, and
others. These all run on different computers in the same equipment rack, all
connected by a high-speed network. The only objective to gain reliability, because a
company can’t trust on single operating system which is working 24X7. By putting
each service on a separate computer, if one of the server crashes, at least the other
ones are not affected. This is good for security also. Even if some malevolent
intruder manages to compromise the Web server, he will not immediately have
access to sensitive emails also this property sometimes referred to as sandboxing.
For instance, organizations often depend on more than one operating system for
their daily operations: a Web server on Linux, a mail server on Windows, an e-
commerce server for customers running on OS X, and a few other services running
on various types of UNIX. The obvious solution to this is making use of virtual
machine technology.
10.1.1 About VMM:
1) The main idea is that a VMM (Virtual Machine Monitor) creates the illusion of
multiple (virtual) machines on the same physical hardware.
2) A VMM is also known as a hypervisor.
3) we distinguish between type 1 hypervisors which run on the bare metal, and
type 2 hypervisors that may make use of all the wonderful services and
abstractions offered by an underlying operating system.
4) Either way, virtualization allows a single computer to host multiple virtual
machines, each potentially running a completely different operating system.
5) The advantage of this approach is that a failure in one virtual machine does
not bring down any others.
6) On a virtualized system, different servers can run on different virtual
machines, thus maintaining the partial-failure model that a multicomputer has,
but at a lower cost and with easier maintainability.
7) Moreover, we can now run multiple different operating systems on the same
hardware, benefit from virtual machine isolation in the face of attacks.
8) With virtual machine technology, the only software running in the highest
privilege mode is the hypervisor, which has two orders of magnitude fewer
lines of code than a full operating system, and thus two orders of magnitude
fewer bugs.
10.1.2 Having Virtualization has many advantages:
1. a failure in one virtual machine does not bring down any others.
2. run multiple different operating systems on the same hardware
3. having fewer physical machines saves money
4. Less hardware and electricity and takes up less rack space.
5. helps in trying out new ideas
6. each application can take its own environment with it.
7. Check-pointing and migrating virtual machines is much easier than migrating
processes running on a normal operating system.
8. Easy to migrate from one operating system to another.
9. Helps to run legacy applications which are no longer supported or which do
not work on current hardware.
10. Helps in software development.
10.2 Cloud - Introduction
1. The key idea of a cloud is simple: Outsource.

2. Your computation or storage needs to a well-managed data center run by a
company specializing in this and staffed by experts in the area.
3. Because the data center typically belongs to someone else, you will probably have
to pay for the use of the resources, but at least you will not have to worry about the
physical machines, power, cooling, and maintenance.
4. Because of the isolation offered by virtualization, cloud-providers can allow
multiple clients, even competitors, to share a single physical machine.
5. Earlier the organizations were not comfortable sharing their information on cloud.
By now, however, virtualized machines in the cloud are used by countless
organization for countless applications, and while it may not be for all organizations
and all data, there is no doubt that cloud computing has been a success.
6. After a lot of research from the year 1960, finally in the year 1990 researchers at
Stanford University developed a new hypervisor and found VMware. VMware offers
type 1 & type 2 hypervisors.
10.3 Requirements of Virtualization

1. It is important that virtual machines act just like the real McCoy (real thing).
2. In particular, it must be possible to boot them like real machines and install
arbitrary operating systems on them, just as can be done on the real hardware.
3. It is the task of hypervisor to provide this illusion and to do it efficiently. Every
hypervisor measured on following three dimensions:
a. Safety: The hypervisor should have full control of the virtualized resources.
b. Fidelity: The behaviour of the program on a virtual machine should be
identical to that of the same program running on bare hardware.
c. Efficiency: Much of the code in a virtual machine should run without
intervention of hypervisor.
4. The interpreter may be able to execute an INC (increment) as it is, but instructions
that are not safe to execute directly must be simulated by the interpreter.
5. For instance, we cannot really allow the guest operating system to disable
interrupts for the entire machine or modify the page-table mappings.
6. The idea is to make the operating system on top of the hypervisor think that it has
disabled interrupts, or changed the machine’s page mappings.
7. Every CPU with kernel mode and user mode has a set of instructions that behave
differently when executed in kernel mode than when executed in user mode.
8. These include instructions that do I/O, change the MMU settings, and so on.
9. Popek and Goldberg called these sensitive instructions. There is also a set of
instructions that cause a trap if executed in user mode.
10. Popek and Goldberg called these privileged instructions. Their paper stated for
the first time that a machine is “virtualizable” only if the sensitive instructions are a
subset of the privileged instructions.
10.4 Type 1 & Type 2 Hypervisors
1. It is important to mention that not all virtualization technology tries to trick the
guest into believing that it has the entire system.
2. Sometimes, the aim is simply to allow a process to run that was originally written
for a different operating system and/or architecture.
3. We therefore distinguish between full system virtualization and process-level
virtualization.
4. In the year 1972, Goldberg distinguished between two approaches of
virtualization.
a) Type 1 Hypervisor: Technically, it is like an operating system, since it is the
only program running in the most privileged mode. Its job is to support
multiple copies of the actual hardware, called virtual machines, similar to the
processes a normal operating system runs.
Fig shows Type 1 Hypervisor
b) Type 2 Hypervisor: is a different kind of animal. It is a program that relies on,

say, Windows or Linux to allocate and schedule resources, very much like a
regular process. Of course, the type 2 hypervisor still pretends to be a full
computer with a CPU and various devices. Both types of hypervisor must
execute the machine’s instruction set in a safe manner. For instance, an
operating system running on top of the hypervisor may change and even
mess up its own page tables, but not those of others.
Fig shows Type 2 Hypervisor
5. The operating system running on top of the hypervisor in both cases is

called the guest operating system.
6. For a type 2 hypervisor, the operating system running on the hardware is
called the host operating system.
7. Type 2 hypervisors, sometimes referred to as hosted hypervisors, depend
for much of their functionality on a host operating system such as Windows,
Linux, or OS X.
8. When it starts for the first time, it acts like a newly booted computer and
expects to find a DVD, USB drive, or CD-ROM containing an operating
system in the drive. however, the drive could be a virtual device.
9. For instance, it is possible to store the image as an ISO file on the hard
drive of the host and have the hypervisor pretend it is reading from a proper
DVD drive.
10. It then installs the operating system to its virtual disk by running the
installation program found on the DVD.
11. Once the guest operating system is installed on the virtual disk, it can be
booted and run.
10.5 Let us Sum it up
1. VMM creates the illusion of multiple machines on the same physical

hardware.
2. Virtualization gives a range of advantages from running different operating
systems to developing software.
3. Outsourcing is the best option for storing data in the data centre.
4. Type 1 and type 2 are the two categories offered by VMM to achieve
virtualization.
10.6 List of References
 Modern Operating system, Fourth edition, Andrew S. Tanenbaum, Herbert

Bos.
 https://www.geeksforgeeks.org/generations-of-computer/
10.7 Bibliography
 Modern Operating System by Galvin
10.8 Unit end Exercise
1. What is Cloud?
2. Explain Virtualization.
3. Explain types of Hypervisor with neat diagrams.
CHAPTER 11
11.0 Objectives
11.1 Pre-requisites
11.2 Techniques for efficient virtualization
11.3 Memory virtualization
11.4 I/O Virtualization
11.5 Virtual appliances
11.8 Bibliography
11.9 Unit end exercise
11.0 Objectives
1. The objective of this chapter is make students learn about the different
2. To learn what are the different techniques used for Virtualization.
3. Understand Memory Virtualization as well as I/O Virtualization.
4. The need of Virtual Appliances.
11.1 Pre-requisites
1. VMM creates the illusion of multiple machines on the same physical hardware.
2. Virtualization gives a range of advantages from running different operating
systems to developing software.
3. Outsourcing is the best option for storing data in the data centre.
4. Type 1 and type 2 are the two categories offered by VMM to achieve
virtualization.
11.2 Techniques for efficient Virtualization
1. The Type 1 Hypervisor runs on bare metal.

2. The virtual machine runs as a user process in user mode, and as such is not
allowed to execute sensitive instructions.
3. However, the virtual machine runs a guest operating system that thinks it is in
kernel mode. We will call this virtual kernel mode.
4. The virtual machine also runs user processes, which think they are in user mode.
5. What happens when the guest operating system (which thinks it is in kernel mode)
executes an instruction that is allowed only when the CPU really is in kernel mode?
Normally, on CPUs without VT, the instruction fails and the operating system
crashes.
6. On CPUs with VT, when the guest operating system executes a sensitive
instruction, a trap to the hypervisor does occur.
7. Now, let‟s understand how to migrate from One Virtual machine to another.
a) To move the virtual machine from the hardware to the new machine
without taking it down at all.
b) Modern virtualization solutions offer is something known as live migration.
they move the virtual machine while it is still operational.
c) For instance, they employ techniques like pre-copy memory migration.
d) This means that they copy memory pages while the machine is still serving
requests.
e) Most memory pages are not written much, so copying them over is safe.
f) Remember, the virtual machine is still running, so a page may be modified
after it has already been copied.
g) When memory pages are modified, we have to make sure that the latest
version is copied to the destination, so we mark them as dirty.
h) They will be recopied later. When most memory pages have been copied,
we are left with a small number of dirty pages.
i) We now pause very briefly to copy the remaining pages and resume the
virtual machine at the new location. While there is still a pause, it is so
brief that applications typically are not affected.
j) When the downtime is not noticeable, it is known as a seamless live
migration.
11.3 Memory Virtualization
1. We have discussed the issue of how to virtualize the CPU so far. But a computer
system has more than just a CPU.
2. It also has memory and I/O devices. They have to be virtualized, too.
3. Let us have a look at how Memory virtualization happens:
a) The boxes represent pages, and the arrows show the different memory
mappings.
b) The arrows from guest virtual memory to guest physical memory show the
mapping maintained by the page tables in the guest operating system.
c) The arrows from guest physical memory to machine memory show the
mapping maintained by the VMM.
d) The dashed arrows show the mapping from guest virtual memory to machine
memory in the shadow page tables also maintained by the VMM.
e) The underlying processor running the virtual machine uses the shadow page
table mappings
4. Modern operating systems nearly all support virtual memory, which is basically a
mapping of pages in the virtual address space onto pages of physical memory.
5. This mapping is defined by (multilevel) page tables. Typically, the mapping is set
in motion by having the operating system set a control register in the CPU that points
to the top-level page table.
6. Virtualization greatly complicates memory management. In fact, it took hardware
manufacturers two tries to get it right.
11.4 I/O Virtualization
1. The guest operating system will typically start out probing the hardware to find
out what kinds of I/O devices are attached. These probes will trap to the
hypervisor. Hypervisor will do two things:
2. One approach is for it to report back that the disks, printers, and so on are the
ones that the hardware actually has.
i. The guest will then load device drivers for these devices and try to use
them.
ii. When the device drivers try to do actual I/O, they will read and write the
device‟s hardware device registers.
iii. These instructions are sensitive and will trap to the hypervisor, which could
then copy the needed values to and from the hardware registers, as
needed.
iv. But here, too, we have a problem. Each guest OS could think it owns an
entire disk partition, and there may be many more virtual machines
(hundreds) than there are actual disk partitions.
3. The usual solution is for the hypervisor to create a file or region on the actual disk
for each virtual machine‟s physical disk.
i. Since the guest OS is trying to control a disk that the real hardware has
(and which the hypervisor understands), it can convert the block number
being accessed into an offset into the file or disk region being used for
storage and do the I/O.
ii. It is also possible for the disk that the guest is using to be different from
the real one.
4. Another interesting trend related to I/O is that the hypervisor can take the role of
a virtual switch.
i. In this case, each virtual machine has a MAC address and the hypervisor
switches frames from one virtual machine to another—just like an Ethernet
switch would do.
ii. Virtual switches have several advantages. For instance, it is very easy to
reconfigure them. Also, it is possible to augment the switch with additional
functionality, for instance for additional security.
11.5 Virtual Appliances
1. Virtual machines offer a solution to a problem that has long plagued users,
especially users of open source software: how to install new application programs?
2. The problem is that many applications are dependent on numerous other
applications and libraries, which are themselves dependent on a host of other
software packages, and so on.
3. Furthermore, there may be dependencies on particular versions of the compilers,
scripting languages, and the operating system.
4. With virtual machines now available, a software developer can carefully construct
a virtual machine, load it with the required operating system, compilers, libraries, and
application code, and freeze the entire unit, ready to run.
5. This virtual machine image can then be put on a CD-ROM or a Website for
customers to install or download.
6. This approach means that only the software developer has to understand all the
dependencies. The customers get a complete package that actually works,
completely independent of which operating system they are running and which other
software, packages, and libraries they have installed.
7. These „„shrink wrapped‟‟ virtual machines are often called “virtual appliances”.
8. As an example, Amazon‟s EC2 cloud has many pre-packaged virtual appliances
available for clients, which it offers as convenient software services („„Software as a
Service‟‟).
1. There are two techniques used to migrate virtual machine:

1. Migrate by pausing the virtual machine
2. Live Migration.
3. It is the job of the hypervisor to look after the virtualization of I/O.
4. Virtual machines offer a solution to a problem especially with users of open
source software on how to install new application programs?

Bos.
 Docs.vmware.com
11.8 Bibliography
1. How to migrate Virtual machine quickly?

2. What are virtual appliances?
3. Explain memory virtualization.
4. What is I/O Virtualization?
UNIT 4
CHAPTER 12
Multiple Processing Systems
12.0 Objectives
12.1 Pre-requisites
12.2 Virtual machines on multicore CPUs
12.3 Licensing Issues
12.4 Clouds
12.4.1 Characteristics
12.4.2 Services Offered
12.4.3 Advantages
12.5 Multiple Processor Systems
12.5.1 Multiprocessors
12.5.2 Multi-computers
12.5.3 Distributed Systems
12.8 Bibliography
12.0 Objectives

i) The objective of this chapter is make students learn about the different
ii) Understand the characteristics, advantages of Cloud.
iii) Different types of Multiprocessor, multicomputer & Distributed systems.
12.1 Pre-requisites
1. There are two techniques used to migrate virtual machine:

a. Migrate by pausing the virtual machine
b. Live Migration.
3. It is the job of the hypervisor to look after the virtualization of I/O.
4. Virtual machines offer a solution to a problem especially with users of open
source software on how to install new application programs?
12.2 Virtual Machines on Multicore CPUs
1. It has never been possible for an application designer to first choose how many
CPUs he wants and then write the software accordingly.
2. The combination of virtual machines and multicore CPUs creates a whole new
world in which the number of CPUs available can be set by the software.
3. This is clearly a new phase in computing. Moreover, virtual machines can share
memory.
4. A typical example where this is useful is a single server hosting multiple
instances of the same operating systems.
5. All that has to be done is map physical pages into the address spaces of multiple
virtual machines.
6. Memory sharing is already available in deduplication solutions. Deduplication
avoids storing the same data twice.
7. It is a common technique in storage systems, but is now appearing in
virtualization as well.
8. In general, the technique revolves around scanning the memory of each of the
virtual machines on a host and hashing the memory pages.
9. Should some pages produce an identical hash, the system has to first check to
see if they really are the same, and if so, de-duplicate them, creating one page
with the actual content and two references to that page. Since the hypervisor
controls the nested (or shadow) page tables, this mapping is straightforward.
10. The combination of multicore, virtual machines, hypervisor, and microkernels is
going to radically change the way people think about computer systems.
11. Current software cannot deal with the idea of the programmer determining how
many CPUs are needed, whether they should be a multicomputer or a
multiprocessor, and how minimal kernels of one kind or another fit into the
picture.
12.3 Licensing Issues
1. Some software is licensed on a per-CPU basis, especially software for

companies. In other words, when they buy a program, they have the right to
run it on just one CPU.
2. Does this contract give them the right to run the software on multiple virtual
machines all running on the same physical machine? Many software vendors
are somewhat unsure of what to do here.
3. The problem is much worse in companies that have a license allowing them to
have ‘n’ machines running the software at the same time, especially when
virtual machines come and go on demand.
4. In some cases, software vendors have put an explicit clause in the license
forbidding the licensee from running the software on a virtual machine or on
an unauthorized virtual machine.
5. For companies that run all their software exclusively on virtual machines, this
could be a real problem. Whether any of these restrictions will hold up in court
and how users respond to them remains to be seen.
12.4 Clouds
1. Virtualization technology played a crucial role in the dizzying rise of cloud

computing. There are many clouds.
2. Some clouds are public and available to anyone willing to pay for the use of
resources, others are private to an organization.
3. Likewise, different clouds offer different things. Some give their users access to
physical hardware, but most virtualize their environments.
4. Some offer the bare machines, virtual or not, and nothing more, but others offer
software that is ready to use and can be combined in interesting ways, or
platforms that make it easy for their users to develop new services.
5. Cloud providers typically offer different categories of resources.
12.4.1 Characteristics of Cloud:

The National Institute of Standards and Technology has listed five essential
characteristics:
a. On-demand self-service: Users should be able to provision resources
automatically, without requiring human interaction.
b. Broad network access: All these resources should be available over the
network via standard mechanisms so that heterogeneous devices can
make use of them.
c. Resource pooling: The computing resource owned by the provider should
be pooled to serve multiple users and with the ability to assign and
reassign resources dynamically.
d. Rapid elasticity: It should be possible to acquire and release resources
elastically, perhaps even automatically, to scale immediately with the
users’ demands.
e. Measured service: The cloud provider meters the resources used in a way
that matches the type of service agreed upon.
12.4.2 Services offered by Cloud
12.4.2.1 Software as a Service (It offers specific software)
12.4.2.2 Platform as a Service (It creates environment which gives specific
Operating system, database, web server etc.)
12.4.2.3 Infrastructure as a Service (Same cloud can run different Operating
Systems)
We can refer the diagram below for more understanding:
12.4.3 Advantages of Cloud

Following are the advantages of using Cloud:
1. Unlimited storage: Clouds provide unlimited storage.
2. Flexibility: If your needs increase, it’s easy to scale up your cloud capacity.
Likewise, if you need to scale down again, you can scale down the cloud
capacity again.
3. Disaster recovery: Backup and recovery of data is possible.
4. Automatic software updates
5. Capital-expenditure free: Cloud computing cuts the high cost of hardware.
You simply pay as you use subscription-based model.
6. Work from anywhere: With an internet connection, you can work from
anywhere.
7. Security: Your data is stored in the cloud; you can access it no matter what
happens to your machine.
12.5 Multiple Processor Systems
12.5.1 Multiprocessors:
12.5.1.1 Each CPU has its own OS:
a. Memory is divided into equal sized partitions, where each partition
belongs to one CPU.
b. Each CPU has its own private memory and its own private copy of the
operating system.
c. Alternative to this scheme is to allow all the CPUs to share the
operating system code and make private copies of only the data
structures of OS.
d. There are 4 aspects of this design,
i. When a process makes a system call, the system call is caught
and handled on its own CPU using the data structures in that
operating system’s tables.
ii. Each operating system has its own tables; it also has its own set
of processes that it schedules by itself.
iii. Third, there is no sharing of physical pages. So some CPU is
overburdened and some is idle, as there is no load sharing.
iv. No additional memory, so programs cannot grow.
12.5.1.2 Master-Slave Multiprocessor:

a. Only one copy of OS is present in memory.
b. Master CPU can only run the operating system from memory. So here,
only CPU1 can run the OS and not any others.
c. All system calls from other CPUs are redirected to CPU 1 for processing
there.
d. CPU 1 is the master and all the others are slaves.
e. When a CPU goes idle, it asks the operating system on CPU 1 for a
process to run and is assigned one.
f. Thus it can never happen that one CPU is idle while another is
overloaded.
g. Similarly, pages can be allocated among all the processes dynamically
and there is only one buffer cache, so inconsistencies never occur.
h. The problem with this model is that with many CPUs, the master will
become a bottleneck.
12.5.1.3 Symmetric Multiprocessor
a. It eliminates the asymmetry in Master-Slave configuration.
b. There is one copy of the operating system in memory, but any CPU can
run it.
c. It eliminates the master CPU bottleneck, since there is no master.
d. No need to redirect system calls to 1 CPU as each CPU can run the OS.
e. While running a process, the CPU on which the system call was made
processes the system call.
12.5.2 Multi-computers
a. Following are the various inter-connection technologies used in Multi-
computer:
b. Single Switch/ Star topology- Every node contains a network interface
card and all computers are connected to switches/hubs. Fast,
expandable but single point failure systems. Failure in switch/hub can
take down entire system.
c. Ring Topology- Each node has two wires coming out the network
interface card, one into the node on the left and one going into the
node on the right. There is no use of switches in this topology.
d. Grid/mesh topology- two dimensional design with multiple switches and
can be expanded easily to large size. Its diameter is the longest path
between any two nodes.
e. Double Torus- alternative to grid, which is a grid with the edges
connected. With compare to grid its diameter is less and it is more fault
tolerant. The diameter is less as opposite corners communicates in
only two hops.
f. Cube- Fig e. shows 2 x 2 x 2 cube which is a regular three-
dimensional topology. In general case it could be a n x n x n cube. No
of nodes = 2n. So for 3D cube, 8 nodes can be attached.
g. A 4-D Hypercube- Fig (f) shows four –dimensional cube constructed
from two three – dimensional cubes with the equivalent nodes
connected. An n-dimensional cube formed this way is called a
hypercube. Many parallel computers can be building using hypercube
topology.
12.5.3 Distributed Systems:
a. A distributed system is defined as set of autonomous computers that
appears to its users as a single coherent system.
b. Users of distributed system feel that, they are working with as a single
system.
c. Distributed system is like multi-computers spread worldwide.
d. Each node in distributed system is having its own CPU, RAM, network
board. OS, and disk for paging.
e. Following are the main characteristics of distributed systems:
i. A distributed system comprises computers with different
architecture and different OS. These dissimilarities and the ways all
these machines communicate are hidden from users.
ii. The manner in which distributed system is organised is also hidden
from the users of the distributed system.
iii. The interaction of users and applications with distributed system is
in consistent and identical way.
iv. It should be always available to the users and applications in spite
of failures. Failure handling should be hidden from users and
applications.

Bos.
12.8 Bibliography

1. List and explain different types of multiprocessor operating system?
2. With neat diagram explain various interconnection technologies used in
multicomputer.
3. Define and explain distributed systems with neat diagram.
4. List and explain different types of multiprocessor operating system.
5. Differentiate between Multiprocessor, Multicomputer and Distributed Systems.
6. What are the services and advantages of Cloud computing?
7. What is cloud? Write essential characteristic of cloud
UNIT 5
Chapter 13
Linux Case Study
Objectives
13.1 HISTORY
13.1.1 History of UNIX
13.1.2 History of Linux
13.2 OVERVIEW
13.2.1 An Overview of Unix
13.2.2 Overview of Linux

13.3 PROCESS in Linux
13.4 MEMORY MANAGEMENT
13.5 Input output in Linux
13.6 Linux File system
13.7 Security in Linux
13.8 Summary
13.10 Bibliography
13.11 Questions
13.1 History Of Unix And Linux
13.1.1 History of UNIX
I. The UNIX Operating System is derived from MULTICS (Multiplexed

Operating System and Computer System).It was begun in mid 1960’s.
II. In 1969, Kem Thompson wrote the first version of UNIX called UNICS.It
stands for Uniplexed Operating and Computing System.
III. In 1973, Ken Thompson teamed up with Dennis Ritchie and rewrote the Unix
kernel in C.
IV. Ken Thompson spent a year's sabbatical with the University of California
at Berkeley. While there he and two graduate students, Bill Joy and Chuck
Haley, wrote the first Berkely version of Unix, which was distributed to
students.
V. This resulted in the source code being worked on and developed by many
different people.
VI. The Berkeley version of Unix is known as BSD, Berkeley Software
Distribution. From BSD came the vi editor, C shell, virtual memory,
Sendmail, and support for TCP/IP.
VII. For several years SVR4 was the more conservative, commercial, and well
supported.
VIII. Today SVR4 and BSD look very much alike. Probably the biggest
cosmetic difference between them is the way the ps command functions.
IX. The Linux operating system was developed as a Unix look alike and has a
user command interface that resembles SVR4.
X. Following figure shows history in better way –
13.1.2 History of Linux
Linux is an open source family of Unix-like Linux based kernel applications, a kernel
operating system that was first released on September 17, 1991, by Linus Torvalds
Linux usually included in the Linux distribution.
Popular Linux distributions include Debian, Fedora, and Ubuntu. Commercial

distribution includes Red Hat Enterprise Linux and SUSE Linux Enterprise Server.
Because Linux is distributed freely, anyone can create a distribution for any purpose.
Linux was originally designed for computers based on the Intel x86 architecture, but has
since been deployed to more platforms than any other operating system. Linux is a
leading operating system on servers and other large-scale systems such as keyword
computers.
The Unix operating system was developed in 1969 at AT & T Bell Laboratories in
America by Ken Thompson and Dennis Ritchie. Unix's high-performance language
acquisition has made it easy to be deployed across different computer platforms.
Creation
In 1991, Torvalds became interested in the operating system. Torvalds introduced a

switch from its original license, which prohibited commercial re-distribution to the GNU
GPL. The developers worked to integrate the GNU components into the Linux kernel,
creating a fully functional and free operating system.
Commercial and public reproduction
Today the Linux systems are used in throughout computing that is from all the
embedded systems on almost all the supercomputers, and on the server installations
such as the very much popular the LAMP Application Stack. The use of Linux
distribution on home and enterprise desktops is growing. Linux are also popular in the
netbook market, many devices install customized Linux distributions, and Google has
released its own Chrome OS designed for netbooks.
13.2 OVERVIEW
13.2.1 An Overview of Unix
The UNIX operating system is designed to allow many programmers to simultaneously

access the computer and share its resources.
The operating system controls all commands from all keyboards and all data generated,
and allows each user to believe that he or she is the only person working on the
computer.
The real-time sharing of resources makes UNIX one of the most powerful operating
systems ever.
UNIX was developed by programmers for community of programmers, the functionality

it provides is so powerful and flexible that it can be found in business, science,
academia, and industry.
The uniqueness of UNIX and Features provided by Unix are:
 Multitasking capability
Many computers can only do one thing at a time, and anyone with a PC or laptop
can prove it. While opening the browser and opening the word processing program,
try to log in to the company's network. When arranging multiple instructions, the
processor may freeze for a few seconds.
 Multiuser capability
The same design that allows multitasking allows multiple users to use the computer.
The computer can accept many user commands (depending on the design of the
computer) to run programs, access files and print documents at the same time.
 UNIX programs
UNIX tools - Hundreds of programs come with UNIX, and these programs can be
divided into two categories: Integrated utilities essential for computer operation, such
as command interpreters and Tools that are not required for UNIX operation, but
provide users with additional functions, such as typesetting functions and e-mail.
 Library of application software
In addition to the applications that come with UNIX, hundreds of UNIX applications can
be purchased from third-party vendors. Although third-party vendors have written some
tools for specific applications, there are hundreds of tools available for UNIX users.
Generally, tools are divided into categories for certain functions (such as word
processing, business applications, or programming).
13.2.2 Overview of Linux
Linux is a Unix - like computer OS which is assembled & made under the model of free
and open source software development and distribution. The most defined component
of Linux is the Linux kernel, an OS kernel was first released on 1991 by Linus Torvalds.
A Linux-based system is a modular Unix-like Operating System. It derives much of its

basic design from principles established in Unix during the 1970 and 1980. Such a
system uses a monolithic kernel, the Linux kernel, which handles process control,
networking, & peripheral & file system access. Device drivers are integrated directly with
the kernel or they added as modules loaded while the system is running.
• A bootloader - for example GRUB or LILO. This is a program which is executed

by the computer when it is first turned on, & loads the Linux kernel into memory.
• An init program - This is a process launched by the Linux kernel, & is at the root
of the process tree, in other words, all processes are launched through init. It
starts processes such as system services & login prompts (whether graphical or
in terminal mode)
• Software libraries which contain code which can be used by running processes.
On Linux OS using ELF-format executable files, the dynamic linker which
manages use of dynamic libraries is "ld-linux.so".
• The most commonly used software library on Linux systems is the GNU C
Library. If the OS is set up for the user to compile software themselves, header
files will also be included to describe the interface of installed libraries.
• User interface programs such as comm& shells or windowing environments
Linux is a widely ported operating system kernel. Currently most of the distribution
include a graphical user environment, with the 2 most popular environments which are
GNOME (it basically utilizes additional shells such as the default GNOME Shell &
Ubuntu Unity), & KDE Plasma Desktop
13.3 PROCESS in Linux
A Linux-based system may be a modular Unix-like OS. It derives much of its basic
design from principles established in Unix during the 1970s and 1980s. Such a system
uses a monolithic kernel, the Linux kernel, which handles process control, networking,
and peripheral and filing system access. Device drivers are either integrated directly
with the kernel or added as modules loaded while the system is running.
Various parts of an OS UNIX and 'UNIX-like' operating systems (such as Linux)

contains a kernel and a few system programs. There also are some application
programs for doing work. The kernel is that the heart of the OS. In fact, it's often
mistakenly considered to be the OS itself, but it's not. An OS provides more services
than a clear kernel. It keeps track of files on the disk, starts programs and runs them
concurrently, assigns memory and other resources to varied processes, receives
packets from and sends packets to the network, and so on. The kernel does little or no
by itself, but it provides tools with which all services are often built. It also prevents
anyone from accessing the hardware directly, forcing everyone to use the tools it
provides. this manner the kernel provides some protection for users from one another.
The tools provided by the kernel are used via system calls. The system programs use
the tools provided by the kernel to implement the varied services required from an OS.
System programs, and every one other programs, run `on top of the kernel', in what's
called the user mode. The difference between system and application programs is one
among intent: applications are intended for getting useful things done (or for enjoying, if
it happens to be a game), whereas system programs are needed to urge the system
working. A word processing system may be an application; mount is a systems
program. The difference is usually somewhat blurry, however, and is vital only to
compulsive categorizers. An OS also can contain compilers and therefore their
corresponding libraries (GCC and the C library especially under Linux), although not all
programming languages need be a part of the OS. Documentation, and sometimes
even games, also can be a part of it. Traditionally, the OS has been defined by the
contents of the installation tape or disks; with Linux it's not as clear since it's spread
everywhere the FTP sites of the planet.
Important parts of the kernel
The Linux kernel consists of several important parts: process management, memory
management, hardware device drivers, filesystem drivers, network management, and
various other bits and pieces. Memory management takes care of assigning memory
areas and swap file areas to processes, parts of the kernel, and for the buffer cache.
Process management creates processes, and implements multitasking by switching the
active process on the processor. At rock bottom level, the kernel contains a hardware
driver for every quite hardware it supports. There are often many otherwise similar
pieces of hardware that differ in how they're controlled by software. The similarities
make it possible to possess general classes of drivers that support similar operations;
each member of the category has an equivalent interface to the remainder of the kernel
but differs in what it must do to implement them. for instance, all disk drivers look alike
to the remainder of the kernel, i.e., all of them have operations like `initialize the drive',
`read sector N', and `write sector N'. Some software services provided by the kernel
itself have similar properties, and may therefore be abstracted into classes. for instance,
the varied network protocols are abstracted into one programming interface, the BSD
socket library. Another example is that the virtual filesystem (VFS) layer that abstracts
the filesystem operations faraway from their implementation. Each filesystem type
provides an implementation of every filesystem operation. When some entity tries to use
a filesystem, the request goes via the VFS, which routes the request to the right
filesystem driver.
Major services during a UNIX
Init the only most vital service during a UNIX is provided by init, init is started because the first
process of each UNIX, because the last item the kernel does when it boots. When init starts,
it continues the boot process by doing various start-up chores (checking and mounting
filesystems, starting daemons, etc). When the system is pack
up, it's init that's responsible of killing all other processes, unmounting all filesystems and
stopping the processor, along side anything it's been configured to try to do
Syslog
The kernel and lots of system programs produce error, warning, and other messages.
it's often important that these messages are often viewed later, even much later, in
order that they should be written to a file. The program doing this is often syslog . It are
often configured to sort the messages to different files consistent with writer or degree
of importance. for instance, kernel messages are often directed to a separate file from
the others, since kernel messages are often more important and wish to be read
regularly to identify problems.
Both users and system administrators often got to run commands periodically. for
instance, the supervisor might want to run a command to wash the directories with
temporary files (/tmp and /var/tmp) from old files, to stay the disks from filling up, since
not all programs pack up after themselves correctly.
The cron service is about up to try to this. Each user can have a crontab file, where she
lists the commands she wishes to execute and therefore the times they ought to be
executed. The cron daemon takes care of starting the commands when specified.
Graphical interface
This arrangement makes the system more flexible, but has the disadvantage that it's
simple to implement a special interface for every program, making the system harder to
find out.
The graphical environment primarily used with Linux is named the X Window System (X
for short). Some popular window managers are: fvwm, icewm, blackbox, and
windowmaker. There also are two popular desktop managers, KDE and Gnome.
Networking
Networking is that the act of connecting two or more computers in order that they will
communicate with one another. the particular methods of connecting and
communicating are slightly complicated, but the top result's very useful.
UNIX operating systems have many networking features. most elementary services
(filesystems, printing, backups, etc) are often done over the network.
Network logins
Network logins work a touch differently than normal logins. for every person logging in
via the network there's a separate virtual network connection, and there are often any
number of those counting on the available bandwidth. it's therefore impossible to run a
separate getty for every possible virtual connection.
13.4 MEMORY MANAGEMENT

It is the process of managing the computer memory. The goal is to keep track of which
parts of memory are in use and which parts are not, to allocate memory to processes
when they need it and de-allocate it when they are done.
UNIX operating system is works on two memory management schemes, These are as
follows-
1. swapping
2. demand paging.
Non-Contiguous Memory Allocation
Techniques are -
1. Paging
It is a storage mechanism that allows OS to fetch processes from the non-volatile
memory into the volatile memory in the form of pages. The partitions of non-
volatile are called as pages & volatile memory is divided into small fixed-size
blocks of physical memory, which is called frames.
Example :-
Consider a process is divided into 4 pages A0, A1, A2 and A3.
Depending upon the availability, these pages may be stored in the main memory
frames as shown in the below diagram-
A2
A3
A0
A1
Main Memory
2. Segmentation
A process is divided into division called Segments. These segments are not of
same size. There are types of segmentation:
1. Virtual memory segmentation –
Every process is divided into multiple number of segments, which do not
reside at any one point in time.
2. Simple segmentation –
Every process is divided into a number of segments, all the processes are
loaded in run time.
Segment Table
A table which stores the information about every segment of the process. It has
two columns. Column 1 gives information about size or length of the segment.
Column 2 gives information about the base address
Consider the below diagram for segment table.
Limit Base
1500 1500
1000 4700
500 4500
Segment Table
According to the above table, the segments are stored in the main memory as-
Segment- 0
Segment-3
Segment-2
Main Memory
The advantages of segmentation are-
 Segment table takes less space as compared to Page Table in paging.

 It solves the problem of internal fragmentation.
The disadvantages of segmentation are-
 Unequal size is problem for swapping.

 Though it solves internal fragmentation, it do suffer from external
fragmentation.
Paging vs Segmentation
Paging Segmentation
Paging divides program into fixed size Segmentation divides program into
pages. variable size segments.
Operating System is responsible. Compiler is responsible.
Faster than segmentation. It is slower than paging.
It is closer to operating system. Segmentation is closer to User.
4.2 Memory Management
Demand Paging
Deciding which pages need to be kept in the main memory and which need to be kept in
the secondary memory, is going to be difficult because we can’t say in advance that a
process might require a particular page at a particular moment of time. so, to beat this
problem, there comes a concept called Demand Paging. It advises keeping all pages of
the frames in the secondary memory till they are required. We can also say that, it says
that do not load other pages in the main memory till they are required.Whenever any
page is referred for the 1st time in the main memory, then that page will appear in the
secondary memory.
Page fault -
If the mention page is not available in the main memory then there will be a gap and this
theory is called Page miss or page fault.Then the CPU has to work on the missed
page from the secondary memory. If the number of page faults is very high then the
time to access a page of the system will become very high.
Thrashing -
If number of page faults is equal to the number of mention pages or the number of
page faults are so very high so that the CPU cannot remain vacant in just reading the
pages from the secondary memory then the important access time will be the time
taken by the CPU to read 1 word from the secondary memory and it will be very much
high. The process is called thrashing.
So, assume If the page fault rate is pp %, the time taken in getting a page from the
secondary memory & again restarting is S(processing time) and the memory access
time is m then the effective access time can be given as;
1. EAT = PF x S + (1 - pp) x (m)
Page Replacement
The page replacement algorithm tells us that which memory page is to be changed.
This moment of replacement is sometimes called a swap out or write to disk. Page
replacement is to be done when the requested page is not been able to access or found
in the main memory (page fault).
There are 2 main types of virtual memory, Frame allocation and Page Replacement.
Frame allocation is all about how many frames can be allocated to a process while the
page replacement tells us about determining the number of the pages which requires to
be replaced in command to make space for the requested page.
What If the algorithm is not optimal?
1. Due to the absence of frames, many of the pages will be occupying the main memory
and however more page faults might occur.So, if the OS specifies more frames to the
process then there can be interior fragmentation.
2. If the page replacement algorithm is not optimal then there might also lead to the
problem of thrashing. If the number of pages that are to be replaced by the requested
pages will be referred to in the near future then there will be more number of swap-out &
swap-in and so after the OS has to work on more replacements then usual which
causes performance shortage.So, the task of an optimal page replacement algorithm is
to check the page which can restrict the thrashing.
Types of Page Replacement Algorithms
There are various types of page replacement algorithms. Each of the algorithms has a
different way of working by which the pages can be replaced.
1. Optimal Page Replacement algorithm → the algorithms replaces the page

which will not be mentioned for a long time in future. anyways it cannot be
practically implementable but it can be definitely used as a benchmark. Other
algorithms are balanced to this in terms of optimality.
2. Least recent used (LRU) page replacement algorithm → this algorithm

replaces the page which has not been mentioned for a longer time. This
algorithm is just an exchange to the optimal page replacement algorithm. In this,
we check the past instead of staring at the future.
3. FIFO →In this type algorithm, a line is to be maintained. This page which is
assigned the frame 1st will be replaced 1st. In other words, the page which stays
at the rare end of the line will be changed on the every page fault.
13.5 INPUT OUTPUT IN LINUX
Linux operating system considers and works with the below devices, by the same
way we open and close a file.
 Block devices(Hard-disks, Compact Disks, Floppy, Flash Memory)
 Serial devices (Mouse, keyboard)
 Network Devices
A user can do operations on these devices, as he does operations on a file.
I/O redirection allows you to alter input source of a command as well as its output
and error messages are sent. And this is possible by the ‘<’ and ‘>’ redirection
operators.
The main advantages with block devices are the fact that they can be read
randomly. Also, serial devices are operated.
Another advantage of using block devices is that, if allows access to random
location's on the device. Also data from the device is read with a fixed block size.Input &
output to the block devices works on the "elevator algorithm"It says that it works on the
same principle, as an elevator would.
Mechanical devices like hard-disks are very slow in nature, when it comes to
data input and output compared to system memory (RAM) & Processor.
Sometimes applications have to wait for the input and output requests to
complete, because different applications are in queue for its input output operations to
complete.
The slowest part of any Linux system (or any other operating system), is the disk I/O
systems. There is a large difference between, the speed and the duration taken to
complete an input/output request of CPU, RAM and Hard-disk. Sometimes if one of the
processes running on your system does a lot of read/write operations on the disk, there
will be an intense lag or slow response from other processes since they are all waiting
for their respective I/O operations to get completed.
6.2 Linux IO Commands
Output Redirection
The output from the command normally intended for normal output are often easily
diverted to a file instead.,this capability is understood as output redirection.
If the notation > file is appended to any command that normally writes its output to plain
output, the output of that command are going to be written to file rather than your
terminal.
Notice that no output appears at the terminal. this is often because the output has been
redirected from the default standard output device (the terminal) into the required file.
If a command has its output redirected to a file and therefore the file already contains
some data, that data are going to be lost. Example –
The >> operator are often used to append the output in an existing file as follows –
Input Redirection
The commands that normally take their input from the standard input can have their
input redirected from a file in this manner. For example, to count the number of lines in
the file users generated above, you can execute the command as follows −
Upon execution, you will receive the following output. You can count the number of lines
in the file by redirecting the standard input of the wc command from the file users –
Note that there is a difference in the output produced by the two forms of the wc
command. In the first case, the name of the file users is listed with the line count; in the
second case, it is not.
In the first case, wc knows that it is reading its input from the file users. In the second
case, it only knows that it is reading its input from standard input so it does not display
file name.
Redirection Commands
Following is a complete list of commands which you can use for redirection −
Sr. Command & Description
No.
1 Pgm > file
Output of pgm is redirected to file.
2 Pgm < file
Program pgm reads its input from file.
3 Pgm >> file
Output of pgm is appended to file.
4 n > file
Output from stream with descriptor n redirected to file.
5 n >> file
Output from stream with descriptor n appended to file.
6 n >& m
Merges output from stream n with stream m
7 n <& m
Merges input from stream n with stream m
8 << tag
Standard input comes from here through next tag at the start of line
9 I
Takes output from one program, or process, and sends it to another.
Note that the file descriptor 0 is normally standard input (STDIN), 1 is standard output
(STDOUT), and 2 is standard error output (STDERR).
13.6 LINUX FILE SYSTEM
Linux File System or any file system generally is a layer which is under the operating
system that handles the positioning of your data on the storage. The starting and ending
of file is not known by the system. Ever if you find any unsupported file system type.
Linux File System Directories
/bin: Where core commands of Linux exists for example ls, mv.
/boot: Where boot loader and boot files located.
/dev: Physical drives like USBs DVDs are mounted in this.
/etc: Contains configurations for the installed packages.
/home: Here personal folders are allotted to the users to store his folders with his/her
name like/home/like geeks.
/lib: Here the libraries are located of the installed package. You may find duplicates in
different folders since libraries are shared among all packages unlike windows.
/media: Here is the external devices like DVDs and USB sticks that are mounted and
you can access their files here.
/root: The home folder for the root user.
/sbin: Similar to /bin but difference is that the binaries here are for root user only.
/tmp: Contains the temporary files.
/usr: Where the utilities and files shared between users od linux.
/var: Contains system logs and other variable data.
LINUX FILE SYSTEM TYPES
Following are the Linux File System types:
Ext: It is an older one which is not used due to its limitations.
Ext2: It is the first Linux file system which allows 2 terabytes of data allowed.
Ext3: It is arrived from Ext2 which is more upgraded and has backward compatibility.
Ext4: It is quite faster which allows larger files to operate with significant speed.
JFS: old file system made by IBM. Working of this is very well with small and big files
but when used for longer time the files get corrupted.
XFS: It is old file system which works slowly with small files.
Btrfs: made by oracle. It is not stable as Ext in some distros, but you can say that it is
replacement for it if you too. It has a good performance.
Working of file system in linux
The Linux file system unifies all physical hard drives and partitions into a single directory
structure. It starts at the top-the root directory.
Storing file in linux
In Linux as in MS-DOS and Microsoft Windows, program is stored in files. It can be

launched by simply typing its filename. However, this assumes that the file is stored in
one of a series of directories known as path. A directory included in this series is said to
be on a path.
3.3 Linux File Commands
1. pwd – This command displays the present working directory where you are
currently in.
2. ls – This command will list the content of present directory.
3. ls -l – This command is used to show formatted listing of files and directory

4. ls -la – This command will list all the content of present directory including the
hidden files and directories.
5. mkdir – This command will create a new directory
6. rmdir – This command will delete specified directory, provided it is empty
7. cd – This command is used to change directory
8. cd / - This command takes us to root directory
9. cd .. – This command takes us one level up the directory tree.
10. rm filename – This command deletes specified file.

11. rm -r directoryname – This command deletes the specified directory along with
it’s contents
12. cp file1 file2 – This command copies contents of file file1 into file file2
13. mv – This command is used to rename files and directories
14. cat>filename – This command is used to create a file and open it in write mode
15. cat filename – This command is used to display content of a file
Linux Commands
Linux is an open-source free OS. It supports all administrative tasks through the
terminal. This also includes file manipulation, package installation and user
management.
File Commands
 ls = Listing the entire directory

 ls -at = Show formatted listing of hidden files
 ls -lt = Sort the formatted listing by time modified
 cd dir = To change the directory user is in
 cd = Shift to home directory
 pwd = To see which directory user is working
 mkdir dir = Creating a directory to work on
 cat >file = Places the standard input into the file
 more file = Shows output of the content of the file
 head file = Shows output of the first 10 files of file
 tail file = Shows output of the last 10 files of file
 tail -f file = Shows output content of the file as it grows, starting with the last 10
lines
 touch file = Used to create or upload a file
 rm file = For deleting a file
 rm -r dir = For deleting an entire directory
 rm -f file = This will force remove the file
 rm -rf dir = This will force remove a directory
 cp file1 file2 = It’ll copy the contents of file1 to file2
 cp -r dir1 dir2 = it’ll copy the contents of dir1 to dir2; Also create the directory if
not present.
 mv file1 file2 = It’ll rename or move file1 to file2, only if file2 is existing
 ln -s file link = It creates symbolic-link to a file
Process Management
 ps = It displays the currently working processes

 top = It displays all running process
 kill pid = It’ll kill the given process (as per specific PID)
 killall proc = It kills all the process named proc
 pgkill pattern = It will kill all processes matching the pattern given
 bg = It lists stopped or bg jobs, resume a stopped job in the background
 fg = It brings the most recent job to foreground
13.7 Security in Linux
13.7.1 Security features

Minimal set of security features were provided by kernel. Discretionary access control:
Authentication is performed outside the kernel by user-level applications such as login.
Authentication Allows system administrators to redefine access control policies.
Customize the way Linux authenticates users specify encryption algorithms that protect
system resources.
13.7.2 Authentication
Default authentication: User enters username and password via login. Passwords are
hashed (using MD5 or DES).Encryption cannot be reversed and stored in /etc/passwd
or /etc/shadow. Pluggable authentication modules (PAMs) can reconfigure the system
at run time to include enhanced authentication techniques. Example: Disallow terms
found in a dictionary and require users to choose new passwords regularly. It supports
smart cards, Kerberos and voice authentication
13.7.3 Access Control Methods

Access control attributes specify file permissions and file attributes
– File permissions : Combination of read, write and/or execute permissions specified
for three categories: user, group and other
– File attributes : Additional security mechanism supported by some file systems allow
users to specify constraints on file access beyond read write and execute. Examples:
append-only, immutable.
Linux security module (LSM) is a framework that allows a system administrator to

customize the access control policy using loadable kernel modules. Kernel uses hooks
inside the access control verification code to allow LSM to enforce its access control
policy. Example: SELinux which is developed by NSA, It Replaces Linux’s default
discretionary access control policy with a mandatory access control (MAC) policy.
Privilege inheritance: Normally a process executes with same privileges as the user
who launched it .Some applications require process to execute with other user
privileges
Example: passwd – setuid and setgid allow process to run with the privileges of the file
owner – Improper use of setuid and setgid can lead to security breaches – LSM
Capabilities allow administrator to assign privileges to applications as opposed to users
to prevent this situation.
13.8 Summary
 Linux is an open source family of Unix-like Linux based kernel applications, a

kernel operating system that was first released on September 17, 1991, by Linus
Torvalds Linux usually included in the Linux distribution.
 Many of the available software programs, utilities, games available on Linux are
freeware or open source. Even such complex programs such as Gimp,
OpenOffice, StarOffice are available for free or at a low cost.
 GUI makes the system more flexible, but has the disadvantage that it's simple to
implement a special interface for every program, making the system harder to
find out.
 The Linux kernel consists of several important parts: process management,
memory management, hardware device drivers, filesystem drivers, network
management, and various other bits and pieces.
 Memory management takes care of assigning memory areas and swap file areas
to processes, parts of the kernel, and for the buffer cache. Process management
creates processes, and implements multitasking by switching the active process
on the processor.
 Linux File System or any file system generally is a layer which is under the
operating system that handles the positioning of your data on the storage.
 The Linux file system unifies all physical hard drives and partitions into a single
directory structure. It starts at the top-the root directory.
 Kernel provides a minimal set of security features

1. Modern Operating Systems, Andrew S. Tanenbaum, Herbert , Pearson 4 th, 2014
2. Operating Systems – Internals and Design Principles, Willaim Stallings, Pearson 8 th,
2009
3. Operating System -Concepts Abraham Silberschatz, Peter B. Galvineg Gagne Wiley
,8 th Edition.
4. Operating Systems Godbole and Kahate McGraw Hill 3 rd Edition.
13.10 Bibliography
https://www.tutorialspoint.com
https://www.geeksforgeeks.org
https://www.javatpoint.com
https://guru99.com
www.slideshare.net
13.11 Questions
1. Explain Architecture of Linux.
2. Explain memory management in Linux
3. Write short note on Process management in Linux
4. Write short note on security in Linux
UNIT 5
CHAPTER 14
Android Case study
Objectives
14.1 Android History
14.2 Android Overview
14.2.1 Features
14.2.2 Android Architecture
14.3 Android Programming
14.4 Process
14.4.1 Introduction
14.4.2 Process in the application
14.4.3 Structure of process
14.4.4 States of process
14.4.5 Process lifecycle
14.4.6 Interprocess communication
14.5 Android memory management
14.5.1 Introduction
14.5.2 Garbage collection
14.5.3 How to improve memory usage
14.5.4 How to avoid memory leaks
14.5.5 Allocate and reclaim app memory
14.6 File system
14.6.1 Flash memory- android OS file system
14.6.2 Media-based android file system
14.6.3 Pseudo file systems
14.6.4 Android / android application file structure
14.6.5 Files in android studio and explained below
14.7 Security in android
14.7.2 Biometrics
14.7.3 Encryption
14.7.4 Keystore
14.7.5 Trusty trusted execution environment (TEE)
14.7.6 Verified boot
14.8 Summary
14.10 Bibliography
14.10 Questions
14.1 Android History
Android OS is recognized by a consortium of developers: known as the Open

Handset Alliance, with the main funder and commercial marketer being Google. It
was being developed by Google for all the tablets, and smartphones. Android OS
first industrialized by Android Incorporated, which is located in Silicon Valley before it
was developed by Google in 2005. Versions of android are as follows: -
Versions Description
1) Android versions 1.0 to Android made this version authorized in the

1.1: The early days year 2008, with Android 1.0. This version
included a group Google apps; like Gmail,
Maps, Calendar, and YouTube.
2) Android 1.5 Cupcake The first official public code for Android didn't
appear until; this version 1.5 Cupcake was
released in April 2009. New few features and
enhancements, compared to the first two
versions i.e.; including ability to upload videos
to YouTube; and a way for a phone's screen
display to automatically rotate to the right
positions.
3) Android 1.6 Donut Google released this version of Android 1.6
Donut in September 2009. It included the
support for carriers that used CDMA-based
networks and phones to be sold by all carriers
around the world. Others are; Quick Search
Box, and quick toggling between the Camera,
Camcorder, and Gallery to streamline the
media-capture experience & even Power
Control widget for the Wi-Fi, Bluetooth, GPS,
etc.
4) Android 2.0-2.1 Éclair Google launched the second version of

Android and named it as éclair in October
2009.First version of Android; with a text-to-
speech support feature & also included:
multiple account support, navigation with
Google Maps. The first smartphone with
Éclair version was Motorola Droid, which was
also the first one, that was sold by Verizon
wireless company.
5) Android 2.2 Froyo Released in May 2010, also called ―frozen
yogurt‖. New features, including Wi-Fi mobile
hotspot functions, push notifications via
Android Cloud to Device Messaging (C2DM)
service, flash support and also Wi-Fi mobile
hotspot functions were introduced.
6) Android 2.3 Launched in Sept. 2010, is currently, the
Gingerbread oldest versions of the OS that Google.
Android devices are currently running on this
version. The first mobile phone was the
Nexus S mobile to add both Gingerbread and
NFC hardware, co-developed by Google and
Samsung. It also introduced features like
selfie, by adding in support for multiple
cameras and video chat support within
Google Talk.
7) Android This Version introduced in Feb,2011,
3.0 Honeycomb Motorola Xoom tablet along with, was
released by Google only for tablets and other
mobile devices with larger displays than
normal smartphones. Honeycomb would offer
specific features that could not be handled by
the smaller displays found on smartphones at
the time.
8) Android 4.0 Ice Cream Launched in October 2011. First to introduce
Sandwich the feature to unlock the phone using its
camera. Other features are support for all the
on-screen buttons, the ability to monitor the
mobile and Wi-Fi data usage, and swipe
gestures to dismiss notifications and browser
tabs.
9) Android 4.1-4.3 Jelly Google released versions 4.2 and 4.3, both
Bean under the Jelly Bean label, in Oct. 2012 and
July 2013.Features include software updates,
notifications that showed more content or
action buttons, along with full support for the
Android version of Google's Chrome web
browser. Google now made Search, and
"Project Butter to speed up and improve
touch responsiveness.
10) Android 4.4 KitKat Officially launched in Sept. 2013, codename
is ―Key Lime Pie‖. It helped to expand the
overall market &was optimized to run on the
smartphones that had as little as 512 MB of
RAM. This allowed many makers to get the
latest version & installed it on a much
cheaper handset.
11) Android 5.0 Lollipop Released in the first month of 2014.This
included the support for dual-SIM Card
Feature, HD Voice calls, Device Protection to
keep thieves locked out of your phone even
after a factory reset.
12)Android 6.0 Initially called as Macadamia Nut Cookie, but
Marshmallow later was released as Marshmallow in May
2015. Features are app drawer & the first
version that had native support for unlocking
the smartphone with biometrics, Type C
support & Android pay was also there.
Google’s Nexus 6P and Nexus 5X were the
first handsets.
13) Android 7.0 Nougat Released in August 2016. Multitasking
features that designed for smartphones with
bigger screens. It included a split-screen
feature and fast switching between
applications. Other changes are made by
Google such as switching to a new JIT
compiler that could speed. Pixel, and Pixel
XL, and LG V20 were released with this
version.
14) Android 8.0 Oreo Second time Google used a trademarked
(August 21, 2017) name for it’s Android version, the first was
KitKat. Android 8.0 Oreo launched in August
2017. It included, visual changes such as
native support for picture-in-picture mode
feature, new autofill APIs;help in better
managing the passwords and fill data,
notification channels.
15)Android 9.0 Pie Released in August 2018. New features &
(August 6, 2018) updates such as battery life. Home-button
was added in this version. When swiped up it
brings the apps that were used recently, a
search bar, and suggestions of five apps at
the bottom of the screen. New option added
of swiping left to see the currently running
applications.
16)Android 10 (September Finally, Google opted to drop the tradition of

3, 2019) naming the Android version after sweets,
desserts, and candies. It was launched in
September 2019. Several new features were
added such as support for the upcoming
foldable smartphones with flexible displays.
Android 10 also has a dark mode feature,
along with the newly
introduced navigation control using gestures,
the feature for smart reply for all the
messaging apps, and a sharing menu that is
more effective.
14.2 Android Overview
Android is an operating system based on the Linux kernel and other open-source
software such as smartphones and tablets.
Android approach to application development for mobile devices which means

developers need only develop for Android and their applications should be able to
run on different devices powered by Android. The source code for Android is
available free and open-source software licenses.
14.2.1 Features :
Android is an operating system as well as supports great features. Few of them are
listed below: -
1. Beautiful UI: Android OS provides a beautiful and intuitive user interface.

2. Connectivity: Supports a large group of networks like GSM/EDGE, CDMA,
UMTS, Bluetooth, WiFi, LTE, and WiMAX.
3. Storage: Uses SQLite, lightweight relational database storage for data
storage. It is really helpful when there is limited mobile memory storage to be
considered.
4. Media support: It Includes support for a large number of media formats, Audio
as well as for Video, like H.263, H.264, MPEG-4 SP, AMR, AMR WB, AAC,
MP3, JPEG, PNG, GIF & BMP.
5. Messaging: Both SMS and MMS are supported.
6. Web Browser: Based on Open Source WebKit, now known as Chrome.
7. Multi-Touch: Supports multi-touch screen.
8. Multi-Task: Supports application multitasking.i.e, Users can jump from one
task to another and same time various applications can run simultaneously.
9. Resizable widgets: Widgets are resizable, so users can reuse it to show more
content or to save space.
10. Multi-Language: Supports single direction and bi-directional text.
11. Hardware Support: Accelerometer Sensor, Camera, Digital Compass,
Proximity Sensor & GPS, and a lot more.
14.2.2 Android Architecture:

Android is a stack of components of the software which is divided into five layers
that are shown below in the diagram:
All these layers are responsible for different roles and features that have been
discussed below.
 Linux Kernel:
This layer provides a level of abstraction between hardware and it contains all
the essential hardware drivers like camera, keypad, display. This layer is the
foundation of the android platform.
 Hardware Abstraction Layer:
It provides an abstraction between hardware and the rest of the software
stack.
 Libraries:
Libraries are present above the Linux kernel including open-source web
browser engine WebKit it is the well-known library, SQLite database which is
useful for storage and sharing of application data, libraries to play, and record
audio and video, SSL libraries are responsible for Internet security, etc.
 Android Runtime:
This layer provides a key component called Dalvik Virtual Machine which is a
kind of Java Virtual Machine.JVM is specially designed and optimized for
Android and designed to run apps in a constrained environment that has
limited muscle power in terms of battery, processing, and memory. It contains
a set of libraries that enables developers to write code for android apps using
java programming.
 Application Framework:
It provides a higher level of services to applications in the form of java
classes. Developers are allowed to make the use of these services in their
applications.
Android framework includes key services ofter are as follows –
1) Activity Manager: It controls all aspects of the application lifecycle and
activity stack.
2) Content Providers: Allows applications to publish and share their data
with other applications.
3) Resource Manager: Provides access to non-code embedded resources
such as strings, color settings, and also user interface layouts.
4) Notifications Manager: Allows applications to display notifications to the
user.
5) View System: Extensible set of views used to create application user
interfaces.
 Applications:
At the top, the layer you will find all android applications. This layer uses all
the layers below it for the proper functioning of the mobile app, such
applications are Contacts Books, Calendar, Browser, Games, and many
more.
So Android holds layered or we can say a group of functionalities as software
stack that makes Android work very fluently in any device.
14.3 Android Programming
If we want to develop Android apps, it is essential to pick a language. To differentiate

between the various Android programming languages it may be a little complex. To
choose which one to start with it requires an understanding of their strength and
weakness.
The best way to develop an Android app is to download Android Studio. There is a
piece of software called an Integrated Development Environment(IDE). It is offered
as a package with the Android SDK, which is nothing but a set of tools used to
facilitate Android development. It will give you everything you need in one place to
get up and get going.
Features such as the visual designer make the process easier. Powerful features are
being added to give developers access to things like cloud storage.
While Java is the official language for Android but there are so many other
languages that can be used for Android App Development.
Below mentioned are these programming languages which are currently used for
Android development:
1. Java
 Java is the official. language for Android App Development and it is the
most used language as well. Apps in the Play Store are most of built
with Java and it is also the most supported language by Google. Java
has a great online community for support in case of any problems.
 Java was developed by Sun Microsystems in 1995, and it is used for a
wide range of programming .applications. Java code is run by a virtual
machine. that runs on Android devices and interprets the code.
 However, Java is complicated. language for a beginner to use as it
contains complex topics like constructors, null pointer, exceptions,
concurrency, checked exceptions, etc. Android Software Development
Kit(SDK) increases the complexity at a greater extent.
 Development using java also requires a basic understanding of
concepts like Gradle, Android Manifest, and the markup language
XML.
2. KOTLIN
 Kotlin is a cross-platform programming language that is used as an
alternative to Java for Android App Development. It has been
introduced as a secondary ―official‖ Java language in 2017.
 It can inter-operate with Java and it runs on the Java Virtual Machine.
 The only sizable difference is that Kotlin removes the superfluous

features of Java such as null pointer exceptions and removes the
necessity of ending every line with a semicolon.
 In short, It is much simpler for beginners to try as compared to Java
and it can also be used as an ―entry point‖ for Android App
Development.
3. C++
 C++ is used for Android App Development using the Android Native
Development Kit(NDK). An app cannot be created using C++ and the
Native Development Kit is used to implement parts of the app in C++
native code. This helps in using C++ code libraries for the app as
required.
 While C++ is useful for Android App Development in some cases, it is
much more difficult to set up and is much less flexible. For applications
like 3D games, this will use out some extra performance from an
Android device, which means that you’ll be able to use libraries written
in C or C++.
 It may also lead to more bugs because of the increased complexity.
So, it is better to use Java as compared to C++ as it does not provide
enough gain to offset the efforts required.
4. C#
 C# is a little bit similar to Java and so it is ideal for Android App
Development. Like Java, C# also implements garbage collection so
there are fewer chances of memory leaks. And C# also has a cleaner
and simpler syntax than Java which makes coding with it comparatively
easier.
 Earlier, the biggest drawback of C# was that it could run only on
Windows systems as it used the .NET Framework. However, this
problem was handled by Xamarin.
 Android is a cross-platform implementation of the Common Language
Infrastructure. Now, Xamarin. The android tool can be used to write
native Android apps and share the code across multiple platforms.
5. Python
 It is used for Android App Development even though Android doesn’t
support native Python development. This is done using various tools
that convert the Python apps into Android Packages that can be run on
Android devices.
 An example of this can be Kivy that is an open-source Python library
used for developing mobile apps. It supports Android and also provides
rapid app development. However, a downside to this is that there won't
be native benefits for Kivy as it isn’t natively supported.
6. Corona
 It is a software development kit that is used for developing Android
apps using Lua. It contains two operational modes, i.e. Corona
Simulator and Corona Native. The Corona Simulator is used to build
apps directly whereas the Corona Native is used to integrate the Lua
code with an Android Studio project to build an app using native
features.
 While Lua is a little limited as compared to Java, it is also much simpler
and easy to learn. It is mostly used to create graphics applications and
games but is by no means limited to that.
 We need to use a text editor like Notepad++ to enter your code and
you can run said code on an emulator without even needing to compile
first. When we are ready to create an APK and deploy, we will be able
to do this using an online tool.
7. Unity
 Unity is a "game engine," which means it provides things like physics
calculations and 3D graphics rendering and an IDE like Android Studio.
It is an open-source tool, which makes it incredibly easy to create our
games, and the community is strong, which means we get a lot of
support. With just a few lines of code, we have a basic platform game
set up in less than an hour. It's multiplatform and is used by many
game studios.
 It is a great way to learn object-oriented programming concept as the
objects are an object.
 This is used to become a game developer.
 For a complete beginner, it is not the entry point to Android

development – but for a small company wanting to create an app for
iOS and Android, it makes sense and there’s plenty of support and
information out there to help you out.
8. PhoneGap
 The last simple option you can choose to develop Android apps
is PhoneGap unless we want to turn instead to an app builder
program.
 PhoneGap is powered by Apache Cordova and it allows you to create
apps using the same code you would normally use to create a website:
HTML, CSS, and JavaScript. This is then shown through a ―WebView‖
but packaged like an app. It acts like a mediator, which allows
developers to access the basic features of the phone, such as the
camera.
 This is not real Android development, though, and the only real
programming will be JavaScript.
Conclusion
 There are a lot of apps such as Chat messengers, Music players, Games.
Calculators. etc. that can be created using the above languages.
 No language is correct for Android Development.
 So, it's upon you to make the correct choice of language based on your
objectives and preferences for each project.
Databases that can be used with Android
1. SQLite
 SQLite is a relational database, a lite version of SQL designed for mobile.

It is an in-process library that implements a self-contained, zero-
configuration, transactional SQL database engine. Its an embedded SQL
Database engine without any separate server process, unlike any other
SQL database.
 SQLite supports all the relational database features.
 It is an open-source compact library that is by default present in two main

Mobile OS i.e. Android and iOS.
 We can store SQLite both on disk as well as in memory. Each database

file is a single disk file and it can be used for cross-platform. It requires
very little memory to operate and is very fast.
2. Firebase
With Firebase, we can focus our time and attention on developing the best
possible applications for our business. The operation and internal functions
are very solid. They have taken care of the Firebase Interface. We can spend
more time in developing high-quality apps that users want to use.
There are the following features which we can develop:
 Cloud Messaging: Firebase allows us to deliver and receive messages in

a more reliable way across platforms.
 Authentication: Firebase has little friction with acclaimed authentication.
 Hosting: Firebase delivers web content faster.
 Remote Configuration: It allows us to customize our app on the go.
 Dynamic Links: Dynamic Links are smart URLs that dynamically change
behavior for providing the best experience across different platforms.
These links allow app users to take directly to the content of their interest
after installing the app - no matter whether they are completely new or
lifetime customers.
 Crash Reporting: It keeps our app stable.
 Real-time Database: It can store and sync app data in real-time.
 Storage: We can easily store the file in the database.
3. Realm DB
The realm is a relational database management system which is like a

conventional database that data can be queried, filtered, and persisted but
also have objects which are life and fully reactive.
Realm database is developed by Realm and specially designed to run on

mobile devices, Like SQLite, Realm is also serverless and cross-platform. It
can be stored in the disk as well as in memory.
Realm has so many advantages over native SQLite, like:

 As we work with the real object there is no need to copy, modify, and save
the object from the database.
 The realm is much faster than SQLite. Realm can query up to 57
record/sec, whereas SQLite can do only up to 20 record/sec.
 Data is secured with transparent encryption and decryption.
 Realm database has a reactive architecture, which means it can be
directly connected to UI, if data changes it will automatically refresh and
appear on the screen.
 One application can have multiple Realm database, both local and remote
 Can set different permissions for different users.
4. ORMLite
 It is a lighter version of Object Relational Mapping which provides some

simple functionality for persisting java object to SQL database. It is ORM
wrapper over any mobile SQL related database.
 It is used to simplify complicated SQL operations by providing a flexible query

builder. It also provides powerful abstract Database Access Object (DAO)
classes.
 It is helpful in big size applications with complex queries because it handles

"compiled" SQL statements for repetitive query tasks. It also supports for
configuring of tables and fields without annotations and supports native calls
to Android SQLite databases APIs.
 It doesn’t fulfill all the requirements like it is bulky compared to SQLite or
Realm, slower than SQLite and Realm but faster than most of the other ORMs
present in the market.
14.4 Process
14.4.1 Introduction
A process is a ―program in execution‖.It is generally used to accomplish a task, a
process needs resources. For instance, CPU file, memory, etc. Resources are
allocated to processes in two stages
● The stage when the process was created
● Dynamically allocate the process while they are running
A process is more than coding or program of code; it also includes current activity,
the content of processor's registers, etc. A program can also be called a passive
entity and a process can also be called an active entity. It also contains a feature
which is known as a program counter which is responsible for specifying the next
instruction to be executed. Eg. Word processor can be thought of as a process. So
when we talk about a passive entity it would be like a file containing a set of
instructions saved on a disk which is also known as an executable file, whereas a
process is meant to be an active entity which is backed by a program counter which
in turn specifies the next instruction to be executed along with a set of associated
resources. In other words, the program converts into a process when it is loaded into
memory.
14.4.2 Process in the application:

All components of the same application run in the same process and most
applications do not change this. However, if Developer finds that Developer needs to
control which process a certain component belongs to, the developer can do so in
the manifest file.
The manifest entry for each type of component element like
1. <activity>
2. <service>,
3. <receiver>
4. <provider>
5. <application>-to set a default value that applies to all components.
It supports an android: process attribute that can specify a process in which that
component should run. Developers can set this attribute so that each component
runs in its processor so that some components share a process while others do not.
Developers can also set android: process so that components of different
applications run in the same process means it provided that the applications share
the same Linux user ID and are signed with the same certificates.
Sometimes, Android might decide to shut down a process at some point, when
memory is low and required by other processes that are more immediately serving
the user. Application components running in the process that's killed are
consequently destroyed and a process is started again for those components when
there's again work for them to do.
while determining which processes to kill, the Android device weighs their relative
importance to the user. for instance, it simply shuts down a process hosting activities
that can be not seen on the display screen, in comparison to a process hosting seen
activities. The selection of whether or not to terminate a process, consequently,
depends on the state of the components running in that procedure.
14.4.3 Structure of Process :

● Stack: contains temporary data such as parameters of the function and return
addresses also local variables.
● Heap: is dynamically allocated memory during process run time.
● Data: includes global variables
● Text: includes the current activity which is represented by the value of the
program counter and the contents of the processor's registers.
14.4.4 States of process :

The Major transition states of the process are as follows:
1. New: Process is created
2. Running: Instructions are executed
3. Ready: When the Process is ready to get executed and is waiting to get
assigned to the processor
4. Waiting: Any event of the line need to be performed hence the process is
waiting for that event to occur.
5. Terminated: Execution or process is accomplished The transition states that
are represented above found on all systems but certain operating systems
also more finely delineate states of the process. The names vary on different
operating systems. There can be more than one process that is available
which is in the ready or waiting state but at any instant of time, only one
process can be in running state at one processor of the operating system.
14.4.5 Process Lifecycle :

The Android system tries to maintain a process for as long as its possible but
eventually needs to remove the old processes to reclaim memory for more important
processes. To find which processes to keep and which to kill, the system puts each
process into an "importance hierarchy" based on the components running in the
process and the state of components. Processes that have the lowest importance
are eliminated first, then those with the next lowest importance, and so on, as
necessary to recover system resources.
There are a total of five levels in the hierarchy. The following lists show the different
types of processes in order of importance:
1. Foreground process
A process that is required for what the user is doing. A process is considered
to be in the foreground if any of the following conditions are true:
It hosts an Activity that the user is interacting with (the onResume() method).
It hosts the Service that's bound to the activity that the user is interacting with.
It hosts the Service that's running "in the foreground"—the service has called
startForeground().
It hosts the Service that's executing one of its lifecycle callbacks (onCreate()
or onStart(), or onDestroy())
It hosts another BroadcastReceiver that's executing its onReceive() method.
2. Generally, only a few foreground processes exist at any given time. They are
killed only as a last resort—if memory is so low that they cannot all continue to
run. Generally, at that point, the device has reached a memory paging state,
so killing some foreground processes is required to keep the user interface
responsive.
3. Visible process
A process that does not have any foreground components, but still can affect
what the user sees on the screen. A process is considered to be visible if all
the following conditions are true: It hosts an Activity that is not in the
foreground, but it is still visible to its user (its onPause() method called). This
could occur, for eg if the foreground activity starts a dialog, which would allow
the previous activity to be seen behind it. It hosts the Service that is bound to
be visible (or foreground) activity. A visible process is considered extremely
important and will not be killed unless doing so is required to keep all
foreground processes running.
4. Service process
A process that is running on the service that has been started with the
startService() method and does not fall into either of the two higher
categories. Although service processes are not directly tied to anything the
user sees, they are generally doing what the user cares about ( like playing
music in the background or downloading data on the network), and so the
system keeps them running unless there's not enough memory to remember
them along with all foreground and visible processes in them.
5. Background process
A process that is holding an activity which is not currently visible to the user
(the activity's onStop() called). These processes have no direct impact on
their user experience, and the system can kill them at any time to reclaim
memory for a foreground, visible, or service process. Usually, many
background processes are running, so they are kept in the least recently used
list to ensure its process with the activity that was most recently seen by the
user is last to be killed. If the activity implements the lifecycle methods
correctly, and saves its current state, killing its process will have no visible
effect on its user experience because when its user navigates back to its
activity, the activity restores all of its visible states.
6. Empty process
A process that does not hold any active application components is the only
reason to keep the process alive is for its caching purposes, to improve
startup time for its next time a component needs to run it. The system
sometimes kills these processes to balance the system resources between
its process caches and the underlying kernel caches
Android ranks process at the highest level it can, based on the importance of
their components which are currently active in the process. For eg. if the process
hosts a service and a visible activity, the process is ranked as a visible process, not
a service process.
In addition to it, any process's ranking might increase because other processes are
dependent on it so a process that is serving another process can be never ranked
lower than another process it is serving. For example, if the content provider in
process A is serving a client in process B, or if the service in process A is bound to a
component in process B, process A is considered at least important as process B.
Because when a process is running the service is ranked higher than the process
with its background activities, an activity that is long-running operation might do well
to start the service for that operation, rather than simply creating the worker thread—
particularly if the operation is likely to outlast the activity. For eg. an activity that's
uploading the picture to a web site will be starting a service to perform the upload so
the upload will continue in the background even if the user leaves the activity. Using
the service guarantees that all the operations will be having at least "service
process" priority, regardless of what happens to the activity. This is the same reason
why the broadcast receivers should always employ services rather than simply put
time-consuming operations in a thread.
14.4.6 Inter process Communication

Android hosts a variety of applications and is designed in a way that removes any
duplication or redundancy of functionalities in different applications or to allow
functionality to be discovered, etc.
There are two major techniques related to the inter process communication and they
are namely;
Intents: These enable the application to select an Activity based on the action you
want to invoke and the data on which they operate. Path to an application is needed
to use its functions and exchange data with it. With intent objects, data can be used
to pass objects in both directions. It enables high-level communication.
Remote methods: By this we mean the remote procedure calls with these APIs can
be accessed remotely. With this calls the methods to appear to be local which are
executed in another process.
Android app avoids interprocess communication. It provides functions in terms of

packages loaded by applications that require them. For applications to exchange
data applications need to use file system or other traditional Unix/Linux mechanisms,
14.5 ANDROID MEMORY MANAGEMENT
14.5.1 INTRODUCTION
In Android memory management instead of providing swap space, it uses paging
and a map which means at your application touches cannot be paid until you release
all your preferences now in Android the Dalvik virtual Machine heap size for the
application process limited and the size of 2MB and the maximum allocation is
limited to 36 MB examples of large applications are photo editor, camera, gallery,
and home screen.
The background application processes in Android are stored in the LRU cache.
according to the cat strategy, it will kill processes in the system when it runs slow
and it will also consider the application which is the largest consumer.
If kind wants to make make an app run and live longer in the background only to
deallocate unnecessary memory in the four more into the background system will
generate an error message or terminate the application.
14.5.2 Garbage Collection:

The Dalvik virtual machine maintains track of memory allocation. Once it gets to
know that memory is no longer used by any program if freeze into a heap without
any participation from the programmer. it has basic two basic goals i.e to find objects
in a program that cannot be used in the future and second is to reclaim the
resources used by the particular objects.
Android memory heap is purely based on the life and size of an object been
allocated.
The duration of garbage collection depends upon the generation of objects and
collecting and how many active objects are there in each of the generations.
The memory heap of android may be a generalized one, meaning that there are
different allocations that it tracks, supported the expected life and size of an object
being allocated. For example, recently allocated objects belong within the Young
Generation.
Each heap generation has its dedicated upper limit on the quantity of memory that
objects there can occupy. Any time a generation starts to refill, the system executes
a garbage pickup event to release memory.
Even though garbage pickup is often quite fast, it can still affect your app's
performance. You don't generally control when a garbage pickup event occurs from
within your code.
When the standards are satisfied, the system stops executing the method and
begins garbage pickup. If garbage pickup occurs within the middle of an intensive
processing loop like animation or during music playback, it can increase the time
interval.
14.5.3 How to improve memory usage
1. One should take care of the design pattern with fractions it can help to build a
more flexible software architect. In the mobile world, abstraction may involve
side effects for its extra code to be executed, which will cost more time and
memory. Unless abstraction can provide application is a significant benefit.
2. Avoid using "enum". Do not use the enum because it doubles the memory
allocation than ordinary static constant.
3. Instead of HashMap try to use the optimized sparse array, sparse boolean
array, and long sparse array containers. Hashmap allocates and entry object
during every mapping which is a memory inefficient action, also the low-
performance behavior, "autoboxing/unboxing" is spread all over the usage.
Instead, sparse array-like containers map keys into the plane array.
4. We should avoid creating unnecessary objects. Do not allocate memory

especially for the short term temporary objects if you can avoid it and garbage
collection will occur less when fewer objects are created.
14.5.4 How to avoid memory leaks

1. After creating a database one should always close the cursor and if one wants
to keep the cursor open for a long time in must be used carefully and close as
another database task is finished.
2. To call unregisterReceiver() after calling registerReceiver ().

3. If you declare static member variable drawable inactivity then call
view.setBackground(drawable) in onCreate(), a new activity instance will be
created and the old activity instance can never be deallocated because
drawable has a set the view as callback and you has reference to an activity
4. To avoid this kind of leakage do not keep long references to contacts activity
and id3 using the context-application instead of context-activity.
5. Threads in java are the root of garbage collection that is a DVM keeps data
friends to all activity threads in the runtime system and threads are left
running will never be eligible for garbage collection.
14.5.5 Allocate and reclaim app memory
 Dalvik Debug Monitor Service (DDMS) is a debugging tool included in the

Android studio.
 IDE to the applications running on the device is connected by DDMS.
 Every application runs in its process in Android studio, each one of which
hosts it is on a virtual machine (VM) and each process listens to a debugger
on the various port.
 When it begins, DDMS connects to ADB (Android Debug Bridge which is a
command-line utility included with Google’s Android SDK.).
 This will notify the DDMS when the device is connected or disconnected. the
device when connected, a Virtual machine(VM)monitoring service is created
between ADB and DDMS, which will tell the DDMS when a Virtual Machine on
the device is started or terminated.
 The Dalvik heap is constrained to a single virtual memory range for every app
process. This defines that the logical heap size grows as it needs a limit that
the system defines for each app.
 The logical size of the heap is not like the amount of physical memory used by
the heap.
 When we are inspecting our app's heap, a value called the Proportional Set
Size (PSS) is computed by Android, that accounts for both dirty and clean
pages which are shared with other processes—but only in an amount that's
proportional to how many apps shared by that RAM.
 This (PSS) total is what the system considers to be the physical memory
footprint. For more information regarding PSS, see the Investigating Your
RAM Usage guide.
 The Dalvik heap enables a compact of the logical size of the heap, meaning
Android does not defragment the heap to the close-up space.
 Android can only shrink by the logical heap size when there is unused space
at the end of the heap. Therefore, the system can still reduce the physical
memory used by the heap.
After the garbage collection process, Dalvik walks the heap and finds the unused
pages, then returns these pages to the kernel using the advice.
14.6 File System
The Android Operating System is a popular and universally used operating

system for smartphones lately. While on the user's end it might appear simple and
easy to use the Android File Systems Applications tend to be rather complicated
and have several users scratching their head in amusement in daily. Let us now take
a detailed look at the file systems and what they have to offer to the users as
Android.
This informative piece is for people who are thinking to develop ROMs, Apps,
and a lot of other things on the Android operating system. Without wasting a minute
more let us begin with a detailed look at the Android file system. We would not just
be naming the file systems in android we would also give you a brief explanation
about a particular file system in detail understanding.
14.6.1 Flash Memory- Android OS File System:
1. exFAT: Created by Microsoft for flash memory, the exFAT file system is not a part
of the standard Linux kernel. However, it still provides support for Android devices in
some cases. It stands for Extended File Allocation Table Application.
2.F2FS: Users of Samsung smartphones are bound to have come across this type of
file system Application if they have been using the smartphone for a while. F2FS
stands for Flash-Friendly File System Application, which is an Open Source Linux file
system. This was introduced by Samsung 4 years ago in the year 2012.
3. JFFs2: It stands for the Journal Flash File System version 2. This is the default
flash file system for the Android Application Open Source Project kernels. This
version of the Android File System has been around since the Android Ice Cream
Sandwich Operating system was released.
14.6.2 Media-based Android File System:
1. EXT2/3/4: Ext, which stands for the extended file systems, are the standards for
the Linux file system. The latest out of these is the EXT4, which has now been
replacing the YAFFS2 and the JFFS2 file systems on Android smartphones.
2. MS-DOS: Microsoft Disk Operating System is known to be one of the oldest

names in the world of Operating Systems, and it helps FAT 12, FAT 16, and FAT 32
file systems to run seamlessly.
3. vFAT: An extension to the aforementioned FAT 12, FAT 16, and FAT 32 file
systems, the vFAT is a kernel module seen alongside the msDOS module. External
SD cards that help expand the storage space are formatted using VFAT.
14.6.3 Pseudo File Systems:

1. CGroup: Cgroup stands for Control Group. It is a pseudo-file system which allows
access and meaning to various kernel parameters. Cgroups are very important for
the Android File System as the Android OS makes use of these control groups for
user accounting and CPU Control.
2. Rootfs: Rootfs acts as the mount point, and it is a minimal file system. It is located
at the mount point ―/‖.
3. Process: The process file system has files that showcase the live kernel data.
Sometimes this file system Application development also reflects several kernel data
structures. These numbers directories are reflective of process IDs for all the
currently running tasks now.
4. Systems: Usually mounted on the /sys directory. The sysfs file system app helps
the kernel identify the devices. Upon identifying a new device, the kernel builds an
object.
5. Tmpfs: A temporary file system, tmpfs is usually mounted on /dev directory. Data
on this is lost when the device is rebooted.
14.6.4 Android | Android Application File Structure :

It is very important to know about the basics of the Android StudioApplication
file structure. In this, some important files/folders, and their significance is explained
for the easy understanding of the android studio work environment. In the below
image, several important files are marked here below in diagram picture:
14.6.5 Files in Android Studio and Explained below:
1. AndroidManifest.xml: Every project in Android includes a manifest file, which

is manifest.xml stored in the root directory of its project hierarchy. The
AndroidAppmanifest file is an important part of our app because it defines the
structure and metadata of our application its components and its requirements.
The file includes nodes for each of the Activities, Services providers Content
ProvidersApplication and Broadcast Receiver App that make the application
and using Intent Filters and Permissions, determines how they co-ordinate with
each other and other Android applications.
2. Java: The Java folder contains the Java source code files in Application. These
files are used as a controller for a controlled layout file. It gets the data from the
layout file App and after processing that data output Android Application will be
shown in the UI layout. It works on the backend of an Android application.
3. Drawable: A Drawable folder contains a resource type file (something that can
be drawn). Drawables may take a variety of files like Bitmap Nine Patch, Vector
(XML), Shape, Layers, States, Levels, and Scale.
4. Layout: A layout defines the visual structure for the user interface, such as the
UI for an Android application. This Layout folder stores Layout files that are
written in XML language we can add additional layout objects or widgets as
child elements to gradually build a view hierarchy that defines your layout file.
5. Mipmap: Mipmap Android folder contains the Image Asset file that can be used
in Android Studio Application. Generate the following icon types like Launcher
icons, Action bar, and tab icons and Notification icons there.
6. Colors.xml: Colors.xml file contains color resources of the Android Application.

Different color values are identified by a unique name that can be used in the
Android application.
7. Strings.xml: The strings.xml file contains string resources of the Android

application the different string value is identified by a unique name that can be
used in the Android application program file also stores string array by using
XML language in Application.
8. Styles.xml: Here styles.xml file contains resources of the theme style in the
Android application. It is written in XML language for all activities in general in
android.
9. build.gradle: This defines and implements the module-specific build

configurations. We add dependencies need in the Android application here in
the Gradle module.
File System provides an interface to a file system and is the factory for objects to
access files and other objects in the file system. The default file system Application,
obtained by invoking the method, provides defines methods to create file systems
that provide access to other types of file systems.
A file system of Android is the factory for several Types :
 GetPath method: It converts a system-dependent path string, returning a Path object

that may be used to locate and access a file.
 GetPathMatcher method: Itis used to create a PathMatcher that performs match
operations on paths.
 GetFileStores method: It returns an iterator over the underlying FileStore.
 GetUserPrincipalLookupService method: It returns UserPrincipalLookupService to
lookup users /groups by name of the services mentioned.
 Watch service method: It creates a WatchService that may be used to watch objects
for changes and events.
File systems vary in some cases, the file system of android Application is a
single hierarchy of files with one top-level root directory. In other cases, it may have
several distinct file hierarchies, each with its top-level root directory Application. The
getRootDirectories method may be used to iterate over the root directories in the
system. A file system is typically composed of one or more underlying File Store that
provides the storage for the files. File stores can also vary in the features they
support, and the file attributes and meta-data that they associate with files in this
Applications.
A file system is open upon creation and can be closed by invoking a close
method. Once closed any further attempt to access objects in the file system causes
ClosedFileSystemException to be thrown. File systems created by the
default FileSystemProvider cannot be closed in the Android application.
A FileSystem can provide read-only or read and write access to the file
system. Whether or not a file system provides read-only access is established when
the FileSystem is created and can be tested by invoking it is a read-only method.
Attempts to write to file stores utilizing an object associated with a read-only file
system throws ReadOnlyFileSystemException.
The android application provides many kinds of storage for applications to

store their data. These storage places are shared preferences, internal and external
storage SQLite storage browser, and storage via the network connection.
Internal storage is the storage of the private data on the device memory in the
file system.
By default, these files are private and are accessed by only your application
and get deleted, when the user deletes your android application.
14.7 Security in Android
The security features provided in Android are:

Android uses the concept of user-authenticated cryptographic keys which requires
cryptographic key storage facilities, service providers, and user authenticators.
On devices that possess a fingerprint sensor, the users can add more than
one fingerprint to unlock the phone and accomplish different tasks. The Gatekeeper
subsystem is used to perform the authentication of pattern/password in the Trusted
Execution Environment (Trusty). Android 9 & higher versions also include Protected
Confirmation which allows the user to formally confirm critical transactions.
14.7.2 Biometrics
Android 9 and up consists of a BiometricPrompt API that allows the developers to
integrate biometric authentication within their applications. Only strong biometrics
can integrate with BiometricPrompt.
14.7.3 Encryption
After the device is encrypted, all the data created by the user is automatically
encrypted before committing it to the disk and also all the reads automatically
decrypts the data before sending it back to their respective calling process.
Encryption gives assurances that if an unauthorized user tried to access the data,
they would not be able to read the content of the data.
14.7.4 Keystore
The Keystore system allows you to store all cryptographic keys into a container to
make it more difficult for the hacker to extract it from the device. Once keys are
stored in the KeyStore, they can be used for various cryptographic procedures with
the key remaining non-exportable. It offers features such as to restrict how and when
the keys can be used, such as demanding authentication of users for key use and
restricting usage of keys only in some cryptographic methods.
14.7.5 Trusty Trusted Execution Environment (TEE):

Trusty has access to the full power of a device’s main processor and memory but
remains completely isolated. Trusty's isolated position protects it from various
malicious applications installed by the user and also from potential vulnerabilities that
would be discovered in Android.
14.7.6 Verified Boot

Verified boot cryptographically verifies all executable code and data which is part of
the Android version that is being booted before it can be used. It ensures that all
executable code comes from a trusted source, rather than from a hacker. It
establishes a full chain of trust, starting from a hardware-protected root of trust to the
bootloader, to the boot partition and also other verified partitions.
14.8 Summary
 Android made this version authorized in the year 2008, with Android 1.0.
 Finally, Google opted to drop the tradition of naming the Android version after
sweets, desserts, and candies. It was launched in September 2019.
 Android OS provides a beautiful and intuitive user interface.
 Android is a stack of components of the software which is divided into five
layers.
 Android ranks process at the highest level it can, based on the importance of
their components which are currently active in the process. For eg. if the
process hosts a service and a visible activity, the process is ranked as a
visible process, not a service process.
 The Dalvik virtual machine maintains track of memory allocation. Once it gets
to know that memory is no longer used by any program if freeze into a heap
without any participation from the programmer.
1. Modern Operating Systems, Andrew S. Tanenbaum, Herbert , Pearson 4 th

Edition, 2014
2. Operating Systems – Internals and Design Principles, Willaim Stallings, Pearson 8
th Edition, 2009
3. Operating System -Concepts Abraham Silberschatz, Peter B. Galvineg Gagne
Wiley ,8 th Edition
4. Operating Systems Godbole and Kahate McGraw Hill 3 rd Edition
14.10 Bibliography
https://www.tutorialspoint.com/
https://www.geeksforgeeks.org/
https://www.javatpoint.com/java-tutorial
14.11 Questions
1. Explain Architecture of Android.

2. Explain how database connect in Android
3. Explain memory management in Android
3. Write short note on Process management in Android
4. Write short note on security in Linux
UNIT 5
CHAPTER 15
Windows Case Study
Objectives
15.1 History of Windows
15.2 Programming Windows
15.3 System Structure
15.4 Process and Threads in Windows
15.5 Memory Management in Window
15.6 Windows IO Management
15.7 Windows NT File System
15.8 Windows Power Management
15.9 Security in Windows
15.10 Summary
15.12 Bibliography
15.13 Questions
15.1 History of Windows
1) Windows 1.0 (1985)  The Windows 1 was released in

November 1985 and was
Microsoft’s first true effort at a
graphical user interface in 16-bit.
 It was prominent because it relied
heavily on practice of a mouse
before the mouse was a shared
computer input device. To help
users become familiar with this odd
input system, Microsoft included a
game, Reverse (visible in the
screenshot) that relied on mouse
control, not the keyboard, to get
people used to moving the mouse
everywhere and clicking onscreen
elements.
2) Windows 2.0 (1987)  Two years after the release of

Windows 1, Microsoft’s Windows 2
substituted it in December 1987.
 The control panel, where numerous
system settings and formation
options were collected together in
one place, was existing in Windows
2 and survives to this day.
 Microsoft Word and Excel also
made their first arrivals running on
Windows 2.
3) Windows 3.0 – 3.1 (1990–1994)  Windows 3 presented the skill to run

MS-DOS programmers in windows,
which took multitasking to heritage
programmers, and sustained 256
colors bringing a more modern,
colorful look to the interface.
 More important - at least to the sum
total of human time wasted - it
presented the card-moving
TimeSink (and mouse use
trainer) Solitaire.
4) Windows 3.1  Minesweeper also made its original

arrival. Windows 3.1 required 1MB
of RAM to run and allowed
maintained MS-DOS programs to
be skillful with a mouse for the first
time. Windows 3.1 was also the first
Windows to be distributed on a CD-
ROM, although once connected on
a hard drive it only took up 10 to
15MB (a CD can naturally store up
to 700MB).
5) Windows 95 (1995)  As the name implies, Windows 95
reached in August 1995 and with it
brought the first ever Start button
and Start menu. It also presented
the idea of ―plug and play‖ –
connect a peripheral and the
operating system catches the
suitable drivers for it and makes it
work.
 Windows 95 also presented a 32-bit
environment, the task bar and
engrossed on multitasking. MS-
DOS still played an significant role
for Windows 95, which compulsory
it to run some programmers and
elements. Internet Explorer also
made its debut on Windows 95, but
was not installed by default needful
the Windows 95 Plus! Pack.
6) Windows 98 (1998)  Released in June 1998, Windows

98 made on Windows 95 and
transported with it IE 4, Outlook
Express, Windows Address Book,
Microsoft Chat and NetShow Player,
which was substituted by Windows
Media Player 6.2 in Windows 98
Second Edition in 1999.
 USB support was much better in
Windows 98 and led to its extensive
adoption, including USB hubs and
USB mice.
7) Windows 2000 (2000)  The initiative twin of ME, Windows
2000 was free in February 2000 and
was formed on Microsoft’s
business-orientated system
Windows NT and later became the
foundation for Windows XP.
 Microsoft’s automatic informing
played a significant role in Windows
2000 and became the first Windows
to support hibernation.
8) Windows ME (2000):  Released in September 2000, it was

the consumer-aimed operating
system looped with Windows 2000
meant at the enterprise market. It
presented some vital concepts to
consumers, with more automated
system recovery tools.
 IE 5.5, Windows Media Player 7 and
Windows Movie Maker all made
their presence for the first time.
Autocomplete also seemed in
Windows Explorer, but the operating
system was dishonorable for being
buggy, failing to install properly and
being generally poor.
9) Windows XP (2001)  It was built on Windows NT similar

Windows 2000, but brought the
consumer-friendly basics from
Windows ME. The Start menu and
task bar got a visual renovation,
bringing the acquainted green Start
button, blue task bar and vista
wallpaper, along with several
shadow and other visual effects.
 Its major problem was security:
though it had a firewall constructed
in, it was turned off by default.
Windows XP’s vast approval turned
out to be a boon for hackers and
criminals, who browbeaten its flaws,
especially in Internet Explorer,
pitilessly - leading Bill Gates to
pledge a ―Trustworthy Computing‖
initiative and the ensuing issuance
of to Service Pack updates that
tough XP against attack
substantially.
10) Windows Vista (2007)  Windows XP remained the course

for close to six years before being
substituted by Windows Vista in
January 2007. Vista efficient the
look and feel of Windows with more
emphasis on transparent elements,
search and security. Its growth,
under the codename ―Longhorn‖,
was troubled, with determined
elements uncontrolled in order to
get it into production.
 It was buggy, loaded the user with
hundreds of requirements for app
permissions under ―User Account
Control‖ - the consequence of the
Trustworthy Computing creativity
which now meant that users had to
approve or disapprove efforts by
programs to make various changes.
 It also ran gradually on older
computers in spite of them being
thought as ―Vista Ready‖ - a
labelling that saw it sued since not
all versions of Vista could run on
PCs with that label.
11) Windows 7 (2009) It was sooner, more stable and

easier to practice, becoming the
operating system most users and
business would advancement to
from Windows XP, forgoing Vista
completely.
Windows 7 saw Microsoft hit in

Europe with antitrust inquiries over
the pre-installing of IE, which led to
a browser ballot screen being
shown to original users allowing
them to choose, which browser to
connect on first boot.
12) Windows 8 (2012)  Released in October

2012, Windows 8 was
Microsoft’s most essential
renovation of the Windows
interface, scrapping the Start
button and Start menu in favour
of a more touch-friendly Start
screen.
 The new smooth interface saw
programmer icons and live tiles,
which showed at-a-glance info
normally related with ―widgets‖,
substitute the lists of
programmers and icons. A
desktop was still comprised,
which look like Windows 7.
13) Windows 8.1 (2013)
 An allowed point release to

Windows 8 presented in October
2013, Windows 8.1 noticeable a
shift towards yearly software
updates from Microsoft and
comprised the first step in
Microsoft’s U-turn around its novel
visual interface.
 Windows 8.1 re-introduced the
Start button, which took up the
Start screen from the desktop
view of Windows 8.1. Users could
also select to boot straight into the
desktop of Windows 8.1, which
was more appropriate for those
using a desktop computer with a
mouse and console than the
touch-focused Start screen.
14) Windows 10 (2015)  Windows 10 stays a

computer operating system by
Microsoft as fragment of
its Windows family of operating
systems. It was recognized
as Threshold when it was being
industrialized and proclaimed at a
press event on 30 September
2014.
Windows 10 is a Microsoft
operating system for personal
computers, tablets, encircled
devices and internet of things
devices. Microsoft free Windows
10 in July 2015 as a follow-up
to Windows 8. The company has
said it will update Windows 10 in
eternity rather than release a
new, complete operating system
as a beneficiary.
15.2 Programming Windows
Microsoft Windows is a multi-tasking operating system that licenses many

applications, pointy to here on out as processes. Every process in Windows is stated
some quantity of time, recognized as a time slice, where the application is definite
the right to control the system without being intermittent by the other processes. The
runtime superiority and the quantity of time assigned to a process are acknowledged
by the scheduler. The scheduler is measured as the manager of this multi-tasking
operating system, making sure that each process is quantified the time and the
importance it requires trusting on the current state of the system. Windows is what is
acknowledged as an event-driven operating system. When that key is pushed
Windows will record an event to the request that the key is down.
15.2.2 How Windows Program Work: -
To make a basic application, you will originally require a compiler that
performs on a Microsoft Windows operating system. Even however you can apply
Win32 on many languages involving Pascal (namely Borland Delphi), we will use
only one language. Actually the Win32 library is written in C, which is also the key
language of the Microsoft Windows operating systems.
Generating a Win32 Program: -
All Win32 programs chiefly seem the same and act the same but, just like
C++ programs, there are slight changes in terms of starting a program, trusting on
the compiler you are utilizing. Here we will be challenging our programs on Borland
C++ Builder, Microsoft Visual C++, and Microsoft Visual C++.NET.
For a important Win32 program, the contents of a Win32 program are alike. You will
feel a difference only when you begin addition some objects known as incomes. To
create a Win32 program by means of Borland C++ Builder, you must make a
console application by means of the Console Wizard.
Running Several Programs Simultaneously: -
If you function with many programs concurrently you know how tedious is to
run and launch them one by one! Actually, you need to find them between the other
applications you have connected on your Window, click their icons and remain for
them to open. This operation is fairly intolerable. That’s why you require a specific
shortcut (batch file) which is able to start all of them in one click! This trick will let you
reach a great, time saving consequence. Opening numerous applications in a matter
of a couple seconds! Stop glancing your computer folders, stop looking for the right
icon. Handle all from the same place.
1. Click Start.
2. Click All Programs.
3. Click Accessories.
4. Click Notepad to open it.
5. Now write the following code:
Start “” (confirm to leave a space before and after “”) shadowed by the
absolute path of the program you wish to open in quote.
Example: Start ―‖
―C:\Users\YourName\AppData\Local\Google\Chrome\Application\chrome.exe‖
6. Right after that press Enter and write additional line like the one overhead so
as to open a new application.
7. Guarantee to write each Start ―‖ command on a new line so that a line will
encircle a Start ―‖ command only, or else the batch file won’t work and you
won’t be able to open many programs!
8. Now save the file with any name you wish and settle to save it as .bat
extension (and not as .txt).
3. Code and Resources: -
Resources are distinct as the data that you can comprise to the applications
executable file resources can be:
 standard: icon, cursor, menu, dialog box, bitmap, improved metafile, font,
accelerator table, message-table entry, string-table entry, or version.
 custom: any kind of data that doesn’t fall into the previous category (for
instance a mp3 file or a dictionary database).
Accessing Resources from Code: -
The keys that know resources if they are clear during XAML are also used to
improve specific resources if you request the resource in code. The meekest manner
to recuperate a resource from code is to call also the FindResource or the
TryFindResource method from framework-level objects in your application.
Creating Resources with Code: -
If you want to produce a whole WPF application in code, you might also wish to
make any resources in that application in code. To reach this, create a new
Resource Dictionary example, and then add all the resources to the dictionary by
means of succeeding calls to Resource Dictionary.Add. Then, use the Resource
Dictionary thus produced to set the Resources property on an component that is
current in a page scope, or the Application.Resources.
Different Data Types used in Resource File: -
Microsoft Windows applications regularly depend on files that comprise non-
executable data, such as Extensible Application Markup Language (XAML), images,
video, and audio. Windows Presentation Foundation (WPF) offers superior provision
for configuring, identifying, and consuming these types of data files, which are called
application data files. This provision revolves around a specific set of application
data file types, comprising:
 Resource Files: Data files that are compiled into one or the other an
executable or library WPF assembly.
 Content Files: Standalone data files that have an open association with an
executable WPF assembly.
 Site of Origin Files: Standalone data files that have no suggestion with an
executable WPF assembly.
6. Compiling Windows Program: -
Click the Run button (displayed below with the arrow) and pause a few seconds.
This compiles the program to an EXE file and runs it: When the program runs,
you will detect the dialog on the screen. It appears like this:
Above figure shows a flow diagram for the formation of a Windows programs. In
this figure the source code file gets converts to objective file from the compilers
same as in the DOS. In windows programs the linker gets a few extra info from a
small file called the "module definition file" with the file name extension ".DEF".
This file tells the linker how to collect the program. The linker combines the
module definition file info and the object file to make an incomplete .EXE file. The
incomplete .EXE file absences the resource data. The main variance between
Windows programs and DOS programs is in the compilation of the resource data
file with the extension of ".RES". In DOS programs there is no resource data but
in windows program the resource data is added to the incomplete.EXE file to
create the complete executable program. The resource data is essentially stuck
onto the end of the program's code and develops part of the programs file. In
addition to adding the resource data the resource compiler writes the Windows
version number into the program file.
15.3 System Structure
 User application program cooperates with system hardware through

Operating System
 Operating system is such a composite structure; it should be shaped with
utmost care so it can be used and adapted easily.
 An easy way to do this is to make the operating system in parts. Each of
these parts should be well distinct with clear inputs, outputs and functions.
There are two types of Structures in Windows OS: -
15.3.1 Simple Sructure:
DIAGRAM: -
 Many operating systems have modest structure.
 MS-DOS- written to deliver the most functionality in the smallest
space
 Not distributed into modules
 Although MS-DOS has some structure, its interfaces and levels of
functionality are not well detached
15.3.2 Layered Structure
The operating system is divided into a numeral of layers (levels), each constructed
on top of lower layers. The lowest layer (layer 0), is the hardware; the highest (layer
N) is the user interface.
Advantage: Ease of construction and debugging. Difficulty: Defining the various

layers OS inclines to be less well-organized than other applications.
15.4 Process and threads in windows
An application contains of one or more processes. A process, in the humblest terms,

is an executing program. One or more threads run in the perspective of the process.
A thread is the basic unit to which the operating system assigns processor time. A
thread can achieve any part of the process code, with parts currently being executed
by another thread.
Each process brings the resources desirable to execute a program. A process

consumes a virtual address space, executable code, open grips to system objects, a
security setting, a unique process identifier, environment variables, an importance
class, minimum and maximum working set sizes, and at smallest one thread of
execution. Each process is continuing with a single thread, often called the primary
thread, but can make additional threads from any of its threads.
A thread is the object within a process that can be planned for execution. All threads
of a process part its virtual address space and system resources. In adding, each
thread supports exception handlers, a scheduling importance, thread local storage, a
unique thread identifier, and a set of creations the system will use to save the thread
setting until it is scheduled.
15.5 Memory Management in Window
Memory management is the process of directing and organizing computer memory,

passing on portions called blocks to various running programs to optimize overall
system performance. Memory management be located in hardware, in the OS
(operating system), and in programs and applications.
Memory management is the functionality of an operating system that handles or

manages primary memory and moves processes back and forth between main
memory and disk throughout execution.
15.5.1 Importance of Memory Management: -
• Upgrading performance
• Execution of multiple processes
• Utilization of memory space
• Correct relocation of information
• Protection of data from illegal change
• Provision to share the data
• Utilization of small free space
15.5.2 Partition Allocation Methods in Memory Management: -
Single contiguous allocation: Simplest allocation method used by MS-DOS. All

memory is presented to a process.
Partitioned allocation: Memory is separated in different blocks or partitions. Each

procedure is allocated according to the condition.
Paged memory management: Memory is divided into fixed sized units called page
frames, used in a virtual memory environment.
Segmented memory management: Memory is separated in different segments (a

segment is a logical grouping of the process’ data or code). In this managing,
assigned memory doesn’t have to be contiguous. A process is separated into
segments and individual segments have page
15.5.3 32-bit WINDOWS OS MEMORY MANAGEMENT: -
• The 32-bit Windows Operating System addressable memory space is

common among active applications and the kernel as shown in Figure
• The kernel address space contains a System Page Table Entry (PTE) area
(kernel memory thread stacks), Paged Pool (page tables, kernel objects),
System Cache (file cache, registry), and a Non Paged Pool (images, etc)
 The default 32-bit Windows Operating System (OS) configuration offers
up to 4 GB (2^32) of addressable memory space separated similarly
between the kernel and the user applications. With 4 GB of physical
memory existing, 2 GB will be assigned to the kernel and 2 GB to
application memory.
 The kernel mode address space is shared across processes and the
application mode access space is allocated for each user process (each
process has its own space).
 Extended user application memory can be enabled by setting the
windows Physical Access Extension /PAE switch in the System Basic
Input/output System (BIOS).
 The BIOS software is made into the computer hardware, and is the
primary software track by the hardware platform when powered on.
 The 32-bit Windows OS with /PAE switch in the BIOS provides up to 64
GB (2^36) addressable memory space. The /PAE change extends the
user application mode address space up to 62 GB.
 Each application is allocated its own 1.5 GB of virtual space. Enterprise
or Data Centre version of Windows Server OS is required for 32-bit
extended memory operations.
15.5.4 64-bit WINDOWS OS MEMORY MANAGEMENT: -

 The 64-bit Windows Operating System addressable memory space is shared
among active applications and the kernel as shown in Figure
 The kernel address space contains a System Page Table Entry (PTE) area
(kernel memory thread stacks), Paged Pool (page tables, kernel objects),
System Cache (file cache, registry), and Non Paged Pool (images, etc.)
The default 64-bit Windows Operating System (OS) configuration offers up to
16 TB (2^54) of addressable memory space separated similarly among the
kernel and the user applications.
With 16 TB of physical memory available, 8 TB virtual address (VA) space will

be allocated to the kernel and 8 TB VA space to user application memory. The
kernel virtual address space is shared across processes.
Each 64-bit process has its own space while each 32-bit application runs in a
virtual 2 GB Windows-On-Windows (WOW).
15.5.5 WINDOWS USES FIFO

• First in First Out Page Replacement Algorithm (F.I.F.O.).
• The eldest page is selected for replacement.
• It suffers from be lady’s anomaly.
• Page fault rate may increase after we increase amount of frame.
• It has low performance.
• It has maximum number of page faults.
15.5.6 Catching in Window

15.5.6.1 CACHING
Cache is a sort of memory that is used to increase the rapidity of information access.
Normally, the data required for any process resides in the main memory. Though, it
is moved to the cache memory temporarily if it is used commonly enough. The
process of storing and retrieving information from a cache is known as caching.
15.5.6.2 Advantages of Cache Memory: -
Some of the advantages of cache memory are as follows:
• Cache memory is faster than main memory as it is located on the processor

chip itself. Its speed is similar to the processor registers and so often
required information is stored in the cache memory.
• The memory access time is significantly fewer for cache memory as it is
quite fast. This leads to faster execution of any process.
• The cache memory can store information temporarily as long as it is often
required. After the use of any data has ended, it can be removed from the cache
and replaced by new data from the main memory.
15.6 Windows IO Management
A computer comprises of several devices that offer input and output (I/O) to and
from the outside world. The Windows kernel-mode I/O manager manages the
communication among applications and the interfaces providing by device drivers.
15.6.1 File Buffering: -
This covers the various considerations for application control of file buffering, also
known as unbuffered file input/output (I/O). File buffering is usually handled by the
system behind the scenes and is considered part of file caching within the Windows
operating system. Although the terms caching and buffering are sometimes used
interchangeably, this topic uses the term buffering specifically in the context of
explaining how to interact with data that is not being cached (buffered) by the
system, where it is then mostly out of the direct control of user-mode applications.
When opening or creating a file through the CreateFile function, the
FILE_FLAG_NO_BUFFERING flag can be specified to disable system caching of
information being read from or written to the file. While this gives whole and direct
control over data I/O buffering, in the instance of files and similar devices there are
data alignment requirements that must be considered.
15.6.2 File Caching: -

By default, Windows caches file information that is read from disks and written
to disks. This indicates that read operations read file data from an area in system
memory identified as the system file cache, instead of from the physical disk.
Similarly, write operations write file data to the system file cache instead of to the
disk, and this type of cache is stated to as a write-back cache. Caching is
achieved per file object.
The time at which a block of file information is flushed is partly based on the
quantity of time it has been kept in the cache and the amount of time later the data
was last edited in a read operation. This confirms that file data that is often read will
stay available in the system file cache for the maximum amount of time.
As shown by the solid arrows in the above figure, a 256 KB region of data is
read into a 256 KB cache "slot" in system address space when it is first demanded
by the cache manager through a file read operation. A user-mode process then
copies the information in this slot to its individual address space.
15.6.3 Synchronous and Asynchronous I/O: -
There are two types of input/output (I/O) synchronization: synchronous I/O
and asynchronous I/O. Asynchronous I/O is also denoted to as overlapped
I/O.
In synchronous file I/O, a thread starts an I/O operation and directly enters a wait
state till the I/O request has finished. A thread performs asynchronous file I/O sends
an I/O request to the kernel by calling an proper function. If the request is
acknowledged by the kernel, the calling thread remains processing another job till
the kernel signs to the thread that the I/O operation is finish. It then disturbs its
current job and processes the information from the I/O operation as required.
15.7 Windows NT file System
NTFS (NT file system, sometimes New Technology File System) is the file
system that the Windows NT operating system uses for storing and recovering
files on a hard disk. NTFS is the Windows NT corresponding of the Windows 95
file allocation table (FAT) and the OS/2 High Performance File System (HPFS).
However, NTFS offers a number of enhancements over FAT and HPFS in terms
of performance, extendibility, and security.
Notable features of NTFS include:
• Use of a b-tree directory structure to keep path of file clusters
• Info about a file's clusters and extra information is kept with each cluster,
not just a governing table
• Support for very large files (up to 2 to the 64th power or around 16 billion bytes
in extent)
• An access control list (ACL) that lets a server administrator control who can
access detailed files
• Integrated file compression
• Support for names created on Unicode
• Support for long file names in addition to "8 by 3" names
• Data security on equally removable and fixed disks
15.7.1 Architecture of Windows NT

 The design of Windows NT, a streak of operating systems formed and shifted
by Microsoft, is a layered scheme that contains of two key constituents, user
mode and kernel mode.
 To procedure input/output (I/O) requests, they use packet-driven I/O, which
utilizes I/O request packets (IRPs) and asynchronous I/O.
 Kernel mode in Windows NT has full admission to the hardware and system
resources of the computer. The Windows NT kernel is a hybrid kernel; the
architecture includes a simple kernel, hardware abstraction layer (HAL),
drivers, and a range of services (collectively named Executive), which all
occur in kernel mode.
 User mode in Windows NT is made of subsystems accomplished of passing
I/O requests to the suitable kernel mode device drivers by using the I/O
manager.
 The kernel is also answerable for initializing device drivers at bootup.
 Kernel mode drivers occur in three levels: highest level drivers, intermediate
drivers and low-level drivers.
 Windows Driver Model (WDM) exists in the intermediate layer and was mostly
aimed to be binary and source compatible between Windows
98 and Windows 2000.
 The lowest level drivers are either legacy Windows NT device drivers that
control a device straight or can be a plug and play (PnP) hardware bus.
Diagram
15.7.2 Layout of NTFS volume:
The Windows NT file system (NTFS) offers a grouping of performance,

dependability, and compatibility not found in the FAT file system.
Sections of layout of NTFS:

• Partition Boot Sector
• Master File Table (MFT)
• System Files
• File Area
15.8 Windows power management
The Windows operating system offers a complete and system-wide set of

power management features. This enables systems to spread battery life and
save energy, decrease heat and noise, and help ensure information
reliability.The power management functions and messages retrieve the system
power status, notify applications of power management events, and notify the
system of each application's power necessities.
15.8.1 Edit Plan Setting in Windows
15.8.2 Why Do we need Power Management?

Windows power management makes computers rapidly available to users at the
touch of a button or key. It also ensures that all elements of the system—
applications, devices, and user interface—can take advantage of the vast
improvements in power management technology and capabilities.
15.8.3 What are the benefits of Power Management?

Eliminates start up and shutdown delays. The computer need not make a full
system boot when exiting the sleep state or a complete system shutdown when the
user initiates the sleep state. Allows automated tasks to run while the computer is in
the sleep state. The Task Scheduler allows the user to schedule applications to run;
scheduled events can run even after the system is in the sleep state. Enables per-
device power management. Enables users to generate power outlines, set alarms,
and require battery options through the Power Options application in Control Panel.
The operating system manages all power management activities, based on power
policy settings. For more information, see the help file involved with the Power
Options application. Progresses power efficiency. Power efficiency is mainly
important on portable computers. Reducing system power consumption translates
directly to lower energy costs and longer battery life.
15.8.4 System Power Status: -

The system power status specifies whether the source of power for a computer is
a system battery or AC power. For computers that use batteries, the system
power status also specifies how much battery life remains and whether the
battery is charging.
As of now, we are going to discuss only Six states of System Power:
 Working State (S0)

 Sleep State (Modern Standby)
 Sleep State (S1 – S3)
 Hibernate State (S4)
 Soft Off State (S5)
 Mechanical Off State (G3)
15.9 Security in windows
One of the basic beliefs of Windows Security is that each process runs on
behalf of a user. So, each process running is connected with a security context.
security context is a bit of cached data about a user, counting her SID, group SIDs,
privileges. A security principal is an entity that can be positively recognized and
confirmed via a technique known as authentication. Security principals in Windows
are allocated on a process-by-process basis, via a little kernel object called a token.
Each user, computer or group account is a security principal on the system running
Windows Server 2003, Windows 2000, and Windows XP. Security principal obtain
permissions to access resources such as files and folders.
There are 3 types of Security Principals
1) User principals
2) Machine principals
3) Service principals
Security Identifier: (SID)
Users reference their accounts by usernames but the Operating system, internally,
references accounts by their security identifier. SID’s are unique in their scope
(domain or local) and are never reused. So, they ae used to uniquely identify user
and group account in Windows. By default, the operating system SID comprises of
various parts S <revision> <identifier authority> <subauthorities> <relative
identifiers>
Access Token: - A token is a kernel object that caches part of a user's security
profile, containing the user SID, group SIDs, and privileges. A token contains of
the following components. accountID, groupID, Rights, Owner, Primary group,
Source, Type, Impersonation level, statistics, Restricted SID’s, SessionID
Account Security: - User accounts are core unit of Network security. In Win
Server 2003 & Win2000, domain accounts are kept in Active Directory directories
databases, where as in local accounts, they are kept in Security Accounts
Manager database. The passwords for the accounts are stored and maintained
by System Key. Though the accounts are protected by default, we can secure
them even further. Go to Administrative tools in control panel (only when you are
logged in as an admin) and click on ―Local Security and Settings.‖
Account Lock out policies: - Account lockout period: Locks out the account
after a specific period (1- 99,999 minutes). This feature is only exists is Win Ser
2003, Win 2000, but not in Windows XP.
Password Policies: - Enforce password History: Enforces password history(0-24)

Maximum password age: Set max password age(0-999) Minimum password age:
Set min password age(0 to 999) Minimum password length: set min password
length(0 to 14) Password must meet difficulty necessities: forces user to set
complex alpha numeric passwords. Loading password using reversible encryption
for users in the domain: We allow this if we want the password to be decrypted
and related to pain text using procedures like Challenge Handshake
authentication Protocol (CHAP) or Shiva password Authentication Protocol
(SPAP)
Rights: - Rights are actions or operations that an account can or cannot

achieve. User Rights are of two types:
a) Privileges:
b) LOGON rights
Where are the passwords stored on the system?
The system stores the passwords at machine’s password strash, i.e., under
HKLM/Security/Policy/Secretes. Type at 9:23am /interactive regedit.exe, substituting
whatever time is appropriate: Make it one minute in the future.) Once regedit fires up,
carefully look at the subkeys under HKLM/Security/Policy/Secrets. You're looking at
the machine's password stash, more formally known as the LSA private data store.
The operating system also, by default, caches (store locally), the last 10
passwordsThere are registry settings to turn this feature off or restrict the number of
accounts cached.
a) Location: HKEY_LOCAL_MACHINE\Software\Microsoft\Windows NT\Current

Version\Winlogon\
b) Type: REG_SZ
c) Key: CachedLogonsCount Default Value 10
d) Recommended value : 0-50 depending on your security needs.
15.10 Summary
In this Chapter, we learn History of windows, Process and thread, System structure,
Memory Management in Windows, Windows IO Management, Windows NT file
System, Windows Power Management and Security in Windows.
1. Modern Operating Systems, Andrew S. Tanenbaum, Herbert , Pearson 4 th, 2014

2. Operating Systems – Internals and Design Principles, Willaim Stallings, Pearson 8
e, 2009
3. Operating System -Concepts Abraham Silberschatz, Peter B. Galvineg Gagne
Wiley ,8e
4. Operating Systems Godbole and Kahate McGraw Hill 3e
15.12 Bibliography
https://www.tutorialspoint.com/
https://www.geeksforgeeks.org/
https://www.javatpoint.com/java-tutorial
https://docs.microsoft.com/
https://www.installsetupconfig.com/
15.13 Questions
1. Explain Architecture of windows.

2. Write short note on memory management in windows
3. Explain Process management in windows
4. Write short note on security in Windows

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UNIT 1

1.2.2 The Operating System as an Extended Machine

1.2.3 The Operating System as a Resource Manager

1.3 History of Operating system

1.3.1 First Generation OS

1.3.2 Second Generation OS-:

1.3.3 Third Generation OS-:

1.3.4 Fourth Generation OS-:

 Fourth generation computers were also known as Personal computers

1.3.5 Fifth Generation OS

Year 1990 – Present

1.4 Computer Hardware

Figure 2. Memory hierarchy

Figure 3. Disk Structure

1.4.4 Booting the computer

1.5 Let us Sum Up

1.6 List of Reference

1. Explain Third Generation operating system

2.2.1 Mainframe Operating Systems:

2.2.2 Server Operating Systems

2.2.3 Multiprocessor Operating System

2.2.4 Personal Operating Systems

2.2.5 Handheld Operating System

2.2.6 Embedded Operating Systems

2.2.8 Real-Time Operating Systems

2.2.9 Smart Card Operating System

2.3 Operating system Concepts

2.4 System Calls

Figure 2.1. System call for read

2.4.1 System calls for Process management

2.4.2 System calls for File management

2.4.3 System calls for Directory management

2..4.5 Windows Win32 API

Figure 2.2. Monolithic Structure

2.5.2 Layered System

Figure 2.2. Layered Struture

2.5.4 Client Server System

2.6 List of Reference

1. Explain the micro kernel approach of Operating System design

Processes and Threads

3.2.1 Process Creation:

3.2.2 Process Termination

3.2.3 Process States

New – The process is in the stage of being created.

 3.3.1 Classical Thread Model

3.3.3 Implementing thread in User Space

3.4. Interprocess Communication –

3.4.1 Race Condition:

3.4.2 Critical Region

3.4.3 Mutual Exclusion and busy waiting

3.4.3.1 Disabling interrupts

3.4.3.2 Lock Variables

3.4.3.3 Strict Alternation

3.4.4 Sleep and Wake

3.4.4.1 Producer Consumer Problem (Bounded Buffer)

3.5.1 FIRST COME FIRST SERVE(FCFS)

Process Burst Time Arrival Start Wait Finish TA

average waiting time: (0+24+27)/3 = 17

3.5.2 SHORTEST JOB FIRST(SJF)

SJF (Non Preemptive)