OPERATING SYSTEM OVERVIEW

Operating System:
 An operating system (OS) is a software program that manages the
hardware and software resources of a computer.
 A program that acts as an intermediary between a user of a
computer and the computer hardware.
 The operating system controls and coordinates the use of the
hardware among the various application program for the various
users.
 Examples: Windows, Linux, Unix and Mac OS, etc.,
Operating system goals:
 Execute user programs and make solving user problems easier.
 Make the computer system convenient to use.
 Use the computer hardware in an efficient manner.
Computer System Components:
 A computer system can be divided roughly into four components:
the hardware, the operating system, the application
1
program, and the users as shown in the fig below.
 OPERATING SYSTEM OVERVIEW
 1. Hardware – provides basic computing resources (CPU,
memory, I/O devices).
 2. Operating system – controls and coordinates the use
of the hardware among the various application programs
for the various users.
 3. Applications programs – Define the ways in which the
system resources are used to solve the computing problems
of the users (compilers, database systems, video games,
business programs).
 4. Users (people, machines, other computers).

2
OPERATING SYSTEM OVERVIEW

3
 OPERATING SYSTEM OVERVIEW
 An operating system is similar to a government. Like a government, it performs
no useful function by itself.
 It simply provides an environment within which other programs can do useful
work.
 Hence, an operating system is a program that controls the execution of
application programs and acts as an interface between the user of a computer and
the computer hardware, in other words, “The software that controls the
hardware.” Some examples of operating systems are UNIX, Mach, MS-DOS,
MS-Windows, Windows/NT, OS/2,MacOS, and VMS etc
Components of OS: Shell and the kernel are the parts of this Operating system.
These both parts are used for performing any operation on the system.
i)Shell: Shell is the outermost layer of the operating system that manages the
interaction between user and operating system.
 When a user gives his command for performing any operation, then the request
will goes to the shell parts,(also known as interpreter) which translate the
human program into the machine language and then the request will be
transferred to the kernel.
 The Shell manages the interaction between user and operating system by: 4
 OPERATING SYSTEM OVERVIEW
 Prompting the user to give input
 Interpreting the input for the operating system
 Handling the output from the operating system.
 Shell provides a way to communicate with the operating system by either
taking the input from the user or the shell script.
 A shell script is a sequence of system commands that are stored in a file.

5
o (ii)Kernel: The kernel is the core component of an operating system and it is also
known as heart of operating system which acts as an interface between shell,
and the data is processed at the hardware level.
o Every operation is performed by using the kernel, when the kernel
receives the request from the shell then this will process the request and
display the results on the screen.
 When an OS is loaded into memory, the kernel is loaded first and remains in memory
until the OS is shut down. After that, the kernel provides and manages the computer
resources and allows other programs to run and use these resources. The kernel is
responsible for performing the following tasks:
 Input-Output management
 Memory Management
 Process Management for application execution.
 Device Management
 System calls control
Types of Kernel:
1. Monolithic Kernel: A monolithic kernel is a single large program that contains all
operating system components.
 The entire kernel executes in the processor’s privileged mode and provides full
access to the system’s hardware.
6
 Monolithic kernels are faster than microkernel because they don’t have the overhead
of message passing. This type of kernel is generally used in embedded systems and
real-time operating systems.
 OPERATING SYSTEM OVERVIEW
2. Microkernel: A microkernel is a kernel that contains only the essential
components required for the basic functioning of the operating system.
 All other components are removed from the kernel and implemented as
user-space processes.
 The microkernel approach provides better modularity, flexibility, and
extensibility. It is also more stable and secure than monolithic kernels.
Two views of the Operating System:
 Operating System as an Extended Machine or Virtual Machine (or As a
User/computer interface):
 The operating system masks or hides the details of the hardware form the
programmers and general users and provides a convenient interface for
using the system.
 The program that hides the truth about the hardware from the user and
presents a nice simple view of named files that can be read and written is of
course the operating system.
 A major function of OS is to hide all the complexity presented by the
underlying hardware and gives the programmer a more convenient set of 7
instructions to work with.
 OPERATING SYSTEM OVERVIEW
 Just as the operating system prevent the user from directly accessing the
hardware and presents a simple file oriented interface.
 It also conceals a lot of unpleasant business concerning interrupts, timers,
memory management and other low level features.
 In this view, the function of OS is to present the user with the equivalent of
an extended machine or virtual machine that is easier to program than
underlying hardware.

8
OPERATING SYSTEM OVERVIEW

9
 OPERATING SYSTEM OVERVIEW

Operating System as a Resource Manager:

 A computer system has many resources. Modern computers
consist of processors, memories, timers, disks, mice, network
interfaces, printers, and a wide variety of other devices.
 Efficient and fair allocation of these resources to the different
processes is performed by OS.
 Resources management encompasses:
 Time management (CPU Scheduling, Disk Scheduling)
 Space management (memory main, secondary)
 Process synchronization and deadlock handling
 Accounting and status information.
 Figure below shows the main resources that are managed by the
OS. A portion of the OS is in main memory.
 This includes Kernel or nucleus. The remainder of main memory
contains user programs and data.
 The allocation of this resource (main memory) is controlled jointly
by the OS and memory management hardware in the processor. 10
 OPERATING SYSTEM OVERVIEW

Fig: The Operating system as Resource manger

11
 OPERATING SYSTEM OVERVIEW

Function of Operating system:

 Implementing the user interface
 Sharing hardware among users
 Allowing users to share data among themselves
 Preventing users from interfering with one another
 Scheduling resources among users
 Facilitating input/output
 Recovering from errors
 Accounting for resource usage
 Facilitating parallel operations
 Organizing data for secure and rapid access
 Handling network communications.
These above functions can be summarized as,
 Memory management function
 Processors management function
 I/O device management function 12

 File management function

 OPERATING SYSTEM OVERVIEW

Services of operating system:

 Following fives are the services provided by operating systems to
the convenience of the users.
 1. Program Execution: The purpose of computer systems is to
allow the user to execute programs. So the operating system
provides an environment where the user can conveniently run
programs. Running a program involves the allocating and
deallocating memory, CPU scheduling in case of multiprocessing.
 2. I/O Operations: Each program requires an input and produces
output. This involves the use of I/O. So the operating systems are
providing I/O makes it convenient for the users to run programs.
 3. File System Manipulation: The output of a program may need
to be written into new files or input taken from some files. The
operating system provides this service.
 4. Communications: The processes need to communicate with
each other to exchange information during execution. It may be
between processes running on the same computer or running on
the different computers. Communications can be occur in two
13
ways: (i) shared memory or (ii) message passing
 OPERATING SYSTEM OVERVIEW

 5. Error Detection: An error is one part of the system that may

cause malfunctioning of the complete system. To avoid such a
situation operating system constantly monitors the system for
detecting the errors. This remove the burden to user about the
worry of errors propagating to various part of the system and
causing malfunctioning.
 Following are the three services provided by operating systems for
ensuring the efficient operation of the system itself.
 i. Resource allocation: When multiple users are logged on the
system or multiple jobs are running at the same time, resources
must be allocated to each of them. Many different types of
resources are managed by the operating system.
 ii. Accounting: The operating systems keep track of which users
use how many and which kinds of computer resources. This
record keeping may be used for accounting (so that users can be
billed) or simply for accumulating usage statistics.

14
 OPERATING SYSTEM OVERVIEW

 iii. Protection: When several disjointed processes execute

concurrently, it should not be possible for one process to interfere
with the others, or with the operating system itself.
Protection involves ensuring that all access to system resources is
controlled. Security of the system from outsiders is also
important.
Such security starts with each user having to authenticate him to
the system, usually by means of a password, to be allowed access
to the resources

15
 OPERATING SYSTEM OVERVIEW
Types of Operating System:
 Serial processing
 Batch processing
 Multiprogramming
 Multitasking or time sharing System
 Multiprocessor Operating System
 Real Time Operating System
 Network Operating system
 Distributed Operating system
Serial processing:
 At early stage the programmer interacted directly with the computer
hardware, because there was no operating system
 A single group of people designed, built, programmed, operated and
maintained each machine
 The serial processing operating system are those which performs all the
instruction in a sequential manner.
 The instruction given by user will be executed by using FIFO manner
means first in first out.
 The program counter will determine which instruction is going to execute 16
and which instruction will be executed after that the punch cards are used
for this.
 OPERATING SYSTEM OVERVIEW

 In this, all the jobs are firstly prepared and store on the card and after that all
the instruction are executed one by one .
 But the main problem is that user doesn’t interact with the system while
working on the system i.e. the user can’t be able to enter data for execution.
 CPU is often idle, because the speed of the mechanical I/O devices
is slower than the CPU.
Batch Processing:
 Batch is defined as a group of jobs with similar needs. The operating system
allows users to form batches.
 Computer executes each batch sequentially, processing all jobs of a batch
considering them as a single process called batch processing
 This type of operating system does not interact with the computer directly.
 The central idea behind the simple batch-processing scheme is the use of a
piece of software known as monitor or operator.
 The user submits the job on cards or tape to a computer operator, who
batches the jobs together sequentially and places the entire batch on an input
device, for use by the monitor.
17

 OPERATING SYSTEM OVERVIEW
 The user submits the job on cards or tape to a computer operator,
who batches the jobs together sequentially and places the entire
batch on an input device, that is used by the monitor.
 Each program is constructed to branch back to the monitor when
it completes processing, at which point the monitor automatically
begins loading the next program.
 With a batch operating system, processor time alternates between
execution of user programs and execution of the monitor.
 Batch operating systems are used for tasks such as managing
payroll systems, data entry and bank statements.

18
 OPERATING SYSTEM OVERVIEW

Advantages are:
 Many users can share batch systems.
 There is little idle time for batch operating systems.
 It becomes possible to manage large workloads.
Disadvantages are:
 Batch operating systems are challenging to debug.
 Any failure of the system creates a backlog.
 It may be costly to install and maintain good batch operating
systems.

19
 OPERATING SYSTEM OVERVIEW

2. Multiprogramming operating System:

• A single program cannot keep either CPU or I/O devices busy at all times.
• Multiprogramming increases CPU utilization by organizing jobs in such a
manner that CPU has always one job to execute.
• If computer is required to run several programs at the same time, the
processor could be kept busy for the most of the time by switching its
attention from one program to the next.
• Additionally I/O transfer could overlap the processor activity i.e, while one
program is waiting for an I/O transfer; another program can use the
processor.
• So CPU never sits idle or if comes in idle state then after a very small time
it is again busy.
• Examples- Unix, windows 2000,Windows XP, Mac OS X etc

20
OPERATING SYSTEM OVERVIEW

21
 OPERATING SYSTEM OVERVIEW

Advantages:
 High CPU utilization.
 Shorter response time.
 Shorter waiting time.
 Increased throughput.
Disadvantages:
 Managing all processes and tasks can be a challenging task.
 CPU scheduling is required.
 Memory management is required in the operating system as all
types of tasks are stored in the main memory.

22
 OPERATING SYSTEM OVERVIEW

3. Multitasking or Time Sharing System:

 Multiprogramming didn't provide the user interaction with the computer
system.
 Time sharing or Multitasking is a logical extension of Multiprogramming
that provides user interaction.
 There are more than one user interacting the system at the same time
 The switching of CPU between two users is so fast that it gives the
impression to user that he is only working on the system but actually it is
shared among different users.
 CPU bound is divided into different time slots depending upon the number
of users using the system.
 Just as multiprogramming allows the processor to handle multiple jobs at a
time, multitasking can also be used to handle multiple interactive jobs.
 In this latter case, the technique is referred to as time sharing, because
processor time is shared among multiple users.

23
 OPERATING SYSTEM OVERVIEW

 A multitasking system uses CPU scheduling and multiprogramming to

provide each user with a small portion of a time shared computer.
 Each user has at least one separate program in memory.
 Multitasking are more complex than multiprogramming and must provide a
mechanism for jobs synchronization and communication and it may ensure
that system does not go in deadlock.
 Although batch processing is still in use but most of the system today
available uses the concept of multitasking and Multiprogramming.

24
 OPERATING SYSTEM OVERVIEW

Advantages of Time-Sharing OS:

 Each task gets an equal opportunity
 Fewer chances of duplication of software
 CPU idle time can be reduced
Disadvantages of Time-Sharing OS:
 Reliability problem
 One must have to take care of the security and integrity of user
programs and data
 Data communication problem
 Examples of Time-Sharing OSs are: Multics, Unix, etc.

25
 multiprogramming multitasking:
Non preemptive Preemptive
It was early used It used now a days in Laptops and PC
Less Context Switching due to non- Highly Context Switching due to preemptive
preemptive mode mode
Non Responsive Highly Responsive
No time sharing time sharing
Main target: CPU utilization because of less Main target: Responsive because of Highly
Context Switching. Context Switching
26
 OPERATING SYSTEM OVERVIEW

Multiprocessing system:
 Multiprocessor operating systems are also known as parallel OS or tightly
coupled OS.
 Such operating systems have more than one processor in close
communication that sharing the computer bus, the clock and sometimes
memory and peripheral devices. It executes multiple jobs at same time and
makes the processing faster.
 Multiprocessor systems have three main advantages:
 Increased throughput: By increasing the number of processors, the system
performs more work in less time. The speed-up ratio with N processors is
less than N.
 Economy of scale: Multiprocessor systems can save more money than
multiple single-processor systems because they can share peripherals, mass
storage, and power supplies.
 Increased reliability: If one processor fails to done its task, then each of
the remaining processors must pick up a share of the work of the failed
processor. The failure of one processor will not halt the system, only slow it 27
down.
 OPERATING SYSTEM OVERVIEW

Disadvantages:
 If one processor fails then it will affect in the speed
 Multiprocessor systems are expensive
 Complex OS is required

28
 OPERATING SYSTEM OVERVIEW

 Distributed Operating Systems: In distributed system, the different machines are

connected in a network and each machine has its own processor and own local
memory.
 The processors communicate with one another through various communication lines (
such as high speed buses or telephone lines).
 In this system, the operating systems on all the machines work together to manage
the collective network resource.

29
 OPERATING SYSTEM OVERVIEW

Advantages of Distributed Operating System:

 Failure of one will not affect the other network communication, as all
systems are independent from each other
 Electronic mail increases the data exchange speed
 Since resources are being shared, computation is highly fast and durable
 These systems are easily scalable as many systems can be easily added to
the network
 Delay in data processing reduces
Disadvantages of Distributed Operating System:
 Failure of the main network will stop the entire communication
 To establish distributed systems the language which is used are not well
defined yet
 These types of systems are not readily available as they are very expensive.
 Examples of Distributed Operating System are- LOCUS, etc.

30
 OPERATING SYSTEM OVERVIEW

.Network Operating System:

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

31
 OPERATING SYSTEM OVERVIEW

Advantages:
 Highly stable centralized servers
 Security concerns are handled through servers
 New technologies and hardware up-gradation are easily integrated into the
system
 Server access is possible remotely from different locations and types of
systems
Disadvantages:
 Servers are costly
 User has to depend on a central location for most operations
 Maintenance and updates are required regularly

32
 DOS NOS
The main purpose of distributed operating The main purpose of a network operating
systems is to manage hardware resources. system is to provide services to remote
clients.
In this, communication is done on the basis In this, communication is done on the basis
of message and shared memory. of files.
Distributed Operating System is less Network Operating System is more scalable
scalable than Network Operating System than Distributed Operating System.
Ease of implementation in Distributed Ease of implementation in Network
Operating System is less. Operating System is also high.
In DOS, All nodes have same operating In NOS, All nodes can have different
system. operating system.
In distributed Operating System, fault In Network Operating System, fault
tolerance is high. tolerance is less.
An operating system that manages a group A special operating system that provide
of distinct computers and makes them network-based functionalities.
appear to be a single computer
Helps to share resources and collaborate via Helps to manage data, users, groups,
a shared network to accomplish tasks security and other network related 33
functionalities.
 OPERATING SYSTEM OVERVIEW

Real-Time Operating Systems (RTOS):

▪ A system is said to be real-time system if it is required to complete its work and
deliver it service on time.
▪ Real-time operating system is an operating system intended to serve real time
application that process data as it comes in, without buffer delay.
 Real time operating system is defined as data processing system in which the
interval required to process data between input and output is so small.
 The time taken from input process to output process task is response time.
• Examples of Real-Time Operating Systems are: Scientific experiments, medical
imaging systems, industrial control systems, weapon systems, robots, air traffic
control systems, aircraft control system etc
Types of real-time systems based on timing constraints:
Hard real-time system:
 A hard real-time system guarantees that critical tasks be completed on time. Hard
real time system is purely deterministic and time constraint system.

34
 OPERATING SYSTEM OVERVIEW

 This type of system can never miss its deadline. Missing the
deadline may have disastrous consequences.
 Example: Flight controller system, missile launching system,
satellite system, Air bag control system, Pacemakers etc
Soft real-time system:
 Soft real-time system in which the meeting of deadline is not
compulsory for every time for every task but process should get
processed and the result.
 This type of system can miss its deadline occasionally with some
acceptably low probability.
 Missing the deadline has no disastrous consequences.
 The usefulness of results produced by a soft real-time system
decreases gradually with an increase in processing delay.
 Example: personal computer, online transaction system, Weather
Monitoring Systems,Telephone switches , online transaction etc

35
 OPERATING SYSTEM OVERVIEW

User Mode vs Kernel mode:

User Mode:
 If CPU is executing the user applications then CPU will be in the user
mode.
 The User applications are games, media players, text editor, MS Office
etc.
 Executing code in user mode has no ability to directly access some
resources like Hard Disk, memory, Printer and other I/O devices.
 User mode is also known as restricted mode or non privilege mode.
Kernel mode:
 Kernel mode of OS has full functionality to access and maintain all the
hardware components.
 Hardware components are RAM, HARD, CPU, printer and other I/O
devices.
 Whenever the system call is generated by application, CPU switches to
kernel mode from user mode and System call is executed in kernel mode.
 After execution of system call it returns back to user mode. Kernel mode
also known as system, privileged or supervisory mode 36
 OPERATING SYSTEM OVERVIEW

For example:
 When system is Turn ON then CPU is in kernel mode, by default, because
it load OS into main memory and OS exist in Kernel mode. After log in,
CPU switches to user mode to run user applications.
 Similarly, To open MS WORD we have to double click on that particular
file. As, that file exist in main memory and main memory is a hardware.
 Since, User cannot access the hardware in user mode. User have to
request through system call to open the file in main memory.
 So, OPEN () system call is generated and CPU switch to Kernel mode.
Now OS is in kernel mode, it opens that particular file from main
memory.
 After opening the file, CPU switches back to user mode. Now we are
writing some text in user mode.
 When user want to save the file then WRITE () system call is again
generated. CPU switches to kernel mode to save the file in main memory.

37
 OPERATING SYSTEM OVERVIEW
System call:
 A system call is a request made by a user-level program to the OS to perform
a privileged operation, such as reading from or writing to a file or allocating
memory.
 When System Call is generated then CPU switch form user mode to kernel
mode and performs that particular task and turns back to user mode again.
The system calls are used to perform following operations.
 Creation of new processes.

 Reading and writing, creation or deletion the file

 Network connections, sending and receiving packets.

 Accessing the devices such as a printer, scanner etc.

38
 OPERATING SYSTEM OVERVIEW

There are different types of system calls to perform different tasks:

 Process control
 • end, abort
 • load, execute
 • create process, terminate process
 • get process attributes, set process attributes
 • wait for time
 • wait event, signal event
 • allocate and free memory
 File management:
 • create file, delete file
 • open, close
 • read, write, reposition
 • get file attributes, set file attributes

39
 OPERATING SYSTEM OVERVIEW

Device management:
 • request device, release device
 • read, write, reposition
 • get device attributes, set device attributes
 • logically attach or detach devices
Information maintenance
 • get time or date, set time or date
 • get system data, set system data
 • get process, file, or device attributes
 • set process, file, or device attributes
Communications
 • create, delete communication connection
 • send, receive messages
 • transfer status information
 • attach or detach remote devices

40
 OPERATING SYSTEM OVERVIEW

 • request device, release device

 • read, write, reposition
 • transfer status information
 • attach or detach remote devices

41
 OPERATING SYSTEM OVERVIEW

Operating system structure:

 A system structure for an operating system describes how an OS
is organized and how its different parts interact with each other.
The most common structures of OS are:-
 Simple structure
 Monolithic structure
 Layered structure
 Microkernel structure
 Client server architecture
 Virtual Machine Architecture
Simple structure:
o This type of operating systems does not have well-defined
structure. These are small, simple, and limited systems.
o The interfaces and levels of functionality are not well separated.

42
 OPERATING SYSTEM OVERVIEW

o MS-DOS is an example of such an operating system and has four layers-

o ROM BIOS device drivers, MS-DOS device drivers, system programs and
application programs as shown in fig below.

o Fig.1 Simple structure of OS 43

 OPERATING SYSTEM OVERVIEW

 The basic input/output system (BIOS) is a fundamental device driver that

is stored in a computer's read-only memory (ROM) chip
 MS-DOS device drivers are files that allow the operating system to
communicate with devices like the console, printer, and disk drives
 Resident system program, also known as a terminate-and-stay-resident
(TSR) program, is a program that remains in memory after it has finished
running
 Application program is computer program that performs a specific task for
a user
Advantages:
 Each level can be defined independently and, when necessary, can
interact with each other.
 It is easy for kernel developers to design, manage and update such type of
operating system.
Disadvantages:
 These types of operating systems cause the entire system to crash if one of
the user programs fails.
 Layers are interconnected, and in communication with one another, there
is no abstraction or data hiding. 44
 OPERATING SYSTEM OVERVIEW

Monolithic structure:
 The monolithic operating system controls all aspects of the
operating system's operation, including file management,
memory management, device management, and
operational operations.
 Kernel delivers basic services to all other elements of the
system.
 It serves as the primary interfaces between the operating
system and the hardware.
 An operating system is built into a single piece of
hardware, such as a keyboard or mouse and the kernel can
directly access all of its resources.

45
 OPERATING SYSTEM OVERVIEW

Fig. Monolithic structure:

46
 OPERATING SYSTEM OVERVIEW

Advantages:
 A process runs completely in single address space in the
monolithic kernel.
 The monolithic kernel is a single binary file.

Disadvantages:
 If any service fails in the monolithic kernel, it leads to the
failure of the entire system.
 The entire operating system needs to be modified by the
user to add any new service.
Layered approach:
 Layered structure of OS is the operating system structure in
which whole functionality of OS is divided in to number of layers
with each layer having a well defined specific function.
 The bottom layer (layer 0) is the hardware, and the topmost layer
(layer N) is the user interface.
 These layers are designed such that each layer uses the functions 47
of the lower-level layers.
 OPERATING SYSTEM OVERVIEW

Layered approach cont:

 Thus if the user layer wants to interact with the hardware layer,
the response will be traveled through all the layers from n-1 to 1.
 Windows, Unix are an example of this structure. Similarly, the
Windows NT operating system uses this layered approach as a
part of it
 There are various layers of an operating system such as
Hardware, CPU Scheduling, Memory Management,
Process Management, I/O Buffer, and User Programs that
together form a complete operating system.

48
 OPERATING SYSTEM OVERVIEW

Layer Function

5 User interface

4 I/O management

3 Process management

2 Memory management (primary & secondary)

1 Process allocation (CPU scheduling)

0 Hardware

Fig Layered structure of OS

Layer 0: It interacts with the system hardware like keyword, printer
etc.
Layer 1: this layer allocated space for process in main memory. The
layer 1 software took care of making sure pages were brought into
49
memory at the moment and removed when they are not needed.
 OPERATING SYSTEM OVERVIEW

 Layer 2: It deals with the memory management such as moving a

process from disk to primary memory for execution and after
execution; remove the process from main memory.
 Layer 3: It is responsible for managing the process.
 Layer 4: Care of managing the I/O devices and buffering the
information streams to and from them.
 Layer 5: was where the user programs were found. They did not
have to worry about process, memory, console or I/O management.
Advantages:
 Separation of concerns makes it easier to develop and maintain
individual layers
 Components within a layer can be swapped out without affecting
other layers
 Scalability is improved because layers can be scaled
independently

50
 OPERATING SYSTEM OVERVIEW

Disadvantages:
 Increased complexity due to the number of layers
 This architecture can result in slower performance due to
communication overhead between layers
 Difficult to enforce strict separation between layers, which
can lead to coupling and reduced modularity
Microkernel structure of os:
 A microkernel is an operating system structure that aims
to keep the kernel as small and lightweight as possible.
 It provides only essential services, such as process
scheduling and inter-process communication, while moving
most non-essential services, like device drivers, into user
space.
 Example: Mac OS X by apple.

51
 OPERATING SYSTEM OVERVIEW

Microkernel structure:
 A microkernel is an operating system structure that aims
to keep the kernel as small and lightweight as possible.
 It provides only essential services, such as process
scheduling and inter-process communication, while moving
most non-essential services, like device drivers, into user
space.
 Example: Mac OS X by apple.

 Fig. Microkernel structure 52

 OPERATING SYSTEM OVERVIEW

Advantages:
 easier to extend a microkernel

 Easier to port the operating system to new architectures.

 More reliable since running each device driver and file

system as a separate user process, bug in one of the crash
that component but not entire system.
Disadvantages:
 Increased inter-module communication reduces system
performance.
 System is complex to be constructed.

 Complexity in managing user-space components.

53
 OPERATING SYSTEM OVERVIEW

Client/server structure of operating system:

 The client-server structure of OS refers to a system that hosts,
delivers, and manages most of the resources and services that the
client requests.
 In the client-server architecture, when the client computer sends
a request for data to the server through the internet, the server
accepts the requested process and delivers the data packets
requested back to the client.
 Clients do not share any of their resources.

54
 OPERATING SYSTEM OVERVIEW
Virtual Machine structure:
 First appeared commercially in IBM mainframes in 1972
 A virtual machine is an execution of a computer system within
our physical personal computer.
 A virtual machine allows users to install and run multiple
operating systems in a single PC there by making an illusion that
each separate execution environment is running its own private
computer.
 A virtual machine provides an interface identical to the
underlying bare hardware
 Here resources of computer system are shared to each OS running
by virtual machine.
Advantages
 The virtual-machine concept provides complete protection of
system resources.
 This isolation, however, permits no direct sharing of resources.
 Perfect for OS research and development.
 System development is done on the virtual machine, instead of on 55
a physical machine and so does not disrupt normal system
operation.
 OPERATING SYSTEM OVERVIEW

Disadvantages
 The virtual machine concept is difficult to implement due to the
effort required to provide an exact duplicate to the underlying
machine

56
Fig 1 virtual machine structure of os
 OPERATING SYSTEM OVERVIEW
Q. What is a trap instruction? Explain its use in OS.
 A trap is an interrupt generated by the CPU when a user-level
program attempts to execute a privileged mode instruction or
encounters an error.
 When a trap occurs, the CPU transfers control to the kernel mode
and execute a trap handler.
 The trap handler checks the type of trap and takes appropriate
action (such as such as terminating the program or performing a
privileged operation on behalf of the program).
 To obtain services from the operating system, a user program
must make a system call, which traps in to the kernel and invokes
the operating system.
 When the work has been completed, control is returned to the user
program at the instruction following the system call.
 If a process is running a user program in user mode and needs
system services, such as reading data from a file, it has to execute
a trap instruction to transfer control to the operating system.

57
OPERATING SYSTEM OVERVIEW

58
Fig. trap instruction execution
 OPERATING SYSTEM OVERVIEW
Explanation:
 C and C++ compilers push the parameters on to the stack in
reverse order for historical reasons (having to do with making the
first parameter to printf, the format string, appear on top of the
stack).
 The first and third parameters are called by value, but second
parameter is passed by reference, meaning that the address of the
buffer is passed, not the contents of the buffer.
 Then comes the actual call to the library procedure (step 4).
 This instruction is the normal procedure call instruction used to
call all procedures.
 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).

59
 OPERATING SYSTEM OVERVIEW
 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).
 This procedure then returns to the user program in the usual way
procedure call return (step 10).
 To finish the job, the user program has to clean up the stack, as it
does after any procedure call (step 11).
Note: Traps and system calls are similar in that they both involve
transferring control to the kernel to perform privileged operations.
However, traps are usually generated automatically by the CPU
when a program encounters an error or attempts to execute a
privileged instruction, while system calls are initiated by the
program itself to request privileged operations.
60
 OPERATING SYSTEM OVERVIEW
The History and evolution of Operating Systems
 Operating systems have evolved through a number of distinct
phases or generations, which corresponds roughly to the decades.
 The 1940's - First Generations
 The earliest electronic digital computers had no operating
systems. Machines of the time were so primitive that programs
were often entered one bit at time on rows of mechanical switches
(plug boards).
 Programming languages were unknown (not even assembly
languages). Operating systems were unheard of.
The 1950's - Second Generation:
 By the early 1950's, the routine had improved somewhat with the
introduction of punch cards.
 The General Motors Research Laboratories implemented the first
operating systems in early 1950's for their IBM 701. The system of
the 50's generally ran one job at a time.
 These were called single-stream batch processing systems because
programs and data were submitted in groups or batches. 61
 OPERATING SYSTEM OVERVIEW
The 1960's - Third Generation
 The systems of the 1960's were also batch processing systems, but they
were able to take better advantage of the computer's resources by
running several jobs at once.
 So operating systems designers developed the concept of
multiprogramming in which several jobs are in main memory at once;
a processor is switched from job to job as needed to keep several jobs
advancing while keeping the peripheral devices in use.
 For example, on the system with no multiprogramming, when the
current job paused to wait for other I/O operation to complete, the CPU
simply sat idle until the I/O finished.
 The solution for this problem that evolved was to partition memory
into several pieces, with a different job in each partition. While one job
was waiting for I/O to complete, another job could be using the CPU.
 Another major feature in third-generation operating system was the
technique called SPOOLing (simultaneous peripheral operations on
line).
 In spooling, a high-speed device like a disk interposed between a
running program and a low-speed deviceinvolved with the program in 62
input/output.
 OPERATING SYSTEM OVERVIEW
 Instead of writing directly to a printer, for example, outputs are
written to the disk. Programs can run to completion faster, and other
programs can be initiated sooner when the printer becomes available,
the outputs may be printed.
 Another feature present in this generation was time-sharing
technique, a variant of multiprogramming technique, in which each
user has an on-line (i.e., directly connected) terminal.
 Because the user is present and interacting with the computer, the
computer system must respond quickly to user requests, otherwise
user productivity could suffer.
 Timesharing systems were developed for multiprogramming large
number of simultaneous interactive users.
Fourth Generation:
 With the development of LSI (Large Scale Integration) circuits, chips,
operating system entered in the system entered in the personal
computer and the workstation.
 Microprocessor technology evolved to the point that it became possible
to build desktop computers as powerful as the mainframes of the
1970s. 63
 OPERATING SYSTEM OVERVIEW
 Two operating systems have dominated the personal computer scene:
MS-DOS, written by Microsoft, Inc. for the IBMPC and other machines
using the Intel 8088 CPU and its successors, and UNIX, which is
dominant on the large personal computers using the Motorola 6899
CPU family.

64
Process:
A process is an instance of a program in execution. A process is always stored in the main
memory also termed as the primary memory or random access memory. Therefore, a process is
termed as an active entity. It disappears if the machine is rebooted. Several processes may be
associated with a same program. For e.g., in Windows, if we edit two text files, simultaneously,
in notepad, then it means we are implementing two different instances of the same program. On
a multiprocessor system, multiple processes can be executed in parallel. On a uni-processor
system, a process scheduling algorithm is applied and the processor is scheduled to execute
each process one at a time yielding an illusion of concurrency. For an operating system, these
two instances are separate processes of the same application.

Resources held by process include hardware state, memory, CPU etc. When a program is
loaded into the memory and it becomes a process, it can be divided into four sections: stack,
heap, text and data. The following image shows a simplified layout of a process inside main
memory.

Process memory is divided into four sections for efficient working:

• The Text section is made up of the compiled program code, read in from non-volatile
storage when the program is launched.
• The Data section is made up of the global and static variables, allocated and initialized
prior to executing the main.
• The Heap is used for the dynamic memory allocation, and is managed via calls to new,
delete, malloc, free, etc.
• The Stack is used for local variables. Space on the stack is reserved for local variables
when they are declared.

1
Difference between process and program:

process program
A process is an instance of a program in A program is a group instruction to
execution. perform a specific task.
The resource requirement is quite high in The program only needs memory for
case of a process. storage.
Processes have considerable overhead No significant overhead cost.
The process has a shorter and very limited A program has a longer lifespan as it is
lifespan as it gets terminated after the stored in the memory until it is not
completion of the task. manually deleted.
New processes require duplication of the No such duplication is needed.
parent process.
Process holds resources like CPU, memory The program is stored on disk in some
address, disk, I/O, etc. file and does not require any other
resources.
A process is an active entity. A program is a passive entity.

Process state or process transition diagram:

• A process goes through a series of process states for performing its task.

• As a process executes, it changes state.

• Various events can cause a process to change state are:
New: The process is being created. A program which is going to be picked up by the OS into the
main memory is called a new process.
Ready: After creation process moves to Ready state, i.e. the process is ready for execution.
Whenever a process is created, it directly enters in the ready state, in which, it waits for the CPU

2
to be assigned. i.e. the processes which are ready for the execution reside in the main memory
are called ready state processes.
Running: One of the processes from the ready state will be chosen by the OS depending upon
the scheduling algorithm. Hence, if we have only one CPU in our system, the number of running
processes for a particular time will always be one. The process whose instructions are being
executed is called running process.
Waiting (Block): When a process waits for a certain resource to be assigned or for the input
from the user then the OS move this process to the block or wait state and assigns the CPU to the
other processes.
Terminated (or completed): The process completed its execution. When a process finishes its
execution, it comes in the termination state. All the context of the process (Process Control
Block) will also be deleted the process will be terminated by the Operating system.

Process state diagram with suspended ready state and suspended blocked state:

Suspended ready state:

When the ready queue becomes full, some processes are moved to suspended ready state. A
process in the ready state, which is moved to secondary memory from the main memory due to
lack of the resources (mainly primary memory) is called in the suspend ready state. If the main
memory is full and a higher priority process comes for the execution then the OS have to make
the room for the process in the main memory by throwing the lower priority process out into the
secondary memory. The suspend ready processes remain in the secondary memory until the main
memory gets available.
Suspended blocked state:
When waiting queue becomes full. Instead of removing the process from the ready queue, it's
better to remove the blocked process which is waiting for some resources in the main memory.
Since it is already waiting for some resource to get available hence it is better if it waits in the

3
secondary memory and makes room for the higher priority process. These processes complete
their execution once the main memory gets available and their wait is finished.

Process Control Block (PCB):

• Process Control Block (PCB) is a data structure used by operating system to store all the
information about a process.
• It is also known as Process Descriptor.
• When a process is created, the operating system creates a corresponding PCB.
• Information in a PCB is updated during the transition of process states.
• When a process terminates, its PCB is released.
• Each process has a single PCB.

The PCB of a process contains the following information:

• Process Number: Each process is allocated a unique number for the purpose of
identification.
• Process State: It specifies the current state of a process.
• Program Counter: It indicates the address of next instruction to be executed.
• Registers: These hold the data or result of calculations. The content of these registers is
saved so that a process can be resumed correctly later on.
• Memory Limits: It stores the amount of memory units allocated to a process.
• List of Open Files: It stores the list of open files and there access rights.

Roles of PCB:

• The PCB is most important and central data structure in an OS. Each PCB contains all the
information about a process that is needed by the OS.

4
 • The blocks are read and/or modified by virtually every module in the OS, including those
involved with scheduling, resource allocation, interrupt processing and performance
monitoring and analysis that mean PCB defines the state of OS.
• When CPU switches from one process to another, the operating system uses the Process
Control Block (PCB) to save the state of process and uses this information when control
returns back process is terminated, the Process Control Block (PCB) released from the
memory.
• A context switch is the computing process of storing and restoring the state (context) of a
CPU such that multiple processes can share a single CPU resource. The context switch is
an essential feature of a multitasking operating system.
• Context switches are usually computationally intensive and much of the design of
operating systems is to optimize the use of context switches. There are three scenarios
where a context switch needs to occur: multitasking, interrupt handling, user and kernel
mode switching.
• In a context switch, the state of the first process must be saved so that, when the
scheduler gets back to the execution of the first process, it can restore this state and
continue.
• The state of the process includes all the registers that the process may be using,
especially the program counter, plus any other operating system specific data that may be
necessary. Often, all the data that is necessary for state is stored in one data structure,
called a process control block.

Context switching:
Switching the CPU from one process to another process by saving the current state of running
process in PCB and loading the saved state from PCB for new process is called context
switching. Or the process of switching from one process to another is called context
switching.
Switching steps are:
• Save the context of running (First) in PCB.
• Place the PCB of the next (2nd) process, which has to execute, into the relevant queue i.e.
ready queue, I/O queue etc.
• Select a new (2nd) process for execution.
• Update the PCB of 2nd process by changing the state to running in PCB.
• Update the memory management data if required.

5
 • After the execution of second process, restore the context of the first process on CPU.

Fig: Showing CPU switches from process to process

Thread:

• A thread is a lightweight process or it is the entity within a process that can be scheduled
for execution.
• A thread is a subset of the process.
• A process is always stored in the main memory also termed as the primary memory or
random access memory.
• All threads of a process share its virtual address space and system resources and process
attributes.
• In addition, each thread maintains exception handlers, a scheduling priority, thread local
storage, a unique thread identifier, and a set of structures the system will use to save the
thread context until it is scheduled.
• The thread context includes the thread's set of machine registers, the kernel stack, a
thread environment block, and a user stack in the address space of the thread's process.
• On a uni-processor system, a thread scheduling algorithm is applied and the processor is
scheduled to run each thread one at a time.

Why Threads?

• Process with multiple threads makes a great server (e.g. print server)
• Increase responsiveness, i.e. with multiple threads in a process, if one threads blocks
then other can still continue executing
• Sharing of common data reduce requirement of inter-process communication

6
 • Proper utilization of multiprocessor by increasing concurrency
• Threads are cheap to create and use very little resources
• Context switching is fast (only have to save/reload PC, Stack, SP, Registers)

7
Difference between process and thread:

The major difference between processes and thread is:

Each process has their own address space. Threads share the address space of the process
that created it.
Each process has their own copy of the data, Threads share the same copy of data, code
code and file segment. and file segment.
Processes must use inter process Threads can directly communicate with other
communication to communicate with sibling threads of its process;
processes.
More resources are required Fewer resources are required
New processes require duplication of the New threads are easily created
parent process
Not suitable for parallelism Suitable for parallelism
A change to the parent process does not affect Changes to the main thread (cancellation,
child processes.(blocking the process does not priority change, etc.) may affect the behavior
affect the other process) of the other threads of the process;
System call is involved in process. (for example There is no system call is involved in thread.
(is api which create thread)
fork())
Context switching is slow Context switching is faster.

Threads Implementation
Threads are implemented in following two ways:
• User Level Threads -- User managed threads
• Kernel Level Threads -- Operating System managed threads acting on kernel, an
operating system core.

User Level Thread:

User threads are supported at user level. In this case, the thread management kernel is not aware
of the existence of threads. The thread library contains code for creating and destroying threads,
for passing message and data between threads, for scheduling thread execution and for saving
and restoring thread contexts. In fact, the kernel knows nothing about user-level threads and
manages them as if they were single-threaded processes.

8
Advantages:
• The user threads can be easily implemented than the kernel thread.
• User-level threads can be applied to such types of operating systems that do not support
threads at the kernel-level.
• It is faster and efficient.
• Context switch time is shorter than the kernel-level threads.
• It does not require modifications of the operating system.
Disadvantages:
• User-level threads lack coordination between the thread and the kernel.
• If a thread causes a page fault, the entire process is blocked.

Kernel-Level Threads:
In this method, the kernel knows about and manages the threads. Instead of process table in each
process, the kernel has a thread table that keeps track of all threads in the system. Scheduling by
the Kernel is done on a thread basis. The Kernel performs thread creation, scheduling and
management in Kernel space. Kernel threads are generally slower to create and manage than the
user threads.

Advantages:
• The kernel-level thread is fully aware of all threads.

9
 • The scheduler may decide to spend more CPU time in the process of threads being large
numerical.
• The kernel-level thread is good for those applications that block the frequency.
Disadvantages:
• The kernel thread manages and schedules all threads.
• The implementation of kernel threads is difficult than the user thread.
• The kernel-level thread is slower than user-level threads.

Hybrid thread:
Some operating system provides a combined user level thread and Kernel level thread facility.
Solaris is a good example of this combined approach. In a combined system, multiple threads
within the same application can run in parallel on multiple processors and a blocking system call
need not block the entire process. For example: Solaris

Difference between User level thread and Kernel level thread:

User level thread Kernel level thread

User threads are implemented by users. Kernel threads are implemented by OS.

OS doesn’t recognize user level threads. Kernel threads are recognized by OS.

Implementation of user threads is easy. Implementation of Kernel thread is

complicated.

Context switch time is less. Context switch time is more.

Context switch requires no hardware Hardware support is needed.

support.

If one user level thread performs blocking If one kernel thread performs blocking
operation then entire process will be operation then another thread can continue
blocked. execution.

User level thread is generic and can run on Kernel level thread is specific to the
any operating system. operating system.

Ex- Java thread, posix thread Ex- Windows, Solaries thread

10
Multithreading:
The use of multiple threads in a single program, all running at the same time and performing
different tasks is known as multithreading. Multithreading is a type of execution model that
allows multiple threads to exist within the context of a process such that they execute
independently but share their process resources. It enables the processing of multiple threads at
one time, rather than multiple processes.
Multithreading Model:
A relationship must exist between user threads and kernel threads. There are three models related
to user and kernel and they are:
➢ Many to many relationships: it maps many user threads to single kernel threads
➢ Many to one relationship: it maps many user threads to single kernel threads.
➢ One to one relationship: it mach each user thread to a corresponding
Kernel thread
Many -To -many model.
• The many-to-many model multiplexes any number of user threads onto an equal or
smaller number of kernel threads, combining the best features of the one-to-one and
many-to-one models.
• Users have no restrictions on the number of threads created.
• Blocking kernel system calls do not block the entire process.
• Processes can be split across multiple processors.
• Individual processes may be allocated variable numbers of kernel threads, depending on
the number of CPUs present and other factors.
• IRIX, HP-UX,andTru64 UNIX (Solaris prior to v9) uses Many-to-Many

Many-To-One Model:
• In the many-to-one model, many user-level threads are all mapped onto a single kernel
thread.
• Thread management is handled by the thread library in user space, which is very
efficient.
• However, if a blocking system call is made, then the entire process blocks, even if the
other user threads would otherwise be able to continue.
• Because a single kernel thread can operate only on a single CPU, the many-to-one model
does not allow individual processes to be split across multiple CPUs.
• Green threads for Solaris and GNU Portable Threads implement the many-to-one model
in the past, but few systems continue to do so today.
• Solaris uses Many-to-One

11
One-To-One Model:
• The one-to-one model creates a separate kernel thread to handle each user thread.
• This model provides more concurrency than the many to one model. It has also another
thread to run when a thread makes a blocking system call.
• It supports multiple threads to execute in parallel on microprocessors.
• One-to-one model overcomes the problems listed above involving blocking system calls
and the splitting of processes across multiple CPUs.
• However the overhead of managing the one-to-one model is more significant, involving
more overhead and slowing down the system.
• Linux, OS/2, Windows NT and windows 2000 use one to one relationship model.

Fig One-to-one model

Process Scheduling:
Scheduling: Scheduling refers to a set of policies and mechanism built in to the operating
system that govern the order in which the work to be done by a computer system.
This method of selecting a process to be allocated to CPU is called Process Scheduling.
Technical terms used in scheduling:
Ready queue: The processes waiting to be assigned to a processor are put in a queue, called
ready queue.
Burst time: The time for which a process holds the CPU is known as burst time.
Arrival time: Arrival Time is the time at which a process arrives at the ready queue.
Turnaround time: The interval from the time of submission of a process to the time of

12
completion is the turnaround time. Or Time Difference between completion time and arrival
time. i.e. TAT= CT - AT
Waiting time: Waiting time is the amount of time a process has been waiting in the ready queue
or Time Difference between turnaround time and burst time. i.e.WT = TAT - BT
Response Time: Time between submission of requests and first response to the request.
Throughput: number of processes completed per unit time.
Dispatch latency – It is the time it takes for the dispatcher to stop one process and start another
running
Context switch: A context switch is the computing process of storing and restoring the state
(context) of a CPU so that execution can be resumed from the same point at a later time. This
enables multiple processes to share a single CPU.
Optimal scheduling algorithm will have minimum waiting time, minimum turnaround time and
minimum number of context switches.
Schedule:
Schedulers are special system software which handles process scheduling in various ways. Their
main task is to select the jobs to be submitted into the system and to decide which process to run.
Types of Scheduler
➢ Long term scheduler
➢ Mid - term scheduler
➢ Short term scheduler
Long term scheduler:
Long term scheduler is also known as job scheduler.
The duty of the long-term scheduler is to bring the processes from the job pool (secondary
memory) and keeps them in the ready queue maintained in the primary memory for execution.
So, the long-term scheduler decides which process is to be created to put into the ready state. The
purpose of long term scheduler is to choose a perfect mix of IO bound (a process is said to be I/O
bound if the majority of the time is spent on the I/O operation) and CPU bound (a process is said
to be CPU bound if the majority of the time is spent on the CPU) processes among the jobs
present in the pool. If the job scheduler chooses more IO bound processes then all of the jobs
may reside in the blocked state all the time and the CPU will remain idle most of the time.

Medium term scheduler:

The task of moving from main memory to secondary memory is called swapping out. The task of
moving back a swapped out process from secondary memory to main memory is known as
swapping in. Medium term scheduler takes care of the swapped out processes. The medium term
scheduler is responsible for suspending and resuming the processes. If the running state
processes needs some I/O time for the completion then there is a need to change its state from
running to waiting. It removes the process from the running state to make room for the other
processes. It reduces the degree of multiprogramming. The swapping is necessary to have a
perfect mix of processes in the ready queue.

13
Short term scheduler:
Short term scheduler is also known as CPU scheduler. It selects one of the Jobs from the ready
queue and dispatch to the CPU for the execution.
A scheduling algorithm is used to select which job is going to be dispatched for the execution.
The Job of the short term scheduler can be very critical in the sense that if it selects job whose
CPU burst time is very high then all the jobs after that, will have to wait in the ready queue for a
very long time.
This problem is called starvation which may arise if the short term scheduler makes some
mistakes while selecting the job.
Process Queues:
The Operating system manages various types of queues for each of the process states. The PCB
related to the process is also stored in the queue of the same state. There are the following queues
maintained by the Operating system.
Job Queue:
In starting, all the processes get stored in the job queue. It is maintained in the secondary
memory. The long term scheduler (Job scheduler) picks some of the jobs and put them in the
primary memory.

Ready Queue:
Ready queue is maintained in primary memory. The short term scheduler picks the job from the
ready queue and dispatch to the CPU for the execution.
Waiting Queue:
When the process needs some I/O operation in order to complete its execution, OS changes the
state of the process from running to waiting. The context (PCB) associated with the process gets
stored on the waiting queue which will be used by the Processor when the process finishes the
I/O.

14
Scheduling Objectives:
• Fairness: Fairness can be reflected by treating all the processes same and no process
should suffer indefinite postponement.
• Maximum throughput: The throughput of a system is the number of processes (or
threads) that actually complete in a period of time.
• Resource: Scheduling mechanism should keep the resources of the system busy.
• Priorities: Scheduling mechanism should favor the high priorities process.
• Overhead: A certain portion of the system resources invested as overhead can greatly
improve the overall performance of the system.
• Predictable: A given job should run in about the same amount of time and at the cost
irrespective of the load on the system.

Scheduling criteria: The criteria used for comparing these algorithms include the following:
• CPU Utilization: Keep the CPU as busy as possible. It ranges from 0 to 100%.
In practice, it ranges from 40 to 90%.
• Throughput: Throughput is the rate at which processes are completed per unit of time.
• Turnaround time: This is the how long a process takes to execute a process. It is
calculated as the time gap between the submission of a process and its completion.
• Waiting time: Waiting time is the sum of the time periods spent in waiting in the ready
queue.
• Response time: Response time is the time it takes to start responding from submission
time. It is calculated as the amount of time it takes from when a request was submitted
until the first response is produced.
• Fairness: Each process should have a fair share of CPU.

Process scheduling Types:

In an operating system (OS), a process scheduler performs the important activity of scheduling a
process between the ready queues and waiting queue and allocating them to the CPU. The OS
assigns priority to each process and maintains these queues. The scheduler selects the process
from the queue and loads it into memory for execution.
There are two types of process scheduling:
1. Preemptive scheduling
2. Non-preemptive scheduling.
1. Preemptive Scheduling
The scheduling in which a running process can be interrupted if a high priority process enters the
queue and is allocated to the CPU is called preemptive scheduling. In this case, the current
15
process switches from the running queue to ready queue and the high priority process utilizes the
CPU cycle.
2. Non-preemptive Scheduling
The scheduling in which a running process cannot be interrupted by any other process is called
non-preemptive scheduling. Any other process which enters the queue has to wait until the
current process finishes its CPU cycle.

Difference between preemptive and non preemptive scheduling:

Preemptive Scheduling Non-preemptive Scheduling

A processor can be preempted to execute Once the processor starts its execution, it must
the different processes in the middle of finish it before executing the other. It can’t be
any current process execution. paused in the middle.
CPU utilization is more efficient CPU utilization is less efficient compared to
compared to Non-Preemptive preemptive Scheduling.
Scheduling.
Waiting and response time of preemptive Waiting and response time of the non-preemptive
Scheduling is less. Scheduling method is higher.
Preemptive Scheduling is prioritized. When any process enters the state of running, the
The highest priority process is a process state of that process is never deleted from the
that is currently utilized scheduler until it finishes its job.
Preemptive Scheduling is flexible. Non-preemptive Scheduling is rigid.
Examples: – Shortest Remaining Time Examples: First Come First Serve, Shortest Job
First, Round Robin, etc. First, Priority Scheduling, etc.

Preemptive Scheduling algorithm can be In non-preemptive scheduling process cannot be

pre-empted that is the process can be Scheduled
Scheduled
In this process, the CPU is allocated to In this process, CPU is allocated to the process
the processes for a specific time period. until it terminates or switches to the waiting
state.
Preemptive algorithm has the overhead Non-preemptive Scheduling has no such
of switching the process from the ready overhead of switching the process from running
state to the running state and vice-versa. into the ready state and terminates.

Advantages of Preemptive Scheduling:

• Preemptive scheduling method is more robust, approach so one process cannot
monopolize the CPU
• Choice of running task reconsidered after each interruption.
• Each event cause interruption of running tasks

16
 • The OS makes sure that CPU usage is the same by all running process.
• In this, the usage of CPU is the same, i.e., all the running processes will make use of CPU
equally.
• This scheduling method also improvises the average response time.
• Preemptive Scheduling is beneficial when we use it for the multi-programming
environment.

Disadvantages of Preemptive Scheduling:

• Takes a higher time by the scheduler to suspend the running task, switch the context, and
dispatch the new incoming task.
• The process which has low priority needs to wait for a longer time if some high priority
processes arrive continuously.
Advantages of Non-preemptive Scheduling
• Offers low scheduling overhead
• Tends to offer high throughput
• It is conceptually very simple method
• Less computational resources need for Scheduling
Disadvantages of Non-Preemptive Scheduling:
• It can lead to starvation especially for those real-time tasks
• Bugs can cause a machine to freeze up
• It can make real-time and priority Scheduling difficult
• Poor response time for processes

CPU Scheduling Algorithm: The rule or set of rules that is followed to schedule the process is
known as process scheduling algorithm.CPU Scheduling deals with the problem of deciding
which of the processes in the ready queue is to be allocated first to the CPU. Following are the
commonly used scheduling algorithms:
▪ First-Come-First-Served (FCFS)
▪ Shortest Job First (SJF)
▪ Round-Robin Scheduling (RR)
▪ Priority Scheduling
▪ Multi-Level Queue Scheduling (MLQ)
▪ Multi-Level Feedback Queue Scheduling (MFQ)
First Come First Serve (FCFS):
• First Come First Serve (FCFS) is an operating system scheduling algorithm that
automatically executes queued requests and processes in order of their arrival.
• In this type of algorithm, processes which request the CPU first, get the CPU allocation
first.
• This is managed with a FIFO queue. As the process enters the ready queue, its PCB
(Process Control Block) is linked with the tail of the queue and, when the CPU becomes
free, it should be assigned to the process at the beginning of the queue.
• FCFS scheduling algorithm is non-preemptive.
• Once the CPU is allocated to a process, that process keeps the CPU until it releases the
CPU, either by terminating or by I/O request.

17
Example: Consider the following example

Process Burst Time (in milliseconds)

P1 3
P2 5
P3 2
P4 4

Using FCFS algorithm find the average waiting time and average turnaround time if the order is
P1, P2, P3, P4.
Sol:
If the process arrived in the order P1, P2, P3, P4 then according to the FCFS the Gantt chart will
Be:

P1 P2 P3 P4

0 3 8 10 14
The waiting time for process P1 = 0, P2 = 3, P3 = 8, P4 = 10 then the turnaround time for
process P1 = 0 + 3 = 3, P2 = 3 + 5 = 8, P3 = 8 + 2 = 10, P4 = 10 + 4 =14.
Then average waiting time = (0 + 3 + 8 + 10)/4 = 21/4 = 5.25
Average turnaround time = (3 + 8 + 10 + 14)/4 = 35/4 = 8.75
The FCFS algorithm is non preemptive means once the CPU has been allocated to a process then
the process keeps the CPU until the release the CPU either by terminating or requesting I/O.

Example1:
Consider the following set of processes that arrive at time 0 with the length of the CPU burst
time in milliseconds:

Process Burst Time (in milliseconds)

P1 24
P2 3
P3 3
Soln:
• Suppose that the processes arrive in the order: P1, P2, P3.
• The Gantt chart for the schedule is:

Now,
Waiting Time for P1 = 0 milliseconds
18
 Waiting Time for P2 = 24 milliseconds
Waiting Time for P3 = 27 milliseconds
Average Waiting Time = (Total Waiting Time) / No. of Processes
= (0 + 24 + 27) / 3
= 51 / 3
= 17 millisecond
Suppose that the processes arrive in the order: P2 , P3 , P1
The Gantt chart for the schedule is:

Waiting Time for P2 = 0 milliseconds

Waiting Time for P3 = 3 milliseconds
Waiting Time for P1 = 6 milliseconds
Average Waiting Time = (Total Waiting Time) / No. of Processes
= (0 + 3 + 6) / 3
= 9 / 3 = 3 milliseconds
Thus, the average waiting time depends on the order in which the processes arrive.
Example2:
Consider the following set of processes that arrives at time 0, with the length of the CPU burst
given in milliseconds:

Process Arrival Time Burst Time (in milliseconds)

P1 0 10
P2 1 6
P3 3 2
P4 5 4
Find:
1. Average Turnaround Time (ATAT) (ans 14.25)
2. Average Waiting Time (AWT) (ans 8.75)
3. Waited TAT (WTAT) (ans 1.295)
4. Average WTAT (AWTAT) (ans 14.25)

Example3: Consider the set of 5 processes whose arrival time and burst time are given below-

Process Arrival Time Burst Time (in milliseconds)

P1 3 4
P2 5 3
P3 0 2
P4 5 1
P5 4 3

19
If the CPU scheduling policy is FCFS, calculate the average waiting time and average
turnaround time.
Soln:
Gantt Chart-

We know-
Turn Around time = Exit time – Arrival time
Waiting time = Turn Around time – Burst time

Process Arrival Burst Time (in Completion Turn Waiting

Time milliseconds) time Around Time
time Wt=tat-bt
P1 3 4 7 7-3=4 4-4=0
P2 5 3 13 13-5=8 8-3=5
P3 0 2 2 2-0=2 2-2=0
P4 5 1 14 14-5=9 9-1=8
P5 4 3 10 10-4=6 6-3=3
Now,
Average Turn Around time = (4 + 8 + 2 + 9 + 6) / 5 = 29 / 5 = 5.8 unit
Average waiting time = (0 + 5 + 0 + 8 + 3) / 5 = 16 / 5 = 3.2 unit
Example4: Consider the set of 3 processes whose arrival time and burst time are given below-
Process Arrival Time Burst Time
P1 0 2
P2 3 1
P3 5 6

If the CPU scheduling policy is FCFS, calculate the average waiting time and average turn
around time.
Soln:
Gantt Chart-

Process Arrival Burst Time (in Completion Turn Waiting

Time milliseconds) time Around Time

20
 time Wt=tat-bt
P1 0 2 2 2-0=2 2-2=0
P2 3 1 4 4-3=1 1-1=0
P3 5 6 11 11-5=6 6-6=0

Now,
Average Turn Around time = (2 + 1 + 6) / 3 = 9 / 3 = 3 unit
Average waiting time = (0 + 0 + 0) / 3 = 0 / 3 = 0 unit

Characteristics of FCFS method

• It supports non-preemptive scheduling algorithm.
• Jobs are always executed on a first-come, first-serve basis.
• It is easy to implement and use.
• This method is poor in performance, and the general wait time is quite high.

Example of FCFS scheduling

A real-life example of the FCFS method is buying a movie ticket on the ticket counter. In this
scheduling algorithm, a person is served according to the queue manner. The person who arrives
first in the queue first buys the ticket and then the next one. This will continue until the last
person in the queue purchases the ticket. Using this algorithm, the CPU process works in a
similar manner.

Advantages of FCFS
• The simplest form of a CPU scheduling algorithm
• Easy to program
• First come first served

Disadvantages of FCFS
• It is a Non-Preemptive CPU scheduling algorithm, so after the process has been allocated
to the CPU, it will never release the CPU until it finishes executing.
• The Average Waiting Time is high.
• Short processes that are at the back of the queue have to wait for the long process at the
front to finish.
• Not an ideal technique for time-sharing systems.
• Because of its simplicity, FCFS is not very efficient.

Shortest Job First Scheduling (SJF):

• In SJF, the process with the least estimated execution time is selected from the ready
queue for execution.
• It associates with each process, the length of its next CPU burst.
• When the CPU is available, it is assigned to the process that has the smallest next CPU
burst.
• If two processes have the same length of next CPU burst, FCFS scheduling is used.
• SJF algorithm can be preemptive or non-preemptive.

21
Non-Preemptive SJF:
• In non-preemptive scheduling, CPU is assigned to the process with least CPU burst time.
• The process keeps the CPU until it terminates.
Advantage:
• It gives minimum average waiting time for a given set of processes.
Disadvantage:
• It requires knowledge of how long a process will run and this information is usually not
available.
Example of Non-Preemptive:
Consider the following set of processes that arrive at time 0 with the length of the CPU burst
time in milliseconds:

Process Burst Time (in milliseconds)

P1 6
P2 8
P3 7
P4 3
Soln:
The Gantt chart for the schedule is:

Waiting Time for P4 = 0 milliseconds

Waiting Time for P1 = 3 milliseconds
Waiting Time for P3 = 9 milliseconds
Waiting Time for P2 = 16 milliseconds
Average Waiting Time = (Total Waiting Time) / No. of Processes
= (0 + 3 + 9 + 16 ) / 4
= 28 / 4 = 7 milliseconds
Example2:
Consider the set of 5 processes whose arrival time and burst time are given below-

Process Arrival Time Burst Time (in milliseconds)

P1 3 1
P2 1 4
P3 4 2
P4 0 6
P5 2 3

22
If the CPU scheduling policy is SJF non-preemptive, calculate the average waiting time and
average turn around time.
Soln:

Process Arrival Burst Time (in Completion Turn Waiting

Time milliseconds) time Around Time
time Wt=tat-bt
P1 3 1 7 7-3=4 4-1=3
P2 1 4 16 16-1=15 15-4=11
P3 4 2 9 9-4=5 5-2=3
P4 0 6 6 6-0=6 6-6=0
P5 2 3 12 12-2=10 10-3=7

Now,
Average Turn Around time = (4 + 15 + 5 + 6 + 10) / 5 = 40 / 5 = 8 unit
Average waiting time = (3 + 11 + 3 + 0 + 7) / 5 = 24 / 5 = 4.8 unit
Example3:
-

Preemptive SJF or (shortest remaining time first (SRTF)):

• In preemptive SJF, the process with the smallest estimated run-time is executed first.
• Any time a new process enters into ready queue, the scheduler compares the expected
run-time of this process with the currently running process.
If the new process’s time is less, then the currently running process is preempted and the CPU is
allocated to the new process

Example of Preemptive SJF (SRTF):

Consider the following set of processes. These processes arrived in the ready queue at the times
given in the table:

Process Arrival Time Burst Time (in milliseconds)

P1 0 8
P2 1 4
P3 2 9
P4 3 5

23
The Gantt chart for the schedule is:

Waiting Time for P1 = 10 – 1 – 0 = 9

Waiting Time for P2 = 1 – 1 = 0
Waiting Time for P3 = 17 – 2 = 15
Waiting Time for P4 = 5 – 3 = 2
Average Waiting Time = (Total Waiting Time) / No. of Processes
= (9 + 0 + 15 + 2) / 4
= 26 / 4
= 6.5 milliseconds
Explanation:
Process P1 is started at time 0, as it is the only process in the queue.
Process P2 arrives at the time 1 and its burst time is 4 milliseconds.
This burst time is less than the remaining time of process P1 (7 milliseconds). So, process P1 is
preempted and P2 is scheduled

Example2: Consider the set of 5 processes whose arrival time and burst time are given below
Process Arrival Time Burst Time
P1 3 1
P2 1 4
P3 4 2
P4 0 6
P5 2 3

If the CPU scheduling policy is SJF preemptive, calculate the average waiting time and average
turn around time.

Soln:

Process Arrival Burst Time Completion Turn Around Waiting

Time Time Time Time
ct=tat-at Wt=tat-bt

24
 P1 3 1 4 4-3=1 1-1=0
P2 1 4 6 6-1=5 5-4=1
P3 4 2 8 8-4=4 4-2=2
P4 0 6 16 16-0=16 16-6=10
P5 2 3 11 11-2=9 9-3=6
Now,
Average Turn Around time = (1 + 5 + 4 + 16 + 9) / 5 = 35 / 5 = 7 unit
Average waiting time = (0 + 1 + 2 + 10 + 6) / 5 = 19 / 5 = 3.8 unit

Example3: Consider the set of 6 processes whose arrival time and burst time are given below-

Process Arrival Time Burst Time

P1 0 7
P2 1 5
P3 2 3
P4 3 1
P5 4 2
P6 5 1

If the CPU scheduling policy is shortest remaining time first, calculate the average waiting time
and average turn around time.

Soln: Gantt chart

Arrival Burst Time Completion Turn Around Waiting

Process Time Time Time Time
ct=tat-at wt=tat-bt
P1 0 7 19 19-0=19 19-7=12
P2 1 5 13 13-1=12 12-5=7
P3 2 3 6 6-2=4 4-3=1
P4 3 1 4 4-3=1 1-1=0
P5 4 2 9 9-4=5 5-2=3
P6 5 1 7 7-5=2 2-1=1
Now,
Average Turn Around time = (19 + 12 + 4 + 1 + 5 + 2) / 6 = 43 / 6 = 7.17 unit
25
 Average waiting time = (12 + 7 + 1 + 0 + 3 + 1) / 6 = 24 / 6 = 4 unit
Exampe4:
Consider the set of 3 processes whose arrival time and burst time are given below-

Arrival
Process Id Burst time
time

P1 0 9

P2 1 4

P3 2 9

If the CPU scheduling policy is SRTF, calculate the average waiting time and average turn
around time.
Soln:

Ans:Average Turn Around time = (13 + 4 + 20) / 3 = 37 / 3 = 12.33 unit

Average waiting time = (4 + 0 + 11) / 3 = 15 / 3 = 5 unit
Priority Scheduling:
A priority is associated with each process, and the CPU is allocated to the process with the
highest priority. Equal priorities are scheduled in FCFS order. Priorities are generally indicated
by some fixed range of numbers and there is no general method of indicating which is the
highest or lowest priority, it may be either increasing or decreasing order.
Priority can be defined either internally or externally.
• Internally defined priorities use some measurable quantity to compute the priority of a
process. For example, time limits, memory requirements, the number of open files and
the ratio of average I/O burst to average CPU burst has been used in computing
priorities.

26
 • External priorities are set by criteria outside the OS, such as importance of process, the
type and amount of funds being paid for computer user, and other political factors.
Priority scheduling can be either preemptive or non-preemptive.
• When a process arrives at the ready queue, its priority is compared with the priority of
currently running process. A preemptive priority scheduling algorithm will preempt the
CPU if the priority of the newly arrived process is higher than the priority of the currently
running process.
• A non-preemptive priority scheduling algorithm will simply put the new process at the
head of the ready queue.
• A major problem of such scheduling algorithm is indefinite blocking or starvation. A
process that is ready to run but waiting for the CPU can be considered blocked
Example: Non preemptive priority
Consider following set of processes, assumed to have arrived at time 0 in order P1, P2, …, P5
with the length of the CPU burst given in milliseconds

Process Burst Time (in priority

milliseconds)
P1 10 3
P2 1 1
P3 2 4
P4 1 5
P5 5 2

Soln:
Priority scheduling Gantt chart

Average waiting time = (6 + 0 + 16 + 18 + 1) / 5 = 41 / 5 = 8.2 milliseconds

Example: preemptive priority scheduling

Process Arrival Time Priority Burst Time
P1 0 ms 3 3 ms
P2 1 ms 2 4 ms
P3 2 ms 4 6 ms
P4 3 ms 6 4 ms
P5 5 ms 10 2 ms

27
Soln:
Gnatt chart for this is :

The calculation table is :

Total Turn Around Time = 7 + 4 + 11 + 14 + 14 = 50 ms

Average Turn Around Time = (Total Turn Around Time)/(no. of processes) = 50/5 = 10.00 ms
Total Waiting Time = 4 + 0 + 15 + 10 + 12 = 41 ms
Average Waiting Time = (Total Waiting Time)/(no. of processes) = 41/5 = 8.20 ms
Total Response Time = 0 + 0 + 5 + 10 + 12 = 27 ms
Average Response Time = (Total Response Time)/(no. of processes) = 27/5 = 5.40 ms
Round Robin Scheduling (RR):
• Round Robin is a CPU scheduling algorithm where each process is assigned a fixed
time slot in a cyclic way.
• This small amount of time is known as Time Quantum or Time Slice. A time quantum is
generally from 10 to 100 milliseconds.
• It is basically the pre-emptive version of First come First Serve CPU Scheduling
algorithm.
• If a process does not complete before its time slice expires, the CPU is preempted and is
given to the next process in the ready queue.
• The preempted process is then placed at the tail of the ready queue.
• If a process is completed before its time slice expires, the process itself releases the CPU.
• The scheduler then proceeds to the next process in the ready queue.
• The performance of Round Robin scheduling depends on several factors:
• Size of Time Quantum.
• Context Switching Overhead

Characteristics of Round-Robin Scheduling

28
 • Round robin is a pre-emptive algorithm
• The CPU is shifted to the next process after fixed interval time, which is called time
quantum/time slice.
• The process that is preempted is added to the end of the queue.
• Round robin is a hybrid model which is clock-driven
• Time slice should be minimum, which is assigned for a specific task that needs to be
processed. However, it may differ from OS to OS.
• It is a real time algorithm which responds to the event within a specific time limit.
• Round robin is one of the oldest, fairest, and easiest algorithms.
• Widely used scheduling method in traditional OS.
Example of Round Robin Scheduling:
Consider the following set of processes that arrive at time 0 with the length of the CPU burst
time in milliseconds:

Process Burst Time (in

milliseconds)
P1 10
P2 5
P3 2

Time quantum is of 2 milliseconds.

Soln:
The Gantt chart for the schedule is:

P1 P2 P3 P1 P2 P1 P2 P1 P1
0 2 4 6 8 10 12 13 15 17

Average waiting time=(P1+P2+p3)/3

={{(6-2)+(10-8)+(13-12)}+{2+(8-4)+(12-10)}+4}/3
=(7+8+4)/3
=6.3 ms
Example2. Consider the following set of processes that arrive at time 0, with the length of the
CPU burst given in milliseconds.
Example 1: Quantum time = 4

Process Burst Time (in

milliseconds)
P1 24
P2 3
P3 3

Soln: The Gantt chart for the schedule is:

P1 P2 P3 P1 P1 P1 P1 P1
0 4 7 10 14 18 22 26 30

29
 Average time: = (P1 + P2 + P3) / 3
= [ (10 – 4) + 4 + 7] / 3
= 17 / 3
= 5.66 milliseconds

Example2. 3. Consider the following set of processes that arrive at given time, with the length of
the CPU burst given in milliseconds. Calculate AWT, ATAT,
TQ= 2

Process Burst Time (in Arrival time

milliseconds)
P1 4 0
P2 5 1
P3 2 2
P4 1 3
P5 6 4
P6 3 6

Soln: The Gantt chart for the scheduling is:

P1 P2 P3 P1 P4 P5 P2 P6 P5 P2 P6 P5
0 2 4 6 8 9 11 13 15 17 18 19 21

Process Burst Time Arrival time FT TAT WT

(ms) =FT-AT =TAT-BT
P1 4 0 8 18 4
P2 5 1 18 17 12
P3 2 2 6 4 2
P4 1 3 9 6 5
P5 6 4 21 17 11
P6 3 6 19 13 10

ATAT=(18+17+4+6+17+13)/6=12.5 ms
AWT=(4+12+2+5+11+10)/6=

Example 4 Consider the following set of processes that arrive at given time, with the length of
the CPU burst given in milliseconds. Calculate AWT, ATAT,

30
TQ= 20

Process Burst Time (in Waiting Time

milliseconds)
P1 53 0 + (77 – 20) + (121 – 97) = 81
P2 17 20
P3 68 37 + (97 – 57) + (134 – 117) = 94
P4 24 57 + (117 – 77) = 97

Soln: The Gantt chart for the scheduling is:

P1 P2 P3 P4 P1 P3 P4 P1 P3 P3

0 20 37 57 77 97 117 121 134 154 162

Average Waiting Time:

= (P1 + P2 + P3 + P4) / 4
= [{0 + (77 – 20) + (121 – 97)} + 20 + {37 + (97-57) + (134 – 117)} + {57 + (117 – 77)}] / 4
= (81+20+94+97) / 4
= 73 milliseconds

Advantage of Round-robin Scheduling:

• It doesn’t face the issues of starvation or convoy effect.
• All the jobs get a fair allocation of CPU.
• It deals with all process without any priority
• If you know the total number of processes on the run queue, then you can also assume the
worst-case response time for the same process.
• This scheduling method does not depend upon burst time. That’s why it is easily
implementable on the system.
• Once a process is executed for a specific set of the period, the process is preempted, and
another process executes for that given time period.
• Allows OS to use the Context switching method to save states of preempted processes.
• It gives the best performance in terms of average response time.

Disadvantages of Round-robin Scheduling:

• If slicing time of OS is low, the processor output will be reduced.
• This method spends more time on context switching
• Its performance heavily depends on time quantum.
• Priorities cannot be set for the processes.
• Round-robin scheduling doesn’t give special priority to more important tasks.

31
 • Decreases comprehension
• Lower time quantum results in higher the context switching overhead in the system.
• Finding a correct time quantum is a quite difficult task in this system.

Multilevel Queue Scheduling:

• Multi-level queue scheduling was created for situation in which processes are easily
classified into different groups.
• In multilevel queue Processes are divided into different queue based on their type.
• Process are permanently assigned to one queue, generally based on some property of
process i.e. system process, interactive, batch system, end user process, memory size,
process priority and process type.
• Each queue has its own scheduling algorithm. For example, interactive process may use
round robin scheduling method, while batch job uses the FCFS method.
• In addition, there must be scheduling among the queue and is generally implemented as
fixed priority preemptive scheduling.
• Foreground process may have higher priority over the background process

32
Two level scheduling:
Two-level scheduling is an efficient scheduling method that uses two schedulers to perform
process scheduling.
Consider the example:
Suppose a system has 50 running processes all with equal priority and the system’s memory can
only hold 10 processes simultaneously. Thus, 40 processes are always swapped out and written
on virtual memory on the hard disk. To swap out and swap in a process, it takes 50 ms
respectively.

Let us take up the above scenario with straightforward Round-robin scheduling: a process would
need to be swapped in (least recently used processes are swapped in) every time when a context
switch occurs. Swapping in and out costs too much, and the unnecessary swaps waste much time
of scheduler.

33
So the solution to the problem is two-level scheduling. There are two different schedulers in two-
level scheduling
Lower level scheduler –
This scheduler selects which process will run from memory.
Higher level scheduler –
This scheduler focuses on swapping in and swapping out the processes between hard disk and
memory. Swapping takes much time, therefore it does its scheduling much less often. It also
swaps out the processes which are running for a long time in memory and are swapped with
processes on disk that have not run for a long time.

34
Process synchronization and inter process communication:
Principle of Concurrency:
Concurrency is the tendency for things to happen at the same time in a system. Process that
coexists on the memory at a given time is called concurrent process. Processes running
concurrent in the OS may either be independent or cooperating process.
Independent process: The process does not share any kind of information or data with each
other is independent process. If the processes are independent, then execution of one process
does not affect the other process.
Cooperating process: The execution of one process affect the other process because of sharing
something is called cooperating process. The cooperating process may share memory, variable,
code and resource etc.
Process synchronization:
• Process synchronization is the way by which process that share the same memory space
managed in OS.
• Process Synchronization controls the execution of processes running concurrently so as
to produce the consistent results.
• Synchronization mechanisms allow the processes to access critical section in a
synchronized manner to avoid the inconsistent results.

If a person who doesn’t know to play music (gitar) and told him to play then he only create
because of no synchronization. So, if the process is not synchronize properly then it create noise
(create problem such as deadlock in a system).
Race condition:
A race condition is a situation where multiple processes concurrently read and write to a share
memory location and result depends on the order of execution.
For example:
int shared =5
Process P1 Process P2
int x=shared int y = shared
x=x+1 y = y—
sleep (1) sleep (1)
shared = x shared = y
//shared=6 and terminated // shared=4
Here shared= either 6 or 4 (which is not correct) because the process is not synchronize. This
problem is called race condition.
Critical section:
A part of the program, in which race condition can occur, is called critical section. i.e. critical
section is a part of the program where shared resources are accessed by the process.
If multiple processes access the critical section concurrently, then results produced might be
inconsistent. This problem is called as critical section problem.
A diagram that demonstrates the critical section is as follows:

1
Entry Section
• It acts as a gateway for a process to enter inside the critical section.
• It ensures that only one process is present inside the critical section at any time.
• It does not allow any other process to enter inside the critical section if one process is
already present inside it.
Exit Section:
• It acts as an exit gate for a process to leave the critical section.
• When a process takes exit from the critical section, some changes are made so that other
processes can enter inside the critical section.

Any synchronization mechanism proposed to handle the critical section problem or (to
eliminate the race condition) should meet the following criteria:

1. Mutual Exclusion
2. Progress
3. Bounded Wait
4. Architectural Neutral

Mutual Exclusion:
• The processes access the critical section in a mutual exclusive manner.
• Only one process is present inside the critical section at any time.
• No other process can enter the critical section until the process already present inside
it completes.
Progress:
• An entry of a process inside the critical section is not dependent on the entry of
another process inside the critical section.
• A process can freely enter inside the critical section if there is no other process
present inside it.
• A process is not forced to enter inside the critical section if it does not want to enter.

2
 • That is, if a process is not using the critical section, then it should not stop any other
process from accessing it. In other words, any process can enter a critical section if it
is free.
Bounded Wait:
• Bounded waiting means that each process must have a limited waiting time. It should
not wait endlessly to access the critical section.
Architectural Neutral:
• It can run on any architecture without any problem.
• There is no dependency on the architecture.
Note1:
• Mutual Exclusion and Progress are the mandatory criteria.
• They must be fulfilled by all the synchronization mechanisms.
Note2:
• Bounded waiting and Architectural neutrality are the optional criteria.
• However, it is recommended to meet these criteria if possible.

Busy waiting: The act of using CPU continuously checking the condition to enter in to the
critical section is called busy looping or spinning or busy looping.
Solution of critical section problem by two approaches:
1. Mechanism with busy waiting for accessing critical section
2. Mechanism with suspension of waiting process
Mechanism with busy waiting includes the following methods:
• Lock variable method
• Turn variable method or strict alternation method
• Peterson’s solution
• TSL (Test and set lock)
Mechanism with suspension of waiting process(sleep and wake up) includes the
following methods:
• Semaphore
• Monitors
Lock variable method:
• It can be used for any number of processes.
• It is a software mechanism implemented in user mode.
• There is no support required from the operating system.
• It uses a lock variable to provide the synchronization among the processes executing
concurrently.
• It is a busy waiting solution which keeps the CPU busy when the process is actually
waiting.

3
The pseudo code of the mechanism looks like:

• Initially, lock value is set to 0.

• Lock value = 0 means the critical section is currently vacant and no process is present
inside it.
• Lock value = 1 means the critical section is currently occupied and a process is
present inside it

Working mechanism:
Case 1:
• Process P0 arrives.
• It executes the lock!=0 instruction.
• Since lock value is set to 0, so it returns value 0 to the while loop.
• The while loop condition breaks.
• It sets the lock value to 1 and enters the critical section.
• Now, even if process P0 gets preempted in the middle, no other process can enter the
critical section.
• Any other process can enter only after process P0 completes and sets the lock value to
0.
Case 2:
• Another process P1 arrives.
• It executes the lock!=0 instruction.
• Since lock value is set to 1, so it returns value 1 to the while loop.
• The returned value 1 does not break the while loop condition.
• The process P1 is trapped inside an infinite while loop.
• The while loop keeps the process P1 busy until the lock value becomes 0 and its
condition breaks.

Case 3:
• Process P0 comes out of the critical section and sets the lock value to 0.
• The while loop condition of process P1 breaks.
• It sets the lock value to 1 and enters the critical section.
• Now, even if process P1 gets preempted in the middle, no other process can enter the
critical section.
• Any other process can enter only after process P1 completes and sets the lock value to
0.
Failure mechanism:

4
 • the mechanism completely fails to provide the synchronization among the
processes.
• It cannot guaranteed to meet criterion of mutual exclusion
Turn variable or strict alternation:
• Turn Variable is a synchronization mechanism that uses a turn variable to provide the
synchronization among the processes. Processes are executed turn wise one by one.
• It ensures mutual exclusion.
• It ensures bounded waiting since processes are executed turn wise one by one and each process is
guaranteed to get a chance but progress is not guaranteed.
• It is architectural neutral since it does not require any support from the operating system.
It is implemented as:

• Initially, turn value is set to 0.

• Turn value = 0 means it is the turn of process P0 to enter the critical section.
• Turn value = 1 means it is the turn of process P1 to enter the critical section.

Case 1:
• Process P0 arrives.
• It executes the turn!=0 instruction.
• Since turn value is set to 0, so it returns value 0 to the while loop.
• The while loop condition breaks.
• Process P0 enters the critical section and executes.
• Now, even if process P0 gets preempted in the middle, process P1 cannot enter the critical section.
• Process P1 cannot enter unless process P0 completes and sets the turn value to 1.
Case 2:
• Process P1 arrives.
• It executes the turn!=1 instruction.
• Since turn value is set to 0, so it returns value 1 to the while loop.
• The returned value 1 does not break the while loop condition.
• The process P1 is trapped inside an infinite while loop.
• The while loop keeps the process P1 busy until the turn value becomes 1 and its condition breaks.

Case 3:
• Process P0 comes out of the critical section and sets the turn value to 1.

5
 • The while loop condition of process P1 breaks.
• Now, the process P1 waiting for the critical section enters the critical section and execute.
• Now, even if process P1 gets preempted in the middle, process P0 cannot enter the critical section.
• Process P0 cannot enter unless process P1 completes and sets the turn value to 0.

Peterson’s solution to critical section problem:

• Peterson's solution is a classic software-based solution to the critical-section problem.
• It provides a good algorithmic description of solving the critical-section problem that
addresses the requirements of mutual exclusion, progress, and bounded waiting requirements.
• Peterson's solution is restricted to two processes that alternate execution between their critical
sections and remainder sections.
• Peterson's solution requires two data items to be shared between the two processes:
It is implemented as:
# define N 2
# define True 1
# define False 0
int interested[N] = False;
int turn;
void Entry_Section (int process)
{
int other;
other = 1-process;
interested[process] = True;
turn = process;
while (interested [other] =True && TURN=process);
} Df P0->CS->process=0
Cr Critical section Other=1
P1->CS->process=1
voidExit_Section (int process) Other=0
{
interested [process] = False;
}
Explanation:
void Entry_Section (int process)
{
1. int other;
2. other = 1-process;
3. interested[process] = True;
4. turn = process;
5. while (interested [other] =True && TURN=process);
}

Critical Section

void Exit_Section (int process)

{
6. interested [process] = False;
}

6
 Case 1: Po P1
interest[0]= F,T, F interest[1]= F, T
P0:12345CS
P1:12345(busy)
P0:6
P1: 5CS
Case 2: interest[0]= F,T interest[1]= F, T
P0:123! P1:123! P0:45(busy)!P1:45(busy)!P0:5CS
[note:! Represent the process is preempted after execution the line number 3, 5]
Consider two cooperative processes P0 and P1. Initially, the value of interested variables and turn
variable is 0.
At first, when process P0 arrives and wants to enter into the critical section. It sets its interested
variable to True (instruction line 3) and also sets turn to 1 (line number 4). Since the condition given
in line number 5 is completely satisfied by P0 therefore it will enter in the critical section.
P1 → 1 2 3 4 5 CS
Now if, Process P0 got preempted and process P1 got scheduled. P1 also wants to enter in the critical
section and executes instructions 1, 2, 3 and 4 of entry section. On instruction 5, it got stuck since it
doesn't satisfy the condition.
Therefore it gets into the busy waiting. P2 → 1 2 3 4 5
P0 again got scheduled and finish the critical section by executing the instruction no. 6 (setting
interested variable to false). Now if P1 checks then it are going to satisfy the condition since other
process's interested variable becomes false. P2 will also get enter the critical section.
P1 → 6, P2 → 5 CS

Test and Set Lock (TSL) Method:

• Test and Set Lock (TSL) is a hardware based synchronization mechanism.
• It uses a test and set instruction to provide the synchronization among the processes executing
concurrently.
• These method use share lock variables which take either of two values 0 or 1.
• Before entering in to critical section, a process inquires about the lock.
• If it locked, it keeps on waiting till it become free.
• If it is not locked, it takes the lock and executes the critical section.
• It ensures mutual exclusion and progress.
• It does not guarantee bounded waiting and may cause starvation.

It is implemented as:
int lock=false Sd lock=false
while(TestAndSet( &lock));
{ P1:
CS For p1, return r means return false.
lock=false P2:
} For p2, lock is true, so r=*target =true
boolean TestAndSet(boolean *target) And p2 get stuck in loop.
{
Boolean r=*target
*target=true
return(r)
}

7
Synchronization Mechanism without busy waiting (sleep and wake up):
Busy waiting is not the optimal solution for allocation of resources because it keeps CPU busy
all the time in checking the while loops condition continuously although the process is waiting
for the critical section to become available.
The basic idea behind the sleep and wake mechanism is that if the critical section is not empty
then the process will go and sleep. It will be waked up by the other process which is currently
executing inside the critical section so that the process can get inside the critical section.
There is a popular example called producer consumer problem which is the most popular
problem simulating sleep and wake mechanism.
Semaphore:
Proposed by Dijkstra in 1965.
A semaphore is a simple integer variable used to provide synchronization among the processes
running concurrently. It is guaranteed that once a semaphore operation has started no other process
can access the semaphore until the operation has completed or block.
The Semaphores usually have two operations. These two operations have the capability to decide
the values of the semaphores.
The two Semaphore operations are: wait ( ) and signal ( )
Wait ( ): The wait Operation is used for deciding the condition for the process to enter the
critical state or wait for execution of process. The wait () operation is also known as P()
operation or Down () operation or sleep() operation. If the Semaphore value is greater than zero
or positive then the Process can enter the critical section area. The structure of wait() process is
wait (semaphore s)
{ it is also written as:
s.value = s.value - 1;
Down(semaphore s)
if (s.value < 0) { {
{ while(s<=0);
put process (PCB) in L; s=s-1;
sleep(); }
}
else
return;
}
Signal ( ): The signal operation operation is used to update the value of Semaphore. The signal
operation is also known as wake up() Operation or Up ( ) Operation or V( ) operation. The
Signal Operation is executed only when the process comes out of the critical section. The value
of semaphore cannot be incremented before the exit of process from the critical section. The
structure of signal operation is:
signal (semaphore s)
{ it is also written as:
s.value = s.value + 1; up(semaphore s)
if (s.value <=0 ) { {
{ s=s+1;
select a process (PCB) from L; }
wake up();

8
}
}
There are mainly two types of semaphores:
1. Counting Semaphores
2. Binary Semaphores or Mutexes
Counting Semaphores:
• A counting semaphore has two components-: An integer value and an associated waiting list
(usually a queue).
• The value of counting semaphore may be positive or negative. (-∞ to + ∞).
• In this, semaphore variable that can take more than two values which represent the list of task or
entity.
• Positive value indicates the number of processes that can be present in the critical section
at the same time.
• Negative value indicates the number of processes that are blocked in the waiting list.
• The waiting list of counting semaphore contains the processes that got blocked when trying to
enter the critical section.
• The wait operation is executed when a process tries to enter the critical section. Wait
operation decrements the value of counting semaphore by 1.
o Then, following two cases are possible:
Case1:- If the resulting value of counting semaphore is greater than or equal to
0, process is allowed to enter the critical section.
Case2:
If the resulting value of counting semaphore is less than 0, process is not allowed
to enter the critical section. In this case, process is put to sleep in the waiting list.
• The signal operation is executed when a process takes exit from the critical section.
Signal operation increments the value of counting semaphore by 1. Now, following two
cases are possible:-
Case 1: If the resulting value of counting semaphore is less than or equal to 0, a process
is chosen from the waiting list and wake up to execute.
Case 2: If the resulting value of counting semaphore is greater than 0, no action is taken.
It is implemented as:
wait (semaphore svalue)
{ signal (semaphore svalue)
svalue = svalue - 1; {
if (svalue < 0) svalue = svalue + 1;
{ if (svalue <=0 )
put process (PCB) in SL; {
sleep(); select a process (PCB) from SL;
} wake up(); //select from suspended list and put in to ready
else queue

return; }
} }

Example:
Suppose initial semaphore int s=3;

9
Problem-01: A counting semaphore S is initialized to 10. Then, 6 P operations and 4 V
operations are performed on S. What is the final value of S?
Ans: Final value of semaphore variable S= 10 – (6 x 1) + (4 x 1)=8
Problem-01: A counting semaphore S is initialized to 7. Then, 20 P operations and 15 V operations are
performed on S. What is the final value of S? Ans: 2
Binary semaphores:
In counting semaphore, Mutual exclusion was not provided because there are set of processes which
required executing in the critical section simultaneously. Binary Semaphore strictly provides mutual
exclusion.
Binary semaphore is initialized to 1 and takes only two values 1 and 0 during execution of program. It is
implemented in such way that any attempting to lock a semaphore whose value is zero is blocked until
the value 1, then unlock it and set to 0.
• The wait operation is executed when a process tries to enter the critical section. Then, there are
two cases possible:-
Case 1: If the value of binary semaphore is 1. The value of binary semaphore is set to 0.The
process is allowed to enter the critical section.
Case 2: If the value of binary semaphore is 0, the process is blocked and not allowed to enter the
critical section. The process is put to sleep in the waiting list.
• The signal operation is executed when a process takes exit from the critical section. Then, there
are two cases possible:
Case 1 If the waiting list is empty, the value of binary semaphore is set to 1.
Case 2: If the waiting list is not empty, a process is chosen from the waiting list and wake up to
execute

It is implemented as:

wait (semaphore s) signal (semaphore s)

{ {
if (s.value == 1) if (suspended is empty )
{ {s.value=1;}
s.value=0; else
} {
else select a process (PCB) from SL;
{ put process (PCB) in SL; wake up(); //select from suspended list and
sleep(); put in to CS
} }
} }
Example: suppose initial value of semaphore s=1;

10
Difference between binary semaphore and counting semaphore:

Binary semaphore Counting semaphore

Semaphore value is only 0 and 1 Semaphore value is any integer from (-∞ to + ∞).
Mutual exclusion is guaranteed No mutual exclusion
Only one process at a time in CS Multiple processes at same time in CS
Bound waiting is not guaranteed Bound waiting is guaranteed
Only one slot More than one slot

Advantages of the semaphore:

• There is no waste of process time or resources as a result of the busy waiting in
semaphore. It is because processes are only allowed to access the critical section if a
certain condition is satisfied.
• They enable resource management that is flexible.
• They are machine-independent because they execute in the microkernel's machine-
independent code.
Disadvantages of the semaphore:
• There could be a situation of priority inversion where the processes with low priority get
access to the critical section than those with higher priority.
• Semaphore programming is complex, and there is a risk that mutual exclusion will not be
achieved.
• The wait() and signal() methods must be conducted correctly to avoid deadlocks.

Advantages and disadvantages of the monitor:

Advantages of the monitor:
• Mutual exclusion is automatic in monitors.
• Monitors are less difficult to implement than semaphores.
• Monitors may overcome the timing errors that occur when semaphores are used.
• Monitors are a collection of procedures and condition variables that are combined in a
special type of module.
Disadvantages of the monitor:
• Monitors must be implemented into the programming language.
• The compiler should generate code for them.
• It gives the compiler the additional burden of knowing what operating system features is
available for controlling access to crucial sections in concurrent processes.

11
Reader writer problem and solution:
The readers-writers problem is a classical problem of process synchronization, it relates to a data
set such as a file that is shared between more than one process at a time. In this type of problem
there are two types of process are used such as reader process and writer process.
The reader process is responsible for only reading and the writer process is responsible for
writing.
This is an important problem of synchronization which has several variations like
• If two or more than two readers want to access the file at the same time there will be no
problem.
• When two writers or one reader and one writer want to access the file at the same point of
time, there may occurs some problem.
• Hence the task is to design the code in such a manner that if one reader is reading then
no writer is allowed to update at the same point of time.
• Similarly, if one writer is writing no reader is allowed to read the file at that point of time
and if one writer is updating a file other writers should not be allowed to update the file at
the same point of time.
• But, multiple readers can access the object at the same time.

Solution of reader writer problem:

Pseudo code: • If a writer cannot access the object,
semaphore mutex=1; wait operation is performed on wrt.
semaphore wrt=1; • After that no other writer can access
int nreadcount=0; the object.
The structure of a writer process is as follows: • When a writer is done writing into
do { the object, signal operation is
wait(wrt); // writer requests for critical section performed on wrt.
// performs the write
signal(wrt); // leaves the critical section
} while(true);

12
The structure of a reader process is as follows:
do {
wait(mutex); // Reader wants to enter the critical section
nreadcount++; // The number of readers has now increased by 1
if (nreadcount == 1) //If this is the first reader, lock wrt to block writers
wait (wrt); //this ensure no other writer can enter if there is even one reader
signal(mutex); //Allow other readers to enter by unlocking the mutex so that other readers can also
//enter while this current reader is inside
// current reader performs reading here
wait(mutex); // a reader wants to leave and Lock the mutex to update readcount
nreadcount --; //The number of readers has now decreased by 1
if (nreadcount == 0) // If, no reader is left in the critical section
signal(wrt); // unlock wrt to allow writers can enter
signal(mutex); //Allow other readers or writers to proceed by unlocking the mutex
} while(true);

• The mutex semaphore ensures mutual exclusion and

wrt handles the writing mechanism and is common
to the reader and writer process code.
• As soon as readcount becomes 1, wait operation is
used on wrt.
• That means a writer cannot access the object any
more. After read operation is done, readcount is
decremented. When readcount becomes 0, signal
operation is used on wrt. So, a writer can access the
object now.

Producer consumer problem (Bounded buffer problem):

The Producer-Consumer problem is a classic problem which is used for multi-process
synchronization i.e. synchronization between more than one processes.
In the producer-consumer problem, there is one producer that is producing something and
there is one Consumer that is consuming the products produced by the producer. The
producers and consumers share the same memory buffer that is of fixed-size.
What's the problem here?
• The producer should produce data only when the buffer is not full. If the buffer is
full, then the producer shouldn't be allowed to put any data into the buffer.
• The consumer should consume data only when the buffer is not empty. If the
buffer is empty, then the consumer shouldn't be allowed to take any data from the
buffer.
• The producer and consumer should not access the buffer at the same time.

13
 The following are the solution to the problems that might occur in the producer-
consumer:
Solution:
The solution for the producer is to either go to sleep or discard data if the buffer is full.
When the consumer removes an item from the buffer, it must notify the producer who
starts to fill the buffer again.
Similarly, consumer can go to sleep if it finds the buffer empty. The next time the
producer puts data into the buffer, it wakes up the sleeping consumer.
The solution can be implemented using the IPC (inter-process communication).
Pseudocode
#define N 100
int itemcount=0;
void producer()
{ int item
while(true)
{
item=produce_ item();
if(itemcount=N) //buffer full
sleep();
put_item_into_buffer(item);
itemcount++;
if(itemcount=1)
wakeup(consumer);
}
}
void consumer()
{ int item;
while(true)
{
if(itemcount=0) //buffer empty //case for !exe. and preempted
sleep();
item=remove_item(item);
itemcount= itemcount-1;
if(itemcount==N -1)
wakeup(producer);
consume_item(item);
}
}
The producer produces the item and inserts it into the buffer. The value of the global
variable count gets increased at each insertion. If the buffer is filled completely and no
slot is available then the producer will sleep, otherwise it keeps inserting.
On the consumer's process, the value of count got decreased by 1 at each consumption. If
the buffer is empty at any point of time, then the consumer will sleep otherwise, it keeps
consuming the items and decreasing the value of count by 1.

14
 The consumer will be waked up by the producer if there is at least 1 item available in the
buffer which is to be consumed. The producer will be waked up by the consumer if there
is at least one slot available in the buffer so that the producer can write that.
Well, the problem arises in the case when the consumer got preempted just before it was
about to sleep. Now, the consumer is neither sleeping nor consuming. Since the producer
is not aware of the fact that consumer is not actually sleeping therefore it keep waking the
consumer while the consumer is not responding since it is not sleeping.
This leads to the wastage of system calls. When the consumer gets scheduled again, it
will sleep because it was about to sleep when it was preempted.
The producer keeps writing in the buffer and it got filled after some time. The producer
will also sleep at that time keeping in the mind that the consumer will wake him up when
there is a slot available in the buffer.
The consumer is also sleeping and not aware with the fact that the producer will wake
him up.
This is a kind of deadlock where neither producer nor consumer is active and waiting for
each other to wake them up. This is a serious problem which needs to be addressed.
The above three problems can be solved with the help of semaphores.
Three semaphore variables used in producer-consumer problem solution using semaphore
are:
1. Semaphore S: This semaphore variable is used to achieve mutual exclusion between
processes. By using this variable, either Producer or Consumer will be allowed to use or
access the shared buffer at a particular time. This variable is set to 1 initially.
2. Semaphore E: This semaphore variable is used to define the empty space in the
buffer. Initially, it is set to the whole space of the buffer i.e. "n" because the buffer is
initially empty.
3. Semaphore F: This semaphore variable is used to define the space that is filled by the
producer. Initially, it is set to "0" because there is no space filled by the producer initially.

The following is the pseudo-code for solution of problem using semaphore that occurs in
producer consumer problem solution using sleep and wake up method:
#define N 100 //maximum slots in buffer
int count=0 //items in the buffer
semaphore S=1, F=0, E=4;
void producer()
{
int item;
while(T) {
item=produce_item();//generates item
wait(E); // decrement empty slot
wait(S); //set S to 0 i.e. enter into CS
append(); //add item to buffer
signal(S); //set S to 1 i.e. informing CS is free
signal(F); //increment full slot
}
}
The above code can be summarized as:

15
 • while() is used to produce data, again and again, if it wishes to produce, again and
again.
• produce() function is called to produce data by the producer.
• wait(E) will reduce the value of the semaphore variable "E" by one i.e. when the
producer produces something then there is a decrease in the value of the empty space in
the buffer. If the buffer is full i.e. the value of the semaphore variable "E" is "0",
then the program will stop its execution and no production will be done.
• wait(S) is used to set the semaphore variable "S" to "0" so that no other process can
enter into the critical section.
• append() function is used to append the newly produced data in the buffer.
• signal(s) is used to set the semaphore variable "S" to "1" so that other processes can
come into the critical section now because the production is done and the append
operation is also done.
• signal(F) is used to increase the semaphore variable "F" by one because after adding the
data into the buffer, one space is filled in the buffer and the variable "F" must be
updated.
This is how we solve the produce part of the producer-consumer problem. Now, let's see
the consumer solution.
The following is the code for the consumer:
void consumer()
{
int item;
while(T)
{
wait(F); // decrement full counter
wait(S); //set S to 0 i.e. enter to CS
take(item); // consume item
signal(S); // set S to 1 i.e. informing CS is free
signal(E); // increment empty counter
use(); // make use of removed item if needed by any process
}
}

The above code can be summarized as:

• while() is used to consume data, again and again, if it wishes consume, again and
again.
• wait(F) is used to decrease the semaphore variable "F" by one because if some data is
consumed by the consumer, then the variable "F" must be decreased by one.
• wait(S) is used to set the semaphore variable "S" to "0" so that no other process can
enter into the critical section.
• take() function is used to take the data from the buffer by the consumer.
• signal(S) is used to set the semaphore variable "S" to "1" so that other processes can
come into the critical section now because the consumption is done and the take
operation is also done.

16
 • signal(E) is used to increase the semaphore variable "E" by one because after taking the
data from the buffer, one space is freed from the buffer and the variable "E" must be
increased.
• use () is a function that is used to use the data taken from the buffer by the process to do
some operation

Dining Philosophers Problem:

The Dining Philosopher Problem is a classic synchronization problem in computer science that
involves multiple processes (philosophers) sharing a limited set of resources (forks) in order to
perform a task (eating).
What is the Problem Statement?
The Dining Philosopher Problem states that 5 philosophers are seated around a circular table
with one chopstick between each pair of philosophers. There is a bowl of rice at the center of
table for each of the philosophers and 5 chopsticks. A philosopher may eat if he can pick up both
their right and left chopstick. One chopstick may be picked up by any one of its adjacent
followers but not both. A hungry philosopher may only eat if there are both chopsticks available.
Otherwise, philosophers put down their chopstick and begin thinking again.

Fig. Dinning Philosopher

Semaphore Solution to Dining Philosopher:

pseudocode:
semaphore chopstick[5]={1};
void Philosopher (int i )
{
while(True)
{ thinking ()
wait(chopstick[i]);
wait(chopstick[ (i+1) % 5]) ;
eating()
. signal(chopstick[i] );
singnal(chopstick[ (i+1) % 5]) ;

17
 thinking ()
}
}

• Although this solution guarantees that not two neighbor philosophers are eating
simultaneously, it has the possibility of deadlock.
• Suppose that all 5 philosophers grab their left chopstick simultaneously then all the
elements of chopstick[5] are equal to 0, so no philosopher will be able to grab his right
chopstick and deadlock occur.

Several possible solutions to avoid deadlock are as follows:

• There should be at most four philosophers on the table.
• A philosopher should only be permitted to choose their chopsticks if both of the
available chopsticks (the left and the right) are available at the same time.
• An odd philosopher should pick the left chopstick and then the right chopstick while
an even philosopher should pick the right chopstick and then the left chopstick.
• All four of the initial philosophers (P0, P1, P2, and P3) should choose the left
chopstick before choosing the right, while P4 should choose the right chopstick before
choosing the left. As a result, P4 will be forced to hold his right chopstick first because
his right chopstick, C0, is already being held by philosopher P0 and its value is set to
0. As a result, P4 will become trapped in an infinite loop and chopstick C4 will remain
empty. As a result, philosopher P3 has both the left C3 and the right C4. Chopstick
available, therefore it will start eating and will put down both chopsticks once finishes
and let others eat which removes the problem of deadlock.

Monitor:
Monitor is defined as a collection of procedures, variables and data structures that are all
grouped together in a special kind of module or package.
Monitors are the process synchronization tool used to manage the access of shared resources
and coordinate the actions of various processes.
It is the high level tool for process synchronization whereas semaphores are primitive and
flexible tool for mutual exclusion.
Code inside monitors can only be executed by one process at a time i.e.only one process may
be active within the monitor at a time

Monitors are supported by Programming languages to achieve process mutual exclusion. Java
synchronized methods, for instance. Java has the constructs wait() and notify().
Condition variables are employed within the monitor to control synchronization and
communication. Two different operations are performed on the condition variables of the
monitor. wait() and signal()
let say we have 2 condition variables:
condition x, y; // Declaring variable
x.wait() : Process performing wait operation on any condition variable are suspended. The
suspended processes are placed in block queue of that condition variable.

18
x.signal(): When a process performs signal operation on condition variable, one of the
blocked processes is given chance.
Then syntax for monitor is:
monitor monitor-name
{
// shared variable declarations
procedure P1 (…)
{ …. }
…
procedure Pn (…)
{……}
Initialization code ( ….)
{…}
…

Fig. Schematic view of monitor with condition variable

Solution to Dining Philosophers using monitor:

monitor DP
{
enum { THINKING; HUNGRY, EATING};
position[5];
condition philosopher [5]; //condition variable
void pickup (int i)
{
position [i] = HUNGRY;
test(i);
if (position [i] != EATING)
philosopher [i].wait;
}

void putdown (int i)

{
19
 position [i] = THINKING;
// test left and right neighbors
test((i + 4) % 5);
test((i + 1) % 5);
}
void test (int i)
{
if ( (position [(i + 4) % 5] != EATING) && (position [i] == HUNGRY) &&
(position [(i + 1) % 5] != EATING) )
{
position [i] = EATING ;
philosopher [i].signal () ;
}
}
initialization_code()
{
for (int i = 0; i < 5; i++)
position[i] = THINKING;
}
}

Mutex:
A mutex is a variable that can be in one of two states: unlocked or locked. Consequently,
only 1 bit is required to represent it, but in practice an integer often is used, with 0 meaning
unlocked and all other values meaning locked.
Mutexes are good only for managing mutual exclusion to some shared resource or piece of
code.
Two procedures are used with mutexes. When a thread (or process) needs access to a critical
region, it calls mutex-lock. If the mutex is currently unlocked (meaning that the critical
region is available), the call succeeds and the calling thread is free to enter the critical
region. On the other hand, if the mutex is already locked, the calling thread is blocked until
the thread in the critical region is finished and calls mutex-unlock. If multiple threads are
blocked on the mutex, one of them is chosen at random and allowed to acquire the lock.
Inter Process Communication (IPC): Inter Process Communication (IPC) is a mechanism
that allows various processes to communicate and synchronize their actions for managing
shared data. It is the mechanism where the operating systems allow various processes to
communicate with each other synchronizing their actions. IPC lets different programs run in
parallel, share data, and communicate with each other. IPC are useful for
• it speeds up the execution of tasks.
• It ensures that the tasks run correctly and in the order that they were executed.
• IPC is essential for the efficient operation of an operating system.
The Need for IPC :
• Data Sharing : Processes often need to share data. For example, a text editor may need to
pass data to a printer process to generate a hard copy.
• Synchronization : Processes may need to synchronize their activities. For instance, in a
multi-threaded environment, threads must coordinate to ensure data consistency.

20
 • Communication: Processes might need to communicate for a variety of purposes, such as
exchanging information, signaling, and error handling.
• Resource Sharing: IPC helps manage and share resources, like file access, memory, or
hardware devices among processes.
Two basic communication models for providing IPC are:
• Shared Memory
• Message Passing
Shared Memory:
Communication between processes using shared memory requires processes to share some
variable and it completely depends on how programmer will implement it. This type of
memory should protect each other by synchronizing access between all processes.

Suppose process A wants to communicate with process B then it need to attach its address
space to this shared memory segment. Process A will write a message to the shared memory,
and Process B will read that message from the shared memory. So, processes are responsible
for ensuring synchronization so that both processes do not write to the same location at the
same time.

Fig. IPC using shared memory

Message Passing:
Message passing provides a mechanism that allows various processes to communicate and
synchronize their actions without sharing same address space.
Message passing method allows multiple processes to read and write data to the message queue
without being connected to each other. Messages are stored on the queue until their recipient
retrieves them.
It is particularly useful in distributed system environment, where the communicating processes
may reside in machine connected by network. Message passing is slower as compared to shared
memory method.
If processes P and Q want to communicate, they must send messages to and receive messages
from each other through a communication link that must exist between them.

21
 Fig. IPC using message passing

There are various ways to implement a communication link.

Direct Communication: The process which wants to communicate must explicitly name the recipient
or sender of the communication.
send (P, message) – send a message to process P
✦ receive(Q, message) – receive a message from process Q Properties of communication link
✦ Links are established automatically.
✦ A link is associated with exactly one pair of communicating processes
Indirect Communication: Messages are directed and received from mailboxes (also referred to as
ports). ✦ Each mailbox has a unique id. ✦ Processes can communicate only if they share a
mailbox.
send(A, message) – send a message to mailbox A
receive(A, message) – receive a message from mailbox A

Difference between shared memory and message passing

Shared Memory Message Passing

Processes exchange information by There is direct exchange of messages
reading or writing into the shared region between processes
It is Useful for exchange of large amount Useful when exchanging small
of data amounts of data
It is Faster than message passing as t is Slower than shared memory
system calls are required only to establish because it is implemented using system
shared region calls

22
Comparison between the semaphore and monitor are as follows:

Features Semaphore Monitor

Definition A semaphore is an integer It is a synchronization

variable that allows many process that enables
processes in a parallel threads to have mutual
system to manage access to exclusion and the wait()
a common resource like a for a given condition to
multitasking OS. become true.

Syntax //Wait Operation monitor {

wait(Semaphore S) { //shared variable
while (S<=0); declarations
S--; data variables;
} Procedure P1() { ... }
// Signal Operation Procedure P2() { ... }
signal(Semaphore S) { .
S++; .
} .
Procedure Pn() { ... }
}

Basic Integer variable Abstract data type

Access When a process uses shared When a process uses shared

resources, it calls the wait() resources in the
method on S, and when it monitor, it has to access
releases them, it uses the them via procedures.
signal() method on S.

Action The semaphore's value shows The Monitor type includes

the number of shared shared variables as well
resources available in the as a set of procedures
system. that operate on them.

Condition No condition variables. It has condition variables.

Variable

23
 MEMORY MANAGEMENT

Memory Management:
 Program must be brought (from disk) into memory and placed
within a process for it execution
 OS loads the program into the memory and then only the CPU
can access the instructions and the data from memory while
executing the process
 In a uni-programming system, main memory is divided into two
parts: one part for the operating system and one part for the
program currently being executed.
 In a multiprogramming system, the “user” part of the memory
must be further subdivided to accommodate multiple processes
 The task of subdivision is carried out dynamically by the
operating system and it is known as memory management
 Thus, Memory management is a method in the operating system
manages operations between main memory and disk during
process execution.

1
 MEMORY MANAGEMENT

 The main aim of memory management is to achieve efficient

utilization of memory.
Memory manager: The part of OS that manages the memory
hierarchy is called memory manager.
 Keeps track of used/unused part of memory.
 Allocate/de-allocate memory to processes.
 Manages swapping between main memory and disk.
 Protection and sharing of memory
Need or Role of memory Management:
 Allocate and de-allocate memory before and after process
execution.
 To keep track of used memory space by processes.
 To minimize fragmentation issues.
 To proper utilization of main memory.
 To maintain data integrity while executing of process. 2
 MEMORY MANAGEMENT
Degree of multiprogramming:
 Degree of multi programming means the maximum number of
processes that can be loaded into the main memory at the same
time.
 The size of main memory affects degree of Multi programming in
most of the extant. If the size of the main memory is larger, then
CPU can load more processes in the main memory at the same
time and therefore will increase degree of Multi programming as
well as CPU utilization.
 Let's consider,
 Process Size = 4 MB
 Main memory size = 4 MB
 The process can only reside in the main memory at any time.
 If the time for which the process does I/O is K, Then,
 CPU utilization = (1-K)
 Suppose,
3
 K = 70%
 CPU utilization = 30 %
 MEMORY MANAGEMENT
 Now, increase the memory size, Let's say it is 8 MB.
 Process Size = 4 MB
 Two processes can reside in the main memory at the same time.
 Let's say the time for which, one process does its I/O is K,
 Then
 CPU utilization = (1-K^2)
 If K = 70 %
 CPU utilization = (1-0.49) =0.51 = 51 %
 Therefore, we can state that the CPU utilization will be increased
if the memory size gets increased.

4
 MEMORY MANAGEMENT
Basic Hardware:
 Main memory and registers the storage are only CPU can access
directly
 Registers that are built into the CPU are generally accessible
within one cycle of the CPU clock.
 Memory access may take many cycles of the CPU clock to
complete, in which case the processor normally needs to stall,
since it does not have the data required to complete the
instruction that it is executing.
 The remedy is to add fast memory between the CPU and main
memory: cache
 We must not only be concerned with relative speed of accessing
the physical memory, but also ensure the protection of one user
process from another.

5
 MEMORY MANAGEMENT
Basic Hardware:
 We need to make sure that each process has a separate memory
space.
 For this, we need to determine the range of legal addresses that
the process may access and to ensure that the process can access
only these legal addresses.
 This protection is ensured by using two registers, a base register
and a limit register.
 The base register holds the smallest legal physical memory
address
 Limit register specifies the size of the range.

6
 MEMORY MANAGEMENT
 For example:

7
MEMORY MANAGEMENT

8
 MEMORY MANAGEMENT
Memory management terminology:
 Segment: chunk of memory assigned to a process.
Logical address versus Physical Address:
 An address generated by the CPU is known as “Logical Address”.
It is also known as a Virtual address.
 An address seen by the memory unit (i.e the one loaded into the
memory address register of the memory) is commonly known as a
“Physical Address”.
 A Physical address is also known as a Real address.
 Logical and physical addresses are the same in compile-time and
load-time address-binding schemes.
 Virtual and physical addresses differ in execution-time address-
binding scheme.
Logical-address space and physical address space:
 The set of all logical addresses generated by a program is referred
to as a logical address space.
9
 MEMORY MANAGEMENT
Memory management terminology:
 For example, when 32-bit addressing is in use, addresses can range from 0,
2^31 possible numbers, for a total theoretical size of 2 gigabytes.
 The set of all physical addresses corresponding to these logical addresses is
referred to as a physical address space.
 For example:
 If Logical Address = 31 bits, then Logical Address Space = 231 words = 2 G
words (1 G = 230)
 If Logical Address Space = 128 M words = 27 * 220 words, then Logical
Address = log2227= 27 bits)
 If Physical Address = 22 bits, then Physical Address Space = 222 words = 4 M
words (1 M = 220)
 If Physical Address Space = 16 M words = 24 * 220 words, then Physical
Address = log2 224 = 24 bits
Symbolic addresses:
 The addresses used in a source code are symbolic address. The variable names,
constants, and instruction labels are the basic elements of the symbolic address
space.
10
Relative addresses:
 At the time of compilation, a compiler converts symbolic addresses into relative
addresses.
 MEMORY MANAGEMENT

Address binding:
 Address binding is the process of converting (symbolic/relative) logical
address in to the physical (absolute) address in main memory. It is done
by MMU.

11

 Fig Address binding

 MEMORY MANAGEMENT
Memory management terminology:

12
 MEMORY MANAGEMENT
Address binding method: The binding of instructions and data to
memory addresses can be done by following methods:-
 a. Compile time: If the location at which the program will reside
in main memory is known at compile time, then absolute (actual)
physical address is generated at compile time is called compile
time address binding.
 The compiler generates the exact physical location in memory
starting from some fixed starting position k.
 If, some later time, the starting location changes, then it will be
necessary to recompile this code.
 c. Load time: If the location at which the program will reside in
main memory is not known at compile time, then relative address
(reference address) relative to the start of program relocatable
address is generated using which absolute address can be
calculated. It is known as load time address binding.
 That is, if the location at which the program will reside in main
memory is not known at compile time, then the compiler must 13
generate relocatable address.
 At load time, OS decides the starting position
 MEMORY MANAGEMENT
c. Execution time: If the location at which the program will reside
in main memory is not known before the execution, then address
binding will be done during execution time.
 That is, if the process can be moved during its execution from one
memory segment to another, then binding must be delayed until
run time.
 The run-time mapping from virtual to physical addresses is done
by hardware device called the memory-management unit
(MMU).
 This mapping technique is known as the paging technique.
MMU uses following mechanism to convert virtual address to
physical address.

14
MEMORY MANAGEMENT

15
 MEMORY MANAGEMENT
Memory management Techniques:
 The Memory management Techniques can be classified into
following main categories:

16
 MEMORY MANAGEMENT

Contiguous memory management schemes:

 In a Contiguous memory management scheme, each program
occupies a single contiguous block of storage locations, i.e., a set of
memory locations with consecutive addresses.
Single contiguous memory management schemes:
 The Single contiguous memory management scheme is the
simplest memory management scheme used in the earliest
generation of computer systems.
 In this scheme, the main memory is divided into two contiguous
areas or partitions.
 The operating systems reside permanently in one partition,
generally at the lower memory, and the user process is loaded into
the other partition.
Multiple Partitioning:
 In multiprogramming more than one program run concurrently.
To switch between two processes, the operating systems need to
load both processes into the main memory. 17
 MEMORY MANAGEMENT

 The operating system needs to divide the available main memory

into multiple parts to load multiple processes into the main
memory.
 Thus multiple processes can reside in the main memory
simultaneously.
The multiple partitioning schemes can be of two types:
Fixed partitioning or static partitioning:
 The main memory is divided into several fixed-sized partitions.
 These partitions can be of the same size or different sizes. Each
partition can hold a single process.
 The number of partitions determines the degree of
multiprogramming, i.e., the maximum number of processes in
memory.
 In fixed partitioning, the degree of multiprogramming is fixed
and very less due to the fact that the size of the partition cannot
be varied according to the size of processes.
 18
MEMORY MANAGEMENT

19
 MEMORY MANAGEMENT
Advantages of Fixed Partitioning memory management schemes:
 Simple to implement.
 Easy to manage and design.
Disadvantages of Fixed Partitioning memory management schemes:
 This scheme suffers from internal fragmentation.
 The number of partitions is specified at the time of system
generation.
Dynamic Partitioning or variable size partition:
 Dynamic partitioning tries to overcome the problems caused by
fixed partitioning.
 In this technique, the partition size is not declared initially. The
size and number of partitions are decided during the runtime by
the operating system.
 Each process occupies only as much memory as they required.
 Partitions are created dynamically to meet the requirements of
each requesting process. Each process occupies only as much
memory as they required.
 When a process terminates or is swapped-out, the memory 20
manager can return the vacated space to the pool of free memory
area and can be provided to another process.
 MEMORY MANAGEMENT

Advantages of Dynamic Partitioning memory management schemes:

 No internal fragmentation
Disadvantages of Dynamic Partitioning memory management
schemes:
 These also suffer from external fragmentation.
21
 MEMORY MANAGEMENT
Fragmentation: It is wastage or loss of memory due to free
memory is not reused or not able to allocate any process.
Internal Fragmentation:
 If the size of the process is lesser then the total size of the
partition then some size of the partition get wasted and remain
unused.
 This wastage of the memory is called internal fragmentation.
 As shown in the image above, the 4 MB partition is used to load
only 3 MB process and the remaining 1 MB got wasted.
External Fragmentation:
 External fragmentation is the unused space that is left between
the fragments of non contiguous memory. i.e. The total unused
space of various partitions is external fragmentation.
 The total unused space of various partitions cannot be used to
load the processes even though there is space available but not in
the contiguous form.
 As shown in the image above, the remaining 1 MB space of each
partition cannot be used as a unit to store a 4 MB process.
22
 Despite of the fact that the sufficient space is available to load
the process, process will not be loaded. External fragmentation=
total sum of internal fragmentation.
 MEMORY MANAGEMENT
Memory allocation policies/Partitioning Algorithms:
 There are various algorithms which are implemented by the
Operating System in order to find out the holes in partition of
memory and allocate them to the processes.
 There are some most common strategies to allocate free partitions
to the new process are: (i)First-Fit (ii) Next-Fit (iii) Best-Fit
(iv)Worst –Fit
(i)First-Fit
 The memory manager allocates the first hole that is big enough. It
stops the searching as soon as it finds a free hole that is large
enough.
 It maintains the linked list according to the increasing order of
starting index. This is the simplest to implement among all the
algorithms and produces bigger holes as compare to the other
algorithms.
Advantages:
 It is a fast algorithm because it searches as little as possible.
Disadvantages: 23
 Not good in terms of storage utilization
 MEMORY MANAGEMENT
(ii) Next-Fit
 It is similar to First Fit algorithm except the fact that, Next fit
scans the linked list from the node where it previously allocated a
hole.
 The idea behind the next fit is the fact that the list has been
scanned once therefore the probability of finding the hole is larger
in the remaining part of the list.
iii) Best-Fit
 Allocate the smallest hole that is big enough for a process
 The OS must search the entire list of holes or store the list sorted
by size of the hole
 Best fit try to find a hole that is close to the actual size needed.
 Advantages:
 more storage utilization than first fit.
 Disadvantages:
 slower than first fit because it requires searching whole list at
time.
24
 MEMORY MANAGEMENT
(iV) Worst-Fit
 Allocate the largest hole.
 It search the entire list, and takes the largest hole, rather than
creating a tiny hole
 it produces the largest leftover hole, which may be more useful.
Advantages:
 some time it has more storage utilization than first fit and best
fit.
Disadvantages:
 not good for both performance and utilization.

25
 MEMORY MANAGEMENT
Problem-01:
 Consider six memory partitions of size 200 KB, 400 KB, 600 KB,
500 KB, 300 KB and 250 KB. These partitions need to be
allocated to four processes of sizes 357 KB, 210 KB, 468 KB and
491 KB in that order.Perform the allocation of processes using-
First Fit Algorithm, Best Fit Algorithm and Worst Fit Algorithm.
Solution:
The main memory has been divided into fixed size partitions as:-

Let us say the given processes are:

P1 = 357 KB, P2 = 210 KB, P3 = 468 KB, and P4 = 491 KB
Using-First Fit Algorithm:
The allocation of partitions to the given processes is shown below: 26
 MEMORY MANAGEMENT

Process P4 cannot be allocated the memory because no partition of size

greater than or equal to the size of process P4 is available.
Using- Best Fit Algorithm:
 The allocation of partitions to the given processes is shown below:

 All the processes are successfully allocated.

27
 MEMORY MANAGEMENT
Using- Worst Fit Algorithm:
The allocation of partitions to the given processes is shown below:

Process P3 and Process P4 cannot be allocated the memory no

partition of size greater than or equal to the size of process P3 and
process P4 is available.
Problem-02:

28
MEMORY MANAGEMENT

29
MEMORY MANAGEMENT

30
 MEMORY MANAGEMENT
Dealing with fragmentations:
 External fragmentation can be removed by compaction
 External fragmentation can be prevented by mechanisms such as
segmentation and paging.
 Internal fragmentation can be minimized by having partitions of
several sizes and assigning a program based on the best fit.
 However, still internal fragmentation is not fully eliminated.
Coalescing:
 When a process is dispatched from process queue to store in
memory, OS first searches for the Hole large enough to
accommodate that process.
 If none of the available holes are large enough to accommodate
that process then available adjacent free partitions can be merged
together to form a big hole (bigger space) to accommodate that
process.
 The process of merging two adjacent holes to form a single larger
hole is called coalescing.
31
 MEMORY MANAGEMENT
 The process of merging two adjacent holes to form a single larger
hole is called coalescing.

Compaction:
 Even when holes are coalesced, no individual hole may be large
enough to hold the job, although the sum of holes is larger than
the storage required for a process.
32
 MEMORY MANAGEMENT
 It is possible to combine all the holes into one big by moving all
the processes downward as far as possible; this technique is called
memory compaction.
 Thus, Compaction is a technique to collect all the free memory
present in the form of fragments into one large chunk of free
memory, which can be used to load other processes.

33
 MEMORY MANAGEMENT
Advantages of compaction:
 Reduces external fragmentation.
 Make memory usage efficient.
 Memory becomes contiguous.
Drawback of compaction:
 System must stop everything during compaction.
 Reallocation info must be maintained.
 System efficiency reduces and latency is increased.
Overlay: Overlaying allows various modules to be assigned
the same region of memory with a main program
responsible for switching the modules in and out as needed.

34
 MEMORY MANAGEMENT

Non-Contiguous memory management schemes:

 In a Non-Contiguous memory management scheme, the program
is divided into different blocks and loaded at different portions of
the memory that need not to be adjacent to one another. This
scheme can be classified depending upon the size of blocks and
whether the blocks reside in the main memory or not.
Paging:
 Paging is a storage mechanism by which processes are retrieved
from the secondary storage load in 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.
 Divide physical memory into fixed-sized blocks called frames (size
is power of 2, between 512 bytes and 8192 bytes).

35
 MEMORY MANAGEMENT

 Divide logical memory into blocks of same size is called pages.

When a process is to be executed, its pages are loaded into any
available memory frames from the backing store.
 The backing store is divided into fixed sized blocks that are of the
same size as the memory frames. (i.e.Page Size = Frame Size)
 Paging is an important part of virtual memory implementation in
most operating systems, allowing them to use disk storage for
data that does not fit into physical RAM
 Every address generated by the CPU is divided into two parts: a
page number (p) and a page offset (d). The page number is used as
an index into a page table. The page table contains the base
address of each page in physical memory.
 This base address is combined with the page offset to define the
physical memory address that is sent to the memory unit.
Consider the example:
 Physical Address = 12 bits, then Physical Address Space = 4 K
words
 Logical Address = 13 bits, then Logical Address Space = 8 K 36
words
 Page size = frame size = 1 K words (assumption)
 MEMORY MANAGEMENT

Page table:
 A page table is the data structure used by a virtual memory
system in a computer operating system to store the mapping
between virtual address and physical address i.e. it is used to
map virtual page number to physical page number.
 A page table entry contains several information about the page.
 The information contained in the page table entry varies from
operating system to operating system.
 The most important information in a page table entry is frame
number.
 Size of page table = Number of entries in page table x Page table
entry size
 Number of pages the process is divided = Process size / Page size
 The information contained in the page table entry varies from
operating system to operating system.

37
 MEMORY MANAGEMENT

 In general, each entry of a page table contains the following:

Frame Number-
 Frame number specifies the frame where the page is stored in the
main memory.
 The number of bits in frame number depends on the number of
frames in the main memory.
Present / Absent Bit-
 This bit is also sometimes called as valid / invalid bit.
 This bit specifies whether that page is present in the main
38
memory or not.
 MEMORY MANAGEMENT

 If the page is not present in the main memory, then this bit is set
to 0 otherwise set to 1.
 If the required page is not present in the main memory, then it is
called as Page Fault.
 A page fault requires page initialization.
 The required page has to be initialized (fetched) from the
secondary memory and brought into the main memory.
Protection Bit-
 This bit is also sometimes called as “Read / Write bit“.
 This bit is concerned with the page protection.
 It specifies the permission to perform read and write operation on
the page.
 If only read operation is allowed to be performed and no writing is
allowed, then this bit is set to 0.
 If both read and write operation is allowed to be performed, then
this bit is set to 1.
39
 MEMORY MANAGEMENT

 If the page is not present in the main memory, then this bit is set
to 0 otherwise set to 1.
 If the required page is not present in the main memory, then it is
called as Page Fault.
 A page to be performed, then this bit is set to 1.
Reference Bit-
 Reference bit specifies whether that page has been referenced in
the last clock cycle or not.
 If the page has been referenced recently, then this bit is set to 1
otherwise set to 0.
 Reference bit is useful for page replacement policy.
 A page that has not been referenced recently is considered a good
candidate for page replacement in LRU page replacement policy.
Caching Enabled / Disabled:-
 This bit enables or disables the caching of page.
 Whenever freshness in the data is required, then caching is
disabled using this bit. 40
 If caching of the page is disabled, then this bit is set to 1
otherwise set to 0.
 MEMORY MANAGEMENT

Dirty Bit:
 This bit is also sometimes called as “Modified bit“.
 This bit specifies whether that page has been modified or not.
 If the page has been modified, then this bit is set to 1 otherwise
set to 0.
Useful formulas for solving numerical:
For Main Memory:
 Physical Address Space = Size of main memory
 Size of main memory = Total number of frames x Page size
 Frame size = Page size
 If number of frames in main memory = 2X, then number of bits in
frame number = X bits
 If Page size = 2X Bytes, then number of bits in page offset = X bits
 If size of main memory = 2X Bytes, then number of bits in physical
address = X bits

41
 MEMORY MANAGEMENT

For Process:
 Virtual Address Space = Size of process
 Number of pages the process is divided = Process size / Page size
 If process size = 2X bytes, then number of bits in virtual address
space = x bits
For Page Table:
 Size of page table = Number of entries in page table x Page table
entry size
 Number of entries in pages table = Number of pages the process is
divided
 Page table entry size = Number of bits in frame number +
Number of bits used for optional fields if any

42
 MEMORY MANAGEMENT

Example:Consider a system with byte-addressable memory, 32 bit logical addresses,

4 kilobyte page size and page table entries of 4 bytes each. What is the size of the
page table?
Soln: Given-
 Number of bits in logical address = 32 bits
 Page size = 4KB
 Page table entry size = 4 bytes
 Process Size:
 Number of bits in logical address = 32 bits
 Thus, Process size = 232 B= 4 GB
 Number of Entries in Page Table:
 Number of pages the process is divided
 = Process size / Page size
 = 4 GB / 4 KB
 = 220 pages
Thus ,Number of entries in page table = 220 entries Page Table Size:
Page table size = Number of entries in page table x Page table entry size
 = 220 x 4 bytes 43

 = 4 MB
 MEMORY MANAGEMENT

Problem 02:
Calculate the number of bits required in the address for
memory having size of 16 GB. Assume the memory is 4-
byte addressable.
Soln:
Given
Let ‘n’ number of bits are required.
Then, Size of memory = 2n x 4 bytes.
Since, the given memory has size of 16 GB,
So, we have,
2n x 4 bytes = 16 GB
2n x 4 = 16 G
2n x 22 = 234
2n = 232
∴ n = 32 bits 44
 MEMORY MANAGEMENT

Problem 02:
Calculate the size of memory if its address consists of 22 bits
and the memory is 2-byte addressable.
 Soln: Given

 Number of locations possible with 22 bits = 222 locations

 It is given that the size of one location = 2 bytes

 Thus, Size of memory

 = 222 x 2 bytes

 = 223 bytes

 = 8 MB

Problem 04:
 Consider a system with byte-addressable memory, 32 bit
logical addresses, 4 kilobyte page size and page table
entries of 4 bytes each. Calculate the size of the page table
in the system in megabytes.
45
 MEMORY MANAGEMENT

Number of Bits in Page Offset:

We have,
 Page size= 4 KB = 212 B
 Thus, Number of bits in page offset = 12 bits
 So, Physical address is:

Number of bits in virtual address space = 32 bits

 Thus, Process size= 232 B= 4 GB

 Number of pages the process is divided

 = Process size / Page size

 = 4 GB / 4 KB 46
 = 220 pages
 MEMORY MANAGEMENT

 Thus, Number of entries in page table = 220 entries

 Page table size = Number of entries in page table x Page table
entry size
 = Number of entries in page table x Number of bits in frame
number
 = 220 x 14 bits
 = 220 x 16 bits (Approximating 14 bits ≈ 16 bits)
 = 220 x 2 bytes
 = 2 MB
Problem 06:
 Consider a logical address space of eight pages of 1024 word, each
mapped on to a physical memory of 32 frames then (i) how many
bits are in the logical address? (ii) How many bits are in the
physical address?

47
 MEMORY MANAGEMENT

Consider a machine with 64 MB physical memory and a 32

bit virtual address space. If the page size is 4 KB, what is
the approximate size of the page table?
Soln: Given
 Size of main memory = 64 MB

 Number of bits in virtual address space = 32 bits

 Page size = 4 KB

 Number of bits in physical address =Size of main memory

 = 64 MB

 = 226 B

 Thus, Number of bits in physical address = 26 bits

 Number of frames in main memory= Size of main
memory / Frame size
 = 64 MB / 4 KB

 = 226 B / 212 B
48
 = 214

 Thus, Number of bits in frame number = 14 bits

 MEMORY MANAGEMENT

The advantages of paging are

 It supports time sharing system
 It achieve high degree of multiprogramming
 It solves the problem of external fragmentation.
The disadvantages of paging are
 It suffers from internal fragmentation.
 There is an overhead of maintaining a page table for each process.
 The time taken to fetch the instruction increases since now two
memory accesses are required.

49
 MEMORY MANAGEMENT

Paging hardware support:

Address generated by CPU is divided into
 Page number(p): Number of bits required to represent the pages
in Logical Address Space or Page number
 Page offset(d): Number of bits required to represent particular
word in a page or page size of logical address
Physical Address is divided into
 Frame number(f): Number of bits required to represent the frame
of Physical Address Space or Frame number.
 Frame offset(d): Number of bits required to represent particular
word in a frame or frame size of Physical Address Space or word
number of a frame or frame offset.


50
 MEMORY MANAGEMENT

Paging hardware support:



51
 Fig Paging hardware
 MEMORY MANAGEMENT

Example: conversion of logical address to physical address

Fig. Conversion of logical address in to physical address. 52

 MEMORY MANAGEMENT

Explanation:
Consider, the size of logical memory =16 Byte, size of physical
memory = 32 Byte and page size=4 Byte
Then, size of pages= 4 Bytes = 2 bits
No. of page= 4= 2 bits
The total bits in logical memory address=4 bits.
size of frames= 4 Bytes = 2 bits
No. of frames= 8= 3 bits
The total bits in physical memory address=5 bits.
Suppose the logical address generated by CPU is 1000, that is,
second page of first byte.
Since the page second contains the frame no. 3, so the binary form of
3 is 011 is combined with page offset oo which gives the physical
address 01100 . (in hexadecimal 0x0c).

53
 MEMORY MANAGEMENT

Translation Lookaside Buffer (TLB):

 TLB is usually inside the MMU and consists of small number of
entries.
 A Translation look aside buffer can be defined as a memory cache
which can be used to reduce the time taken to access the page
table again and again.
 It is a memory cache which is closer to the CPU and the time
taken by CPU to access TLB is lesser then that taken to access
main memory.
 Translation Lookaside Buffer (TLB) is a solution that tries to
reduce the effective access time.
 In other words, we can say that TLB is faster and smaller than
the main memory but cheaper and bigger than the register. TLB
is checked to see if it contains an entry for the referenced page
number.
 The referenced page number is compared with the TLB entries all
at once.
 Now, two cases are possible- 54
 MEMORY MANAGEMENT

If there is a TLB hit:

 If TLB contains an entry for the referenced page number, a TLB
hit occurs.
 In this case, TLB entry is used to get the corresponding frame
number for the referenced page number.
If there is a TLB miss:
 If TLB does not contain an entry for the referenced page number,
a TLB miss occurs.
 In this case, page table is used to get the corresponding frame
number for the referenced page number.
 Then, TLB is updated with the page number and frame number
for future references

55
 MEMORY MANAGEMENT

 Unlike page table, there exists only one TLB in the system.
 So, whenever context switching occurs, the entire content of TLB is
flushed and deleted.
 TLB is then again updated with the currently running process.
 In a single level paging using TLB, the effective access time is given as:

56
 MEMORY MANAGEMENT

Numerical Problem (TLB):

A paging scheme uses a Translation Lookaside buffer (TLB). A TLB
access takes 10 ns and a main memory access takes 50 ns. What is
the effective access time (in ns) if the TLB hit ratio is 90% and
there is no page fault?
Given:
 TLB access time = 10 ns
 Main memory access time = 50 ns
 TLB Hit ratio = 90% = 0.9
 Calculating TLB Miss Ratio:
57
 MEMORY MANAGEMENT

TLB Miss ratio:

= 1 – TLB Hit ratio
= 1 – 0.9
= 0.1
Calculating Effective Access Time:
Substituting values in the above formula, we get-
Effective Access Time
= 0.9 x { 10 ns + 50 ns } + 0.1 x { 10 ns + 2 x 50 ns }
= 0.9 x 60 ns + 0.1 x 110 ns
= 54 ns + 11 ns
= 65 ns
Problem-02:
A paging scheme uses a Translation Lookaside buffer (TLB). The
effective memory access takes 160 ns and a main memory access
takes 100 ns. What is the TLB access time (in ns) if the TLB hit ratio
is 60% and there is no page fault?
58
 MEMORY MANAGEMENT
Page Fault:
 When a page referenced by the CPU is not found in the main
memory, it is called as a page fault.
 When a page fault occurs, the required page has to be fetched from
the secondary memory into the main memory.
 A page has to be replaced if all the frames of main memory are
already occupied.
Virtual memory:
 Virtual memory is a concept that gives an illusion to the user that
he/she has sufficient amount of memory to execute any program of
any size.
 Virtual memory is a memory management system in a computer
that temporarily stores inactive parts of the content of RAM on a
disk and restore it again to RAM when quick access to it needed.
 In virtual memory, the user can execute processes with a bigger
size than the available main memory.
 It means that logical address space can be much larger than
physical address space.
59
 Virtual memory makes the task of programming much easier,
because the programmer no longer needs to worry about the
amount of physical memory available.
 MEMORY MANAGEMENT

Demand paging:
 Demand paging is a technique used in virtual memory systems
where pages are brought in main memory only when requested or
demanded by the CPU.
 With demand-paged virtual memory, pages are only loaded when
they are demanded during program execution.
 That is, pages that are never accessed are thus never loaded into
physical memory
 Instead of swapping the entire process into main memory, the lazy
swapper is used.
 A lazy swapper brings only the necessary pages into memory. It is
used in the operating system to improve memory usage and system
performance.
Swapping:
 Each and every process must be in main memory for execution.
 However, a process can be transferred temporarily out of memory
to a backing storage device for certain time period and again
brought back it into main memory for continued execution. 60

 This process of transferring a process from main memory to

backing storage and vice-versa is known as Swapping.
 MEMORY MANAGEMENT
 Transformation of process from main memory to backing memory is
called swapped out and from backing memory to main memory is
known as swapped in.
 The swapping between main memories and backing store is done
by using page replacement algorithm.

Page Replacement:
 Page replacement is a process of swapping out an existing page 61
from the frame of a main memory and replacing it with the
required page.
 MEMORY MANAGEMENT
Page replacement is required when:
 All the frames of main memory are already occupied.
 Thus, a page has to be replaced to create a room for the required
page.
Page Replacement Algorithms:
 Page replacement algorithms help to decide which page must be
swapped out from the main memory to create a room for the
incoming page.
 A good page replacement algorithm is one that minimizes the
number of page faults.
Various page replacement algorithms are:
 FIFO Page Replacement Algorithm
 LRU Page Replacement Algorithm
 Optimal Page Replacement Algorithm

62
 MEMORY MANAGEMENT
FIFO Page Replacement Algorithm:
 As the name suggests, this algorithm works on the principle of
“First in First out“.
 It replaces the oldest page that has been present in the main
memory for the longest period of time.
 It is implemented by keeping track of all the pages in a queue.
LRU Page Replacement Algorithm:
 As the name suggests, this algorithm works on the principle of
“Least Recently Used“.
 It replaces the page that has not been referred by the CPU for the
longest time.
Optimal Page Replacement Algorithm:
 This algorithm replaces the page that will not be referred by the CPU in
future for the longest time.
 It is practically impossible to implement this algorithm.
 This is because the pages that will not be used in future for the longest time
cannot be predicted.
 However, it is the best known algorithm and gives the least number of page 63
faults.
 Hence, it is used as a performance measure criterion for other algorithms.
 MEMORY MANAGEMENT
Problem-01:
 A system uses 3 page frames for storing process pages in main
memory. It uses the First in First out (FIFO) page replacement
policy. Assume that all the page frames are initially empty. What is
the total number of page faults that will occur while processing the
page reference string given below:
 4 , 7, 6, 1, 7, 6, 1, 2, 7, 2
 Also calculate the hit ratio and miss ratio.
Soln:
 Total number of references = 10

64
 MEMORY MANAGEMENT
Calculating Hit ratio:
 Total number of page hits
 = Total number of references – Total number of page misses or
page faults
 = 10 – 6
 =4
 Thus, Hit ratio
 = Total number of page hits / Total number of references
 = 4 / 10
 = 0.4 or 40%
 Calculating Miss ratio:
 Total number of page misses or page faults = 6
 Thus, Miss ratio
 = Total number of page misses / Total number of references
 = 6 / 10
 = 0.6 or 60%
65
 Alternatively,
 Miss ratio = 1 – Hit ratio= 1 – 0.4= 0.6 or 60%
 MEMORY MANAGEMENT
Problem-02:
 A system uses 3 page frames for storing process pages in main
memory. It uses the Least Recently Used (LRU) page replacement
policy. Assume that all the page frames are initially empty. What is
the total number of page faults that will occur while processing the
page reference string given below: 4 , 7, 6, 1, 7, 6, 1, 2, 7, 2
Also calculate the hit ratio and miss ratio.
Soln:
 Total number of references = 10

 Total number of page faults occurred = 6

 In the similar manner as above-
 Miss ratio = 0.6 or 60% 66
 Hit ratio = 0.4 or 40%
 MEMORY MANAGEMENT
Problem-03:
 A system uses 3 page frames for storing process pages in main
memory. It uses the Optimal page replacement policy. Assume that
all the page frames are initially empty. What is the total number of
page faults that will occur while processing the page reference
string given below:
 4 , 7, 6, 1, 7, 6, 1, 2, 7, 2
 Also calculate the hit ratio and miss ratio.
Soln:
 Total number of references = 10

 Total number of page faults occurred = 5

 Miss ratio = 0.5 or 50%
 In the similar manner as above- 67
 Hit ratio = 0.5 or 50%
 MEMORY MANAGEMENT
Belady’s Anomaly:
 The general principle is if the number of frames is increased, the
page fault rate will be decreased.
 Belady’s Anomaly is a phenomenon where increasing the number of
page frames allocated to a process results in an increase in the
number of page faults, contrary to the expected decrease.
 This anomaly is typically observed in certain page replacement
algorithms, such as FIFO.
 For e.g.
 Consider the following reference string
 7,0,1,2,0,3,4,2,3,0,3,2,1,2,0,1,7,0
 If we apply FIFO algorithm with 3 frames, there are 15 page faults,
if we increases upto 4 frames, there are 10 page faults.
 Now consider the reference string 1,2,3,4,1,2,5,1,2,3,4,5
 The number of page faults for 4 frames is 10.
 The number of page faults for 3 frames is 9

68
 MEMORY MANAGEMENT
Segmentation:
 Segmentation is a non contiguous memory management technique
in which the program is divided into the variable size parts. Each
part is known as a segment which can be allocated to a process.
 The details about each segment are stored in a table called a
segment table. Segment table is stored in one (or many) of the
segments.
 Segmentation supports user view of memory
 A segment is a logical unit such as main program, procedure,
function, stacks, common blocks etc.
Segment table contains mainly two information about segment:
 Base: It is the base address of the segment
 Limit: It is the length of the segment. Where segment base
contains starting physical address where the segment resides in
memory, where as segment specifies the length of the segment.

69
 MEMORY MANAGEMENT

Hardware support:
 CPU generates logical address consisting of segment number and
offset
 Use the segment number as index to segment table.
 The offset should be between zero and limit value of that
particular segment(else it trap)
 Then, segment offset is added with the base address of the
segment. 70
 The result obtained after addition is the address of the memory
location storing the required word.
 MEMORY MANAGEMENT
Hardware support:
 CPU generates logical address consisting of segment number and
offset
 Use the segment number as index to segment table.
 The offset should be between zero and limit value of that
particular segment(else it trap)
 Then, segment offset is added with the base address of the
segment.
 The result obtained after addition is the address of the memory
location storing the required word.

71
 MEMORY MANAGEMENT
Example conversion of logical address in to physical address:

72
 MEMORY MANAGEMENT
Advantages of segmentation:
 No internal fragmentation
 Average Segment Size is larger than the actual page size.
 Less overhead
 It is easier to relocate segments than entire address space.
 The segment table is of lesser size as compared to the page table in
paging.
 Disadvantages of segmentation:
 it can have external fragmentation.
 it is difficult to allocate contiguous memory to variable sized
partition.
 Costly memory management algorithms.

73
 MEMORY MANAGEMENT
Difference between paging and segmentation:
Paging Segmentation
A page is of the fixed block size. A segment is of variable size.
It may lead to internal fragmentation. It may lead to external fragmentation.
In Paging, the hardware decides the page size. The segment size is specified by the user.
A process address space is broken into fixed-sized A process address space Is broken in
blocks, which is called pages. differing sized blocks called sections.
The paging technique is faster for memory access. Segmentation is slower than paging
method.
Page table stores the page data Segmentation table stores the segmentation
data.
Paging does not facilitate any sharing of Segmentation allows for the sharing of
procedures. procedures.
Paging fails to distinguish and secure procedures Segmentation can be able to separate
and data separately. secure procedures and data.
Paging address space is one dimensional In segmentation, there is the availability of
many independent address spaces
In paging, the user just provides a single integer as In the segmentation method, the user
the address, that is divided by the hardware into a specifies the address in two quantities
page number and offset. 1)segment number 2)offset.
74
 MEMORY MANAGEMENT

COMBINING PAGING AND SEGMENTATION (PAGED

SEGMENTATION):
 It allows to use segmentation from user’s point of view and also to
divide each segment into pages of fixed size.
 In a combined paging/segmentation system, a user’s address space
is broken up into a number of segments. Each segment is broken up
into a number of fixed-sized pages which are equal in length to a
main memory frame.
 Segmentation is visible to the programmer.
 Paging is transparent to the programmer.
 Segments can be of different lengths, so it is harder to find a place
for a segment in memory than a page. With segmented virtual
memory, we get the benefits of virtual memory but we still have to
do dynamic storage allocation of physical memory.
 In order to avoid this, it is possible to combine segmentation and
paging into a two-level virtual memory system.

75
 MEMORY MANAGEMENT

 Each segment descriptor points to page table for that segment.

 This gives some of the advantages of paging (easy placement) with
some of the advantages of segments (logical division of the
program).

76
 MEMORY MANAGEMENT
How to get address?
 The segment number indexes into the segment table which yields
the base address of the page table for that segment.
 Check the remainder of the address (page number and offset)
against the limit of the segment.
 Use the page number to index the page table. The entry is the
frame. (The rest of this is just like paging.)
 Concatenate the frame and the offset to get the physical address.

77
 MEMORY MANAGEMENT
Advantages
 Reduces memory usage as opposed to pure paging
 Page table size limited by segment size
 Segment table has only one entry per actual segment
 Share individual pages by copying page table entries.
 Share whole segments by sharing segment table entries, which
is the same as sharing the page table for that segment.
 Most advantages of paging still hold
 Simplifies memory allocation

 Eliminates external fragmentation.

 In general, this system combines the efficiency in paging with the

protection and sharing capabilities of the segmentation.

78
 MEMORY MANAGEMENT
Allocation of frame:
 Frame allocation algorithms are used if we have multiple
processes; it help to decide how many frames to allocate to each
process.
 There two methods for allocation of frame using algorithms are as:
Equal allocation and proportional allocation.
 Equal allocation: In a system with x frames and y processes, each
process gets equal number of frames, i.e. x/y. for example, if the
system has 48 frames and 9 processes, each process will get 5
frames. The three frames which are not allocated to any process
can be used as a free-frame buffer pool.
 To remove the disadvantage of equal allocation we use proportional
allocation. The available memory is allocated to each process
according to its size.

79
 MEMORY MANAGEMENT
Proportional allocation:
 Frames are allocated to each process according to the process size.
For a process pi of size si, the number of allocated frames is
ai = (si/S)*m, where S is the sum of the sizes of all the processes
and m is the number of frames in the system.
 For examle, in a system with 62 frames, if there is a process of
10KB and another process of 127KB, then the first process will be
allocated (10/137)*62 = 4 frames and the other process will get
(127/137)*62 = 57 frames.

80
 MEMORY MANAGEMENT
Resident monitor:
 Bare machine is logical hardware which is used to execute the
program in the processor without using the operating system.
 Initially, when the operating systems are not developed, the
execution of an instruction is done by directly on hardware without
using any interfering hardware.
 Bare machines accept the instruction only in machine language.
 The Resident Monitor is a code that runs on Bare Machines. The
resident monitor works like an operating system that controls the
instructions and performs all necessary functions.
 It also works like job sequencer because it also sequences the job
and sends them to the processor.
 After scheduling the job Resident monitors loads the programs one
by one into the main memory according to their sequences.
The Resident monitors are divided into 4 parts as:
 Control Language Interpreter
 Loader
 Device Driver 81

 Interrupt Processing
 MEMORY MANAGEMENT
 Control Language Interpreter: The first part of the Resident monitor is
control language interpreter which is used to read and carry out the instruction
from one level to the next level.
 Loader: The second part of the Resident monitor which is the main part of the
Resident Monitor is Loader which Loads all the necessary system and
application programs into the main memory.
 Device Driver: The third part of the Resident monitor is Device Driver which is
used to manage the connecting input-output devices to the system. So basically
it is the interface between the user and the system. it works as an interface
between the request and response. Request which user made, Device driver
responds that the system produces to fulfill these requests.
 Interrupt Processing: The fourth part as the name suggests, it processes the
all occurred interrupt to the system.

82
 MEMORY MANAGEMENT
Managing Free Memory Space:
 Free space management refers to the process of tracking and
managing unallocated disk space within a file system.
 For this, the system maintain a free space list which keeps track of
whether free disk blocks re not allocated to some file (or directory)
or not.
 When a file is created, the operating system searches the free space
list for the required space allocated to save a file.
 While deletion a file, the file system frees the allocated space and
adds this to the free space list.
 It minimizes fragmentation and maximizing storage utilization.
The free space list can be implemented mainly as:
 There are four free space management methods available in OS.
These are - Bit vector, linked list, grouping, and counting.
Bit vector or Bitmap:
 Bitmaps are arrays of bits where each bit represents a block on the
disk. A bit value of 0 indicates that the block is allocated and 0
indicates that the block is free.
83
 MEMORY MANAGEMENT
 It is a most frequently used method to implement the free space
list.
 For example, consider a diagrammatic representation of a disk in
which there are 16 blocks. Free blocks are represented by 1 and
occupied blocks are represented by 0.

Advantages:
 Easy to implement.
 Efficient in terms of space, as each block is represented by a single
bit.

84
 MEMORY MANAGEMENT
Disadvantages:
 Can become inefficient for very large disks, as the size of the
bitmap grows with the number of blocks.
 1 Tb disk with 4Kb block size requires 32 Mb to store bit map
Linked list:
 Each free block contains a pointer to the next free block, forming a
chain.
 A linked list is another method for free space management in an
operating system.
 In this, all the free blocks inside a disk are linked together in a
linked list by a pointer.
 The pointers of the free block contain the address of the next free
block and the last pointer of the list points to null which indicates
the end of the linked list.
 The free space list head points to the first node in the list.

85
 MEMORY MANAGEMENT
 Each entry in the list specifies a process (P) or a hole (H), the address
at which it starts, the length and a pointer to the next entry.

Advantages:
 Simple to implement.
 Can handle any disk size without significantly increasing overhead.
Disadvantages:
 Traversing the linked list to find a free block can be slow.
86
 Requires extra space to store pointers, reducing the amount of usable
disk space.
 MEMORY MANAGEMENT
Importance of free space management.
 Efficient Disk Utilization:
 Proper free space management ensures that disk spaces are
utilized efficiently, reducing wasted space and preventing the disk
from becoming prematurely full.
 Improved System Performance:
 Efficient allocation and de-allocation of disk space reduce the time
required for these operations, leading to improved system
performance
 System Reliability:
 Effective free space management helps prevent file system
corruption and data loss.
 Ease of Expansion:
 Storage needs grow, efficient free space management allows for
easier expansion and better scalability.


87
 MEMORY MANAGEMENT
Thrashing:
 Thrashing is a phenomenon that occurs in operating system when
the system spent an excessive amount of time in swapping data
between main memory (RAM) and virtual memory (disk) due to
high demand of resources and low available resources.
 Consider a process that currently needs some more frames.
Currently all the frames are occupied.
 So, it will have to swap with certain pages; however, since all the
pages are actively being used, there would be need for an
immediate page replacement after this.
Such a scenario is called thrashing. It results in serious
performance problems.

88
 MEMORY MANAGEMENT
Thrashing is often caused:
 When the system does not have enough memory.
 the system swap file is not properly configured, or
 too much is running on the computer and it has low system
resources.
To resolve hard drive thrashing, a user can do any of the
below.
 Increase the amount of RAM in the computer.
 Decrease the amount of programs being run on the computer.
 Adjust the size of the swap file.
Disadvantages
 The page fault rate increases tremendously.
 Effective memory access time increases.
 No work is being done.
 Average service time is also increased.

89
 File system

File: A file is a collection of related information that is recorded on secondary storage.

From a user's perspective, files are the units to store information on external storage
media like secondary storage. The data cannot be written to secondary storage unless
they are within a file.
File system:
The part of OS dealing with files, its structure, naming, implementation, and security and
so on is called file system.
The file system is a data structure that stores data and information on storage device
(hard drive, floppy drive, disk etc) making them easily retrievable. The file system
provides the mechanism for on-line storage of and access to both data and programs of
the operating system and all the users of the computer system. The file system consists of
two distinct parts: a collection of files, each storing related data, and a directory structure,
which organizes and provides information about all the files in the system.
File Attributes:
A file has the following attributes:
• Name: The symbolic file name is the only information kept in human readable
form. The rules for naming file can vary from system to system.
• Identifier: This unique tag, usually a number, identifies the file within the file
system; it is the non-human-readable name for the file.
• Type: This information is needed for those systems that support different
types.
• Location: This information is a pointer to a device and to the location of the
file on that device.
• Size: The current size of the file (in bytes, words, or blocks), and possibly the
maximum allowed size are included in this attribute.
• Protection: Access-control information determines who can do reading,
writing, executing, and so on.
• Time, date, and user identification: This information may be kept for
creation, modification and last use. These data can be useful for protection,
security, and usage monitoring.
File Operations:
The operating system can provide system calls to create, write, read, reposition, delete, and
truncate files. Create, Open, Read, Write, Append, Truncate, Delete, close.

File Types: File type refers to the ability of the operating system to distinguish different
types of file such as text files, source files, ojects file and binary files etc.
• Regular files contain user information and data bytes.
Regular files may be ASC II/ text file or binary file.
• ASCII files consist of lines of text, each line terminated by carriage return or line
feed. Each line may have variable length. These files are easy to edit and display.
• Source file –sequence of function, subroutine and it has extension such as (c,py,java,
cpp etc)
• Object file- sequence of bytes organized in to blocks and it has extension .obj
• Binary files- A binary file is a file whose content is in a binary format
consisting of a series of sequential bytes, each of which is eight bits in length.
1
 • Executables file- it is a series of encoded code that system executes directly.
The file name is split into two parts-a name and an extension, the system uses the extension
to indicate the type of the file and the type of operations that can be done on that file.
The different categories of files extension are as follows:

File type Usual extension Function

Executable exe, com, bin Read to run machine language program
Object obj, o Compiled, machine language not linked
Source Code C, java, pas, asm, Source code in various languages
Batch bat, sh Commands to the command interpreter
Text txt, doc Textual data, documents
Word Processor wp, tex, rrf, doc Various word processor formats
Archive arc, zip, tar Related files grouped into one compressed file
Multimedia mpeg, mov, rm For containing audio/video information
Markup xml, html, tex It is the textual data and documents
Library lib, a ,so, dll It contains libraries of routines for programmers
It is a format for printing or viewing a ASCII or
Print or View gif, pdf, jpg binary file.

File access method or mechanism:

File access mechanism refers to the manner in which the records stored in a file may be
accessed.
When a file is used, the information must be accessed and read into computer memory. The
information in the file can be accessed in several ways.
Sequential File 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.
Advantages:
• This method of file access is easy to implement.
• It provides fast access to the next record.
• Creation of an automatic back up.
Disadvantages:
• Record deletion creates a waste space.
• Average access time of record is longer
2
 • Simple queries are time consuming.
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.
Advantages:
• Data access is direct and fast.
• Centrally, maintained data can be kept upto date.
Disadvantages:
• As the entire data is to be stored on disk but disk is expensive.
• There is no back up if a file gets destroyed.

Indexed sequential access:

• It is a direct processing method that combines the features of both sequential and
direct access of records. A sequential file (stored on primary key) that is indexed is
called an indexed sequential file.
• 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.
File system implementation:
File system implementation in an operating system refers to how the file system manages
the storage and retrieval of data on a physical storage device such as a hard drive, solid -
state drive, or flash drive. File system implementation is a critical aspect of an operating
system as it directly impacts the performance, reliability, and security of the system. Different
operating systems use different file system implementations based on the specific needs of
the system. Some common file systems used in operating systems include NTFS and FAT in
Windows, and ext4 and XFS in Linux.
Components of File System Implementation:
The file system implementation includes following components:
• File System Structure: The file system structure refers to how the files and directories
are organized and stored on the physical storage device. This includes the layout of
file systems data structures such as the directory structure, file allocation table, and i-
nodes.
• File Allocation: The file allocation mechanism determines how files are allocated on
the storage device. This can include allocation techniques such as contiguous
allocation, linked allocation, indexed allocation.
• Data Retrieval: The file system implementation determines how the data is read from
and written to the physical storage device.
• Security and Permissions: The file system implementation includes features for
managing file security and permissions. This includes access control lists (ACLs), file
permissions, and ownership management.

3
 • Recovery and Fault Tolerance: The file system implementation includes features for
recovering from system failures and maintaining data integrity
Different types of file systems:
There are several types of file systems, each which is designed for specific purposes and
compatible with other operating systems. Some common file system types are:
There are several types of file systems, each designed for specific purposes and compatible
with different operating systems. Some common file system types include:
• FAT32 (File Allocation Table 32): Commonly used in older versions of Windows
and compatible with various operating systems.
• NTFS (New Technology File System): Used in modern windows operating systems,
offering improved performance, reliability, and security features.
• ext4 (Fourth Extended File System): Used in Linux distributions, providing features
such as journaling, large file support, and extended file attributes.
• HFS+ (Hierarchical File System Plus): Used in macOS systems prior to macOS
High Sierra, offering support for journaling and case-insensitive file names.
• APFS (Apple File System): Introduced in macOS High Sierra and the default file
system for macOS and iOS devices, featuring enhanced performance, security, and
snapshot capabilities.
• ZFS (Zettabyte File System): A high-performance file system known for its
advanced features, including data integrity, volume management, and efficient
snapshots.

File allocation methods (Technique):

Allocation method provides a way in which the disk will be utilized and the files will be
accessed. The file allocation methods define how the files are stored in the disk blocks.
There are three main disk space or file allocation methods.
• Contiguous Allocation
• Linked list Allocation
• Indexed Allocation

Contiguous allocation:
If the blocks are allocated to the file in such a way that all the logical blocks of the file get the
contiguous physical block in the hard disk then such allocation scheme is known as
contiguous allocation. The given starting block address and the length of the file (in terms
of blocks required), we can determine the blocks occupied by the file.
The directory entry for a file with contiguous allocation contains
• Address of starting block
• Length of the allocated portion.

4
Advantages:
1. It is simple to implement.
2. We will get Excellent read performance.
Disadvantages:
1. The disk will become fragmented.(External fragmentation)
2. It may be difficult to have a file grow.

Non contiguous allocation:

If the blocks are allocated to the file in such a way that all the logical blocks of the file do not
get the contiguous physical block in the hard disk then such allocation scheme is known as
non contiguous allocation. For example, Link list allocation, indexed file allocation etc

Link list file allocation:

Linked List allocation solves all problems of contiguous allocation. In linked list allocation,
each file is considered as the linked list of disk blocks. However, the disks blocks allocated to
a particular file need not to be contiguous on the disk. Each disk block allocated to a file
contains a pointer which points to the next disk block allocated to the same file.

Advantages:
• There is no external fragmentation with linked allocation.

5
 • Any free block can be utilized in order to satisfy the file block requests.
• File can continue to grow as long as the free blocks are available.
• Directory entry will only contain the starting block address.
Disadvantages:
• Random Access is not provided.
• Pointers require some space in the disk blocks.
• Any of the pointers in the linked list must not be broken otherwise the file will get
corrupted.
• Need to traverse each block.

Indexed file allocation:

In this scheme, a special block known as the Index block contains the pointers to all the
blocks occupied by a file. Each file has its own index block. The i th entry in the index
block contains the disk address of the ith file block. The directory entry contains the
address of the index block as shown in the image:

Advantages:
• This supports direct access to the blocks occupied by the file and therefore provides
fast access to the file blocks.
• It overcomes the problem of external fragmentation.
Disadvantages:
• The pointer overhead for indexed allocation is greater than linked allocation.
• Multiple index even file is small.

6
Layers structure of file system:
Most of the Operating Systems use layering approach for every task including file systems.
Every layer of the file system is responsible for some activities. The fig shown below,
elaborates how the file system is divided in different layers, and also the functionality of each
layer.

Fig layering structure in file system

• Application Programs: This is the topmost layer where users interact with files
through applications. It provides the user interface for file operations like creating,
deleting, reading, writing, and modifying files. Examples include text editors, file
browsers, and command-line interfaces.
• Logical File system – It contains the meta data about the file and directory structure.
It also maintains file control block (FCB) which has information about a file – owner,
size, permissions, and location of file contents.
• File Organization Module – It has information about files, the location of files and
their logical and physical blocks. In order to store and retrieve the files, the logical
blocks need to be mapped to physical blocks. This mapping is done by file
organization module. It is also responsible for free space management. Once file
organization module determine which physical block the application program needs,
it passes this information to basic file system.
• Basic File system – The basic file system is responsible for issuing the commands to
I/O control in order to fetch the required blocks.
• I/O Control – I/O controls contain the codes by using which it can access hard disk.
These codes are known as device drivers. Device driver act as an interface between
devices and OS, they help to transfer data between disk and main memory.
• Devices Layer- The bottommost layer, consisting of the actual hardware devices. It
performs the actual reading and writing of data to the physical storage medium.

7
Directory:
The directory is data structure that contains information about the files, including
attributes, location and ownership. That is, directory is a container that is used to contain
folders and files. The operating system uses directories to keep track of files and where they
are stored. Directory can be viewed as a symbol table that translates file name into
directory entries. A directory contains a number of entries, one per file. Directory can be
organized in many ways. The number of directories varies from system to system.
The operations allowed for managing directories are: -
a) CREATE
b) DELETE
c) OPENDIR
d) CLOSEDIR
e) READIR
f) RENAME
g) LINK
h) UNLINK

File path:
The way by which path name for each file is specified is called file path. A path is a unique
location to a file or a folder in a file system of an OS. A path to a file is a combination of /
and alpha-numeric characters.
An absolute path is defined as specifying the location of a file or directory from the
root directory (/). For example, /user/ ast/ mailbox
Relative path name is the path for the file beginning from the current working directory.
For example, if current directory is /user/ast, then relative path can be mailbox.

Directory structure (logical structure of directory): There are different types of directory
structures that help organize and manage files efficiently. These are:
• Single-Level Directory
• Two-Level Directory
• Tree Structure/ Hierarchical Structure
• Acyclic Graph Structure
Single-Level Directory:
The single-level directory is the simplest directory structure in which all files are contained
in the same directory. Each file must have unique name.

8
 Fig. single level directory
Advantages:
• 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 be chance of name collision because two files can have the same name.
• Searching will become time taking if the directory is large.
• This cannot group the same type of files together.
Two-Level Directory:
Each user has their own user files directory (UFD). The UFDs have similar structures, but
each lists only the files of a single user.

Fig. two level directory

Advantages
• There may be more than two files with same name that would be helpful if there are
multiple users.
• A security would be there which would prevent user to access other user’s files.
• Searching of the files becomes very easy in this directory structure.
Disadvantages
• The user cannot share the file with the other users as there is security,
• Users can create their own files, users don’t have the ability to create subdirectories.
• Scalability is not possible because one user can’t group the same types of files
together.

Tree level directory / Hierarchical level directory

Tree directory structure of operating system is most commonly used in our personal
computers. Allow users to create own subdirectories and organizes their files accordingly.

9
Advantages
• This directory structure allows subdirectories inside a directory.
• The searching is easier.
• File sorting of important and unimportant becomes easier.
• This directory is more scalable than the other two directory structures explained.

Disadvantages
• As the user isn’t allowed to access other user’s directory, this prevents the file sharing
among users.
• If the number of subdirectories increases the searching may become complicated.
• Users cannot modify the root directory data.

Acyclic Graph Structure:

Useful when the same files need to be accessed in more than one place in the directory
structure. A file in one directory can be accessed from multiple directories. That is, s file is
shared between multiple users. If any user makes a change, it would be reflected to both the
users.

10
 Fig. Acyclic graph directory.
Advantages
• Sharing of files and directories is allowed between multiple users.
• Searching becomes too easy.
• Flexibility is increased as file sharing and editing access is there for multiple users.
Disadvantages
• It is difficult to implement this directory structure than other.
• The user must be careful to edit or even deletion of file as the file is accessed by
multiple users.
• If we need to delete the file, then we need to delete all the references of the file in
order to delete it permanently.

File System Performance

- Because of seek time and latency time; disk access is slower than memory access.
- Disk performance is worst than memory performance.
- Disk performance can be improved by:
a) Block caching
b) Block read ahead
c) Reduce disk arm motion.

11
File System Layout:
File system are stored on disks. The disks are separated into partitions. Master boot record is
the information present in the first sector of any hard disk and mainly used for booting the
computer. It contains the information regarding how and where the operating system is
located in the hard disk so that it can be booted in the RAM. It also has a table included in its
partition. This table has the starting and ending address of each partition. When system is
booted, the BIOS (is the program that is used to start the computer when it is powered on)
reads and execute MBR. The MBR program locates in the active partition read its first block,
which is the boot block and executes it. As boot block executed, the CPU fetches all the
information and load the operating system into the main memory. The superblock contains
key parameters about a file system. It includes information about size, block size, empty and
filled blocks. If you are unable to mount your devices, this can be due to corrupted
superblock. Next to superblock, we have a block which includes details of available free
block. Then, we have the I-nodes an array of data structure associated with each file. After
that, there is a root directory, servicing the apex of the file system hierarchy. Finally, the rest
of the disk accommodates the remaining directories and files within the file system.

A possible file system layout is shown in figure below: -

Fig. File system layout

Selecting Block Size:

• Data are accessed as fixed size block.

• Each block is of fixed size in which files are stored.
• The block size should neither be low nor large.
• Having small block size may result in single file with many blocks causing high seek
time and rotational delay.

Impact of block size selection:

• Higher block size indicates higher data rate

• Higher block size indicates lower space utilization.

12
 • Eg: consider a disk with 32768 bytes per track, rotation time of 16.67 ms and average
seek time of 30ms.
• For block size of K bytes’ time to read a block is:
30+16.67+(K/32768) * 16.67

File Implementation (File Allocation Technique)

It is the mechanism of keeping track of which disk blocks go which files

Mapping File Blocks on Disk Platter (Free Disk Space Management):

Files are stored in disk. Whenever a file needs space for allocation, it is necessary to know
which blocks on the disk are necessary. For this purpose, the OS maintains disk allocation
table (DAT) to keep track of a list of free disk spaces. Whenever a file is created, the list of
free disks is searched and then allocated. Then, the space allocated is removed from free
space list, then a file is deleted, its space is added to free space list.

I – nodes:
An I-node (index node) is a data structure in UNIX operating system that contains important
information pertaining to files within a file system. In UNIX based operating system, each
file is indexed by an I-node. I-node is special disk block that are created when the file system
is created. The number of files or directories in a file system depends on the number of I-
nodes in the file system. Each file is associated with a table called index-nodes (I-node)
which lists the attributes and disk addresses of the file’s blocks.

An I-node includes the following information:-

• Attributes (permissions, time stamp, ownership details, etc) of the file such as
o Numeric UID of the owner.
o Numeric GUID of the owner.
o Size of the file.
o File type: regular,directory,device etc…
o Date and Time of Last modification of the file data.
o Date and Time of Last access of file data.
o Date and Time of Last change of the I-node.
• A number of direct blocks (typically 12) that contains the first 12 blocks of the files.

13
 • A single indirect pointer that points to a disk block which in turn is used as an index
block, if the file is too big to be indexed entirely by the direct blocks.
• A double indirect pointer that points to a disk block which is a collection of pointers
to disk blocks which are index blocks, used if the file is too big to beindexed by the
direct and single indirect blocks.
• A triple indirect pointer that points to an index block of index blocks of index blocks.

Fig. I-node structure of UNIX files system

Numerical:
Example1:
The index node (inode) of a Unix-like file system has 12 direct, one single-indirect and one
double-indirect pointer. The disk block size is 4 kB and the disk block addresses 32-bits long.
Calculate the maximum possible file size (rounded off to 1 decimal place).
Solution:
Given, In index node of a Unix-like file system
Direct Block pointer = 12

14
Single Indirect Block pointer = 1
double Indirect Block pointer = 1
Disk block address = disk block entries size = 32 bit = 4 bytes
Disk Block size = 4 KB
Calculation:
Number of entries in a block= 4KB/4B=1K=210
File size = (12 direct + 1 single indirect block + 1 double indirect) × block size
File size = (12 × 1 + 1 × 210 + 1 × 210 x 210) × 4 KB
File size = 48 KB + 4 MB + 4 GB
File size = 4.003952 GB ≈ 4 GB

Example1:
A file system with 300 GByte disk uses a file descriptor with 8 direct block addresses, 1
indirect block address and 1 doubly indirect block address. The size of each disk block is 128
Bytes and the size of each disk block address is 8 Bytes. Calculate the maximum possible file
size (rounded off to 1 decimal place). [Ans= 35 KB] (8 × 1 + 1 × 24 + 1 × 24 x 24) × 128
Bytes)

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. 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. It is a tree-like structure that starts with a single directory
called the root directory, which is denoted by a forward slash (/) character. Directories can
contain both files and other directories, and each file or directory has a unique name. Unix
file system also uses a set of permissions to control access to files and directories. Each file
and directory has an owner and a group associated with it, and permissions can be set to
allow or restrict access to these entities.

Fig structure of Unix file system

Network File System:

15
NFS (Network File System) is a distributed file system protocol that allows clients to
access files and directories on a remote server as if they were local to the client
machine.NFS uses a remote procedure call (RPC) protocol to communicate between the
client and server. This makes it relatively easy to implement and deploy.

Advantages of a network file system:

• Allows easy sharing of data among clients.
• Provides centralized administration.
• Provides security, i.e. one must only secure the servers to secure data.

NFS Client System

The NFS client system is integrated with the kernel (OS). It performs RPCs to the NFS server
system for DFS operations, such as reading and writing files, creating and deleting files, and
moving and renaming files.
NFS Server System
The NFS server system plays the role of both flat file service and directory service. It allows
mounting of files and directories. Mounting a file or directory means that the client makes the
file or directory appear as if it is part of the client’s local file system. it simply creates a
symbolic link to the files on the server.

Virtual File System (VFS) Module

The VFS is a layer of abstraction between the kernel and the file system. It allows processes
to access files via file descriptors, just like local UNIX files. This makes local and remote
files indistinguishable to processes, which gives transparency.
The VFS also keeps a data structure called a v-node for all open files. The v-node is a cache
of information about the file, such as its size, permissions, and location. If the file is local, the

16
v-node points to the local disk i-node. If the file is remote, the v-node contains the address of
the remote NFS server.

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 In long-format output of ls
–l , named pipes are marked by the “p” symbol.

17
 Input/output interface and disk scheduling

OS as I/O device manager:

The role of the operating system in computer I/O is to manage and control I/O operations and
I/O devices. Besides providing abstractions like processes, address spaces and files, and OS
also controls all of the computer’s I/O devices
For that, the OS should: -
➢ issue commands to handle the I/O devices
➢ catch the interrupts
➢ handle the errors
➢ provide the interface between devices and rest of the system.
Principle of I/O hardware:
• Different people look at I/O hardware differently.
• Electrical engineers look in terms of chips, wires, motors, power supplies and other
physical components that make up the hardware.
• Programmers look at the interface presented to the software (the commands the
hardware accepts, the function it carries out and the errors that can be reported back).
• We are concerned with programming I/O devices, not designing, building or
maintaining them
I/O Devices:
I/O devices are the pieces of hardware used by a human (or other system) to communicate
with a computer. Input/output device is used to enter information and instructions into a
computer for storage or processing and to deliver the processed data to a human operator. For
instance, a keyboard or computer mouse is an input device for a computer, while monitors
and printers are output devices. The I/O interface is the method used to transfer information
between internal storage and external I/O devices is known as I/O interface.
I/O devices can be roughly divided into two categories:
• Block devices and
• Character devices
Block devices: A block device is one with which the driver communicates by sending fixed
size blocks of data. Common block size would be range from 512 bytes to 32,768 bytes. A
block device can be read or write independently of all the other ones. Data transfer takes
place in blocks. Example: Disks, USB cameras, Disk-On-Key, CD-ROMs are the most
common block devices.
Character devices: A character device is one with which the driver communicates by sending
and receiving single characters (delivers or accepts a stream of characters, octets). For
example, serial ports, parallel ports, sound cards, printers, network interfaces, etc

Principle of I/O Software:

The basic idea of behind the design of I/O software is to organize the software as a series of a
layer and it should be device independent 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 floppy
disk, on a hard disk, or on a CD-ROM, without having to modify the program for each
different device.

Goals of I/O software:

 Input/output interface and disk scheduling

➢ Device independence
• It should be possible 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 CD-ROM, a DVD, or a USB without having to modify the program for
each different device.
➢ Uniform naming
• The name of the device should simply be a string or an integer and do not
depend on the device in any way.
➢ Error Handling
• In general, the error should be handled as close to the hardware as possible
• For example, if controller discovers read error, it should try to correct the error
itself. If it cannot, the device driver should handle it.
➢ Synchronous (blocking) Vs. Asynchronous (interrupt driven) transfers
• It is up to the OS to make the operation that are interrupt driven look blocking to the
user programs.
➢ Buffering
• Often, data that comes off a device cannot be stored directly to its final
destination due to various reasons.
• buffer is the intermediate destination.
➢ Dedicated Vs Shared devices
• Devices that can be used by many users at a time are sharable. E.g. Disk
(multiple users can open files from the same disk at the same time.
• Some devices have to be dedicated to a single person. E.g. tapes

Input/output software layer organization:

Basically, input/output software organized in the following four layers:
• Interrupt handlers
• Device drivers
• Device-independent input/output software
• User-space input/output software

Fig I/O software layer organization

Each of the above given four layer has a well-defined function to perform and a well-defined
interface to the adjacent layers. The actual hardware and hardware controller which interact
 Input/output interface and disk scheduling

with the device drivers and makes hardware alive.The functionality and interfaces differ from
system to system.

Interrupt handlers:
An interrupt handler, also known as an interrupt service routine(ISR), is a piece of software
or more specifically a callback function in an operating system or more specifically in a
device driver, whose execution is triggered by the reception of an interrupt. The interrupt
procedure will perform whatever actions are necessary in order to deal with an interrupt
whenever one of those events takes place.
When the interrupt happens, the interrupt procedure does whatever it has to in order to handle
the interrupt, updates data structures and wakes up process that was waiting for an interrupt to
happen.
The interrupt mechanism accepts an address ─ a number that selects a specific interrupt
handling routine/function from a small set. In most architecture, this address is an offset
stored in a table called the interrupt vector table. This vector contains the memory addresses
of specialized interrupt handlers.

Device drivers:
Device drivers are software modules that can be plugged into an OS to handle a particular
device. It is the software part that communicates to the device controller, giving it commands
and accepting response. A device driver provides the software interface to hardware devices,
enabling the OS and other programs to access hardware functions without having to know the
precise details of the hardware being used. Device driver is generally written by the device's
manufacturer and delivered along with the device on a CD-ROM. Device divers are hardware
dependent and operating system specific. Operating system takes help from device drivers to
handle all I/O devices.

A device driver performs the following functions:-

• To accept request from the device independent software above to it.
 Input/output interface and disk scheduling

• Interact with the device controller to take and give I/O and perform required error
handling
• Making sure that the request is executed successfully

Working mechanism of device driver:

• Firstly command sequence is determined.
• After knowing issued command sequences, it starts writing them into controller’s device
registers.
• After that, it checks to see if the controller accepted the command and is prepared to accept
next command.
• Driver blocks(or waits) till the controller does some work for it.
• It blocks itself until the interrupt comes into unblock it.
• Interrupt is sent to unblock the device driver.
• After operation has been completed, driver checks for error and if everything is all right, the
driver passes data to the device independent software.
• Finally, it returns some status information for error reporting back the caller.
• If none of the request is in queue, the driver blocks waiting for next request.

Device-independent input/output software:

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. Though,
it is difficult to write completely device independent software but we can write some modules
which are common among all the devices. Following is a list of functions of device-
independent I/O Software −
• Uniform interfacing for device drivers
• Device naming - Mnemonic names mapped to Major and Minor device numbers
• Device protection
• Providing a device-independent block size
• Buffering because data coming off a device cannot be stored in final destination.
• Storage allocation on block devices
• Allocation and releasing dedicated devices
• Error Reporting

User-space input/output software:

This provides simple interface to the user program to perform input and output operation that
are linked with the library. For example putchar(), getchar(), printf() and scanf() are example
of user level I/O library available in stdio of C and C++ programming languages..

Device controller:
The Device Controller works like an interface between a device and a device driver. I/O units
(Keyboard, mouse, printer, etc.) typically consist of a mechanical component and an
electronic component where electronic component is called the device controller. A device
controller is a part of a computer system that makes sense of the signals going to, and coming
from the CPU. There is always a device controller and a device driver for each device to
communicate with the Operating Systems. A device controller may be able to handle multiple
devices.
Any device connected to the computer is connected by a plug and socket, and the socket is
connected to a device controller. Following is a model for connecting the CPU, memory,
 Input/output interface and disk scheduling

controllers, and I/O devices where CPU and device controllers all use a common bus for
communication as shown in fig. below:

• As we know, device controllers is a piece of hardware that receives commands from

the system bus, translates them into device actions and reads/writes the data onto the
system bus
• Each controller has a few registers that are used for communicating with the CPU
(control registers) along with a data buffer.
• 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.
• In addition to the control registers, many devices have a data buffer that the operating
system can read and write.

Communication to I/O devices (I/O handling):

The CPU must have a way to pass information to and from an I/O device. There are three
approaches available to communication with CPU and device. They are:
Programmed I/O (Special Instruction I/O)
Memory –mapped I/O
I/O using DMA
Interrupt driven I/O

Programmed mapped I/O:

In this mode the data transfer is initiated by the instructions written in a computer program.
An input instruction is required to store the data from the device to the CPU and a store
instruction is required to transfer the data from the CPU to the device. Data transfer through
this mode requires constant monitoring of the peripheral device by the CPU and also monitor
the possibility of new transfer once the transfer has been initiated. Thus CPU stays in a loop
until the I/O device indicates that it is ready for data transfer. Thus programmed I/O is a time
consuming process that keeps the processor busy needlessly and leads to wastage of the CPU
cycles.

Interrupt driven I/O:

 Input/output interface and disk scheduling

Interrupt driven I/O is a method of transferring data between a processor and an I/O device. It
uses interrupt to signal when data is ready to be exchanged, freeing up the processor to
perform other tasks. The operation performed by interrupt driven I/O are:-
• An I/O device sends an interrupt signal to the processor when it’s ready to send or
received data.
• The processor suspends its current task and services the interrupt request.
• The processor executes the data transfer.
• The processor resumes its previous task.

Direct Memory Access (DMA)

Slow devices like keyboards will generate an interrupt to the main CPU after each byte is
transferred. If a fast device such as a disk generated an interrupt for each byte, the operating
system would spend most of its time handling these interrupts. So a typical computer uses
direct memory access (DMA) hardware to reduce this overhead.
Direct Memory Access (DMA) means CPU grants I/O module authority to read from or write
to memory without involvement. DMA module itself controls exchange of data between main
memory and the I/O device. CPU is only involved at the beginning and end of the transfer
and interrupted only after entire block has been transferred.
Direct Memory Access needs a special hardware called DMA controller (DMAC) that
manages the data transfers and arbitrates access to the system bus. The controllers are
programmed with source and destination pointers (where to read/write the data), counters to
track the number of transferred bytes, and settings, which includes I/O and memory types,
interrupts and states for the CPU cycles.

The operating system uses the DMA hardware as follows:

• Device driver is instructed to transfer disk data to a buffer address X.
• Device driver then instruct disk controller to transfer data to buffer.
• Disk controller starts DMA transfer.
• Disk controller sends each byte to DMA controller.
• DMA controller transfers bytes to buffer, increases the memory address,
decreases the counter C until C becomes zero.
• When C becomes zero, DMA interrupts CPU to signal transfer completion.
 Input/output interface and disk scheduling

Working of DMA:

• First the CPU programs the DMA controller by setting its registers so it knows what
to transfer where
• Alongside, DMAC issues a command to the disk controller telling it to read data from
the disk into its internal buffer and verify the checksum. When valid data are in the
disk controller's buffer, DMA can begin.
• The DMA controller initiates the transfer by issuing a read request over the bus to the
disk controller
• The write to memory is another standard bus cycle
• When the write is complete, the disk controller sends an acknowledgement signal to
the DMA controller, also over the bus
• The DMA controller then increments the memory address to use and decrements the
byte count. If the byte count is still greater than 0, steps 2 through 4 are repeated until
the count reaches 0. At that time, the DMA controller interrupts the CPU to let it
know that the transfer is now complete.

Advantage:
• Free up CPU
• high transfer rates
• fewer CPU cycles for each transfer
Disadvantages
• DMA transfer requires a DMA controller to carry out the operation, hence more
expensive system
• Synchronization mechanisms must be provided in order to avoid accessing non-
updated information from RAM

Memory –mapped I/O:

• When using memory-mapped I/O, the same address space is shared by memory and
I/O devices. The device is connected directly to certain main memory locations so that
I/O device can transfer block of data to/from memory without going through CPU.
 Input/output interface and disk scheduling

Fig Memory-mapped I/O

• While using memory mapped I/O, OS allocates buffer in memory and informs I/O
device to use that buffer to send data to the CPU. I/O device operates asynchronously
with CPU, interrupts CPU when finished.
• The advantage to this method is that every instruction which can access memory can
be used to manipulate an I/O device. Memory mapped IO is used for most high-speed
I/O devices like disks, communication interfaces.

Disk scheduling:
Disk scheduling is done by operating systems to schedule I/O requests arriving for the
disk. Disk scheduling is also known as I/O scheduling.
• Multiple I/O requests may arrive by different processes and only one I/O request
can be served at a time by the disk controller. Thus other I/O requests need to wait in
the waiting queue and need to be scheduled.
Terms:
• Two or more request may be far from each other so can result in greater disk arm
movement.
• Hard drives are one of the slowest parts of the computer system and thus need to be
accessed in an efficient manner.
Following are the disk performance parameters:
• Seek Time: Seek time is the time taken to locate the disk arm to a specified track
where the data is to be read or write.
Seek time = Number of track traversed × Disk drive constant + Startup time
Seek time do not apply to device with fixed read/write heads.
So the disk scheduling algorithm that gives minimum average seek time is better.
• Rotational Latency or rotational delay: Rotational latency is the time taken to
locate the desired sector of disk to rotate into a position so that it can access the
read/write heads. So the disk scheduling algorithm that gives minimum rotational
latency is better.
• Transfer Time: Transfer time is the time to transfer the data. It depends on the
rotating speed of the disk and number of bytes to be transferred.
T=b/rN where T=data transfer time, b=no. of bytes to be transferred
N=no. of bytes on track, r=rotational speed per second
Thus, total average access time can be expressed as
Ta= Ts +1/2r +b/rN, where Ts= estimated seek time
 Input/output interface and disk scheduling

• Disk Access Time: The sum of the seek time ,the rotational delay equals and transfer
time equals the access time
Disk Access Time = Seek Time +Rotational Latency + Transfer Time

Disk Response Time: Response Time is the average of time spent by a request waiting to
perform its I/O operation.

Disk capacity:
Disk capacity = Number of cylinders × Number of heads × Number of sectors per track ×
Number of bytes per track
Example1: Consider a disk with a sector size of 512 bytes, 2000 tracks per surface, 50
sectors per track, five double side platter, and average seek time of 10 msec.
(i) What is the capacity of a track in bytes? What is the capacity of each surface? What is
the capacity of disk?
(ii) How many cylinders does the disk have?
(iii) Give the example of valid block sizes. Is 256 bytes a valid block size?
(iv) if the disk platter rotateat 5400 rpm. What are the maximum rotational delay and average
rotational delay.
(v) If one track of data can be transferred per revolution, what is the transfer rate?
Solution:
(i) Capacity of a track in bytes= Number of sectors per track × size of per sector
= 50x512 bytes=25600 bytes= 25K
Capacity of each surface= no. of track x capacity of track=2000x25K=50000K
Capacity of disk=byte per surface x surface per disk=50000K x5x2=5000000K
(ii) The number cylinders is the same as the number of tracks on each platter, which is 2000.
(iii) The block size should be a multiple of the sector size. We can see that 256 is not valid
block size and valid size is 2048.
(iv) If disk platter rotate at 5400 rpm, then rotational delay, r =60/5400=1/90 sec =00.011 s
The average rotational delay, is half of the rotation time= 1/(2*90)=
(v) The capacity of a track is 25K bytes, since one track of data can be transferred per
revolution, the data transfer rate is 25K* 90= 2250 KB/sec

Example2: A certain moving arm disk storage device has the following:
No. of track per surface=404
Track storage capacity=13030 bytes
Disk speed=3600 rpm
Average seek time=30 msec
Find the average latency time, disk storage capacity and rate of data transfer.
Solution :
Given, no. of bytes on track (N)=13030 bytes
Ts=10x10-3 sec
Disk speed =3600 rpm
Time required for one rotation=1/3600 per minute=1/60 sec
Average latency time=1/2x60=1/120 seconds
 Input/output interface and disk scheduling

Disk storage capacity= No. of track per surface x Track storage capacity
=404 X 13030 bytes
Data transfer rate= Track storage capacity/Time required for one rotation
=13030/(1/60)=60x13030 bytes/sec
Total data transfer time =Ts +1/2r +b/rN
= 10x10-3 + 1/(2*60) +(13030 bytes/(60*13030)) bytes/sec
=0.054967 sec

Some important disk scheduling algorithms are:

FCFS: FCFS is the simplest of all the Disk Scheduling Algorithms. In FCFS, Disk
controller process the i/o requests in the order in which they arrive in the disk queue. Let
us understand this with the help of an example.

Example:
1. Suppose the order of request is- (82,170,43,140,24,16,190)
And current position of Read/Write head is : 50

Soln:
So, total seek time:
=(82-50)+(170-82)+(170-43)+(140-43)+(140-24)+(24-16)+(190-16)
=642

Advantages:

• Every request gets a fair chance

• No indefinite postponement
 Input/output interface and disk scheduling

Disadvantages:

• Does not try to optimize seek time

• May not provide the best possible service
SSTF (Shortest Seek Time First): In SSTF, requests having shortest seek time are
executed first. So, the seek time of every request is calculated in advance in the queue and
then they are scheduled according to their calculated seek time. As a result, the request
near the disk arm will get executed first. SSTF is certainly an improvement over FCFS as
it decreases the average response time and increases the throughput of system. Consider
with the help of an example.

Example:
1. Suppose the order of request is- (82,170,43,140,24,16,190)
And current position of Read/Write head is : 50

So, total seek time:

=(50-43)+(43-24)+(24-16)+(82-16)+(140-82)+(170-140)+(190-170)
=208
Advantages:
• Average Response Time decreases
• Throughput increases
Disadvantages:

• Overhead to calculate seek time in advance

• Can cause Starvation for a request if it has higher seek time as compared to
incoming requests
• High variance of response time as SSTF favours only some requests

Example:
1. Suppose the requests to be addressed are- 82,170,43,140,24,16,190. And the
Read/Write arm is at 50, and it is also given that the disk arm should move “towards
the larger value”.
 Input/output interface and disk scheduling

Therefore, the seek time is calculated as:=(199-50)+(199-16)

=332

Advantages:

• High throughput
• Low variance of response time
• Average response time
Disadvantages:
Long waiting time for requests for locations just visited by disk arm
Example1:
Consider the following example:
The disk queue has the following request to read track 87,170,40,150,36,72,66,15.
If the disk head is initially 60. Find the total headmovement.
Example2:
Scan/ Elevator algorithm:
• The disk head constantly moves from the inner most cylinders (current position) to
the outer cylinder servicing the request in order and then it changes its direction back
toward.
• This algorithm is sometimes called as elevator algorithm because the disk arm
behaves just like an elevator of the building.
• First it serves all the requests of going up and then reaching at top, it goes downward.
Example:
Consider a disk queue with requests for I/O to blocks on cylinders 98, 183, 41, 122, 14, 124,
65, 67. The SCAN scheduling algorithm is used. The head is initially at cylinder number 53
moving towards larger cylinder numbers on its servicing pass. The cylinders are numbered
from 0 to 199. The total head movement (in number of cylinders) incurred while servicing
these requests is _______.

Solution-
 Input/output interface and disk scheduling

Total head movements incurred while servicing these requests

= (65 – 53) + (67 – 65) + (98 – 67) + (122 – 98) + (124 – 122) + (183 – 124) + (199 – 183) +
(199 – 41) + (41 – 14)
= 12 + 2 + 31 + 24 + 2 + 59 + 16 + 158 + 27
= 331
Advantages:

• It is simple, easy to understand and implement.

• It does not lead to starvation.
• It provides low variance in response time and waiting time.
Disadvantages:
It causes long waiting time for the cylinders just visited by the head.
• It causes the head to move till the end of the disk even if there are no requests to be
serviced.

C-SCAN Scheduling algorithm:

• In C-SCAN the head moves from the inner most cylinders (current position) to the
outer most cylinders servicing the requests in order of their location.
• When it reaches the outermost cylinder (other end), it immediately returns to the
beginning of other end, without servicing any requests on the return trip.
• The CSCAN scheduling algorithm essentially treats the cylinders as a circular list that
wraps around from the final cylinder to the first one.
• Consider a disk queue with requests for I/O to blocks on cylinders 98, 183, 41, 122,
14, 124, 65, 67. The C-SCAN scheduling algorithm is used. The head is initially at
cylinder number 53 moving towards larger cylinder numbers on its servicing pass.
The cylinders are numbered from 0 to 199. What is the total head movement (in
number of cylinders) incurred while servicing these requests.

Solution:

Total head movements incurred while servicing these requests

= (65 – 53) + (67 – 65) + (98 – 67) + (122 – 98) + (124 – 122) + (183 – 124) + (199
– 183) + (199 – 0) + (14 – 0) + (41 – 14)
= 12 + 2 + 31 + 24 + 2 + 59 + 16 + 199 + 14 + 27
= 386
 Input/output interface and disk scheduling

Advantages:
• The waiting time for the cylinders just visited by the head is reduced as compared to
the SCAN Algorithm.
• It provides uniform waiting time.
• It provides better response time.
Disadvantages:
• It causes more seek movements as compared to SCAN Algorithm.
• It causes the head to move till the end of the disk even if there are no requests to be
serviced.
LOOK Scheduling algorithm:
• LOOK Algorithm is an improved version of the SCAN Algorithm.
• Head starts from the first request at one end of the disk and moves towards the last
request at the other end servicing all the requests in between.
• After reaching the last request at the other end, head reverses its direction.
• It then returns to the first request at the starting end servicing all the requests in
between.
• The same process repeats
Example:
Consider a disk queue with requests for I/O to blocks on cylinders 98, 183, 41, 122, 14, 124,
65, 67. The LOOK scheduling algorithm is used. The head is initially at cylinder number 53
moving towards larger cylinder numbers on its servicing pass. The cylinders are numbered
from 0 to 199. What is the total head movement (in number of cylinders) incurred while
servicing these requests.
Solution-

Total head movements incurred while servicing these requests

= (65 – 53) + (67 – 65) + (98 – 67) + (122 – 98) + (124 – 122) + (183 – 124) + (183 – 41) +
(41 – 14)
= 12 + 2 + 31 + 24 + 2 + 59 + 142 + 27
= 299

Advantages-
• It does not cause the head to move till the ends of the disk when there are no requests
to be serviced.
• It provides better performance as compared to SCAN Algorithm.
• It does not lead to starvation.
 Input/output interface and disk scheduling

• It provides low variance in response time and waiting time.

Disadvantages-

• There is an overhead of finding the end requests.

• It causes long waiting time for the cylinders just visited by the head.
LOOK Disk Scheduling Algorithm:
• Circular-LOOK Algorithm is an improved version of the LOOK Algorithm.
• Head starts from the first request at one end of the disk and moves towards the last
request at the other end servicing all the requests in between.
• After reaching the last request at the other end, head reverses its direction.
• It then returns to the first request at the starting end without servicing any request in
between.
• The same process repeats.
Example:
Consider a disk queue with requests for I/O to blocks on cylinders 98, 183, 41, 122, 14, 124,
65, 67. The C-LOOK scheduling algorithm is used. The head is initially at cylinder number
53 moving towards larger cylinder numbers on its servicing pass. The cylinders are numbered
from 0 to 199. What is the total head movement (in number of cylinders) incurred while
servicing these requests.
Solution:

Total head movements incurred while servicing these requests

= (65 – 53) + (67 – 65) + (98 – 67) + (122 – 98) + (124 – 122) + (183 – 124) + (183 –
14) + (41 – 14)
= 12 + 2 + 31 + 24 + 2 + 59 + 169 + 27
= 326
Advantages:
• It does not cause the head to move till the ends of the disk when there are no requests
to be serviced.
• It reduces the waiting time for the cylinders just visited by the head.
• It provides better performance as compared to LOOK Algorithm.
• It does not lead to starvation.
• It provides low variance in response time and waiting time.
Disadvantages:
• There is an overhead of finding the end requests.
 Input/output interface and disk scheduling

Disks:
• Disks are the information storage media.
• Advantages of disks over main memory:
o storage capacity of disk is greater than main memory
o disks are non-volatile (i.e. unlike main memory, the information on
disk is not lost even after power off)
• Disks come in variety of types:
▪ Magnetic Disks : Hard Disks, Floppy disks
▪ Optical Disks, CD-ROMs, DVDs etc.

RAM Disk:
RAM Disk also known as RAM Drive is not a disk at all;
A RAM disk (also called a RAM drive) is a block of random-access memory (primary
storage or volatile memory) that a computer's software is treating as if the memory were a
disk drive (secondary storage).
It is a program which takes the portion of the system memory (RAM, in the form of memory
chips) and uses it as a disk drive. You can create a larger RAM disk, if your computer has
more RAM. A RAM disk can also take the form of a hardware device or a virtual disk. RAM
drive makes use of regular RAM instead of accessing the data bus. As long as the power is
on, you can use a RAM disk just like a real disk drive-you can copy files to and from the
RAM disk, display the RAM disk's directory or folder on your screen, and run any programs
you've stored there.

Advantages of RAM Disk

The benefits of RAM disk are as follows:
• It makes the performance of I/O process faster and more efficient.
• The users make use of a RAM disk to speed up their applications like games, audio,
and video editing, databases, etc.
• The performance of a RAM Disk is higher.
• The main benefit of RAM disk is you can access the RAM disk at maximum
bandwidth without any fear of mechanical failure.
• Also, at maximum bandwidth, it does not produce excessive heat, noise or vibration.
Disadvantages of using RAM Disk:
The disadvantages of using RAM Disk are as follows:
• Its most significant disadvantage is its cost. As we know that, RAM is very costly as
compared to a hard disk.
• If your computer lost power and your system gets crashed, then all of your saved
data also get lost.
• RAM disk reserves a good portion of your memory so that you cannot use that
memory for any other purpose.
Applications of using a RAM disk:
A RAM disk is like a hard drive, but it makes the use of memory. You can use a RAM disk
like: you can copy applications and files to the RAM disk, and then you can start those
 Input/output interface and disk scheduling

applications or those files from there if the program allows that. Mostly, RAM disks are
suitable for those
• who want to store temporary data.
• You can also set the Windows temp folder location there for instance.

(in windows, ImDisk , software for creating RAM disk.)

Interleaving:
Interleaving is the gap between the two continuous serial sectors. Interleaving is a data
storage optimization technique employed in hard disks by putting data accessed sequentially
into non-sequential sectors. Let the size of one sector is 512 bytes. Let the total number of
sector 17 per track. Therefore, in one round of r/w head, the total amount of data transferred=
512*17= 8707 bytes.

But the controller cannot recognize 8704 bytes in one round. Therefore, a method in which
lesser number of sector can be transverse for r/w operation is known as sector interleaving..

No interleaving (factor 1:1) single interleaving (factor 1:2) double interleaving (factor 1:2)

Traversing fewer sectors can be made possible only when we leave sectors and not r/w all
sectors serially.
Benefit of sector leaving factor:
Using sector leaving factor, we can manage the capacity of controller. Let the capacity of
controller=2K but if interleaving factor is 1:1 then
If size of sector is 512 bytes and total sector per track is 17 then,
total data transferred per revolution=512*17= 8704 bytes
i.e. 8704/1024=8.5K
but controller can only support 2K per revolution.
Hence, we set interleaving factor as 1:4 or 1:5 to resolve this problem.

Terminal:
➢ Terminals are data input-output device usually made up of a monitor (display),
keyboard, mouse, or touch screen.
 Input/output interface and disk scheduling

➢ A computer terminal is an electronic or electromechanical hardware device that is

used for entering data into, and displaying or printing data from, a computer or a
computing system.
➢ It is the point at which a user is connected to and communicates with a computer.
Three basic types of terminals are:
• Dumb terminal: has no built-in data processing capabilities and
serves only to send and receive data.
• Smart terminal: has limited data processing capabilities.
• Intelligent terminal: has a substantial data processing capability to
inbuilt processor and memory

Kernel I/O Subsystem

Kernel I/O Subsystem is responsible to provide many services related to I/O.
Following are some of the services provided.
• Scheduling − Kernel schedules a set of I/O requests to determine a good order in
which to execute them. When an application issues a blocking I/O system call, the
request is placed on the queue for that device. The Kernel I/O scheduler rearranges
the order of the queue to improve the overall system efficiency and the average
response time experienced by the applications.
• Buffering − Kernel I/O Subsystem maintains a memory area known as buffer that
stores data while they are transferred between two devices or between a device with
an application operation. Buffering is done to cope with a speed mismatch between
the producer and consumer of a data stream or to adapt between devices that have
different data transfer sizes.
• Caching − Kernel maintains cache memory which is region of fast memory that holds
copies of data. Access to the cached copy is more efficient than access to the original.
• Spooling and Device Reservation − A spool is a buffer that holds output for a
device, such as a printer, that cannot accept interleaved data streams. The spooling
system copies the queued spool files to the printer one at a time. In some operating
systems, spooling is managed by a system daemon process. In other operating
systems, it is handled by an in kernel thread.
• Error Handling − An operating system that uses protected memory can guard
against many kinds of hardware and application errors.

RAID:
RAID redundant array of inexpensive disks or redundant array of independent disks is
a data storage virtualization technology that combines multiple physical data storage
components into one or more logical units for the purposes of data redundancy, performance
improvement, or both. In case of hardware RAID, there is a dedicated controller and processor
present inside the disks that manage the memory. There are various raid levels as discussed below.
Standard RAID levels RAID 0:
RAID 0 is based on data striping. A stream of data is divided into multiple segments or
blocks and each of those blocks is stored on different disks. So, when the system wants to
read that data, it can do so simultaneously from all the disks and join them together to
 Input/output interface and disk scheduling

reconstruct the entire data stream. The benefit of this is that the speed increases drastically for
read and write operations.

Fig. RAID 0 striping

Advantages:
• Performance boost for read and write operations.
• Space is not wasted as the entire volume of the individual disks are used up to store unique
data.
Disadvantages
• There is no redundancy/duplication of data. If one of the disks fails, the entire data is lost.
RAID 1:
RAID 1 uses the concept of data mirroring. Data is mirrored or cloned to an identical set of
disks so that if one of the disks fails, the other one can be used. It also improves read
performance since different blocks of data can be accessed from all the disks simultaneously.
 Input/output interface and disk scheduling

Advantages:
• Data can be recovered in case of disk failure
• Increased performance for read operation
Disadvantages
• Slow write performance
• Space is wasted by duplicating data which increases the cost per unit memory

RAID 4:
RAID 4 stripes the data across multiple disks just like RAID 0. In addition to that, it also
stores parity information of all the disks in a separate dedicated disk to achieve redundancy.
In the diagram below, Disk 4 serves as the parity disk having parity blocks Ap, Bp, Cp and
Dp. So, if one of the disks fails, the data can be reconstructed using the parity information of
that disk. Space is more efficiently used here when compared to RAID 1 since parity
information uses way less space than mirroring the disk.

Advantages
• Efficient data redundancy in terms of cost per unit memory
• Performance boost for read operations due to data stripping
Disadvantages
• Write operation is slow because all the parity information is written on a single disk
which is a bottleneck.
• If the dedicated parity disk fails, data redundancy is lost

RAID 5:
RAID 5 is the most common secure RAID level. It requires at least 3 drives but can work
with up to 16. Data blocks are striped across the drives and on one drive a parity checksum of
all the block data is written. The parity data are not written to a fixed drive, they are spread
across all drives, as the drawing below shows. Using the parity data, the computer can
recalculate the data of one of the other data blocks, should those data no longer be available.
That means a RAID 5 array can withstand a single drive failure without losing data or access
to data.
 Input/output interface and disk scheduling

Advantages:
• Read data transactions are very fast while write data transactions are somewhat slower
(due to the parity that has to be calculated).
Disadvantages
• Can only handle up to a single disk failure

RAID 6:
RAID 6 uses double parity blocks to achieve better data redundancy than RAID 5. This
increases the fault tolerance for up to two drive failures in the array. Each disk has two parity
blocks which are stored on different disks across the array. RAID 6 is a very practical
infrastructure for maintaining high availability systems.

Advantages:
• Better data redundancy. Can handle up to 2 failed drives
 Input/output interface and disk scheduling

Disadvantages
• Large parity overhead

RAID 10(RAID 1+0):

RAID 10 combines both RAID 1 and RAID 0 by layering them in opposite order.
Sometimes, it is also called as “nested” or “hybrid” RAID. This is a “best of both worlds
approach”, because it has the fast performance of RAID 0 and the redundancy of RAID 1. In
this setup, multiple RAID 1 blocks are connected with each other to make it like RAID 0. It is
used in cases where huge disk performance (greater than RAID 5 or 6) along with
redundancy is required.

Advantages:
• Very fast performance
• Redundancy and fault tolerance
Disadvantages:
• Cost per unit memory is high since data is mirrored

RAID levels 2, 3 and 7:

These levels do exist but are not that common.
 DEADLOCK:

Deadlock:
 Deadlock is a situation where a set of processes are blocked
because each process is holding a resource and waiting for
another resource acquired by some other process.
 Or two or more processes are said to be in a deadlock if
they wait for the happening of an event that would never
be happen. For e.g. Traffic only in one direction,
 For example, in the below diagram, Process 1 is holding
Resource 1 and waiting for resource 2 which is acquired by
process 2, and process 2 is waiting for resource 1.

1
 DEADLOCK:
Deadlock can arise if the following four conditions hold
simultaneously (Necessary Conditions for Deadlock) :
 Mutual Exclusion: Two or more resources are non-shareable
(Only one process can use at a time)
 Hold and Wait: A process must be holding at least one resource
and waiting for at least one resource that is currently being held
by some other process.
 No Preemption: Resources cannot be preempted i.e. once a
process is holding a resource then that resource cannot be taken
from a process unless the process releases the resource.
 Circular Wait: A set {P0, P1, P2, ..., Pn} of waiting processes
must exist such that:
 P0 is waiting for a resource held by P1,
 P1 is waiting for a resource held by P2, …
 Pn-1 is holding for a resource held by Pn, and
 Pn is waiting for resource held by P0.

2
 DEADLOCK:
Resource Allocation Graph::
 The resource allocation graph is the pictorial representation of the
state of a system.
 As its name suggests, the resource allocation graph is the
complete information about all the processes which are holding
some resources or waiting for some resources.
 It also contains the information about all the instances of all the
resources whether they are available or being used by the
processes.
 In Resource allocation graph, the process is represented by a
Circle while the Resource is represented by a rectangle.
 Vertices are mainly of two types, Resource and process. Each of
them will be represented by a different shape.
 Circle represents process while rectangle represents resource. A
resource can have more than one instance.
 Each instance will be represented by a dot inside the rectangle.
3
 DEADLOCK:

• Process

• Resource Type with 4 instances

• Pi requests instance of Rj

Pi
Rj
• Pi is holding an instance of Rj

Pi
Rj
4
 DEADLOCK:

 Example of a Resource Allocation Graph:

 Request Edges : A set of directed arcs from Pi to Rj,

indicating that process Pi has requested Rj, and is
currently waiting for that resource to become available.
 Assignment Edges : A set of directed arcs from Rj to Pi
indicating that resource Rj has been allocated to process Pi,
and that Pi is currently holding resource Rj. 5
 DEADLOCK:

 In above diagram, there are:

 The sets P, R, and E:
 P = {P1, P2, P3}
 R = {R1, R2, R3, R4}
 E = { P1 → R1, P2 → R3, R1 → P2, R3 → P3, R2 → P1, R2 →
P2}
 Resources Instances:
 One instance of resource R1 and R3
 Two instance of resource R2
 Three instances of resource R4

6
 DEADLOCK:

Resource Allocation Graph With A Deadlock:

7
 DEADLOCK:

Methods for Handling Deadlocks or Deadlock

strategies:
1. Deadlock prevention:
2. Deadlock avoidance:
3. Deadlock Detection and Recovery:
4. Deadlock ignorance(ostrich method):
i. Deadlock prevention:
 A deadlock may be prevented by denying any one of the
conditions.
 Elimination of “Mutual Exclusion” Condition: The mutual
exclusion condition must hold for non sharable resources.
 That is, several processes cannot simultaneously share a single
resource. This condition is difficult to eliminate because some
resources, such as the Hard disk drive and printer, are inherently
non-shareable.
 Note that shareable resources like read-only-file do not require 8
mutually exclusive access and thus cannot be involved in
deadlock.
 DEADLOCK:

ii. Elimination of “Hold and Wait” Condition: There are

two possibilities for elimination of the second condition. The first
alternative is that a process request be granted all of the
resources it needs at once, prior to execution.
 The second alternative is to disallow a process from requesting
resources whenever it has previously allocated resources.
 This strategy requires that all of the resources a process will need
must be requested at once.
 The system must grant resources on “all or none” basis. If the
complete set of resources needed by a process is not currently
available, then the process must wait until the complete set is
available.
 While the process waits, however, it may not hold any resources.
Thus the “wait for” condition is denied and deadlocks cannot
occur. This strategy can lead to serious waste of resources.

9
 DEADLOCK:

 iii. Elimination of “No-preemption” Condition: The

non-preemption condition can be alleviated by forcing a
process waiting for a resource that cannot immediately be
allocated to relinquish all of its currently held resources, so
that other processes may use them to finish.
 This strategy requires that when a process that is holding
some resources is denied a request for additional resources.
 The process must release its held resources and, if
necessary, request them again together with additional
resources. Implementation of this strategy denies the “no-
preemptive” condition effectively.
 Elimination of “Circular Wait” Condition: The last
condition, the circular wait, can be denied by imposing a
total ordering on all of the resource types and then forcing,
all processes to request the resources in order (increasing
or decreasing).
10
 DEADLOCK:

 This strategy impose a total ordering of all resources types,

and to require that each process requests resources in a
numerical order (increasing or decreasing) of enumeration.
With this rule, the resource allocation graph can never
have a cycle.
2. Deadlock avoidance:
 This approach to the deadlock problem anticipates
deadlock before it actually occurs.
 This approach employs an algorithm to access the
possibility that deadlock could occur and acting
accordingly.
 It employs the most famous deadlock avoidance algorithm
that is the Banker’s algorithm.
Banker's Algorithm:
 The Banker's algorithm is a resource allocation & deadlock
avoidance algorithm developed by Edsger Dijkstra that test 11
for safety by simulating the allocation of pre-determined
maximum possible amounts of all resources.
 DEADLOCK:

 This algorithm can be used in banking system to ensure

that the bank never allocates all its available cash such
that it can no longer satisfy the needs of its entire
customer.
 This algorithm is applicable to a system with multiple
instances of each resource type.
 When a new process enters in to the system it must
declare the maximum number of instances of each resource
type that it may need.
 This number may not exceed the total number of resources
in the system.
 This algorithm prevents deadlock by denying or postponing
the request if it determines that accepting the request
could put the system in an unsafe state (one where
deadlock could occur).

12
 DEADLOCK:
 Safe and Unsafe States: A system is said to be in a Safe
State, if there is a safe execution sequence.
 An execution sequence is an ordering for process execution
such that each process runs until it terminates or blocked
and all request for resources are immediately granted if the
resource is available.
 A system is said to be in an Unsafe State, if there is no safe
execution sequence.
 An unsafe state may not be deadlocked, but there is at
least one sequence of requests from processes that would
make the system deadlocked.
For the Banker's algorithm to work, it needs to know
three things:
 • How much of each resource could possibly request by
each process.
 • How much of each resource is currently holding by each
process. 13

 • How much of each resource the system currently has

available.
 DEADLOCK:
 Resources may be allocated to a process only if it satisfies
the following conditions:
1. request ≤ max, else set error as process has crossed maximum
claim made by it.
2. request ≤ available, else process waits until resources are
available.
 Several data structure must be maintained to implement
the banker's algorithm. Let n be the number of processes in
the system and m be the number of resource types. We
need the following data structures:
 Available: A vector of length m indicates the number of
available resources of each type.
 If Available[j] = k, there are k instances of resource type
Rj available.
 Max: An n x m matrix defines the maximum demand of
each process. If Max[i,j] = k, then process Pi may request
at most k instances of resource type Rj.
14
 DEADLOCK:
 Allocation: An n x m matrix defines the number of
resources of each type currently allocated to each process.
If Allocation[i,j] = k, then process Pi is currently allocated k
instances of resource type Rj.
 Need: An n x m matrix indicates the remaining resource
need of each process.
 If Need[i,j] = k, then process Pi may need k more
instances of resource type Ri to complete its task.
 Need[i,j] = Max[i,j] - Allocafion[i,j].
 The vector Allocationi specifies the resources currently
allocated to process Pi; the vector Needi specifies the
additional resources that process Pi may still request to
complete its task.

15
 DEADLOCK:
Safety Algorithm:
 This algorithm can be described as follows:

 Let Work and Finish be vectors of length m and n

respectively.
 Initialize Work =Available and Finish[i]= false for i = 0, 1,
2, … , n – 1
 2. Find an index i such that both

 a. Finish[i] = = false
 b. Needi ≤ Work
 If no such i exists, go to step 4.
 3. Work = Work + Allocation

 Finish[i] = true
 Go to step 2
 4. If Finish[i] == true for all i, then the system is in safe
state.
16
 DEADLOCK:
Resource-Request Algorithm:
 Let Requesti be the request vector for process Pi. If
Requesti[j] = k, then process Pi wants k instances of
resource type Rj. When a request for resources is made by
process Pi, the following actions are taken:
 1. If Requesti < Needi, go to step 2. Otherwise, raise an
error condition, since the process has
 exceeded its maximum claim.

 2. If Requesti < Available, go to step 3. Otherwise, Pi must

wait, since the resources are not
 available.

 3. Have the system pretend to have allocated the requested

resources to process Pi by modifying the state as follows:
 Available := Available – Requesti;
 Allocationi := Allocationi + Requesti;
 Needi := Needi – Requesti 17
Example1: DEADLOCK:
 Let us consider a system with 5 processes P0 to P4 and three
resource types A, B, and C. Resource type A has 10 instances,
resource type B has 5 instances, and resource type C has 7
instances. Suppose that, at time T0, the following snapshots of the
system has been taken:

Allocation Max Available

A B C A B C A B C
P0 0 1 0 7 5 3 3 3 2
P1 2 0 0 3 2 2
P2 3 0 2 9 0 2
P3 2 1 1 2 2 2
P4 0 0 2 4 3 3

 What are the contents of need matrix?

 Is the system in safe state? If yes, then what are the safe sequences?
 What will happen if process p1 requests one additional instance of
type A and two instance of resource type C.?
 If a request (3,3,0) by process p4 arrives in the state defined by (iii),
can it be granted immediately. 18
 If a request(0,2,0) by process p0 arrives then check whether it is
granted or not
 DEADLOCK:
Sol:
Then content of the matrix Need is defined to be Max – Allocation and is as follows:

Allocation Max Remaining Current work

need=Max-allocation available
A B C A B C A B C A B C
P0 0 1 0 7 5 3 7 4 3 3 3 2
P1 2 0 0 3 2 2 1 2 2 5 3 2
P2 3 0 2 9 0 2 6 0 0 7 4 3
P3 2 1 1 2 2 2 0 1 1 7 4 5
P4 0 0 2 4 3 3 4 3 1 7 5 5
10 5 7

The system is currently in safe state. The sequence <P1, P3, P4, P2, P0> satisfies the
safety criteria. */ 19
 DEADLOCK:
As we know that, Need[i][j]=Max[i][j]-Allocation[i][j]
 So, the content of need matrix is:

Need
A B C
P0 7 4 3
P1 1 2 2
P2 6 0 0
P3 0 1 1
P4 4 3 1

20
 DEADLOCK:
 ii. Applying safety algorithm on the given system,
 For pi, If Needi≤Available
 Then p1 is in safe sequence.
 Available = Available+Allocation,
 For p0, Need0=(7,4,3)
 Available=(3,3,2)
 And Need0≤Available, is false
 So, p0 must wait.
 For p1, Need1=(1,2,2)
 Available=(3,3,2)
And Need1≤Available, which is true
 So, p1 will be in kept in safe sequence.
 Now, Available will be updated as
 Available= (2,3,2)+(2,0,0)=(5,3,2)
 For p2, Need2=(6,0,0)
 Available=(5,3,2)
 and Need2≤Available, which is
false 21
 So, p2 must wait.
 DEADLOCK:
 For p3, Need1=(0,1,1)
 Available=(5,3,2)
 And Need3≤Available, which is true
 So, p3 will be in kept in safe sequence.
 Now, Available will be updated as
 Available= (2,3,2)+(2,1,1)=(7,4,3)
 For p4, Need4=(4,3,1)
 Available=(7,4,3)
 And Need4≤Available, which is true
 So, p4 will be in kept in safe sequence.
 Now, Available will be updated as
 Available= (7,4,3)+(0,0,2)=(7,4,5)
 Now, we have two process p0 and p2 in waiting state. As current
available either p0 or p2 can be kept in safe sequence.
 For p2, Need2=(6,0,0)
 Available=(7,4,5)
 and Need2≤Available, which is true

 So, p2 now comes in safe sequence and

 Available= (7,4,5)+(3,0,2)=(10,4,7)
22
 DEADLOCK:
 For p0, Need0=(7,4,3)
 Available=(10,4,7)
 and Need2≤Available, which is true
 So, p2 now comes in safe sequence and
 Available= (10,4,7)+(0,1,0)=(10,5,7)
 Hence the safe sequence is < p1, p3, p4, p2 p0>
 since process P1 requests some additional request, Request1 = (1,
0, 2).
 To decide whether this request can be immediately granted, we
first check that
 Requesti ≤ Available
 i.e. (1, 0, 2) ≤ (3, 3, 2), which is true.
 So, the request of p0 may be granted.
 To conform that this request is granted we check the new state
by applying safety algorithm that our system is safe or not.
 If the new state is in safe state then only this request granted
otherwise not. 23

 DEADLOCK:
 To define the new state of a system because of arrival of p1 we
follow the Resource Request algorithm which results:
 To define the new state of a system because of arrival of p1 we
follow the Resource Request algorithm which results:

Allocation Max Available

A B C A B C A B C
P0 0 1 0 7 4 3 2 3 0
P1 3 0 2 0 2 0
P2 3 0 2 6 0 0
P3 2 1 1 0 1 1
P4 0 0 2 4 3 1
24
 DEADLOCK:
 We must determine whether this new system state is safe. To do
so, we execute safety algorithm and find that the sequence < P1,
P3, P4, P0, P2> satisfies the safety requirement. Hence, we can
immediately grant the request of process P1.
 (iv) The request for (3,3,0) by P4 cannot be granted, since the
resources are not available.
 (v) A request for (0,2,0) by P0 can be granted because,
 Request0=(0,2,0) and available=(2,3,0)
 Request0≤ available, is true
 Hence, it may be granted and new state of the system is
defined as


 Available= Available- Request0

 =(2,3,0)-(0,2,0)
 =(2,1,0)

25
 DEADLOCK:
 Allocation0=Allocation+ Request0
 = (1,0,1)+(0,2,0)
 =(0,3,0)
 Need0=Need0- Request0
 =(7,4,3)-(0,2,0)
 =(7,2,3)

Allocation Max Available

A B C A B C A B C
P0 3 0 3 7 2 3 2 1 0
P1 3 0 2 0 2 0
P2 3 0 2 6 0 0
P3 2 1 1 0 1 1
P4 0 0 2 4 3 1 26
 DEADLOCK:
 Applying the safety algorithm on this new state:
 All five processes are in waiting state as none is able to satisfy
the condition
 Need≤Available.
 So, the state represents an unsafe state.
 Hence the request for p0 is not granted.

Deadlock Detection and recovery:

 If a system doesn’t employ either a deadlock prevention or
deadlock avoidance, then deadlock situation may occur. In this
environment the system must provide
 • An algorithm to recover from the deadlock.
 • An algorithm to remove the deadlock is applied either to a
system which pertains single
 Instance each resource type or a system which pertains several
instances of a resource type.
27
 DEADLOCK:
 Single Instance of each Resource type:
 If all resources only a single instance then we can define a
deadlock detection algorithm which uses a new form of resource
allocation graph called “Wait for graph”.
 We obtain this graph from the resource allocation graph by
removing the nodes of type resource and collapsing the
appropriate edges. The below figure describes the resource
allocation graph and corresponding wait for graph:

For single instance

 • Pi ->Pj(Pi is waiting for Pj to release a resource that Pi needs)
28
 • Pi->Pj exist if and only if RAG contains 2 edges Pi ->Rq and Rq ->Pj for
some resource Rq
 DEADLOCK:
Several Instances of a Resource type:
 The wait for graph scheme is not applicable to a resource
allocation system with multiple instances of reach resource type.
For this case the algorithm employs several data structures which
are similar to those used in the banker’s algorithm like available,
allocation and request.
 Available: A vector of length m indicates the number of available
resources of each type.
 Allocation: An n x m matrix defines the number of resources of
each type currently allocated to each process.
 Request: An n x m matrix indicates the current request of each
process. If Request [ij] = k, then process Pi is requesting k more
instances of resource type Rj
1. Let Work and Finish be vectors of length m and n, respectively
Initialize:
 (a) Work = Available
 (b) For i = 1,2, …, n, if Allocationi≠ 0, then
 Finish[i] = false; otherwise, Finish[i] = true. 29
 DEADLOCK:
2. Find an index i such that both:
 (a) Finish[i] == false
 (b) Requesti≤Work
 If no such i exists, go to step 4.
3. Work = Work + Allocation
 Finish [i] = true
 Go to step 2
4. If Finish [i] = false, for some i, 1≤ i≤ n, then the system is in a
deadlock state. Moreover, if Finish[i] = false, then process Pi is
deadlocked.
Example3:
Let us consider a system with 5 processes P0 to P4 and three
resource types A, B, and C. For each process, the current
allocation and the maximum required allocation are given by the
allocation and Max matrices. The current available resources are
given by the available vector:

30
 DEADLOCK:

Allocation Max Available

A B C A B C A B C
P0 1 1 2 4 3 3 2 1 0
P1 2 1 2 3 2 2
P2 4 0 1 9 0 2
P3 0 2 0 7 5 3
P4 1 1 2 11 2 3
I. Determine the total amount of resources of each type.
II. What is the need matrix?
III. Determine if this state is “safe” using the safety algorithm
IV. Starting with the allocation resource state given above, suppose
current request for each process is given by the Request matrix
31
below. Further, assume that these requests are granted. Request
Matrix is
 DEADLOCK:
Request
 A B C
 P0 3 3 1
 P1 1 1 0
 P2 6 0 1
 P3 7 2 3
 P4 0 1 1
Will the system be in a deadlock state? Determine using deadlock
detection algorithm.
Soln:
(i) Total resource=total resource allocated(sum of columns of
allocation and available)
=[8 5 7]+[2 1 0]=[10 6 7]
(ii) Need =Max- Allocation

32
 DEADLOCK:

Max allocation Need=Max-alloctiin

A B C A B C A B C
P0 4 3 3 1 1 2 3 2 1
P1 3 2 2 2 1 2 1 1 0
P2 9 0 2 4 0 1 5 0 1
P3 7 5 3 0 2 0 7 3 3
P4 11 2 3 1 1 2 10 1 1

(iii) Safety algorithm:

33
 DEADLOCK:
Work= available =2 1 0, finish=00000
 P1: Need1 = 1 1 0 < 2 1 0, finish = 01000, work =2 1 0 + 2 1 2 =4 2 2
 P0: Need0 =3 2 1 < 4 2 2, finish = 11000, work =4 2 2+ 1 1 2 =5 3 4
 P2: Need2 =5 0 1 <5 3 4, finish =11100, work = 5 3 4+ 4 0 1 = 9 3 5
 P3: Need3 =7 3 3 < 9 3 5, finish = 11110, work =9 3 5+ 0 2 0 = 9 5 5
 P4: Need4 = 10 1 1 < 9 5 5, No sequence is possible thus the state is
unsafe.
(iv) Usage of deadlock detection algorithm:( assume that requests are
granted)
 Work =available = 2 1 0, finish = 00000
 P1: request1 = 1 1 0 < 2 1 0, finish = 01000, work =2 1 0 + 2 1 2 =4 2 2
 P4: request4 = 0 11 < 4 2 2, finish - 01001, work =4 2 2 + 1 1 2 = 5 3 4
 P0: request0 =3 3 1 < 5 3 4, finish = 11001, work =5 3 4 + 1 1 2 =6 4 6
 P2: request2 =6 0 1 <6 4 6, finish =11101, work = 6 4 6 + 4 0 1 = 10 4 7
 P3: request3 =7 2 3 < 10 6 7, finish = 11111, work =10 4 7 + 0 2 0 = 10 6 7
 No deadlock: safe sequence is < P1, P4, P0, P2 ,P3>
34
 DEADLOCK:
Example4:
 Consider the snapshot of the system has been taken:

Allocation Max Available

A B C D A B C D A B C D
P0 0 0 1 2 0 0 1 2 1 5 2 0
P1 1 0 0 0 1 7 5 0
P2 1 3 5 4 2 3 5 6
P3 0 6 3 2 0 6 5 2
P4 0 0 1 4 0 6 5 6

Answer the following question using banker’s algorithm:

I. What are the contents of need matrix?
II. Is the system in safe state?
III. If a request from p1 is arrives for (0,4,2,0) can the request be
granted immediately or not.
35
 DEADLOCK:
Deadlock Recovery:
There are two approaches of breaking a deadlock:
1. To eliminate the deadlock, we can simply kill one or more process.
For this we use two methods:
(a) Abort all the deadlock process. (b). Abort one process at a time
until deadlock is eliminated.
2. Resource preemption: Two eliminate deadlock using resource
preemption; we preempt some resources from process, and give
that resource to other process.
(a) Selecting a victim:- we must determine which resource and
which process are to be preempted and also order to minimize the
cost.
(b) Roll back:- We must determine what should be done with the
process from which resources are preempted. One simple idea is
total roll back, abort the process and restart it.
(c) Starvation: - In a system, it may happen that same process is
always picked as a victim. As a result, the process will never be
completed its designated task. This situation is called deadlock.
36
One solution is process must be picked as a victim only finite no.
of times.
 DEADLOCK:
(4 ) Deadlock ignorance(ostrich method):
 Deadlocks are a complex problem that occurs in any system where
resource is shared between multiple processes.
 Deadlock ignorance is a technique used to deal with deadlock
situation by ignoring them completely (restart the system).
 The ostrich algorithm is a widely used implementation technique.
(Ostrich stick their head in the sand)

37
Protection and security:
Protection is the mechanism for controlling the access to program, process, and user to a
resource. Protection deal with the internal threats.
Security refers to protection mechanism to computer system resources such as CPU, memory,
disk, software programs and most importantly data/information stored in the computer
system. Security preserves the system from hacking and viruses, worms, and malware.
Security deals with the external threats. Mainly security covers integrity, confidentiality, and
availability of the system.
Confidentiality- This principle is based on privacy, access control and authentication. Only
authorized persons can access the system’s data. (eg. Wiretapping)
Integrity: This principle relates data accuracy. The authorized person must be able to access
or modify data without any flaw or error as per the terms (eg. SQL injection).
Availability: The authorized person when needed must be able to access computer resources
needed to access the data. (eg.DoS)
Operating system security is the mechanism that protect the OS from various intrusions such
as
• Threat: It is the processed potential for the occurrence of a harmful target.
• Attack: It is the action taken in the target system in order to harm the target.
• Vulnerability: It is the loop hole or weakness in a system processes that makes it
susceptible for harmful

If a computer program is run by an unauthorized user, then he/she may cause severe damage
to computer or data stored in it. So, a computer system must be protected against
unauthorized access, malicious access to system memory, viruses, worms etc.
The following methods are used for security:
• Authentication
• One Time passwords
• Program Threats
• System Threats
• Computer Security Classifications
Authentication:
Authentication refers to identifying each user of the system and associating the executing
programs with those users. It is the responsibility of the Operating System to create a
protection system which ensures that a user who is running a particular program is authentic.
Operating Systems generally identifies/authenticates users using following three ways −
• Username / Password − User need to enter a registered username and password with
Operating system to login into the system.
• User card/key − User need to punch card in card slot, or enter key generated by key
generator in option provided by operating system to login into the system.
• User attribute - fingerprint/ eye retina pattern/ signature − User need to pass
his/her attribute via designated input device used by operating system to login into the
system.
One Time passwords:
One-time passwords provide additional security along with normal authentication. In One-
Time Password system, a unique password is required every time user tries to login into the
system. Once a one-time password is used, then it cannot be used again. One-time passwords
are implemented in various ways.
• Random numbers − Users are provided cards having numbers printed along with
corresponding alphabets. System asks for numbers corresponding to few alphabets
randomly chosen.
• Secret key − User are provided a hardware device which can create a secret id
mapped with user id. System asks for such secret id which is to be generated every
time prior to login.
• Network password − Some commercial applications send one-time passwords to
user on registered mobile/ email which is required to be entered prior to login.
Program Threats:
Operating system's processes and kernel do the designated task as instructed. If a user
program made these process do malicious tasks, then it is known as Program Threats. One
of the common examples of program threat is a program installed in a computer which can
store and send user credentials via network to some hacker. Following is the list of some
well-known program threats:-
• Trojan Horse − Such program that traps user login credentials and stores them to
send to malicious user who can later on login to computer and can access system
resources. After it executes, this allows cybercriminals to perform many actions on
the user’s computer like deleting data from files, modifying data from files, and more.
Trojan horse does not have the ability to replicate itself. For example, when users
have downloaded the game then secretly turned into a self-replicating virus. Trojans
can also be found in MP3 songs that the user may have downloaded, from an
unsecured website.
The most basic prevention method of Trojan Horse are: –
➢ Do not download anything like the images, and audios from an unsecured
website.
➢ Do not click on the ads that pop up on the page with advertisements for online
games.
➢ Do not open any attachment that has been sent from an unknown use.
➢ The user has to install the anti-virus program.

• Trap Door
o A trap door is kind of a secret entry point into a program that allows anyone to
gain access to any system without going through the usual security access
procedures.
o It is a method of bypassing normal authentication methods. Therefore it is also
known as a back door.
o A developer may create a trap door so that an application, operating system
(OS) or data can be accessed for troubleshooting, debugging and testing
programs or other purposes.
 o Trap doors turn to threats when any dishonest programmers gain illegal
access.
o Program development and software update activities should be the first focus
of security measures. The operating system that controls the trap doors is
difficult to implement.
• Logic Bomb − A logic bomb is a type of cyber attack in which a set of instructions is
secretly inserted into a computer system or application to cause damage. Logic bombs
execute malicious code (their “payload”) which can lead to a range of harmful
outcomes, from relatively minor ones like a slower computer or a few corrupt files to
major data losses or crashed systems. Logic bombs are different from other
cyberattacks because they remain inactive until certain conditions are met.
• Virus − Virus as name suggest can replicate themselves on computer system. They
are highly dangerous and can modify/delete user files, crash systems. A virus is
generally a small code embedded in a program. As user accesses the program, the
virus starts getting embedded in other files/ programs and can make system unusable
for user
System Threats:
System threats refer to misuse of system services and network connections to put user in
trouble. System threats can be used to launch program threats on a complete network called
as program attack. System threats create such an environment that operating system
resources/ user files are misused. Following is the list of some well-known system threats.
• Worm: Worm is a process which can choke down a system performance by using
system resources to extreme levels. A Worm process generates its multiple copies
where each copy uses system resources, prevents all other processes to get required
resources. Worms’s processes can even shut down an entire network.
• Port Scanning: Port scanning is a mechanism or means by which a hacker can detects
system vulnerabilities to make an attack on the system.
• Denial of Service: Denial of service attacks normally prevents user to make
legitimate use of the system. For example, a user may not be able to use internet if
denial of service attacks browser's content settings.

Security breaches: A security breaches means unauthorized access to a device, program,

network, or data. It is also known as security violation. It is the earliest phase of a security
attack.
Types of security breaches:
Malware: Malware is malicious software such as virus, worms, ransomware, and spyware
that’s designed to harm or gain unauthorized access to a system or device.
• Physical security breaches: Physical security breaches occur when an attacker gains
unauthorized access to an actual building or physical device. Social engineering ploys can be
used in tandem — like a vishing attack — to trick insiders into divulging access to the
building or device.
• Ransomware: Ransomware is a form of malware that holds your files hostage by
encrypting them and locking you out. In exchange for the decryption key, victims must pay a
ransom to regain access.
• DDoS attack: A distributed denial of service (DDoS) attack floods a website with traffic
until it’s forced to shut down. This form of hacking can lead to a security breach because it
overwhelms the security system of the target.
• Man-in-the-middle attack: A man-in-the-middle attack occurs when an attacker intercepts
and manipulates data as it travels between systems. Attackers can use this data for
unauthorized access into targeted systems or devices.

Prevention of security breaches: It’s better to prevent a security breach than to resolve one
after it occurs. Some common ways to prevent a security breaches are:-
• Secure your passwords: Create strong passwords that are unique for all of your
accounts and change them regularly.
• Two-factor authentication: Accounts that use two-factor authentication (2FA)
require two or more forms of authentication for access, making them more secure.
• Regular software updates: Software updates often include fixes to security
vulnerabilities. Regularly update your software and operating system to prevent
hackers from taking advantage of these vulnerabilities.
• Use anti-malware software: Quality anti-malware software can detect and remove
threats to your system and devices long before you even ask yourself: “Have I been
hacked?”
• Security equipment: Offices and homes with valuable data and systems should
protect against physical breaches by installing security equipment like cameras.

Levels of system protection:

1) Physical
2) Human (phasing, dumpster, password, cracking)
3) Operating system
4) Network

Types of attack:
It is the action taken in the target system in order to harm the target.
1. Active Attack 2. Passive attack
Active Attack: An active attack is an attack in which attackers directly harm your computer
systems. They can create several problems, such as crashing files, stealing data, etc. The
different types of active attack are:-
1.1 Masquerade Attack: Masquerade attacks are considered one type of cyber attack in
which the attacker disguises himself to pose as some other person and accesses systems or
data.
1.2 Denial of service (DOS): Denial of Service (DoS) is a form of cyber security attack that
involves denying the intended users of the system or network access by flooding traffic or
requests. A denial-of-service attack floods systems, servers, or networks with traffic to
exhaust resources and bandwidth. As a result, the system is unable to fulfil legitimate
requests.
1.3 Repudiation:
Repudiation attacks are a type of cyber attack wherein some person does something
damaging online, such as a financial transaction or sends a message one does not want to
send, then denies having done it.
1.4 Replay:
When the network is not completely secure or the login control is tampered with, an attack
occurs. With this attack, the information of the author can be changed by malicious user
actions to save suspicious data in log files, up to the widespread alteration of data on behalf
of others, similar to the spoofing of email messages.

Passive attack: A Passive attack refers to an attack in which the attackers quietly watch and
collect the information without your knowledge. They do not modify or destroy the data but
collect the data secretly. Passive Attacks are in the nature of eavesdropping on or monitoring
transmission. The types of passive attacks are:-

2.1 The Release of Message Content:-

Telephonic conversation, an electronic mail message, or a transferred file may contain
sensitive or confidential information. We would like to prevent an opponent from learning the
contents of these transmissions.
2.2 Traffic Analysis
The opponent could determine the location and identity of communicating host and could
observe the frequency and length of messages being exchanged. This information might be
useful in guessing the nature of the communication that was taking place.

Difference between active attack and passive attack:

Active attack Passive attack

Data modification Data monitoring
Affect the system Does not affect the system
Easy to detect Difficult to detect
Attack on availability Attack on Confidentiality
Examples Examples
• Masquerade • The Release of Message Content
• DoS • Traffic Analysis
• Repudiation:
Techniques to avoid: Techniques to avoid:
• Firewalls • Encryption
• IPS(Intrusion Prevention
System

Some other attacks

Phishing: Phishing is the practice of sending fraudulent communications that appear to come
from a reputable source, usually through email. The goal is to steal sensitive data like credit
card and login information or to install malware on the victim’s machine

A Structured Query Language: A Structured Query Language (SQL) injection occurs when
an attacker inserts malicious code into a server that uses SQL and forces the server to reveal
information it normally would not.

Security Policy:
Security policy is a well thought and agreed document or statement of what is or is not
allowed, when implemented provides high possibility of overcoming threats, and attacks.
The security policy must include:
a) Scope: who the policy applies to
b) Who does the actions defined by the policy
c) When defined actions are to be done
 d) Where or on what equipment the policy applies to
e) Who enforces the policy
f) Consequences of failure to follow the policy
Vulnerability Assessment:
It is the process of examining the system periodically to detect vulnerability. Is includes: -
• Port scanning
• Check for bad passwords
• Check for vulnerability programs in system
• Check for incorrect permissions
• Check for unauthorized accounts

Access control list (ACL): Access control list is a list that specifies which users or system
are granted or denied access to a particular object or system resource. ACLs are typically
associated with individual resources, such as files and directories. So, we can associate an
access lists with each file and directory to implement identity dependent access. When a user
access requests access to a particular file, the OS checks the access list associated with that
file. If that user is granted the requested access, then the access is allowed. Otherwise, a
protection violation occurs & the user is denied access to the file. But the main problem with
access lists is their length. It is very tedious to construct such a list. So, we use a condensed
version of the access list by classifying the users into 3 categories:
• Owners: The user who created the file.
• Group: A set of users who are sharing the files.
• Others: All other users in the system.
Here only 3 fields are required to define protection. Each field is a collection of bits each of
which either allows or prevents the access. E.g. The UNIX file system defines 3 fields of 3
bits each: rwx (r- read access, w-write access, x-execute access)
Separate fields are kept for file owners, group & other users. So, a bit is needed to record
protection information for each file.

Access control matrix:

Access control matrix is table of subjects (domain) and objects that specifies what action a
subject can take on a particular object. When user tries to access a resource, the operating
system check the access control list of the resources to determine whether the user should be
granted access or denied. It is used for the implementation of protection model.Each entry in
access matrix consists of a set of access rights. The rows represent domains. The columns
represent objects. The entry access (i,j) defines the set of operations that a process, executing
in domain Di can invoke an object Oj. As shown below in fig.

Object A B C

domain

Ram rwx r_ _ r__

Shyam r__ r__ r__

Hari r__ rwx r__

 Fig. Access control matrix

• There are 3 types of resource A, B & C and there are 3 users (domain) Ram, Shyam &
Hari.
• Ram can read, write and execute resource A, and only read the resource B and C.
• Similarly, Shyam can only read the resource A.B and C.
• Hari can only read the resource A and C but ( read, write and execute B)

Capability lists: Capability lists are a way of specifying what resources a particular user has
access to and what type of access they have. If we partitioned the access control matrix by
rows we get an list of access control list of an user. Capability lists are typically associated
with individual users which can access the network.

Protection Mechanism
• Protection mechanism is a procedure, or method to enforce security policy.
• It implements functions that help to prevent, detect and respond to recovery to
security attacks.
• It provides a means to distinguish authorized and unauthorized usage of the system.
• The protection model can be viewed as a matrix.
Protection domain
• Protection domain is a process that operates within that domain which specifies the
resources that the process may access.
• Each domain contains a set of objects and the operations that can be performed on
each object.
• The ability to execute an operation on an object is called access right.
• A domain is a collection of access rights as an ordered pair
• Two domains can share access rights.
• Domain can be realized as:
➢ User as a domain
➢ Process as a domain
➢ Procedure as a domain
OS Design Considerations for Security
1. Least privilege: Every object should work within a minimal set of privileges. Access rights
should be obtained by explicit request.
2. Economy of mechanism: security mechanism should be simple and small
3. Acceptability
4. Complete
5. Open design
Computer Security Classifications:
As per the U.S. Department of Defense Trusted Computer System's Evaluation Criteria there
are four security classifications in computer systems: A, B, C, and D. This is widely used
specifications to determine and model the security of systems and of security solutions.
Following is the brief description of each classification.
Type A:
Highest Level. Uses formal design specifications and verification techniques. Grants a high
degree of assurance of process security.
Type B:
Provides mandatory protection system. Have all the properties of a class C2 system. Attaches
a sensitivity label to each object. It is of three types.
• B1 − Maintains the security label of each object in the system. Label is used for
making decisions to access control.
• B2 − Extends the sensitivity labels to each system resource, such as storage objects,
supports covert channels and auditing of events.
• B3 − Allows creating lists or user groups for access-control to grant access or revoke
access to a given named object.
Type C:
Provides protection and user accountability using audit capabilities. It is of two types.
• C1 − Incorporates controls so that users can protect their private information and keep
other users from accidentally reading / deleting their data. UNIX versions are mostly
Cl class.
• C2 − Adds an individual-level access control to the capabilities of a Cl level system.
Type D:
• Lowest level. Minimum protection. MS-DOS, Window 3.1 fall in this category.

Cryptography Basics:
- Cryptography is the mechanism of transforming an intelligible message into unintelligible
form and retransforming back to its original form.
- Plaintext: original intelligible (accessible / readable) message
- Ciphertext: transformed message
- Cipher: algorithm used for transformation
- Key: critical information used by cipher.

Consider two parties Alice and Bob. Now, Alice wants to send a message m to Bob over a
secure channel. So, what happens is as follows. The sender’s message or sometimes called
the Plaintext, is converted into an unreadable form using a Key k. The resultant text obtained
is called the Ciphertext. This process is known as Encryption. At the time of receival, the
Ciphertext is converted back into the plaintext using the same Key k, so that it can be read by
the receiver. This process is known as Decryption.
Alice (Sender) Bob (Receiver)
C = E (m, k) ----> m = D (C, k)

Here, C refers to the Ciphertext while E and D are the Encryption and Decryption algorithms
respectively. Let’s consider the case of Caesar Cipher or Shift Cipher as an example. As the
name suggests, in Caesar Cipher each character in a word is replaced by another character
under some defined rules. Thus, if A is replaced by D, B by E and so on. Then, each character
in the word would be shifted by a position of 3. For example:

Plaintext :Geeksforgeeks
Ciphertext :Jhhnvirujhhnv

Secret Key Encryption (Symmetric Cryptography)

- It is encryption algorithm in which secret key (series of bits) must be shared by both
parties as same key is used for encryption and decryption.
- It is difficult to securely exchange the secret keys to each end.
- It is also known as symmetric key encryption.

The distribution of key is the greatest challenge with this method.

Firewall:
A firewall is a security device — computer hardware or software — that can help protects
your network by filtering traffic and blocking outsiders from gaining unauthorized access to
the private data on your computer.
- It is a network security system that monitors and controls all the incoming and outgoing
network traffic based on predetermined security rules.
- It establishes berries between secured internal network and outside network internet.
Firewalls filter the network traffic within a private network. It analyses which traffic should
be allowed or restricted based on a set of rules. Think of the firewall like a gatekeeper at your
computer’s entry point which only allows trusted sources, or IP addresses, to enter your
network.
A firewall welcomes only that incoming traffic that has been configured to accept. It
distinguishes between good and malicious traffic and either allows or blocks specific data
packets on pre-established security rules.
These rules are based on several aspects indicated by the packet data, like their source,
destination, content, and so on. They block traffic coming from suspicious sources to prevent
cyber attacks.
 9.SYSTEM ADMINISTRATION
System Administrator
A system administrator, or sysadmin, is a person who is responsible for the upkeep,
configuration, and reliable operation of computer systems; especially multi-
user computers, such as servers.

SYSTEM ADMINISTRATION
System Administration Tasks
✓Planning - cost, capacity planning, logistics (network design, server locations, where to install,
wiring, IP address assignments, ...), network service providers (ISPs)
✓Preparing - temperature, humidity, electrical, fire, security, EIA/TIA wiring closet and cabling
standards, UPS; Change management (preparing for any service changes)
✓Installing hardware - computers, terminals, disk drives, CD-ROMs, RAM, printers, NICs,
cabling
✓Maintaining - regular preventative maintenance (daily, weekly, ...), boot and shutdown
systems when needed, printers, backup media, tune systems for performance
✓Monitoring - printers, disk space, network, servers and workstations, performance, and
security, and all log files regularly
✓Installing/upgrading/removing software - OS (kernel patches, new device drivers, ...),
applications (new versions, DLLs, new configurations), documentation

SYSTEM ADMINISTRATION TASKS

✓Backups and archives
✓Configuring - kernel, networking software such as Samba, X Window, accounting,
quotas, security, mail, news, time, web and other servers, crontab, ...
✓Trouble-shooting - network connections, services that don't start, faulty security,
✓Maintaining local documentation - new user's guide, policy and procedure
documents (security plan, disaster recovery plan, administrative procedures, service
request/bug report forms, ...), man pages for add-on software
✓Help and educate users - This includes working with your management (who
sometimes needs the most help and education even if they don't think so), helping new
users, experienced users, and yourself

SYSTEM ADMINISTRATION TASKS

✓Baselining - Generate system reports and correlate growth, changes over time. (Use
data to order supplies, spares, hardware and software upgrades in a timely manner,
and to generate reports to management)
✓Problem solving - System administration is about solving problems, not memorizing
how-to directions. Often something won't work as it should. What will you do then?
✓Know where to look for help - books, netnews, man pages, on-line (www.tldp.org,
docs.sun.com, www.redhat.com, ...)
 WHAT IS SO SPECIAL ABOUT THE SYSTEM
ADMINISTRATOR ACCOUNT?
The root account has full (unrestricted) access, so he/she can do anything with system.
For example, root can remove critical system files.
Other privileges:
✓Create new users
✓Resetting user passwords
✓Lock/unlock user accounts
✓Monitor server security
✓Monitor special services etc
 SYSTEM ADMINISTRATOR:
DESIRED SKILLS AND QUALIFICATIONS
✓Typically a bachelor’s degree in computer science is required for a system
administrator role, in web technology, network administration or something similar
✓Common certifications asked for by employers are Cisco Certified Network
Associate and Cisco Certified Network Professional.
✓ Depending on the technologies used within the organization Sun Solaris
certifications for instance may be required for administrating Solaris Servers. Other
examples are Microsoft Certified System Administrator or MCSA for those managing
Microsoft server technologies or Red Hat RHCT for those using Linux technologies.
✓To perform certain necessary tasks the system administrator will need to be familiar
with a range of operating systems and programme - Microsoft, Unix, Linux, and
Oracle.
 SYSTEM ADMINISTRATOR:
DESIRED SKILLS AND QUALIFICATIONS
A system administrator requires many skills, not just technical ones. And these days,
technical skills are not necessarily the driving factor in choosing which person to hire.
Some of such skills:
Customer service skills. A system administrator (or system admin) constantly interacts
with people, responding to their problems (and resolving them), and attempting to
keep the customer happy. Make no mistake -- these are your customers, even if they
are in the same company.
Ability to work under pressure. A system administrator's job can be a pressure
cooker at times. When the system goes down, it may be that 3,000 people have their
work affected and the president of the company starts looking over your shoulder,
asking when it will be up.
 SYSTEM ADMINISTRATOR:
DESIRED SKILLS AND QUALIFICATIONS
Disaster planning. Murphy's Law states that "Anything that can go wrong, will." And
Murphy's Corollary states that "Anything that can go wrong, will go wrong, at the
least convenient time, and in the most inconvenient way." An admin has to have
thought out all of these possibilities -- and what might happen -- and be prepared
for it. This requires the ability to think through all possibilities and to plan for them.
Person-to-person networking. This means the skill of being able to make and keep
contacts everywhere. As a system admin, your network can be a set of people who
can help troubleshoot problems. Also, the possibility exists that one may be laid off or
let go, and a network of contacts will assist in getting a new position.
 SYSTEM ADMINISTRATOR:
DESIRED SKILLS AND QUALIFICATIONS
Troubleshooting skills. Given a problem, how do you come to the resolution? Some
problems are tenacious and can challenge your technical skills. Normal problems in
your IT infrastructure call upon your abilities to troubleshoot and to fix the problem in
a speedy manner, so keep your abilities top notch.
Learning skills. Are you able to learn new things rapidly and without guidance? This
career requires both. You will sometimes be called upon to do something that you
haven't yet learned, whether it's installing a new product or troubleshooting a new
product.
Move with time. Are your skills up to date, current, and in demand? These skills are
called upon daily for a system administrator, and should be current.
 FIELDS OF SYSTEM ADMINISTRATION
A database administrator (DBA) maintains a database system, and is responsible for the integrity of the data
and the efficiency and performance of the system.
A network administrator maintains network infrastructure such as switches and routers, and diagnoses
problems with these or with the behavior of network-attached computers.
A security administrator is a specialist in computer and network security, including the administration of
security devices such as firewalls, as well as consulting on general security measures.
A web administrator maintains web server services (such as Apache or IIS) that allow for internal or external
access to web sites. Tasks include managing multiple sites, administering security, and configuring necessary
components and software. Responsibilities may also include software change management.
Technical support staffs respond to individual users' difficulties with computer systems, provide instructions and
sometimes training, and diagnose and solve common problems.
A computer operator performs routine maintenance and upkeep, such as changing backup tapes or replacing
failed drives in a RAID. Such tasks usually require physical presence in the room with the computer; and while
less skilled than sysadmin tasks require a similar level of trust, since the operator has access to possibly
sensitive data.
 USER ACCOUNT MANAGEMENT
What is a user account ?
✓When a computer is used by many people it is usually necessary to differentiate between the
users
✓each user is given a unique username, and that name is used to log in.
✓ An account is all the files, resources, and information belonging to one user.
Creating a user
✓To create a user, you need to add information about the user to the user database, and
create a home directory for him. It may also be necessary to educate the user, and set up a
suitable initial environment for him.
✓Most Linux distributions come with a program for creating accounts. There are several such
programs available. Two command line alternatives are adduser and useradd; there may be
a GUI tool as well.
 USER ACCOUNT MANAGEMENT
/etc/passwd
The basic user database in a Unix system is the text file, /etc/passwd (called
the password file), which lists all valid usernames and their associated
information. The file has one line per username, and is divided into seven
colon-delimited fields :
Username, Previously this was where the user's password was stored, Numeric
user id, Numeric group id, Full name or other description of account, Home
directory, Login shell (program to run at login).
 USER ACCOUNT MANAGEMENT
Changing user properties
here are a few commands for changing various properties of an account (i.e., the
relevant field in /etc/passwd):
Chfn :Change the full name field.
Chsh :Change the login shell.
Passwd :Change the password.
The super-user may use these commands to change the properties of any account.
Normal users can only change the properties of their own account. It may sometimes
be necessary to disable these commands (with chmod) for normal users
 USER ACCOUNT MANAGEMENT
Removing a user
To remove a user, you first remove all his files, mailboxes, mail aliases, print jobs, cron
and at jobs, and all other references to the user.
Then you remove the relevant lines from /etc/passwd and /etc/group (remember to
remove the username from all groups it's been added to).
It may be a good idea to first disable the account (see below), before you start
removing stuff, to prevent the user from using the account while it is being removed.
 USER ACCOUNT MANAGEMENT
Disabling a user temporarily
It is sometimes necessary to temporarily disable an account, without removing it. For
example, the user might not have paid his fees, or the system administrator may
suspect that a cracker has got the password of that account
The best way to disable an account is to change its shell into a special program that
just prints a message.
This way, whoever tries to log into the account, will fail, and will know why.
The message can tell the user to contact the system administrator so that any
problems may be dealt with.
 AWK TOOLS
✓AWK is a very powerful programming language that we can use on the command-line for
advanced text processing.
✓AWK is named after Alfred Aho, Peter Weinberger, and Brian Kernighan.
✓The AWK utility is an interpreted programming language typically used as a data extraction
and reporting tool.
✓AWK is a language for processing text files.
✓A file is treated as a sequence of records, and by default each line is a record.
✓ Each line is broken up into a sequence of fields, so we can think of the first word in a line as
the first field, the second word as the second field, and so on.
✓It is a standard feature of most Unix-like operating systems. Example of AWK programming.
 AWK TOOLS
Some examples:
Read the entire file text.txt : awk ‘{ print }’ test.txt
Read the first word (column/field) of each line in test.txt : awk ‘{ print $1}’ test.txt
Read the second word of each line in test.txt : awk ‘{ print $2}’ test.txt
Try : awk ‘{ print $1.$2}’ test.txt and awk ‘{ print $1,$2}’ test.txt
Regular expressions in awk
Eg. Return the lines containing the word ‘apple’ : awk ‘/apple/{ print }’ test.txt
What will this do ? : awk ‘/[0-9] / { print }’ test.txt
awk ‘/^[0-9] / { print }’ test.txt
awk ‘/[0-9]$ / { print }’ test.txt
 AWK TOOLS
Conditionals
Eg. awk ‘{ if($1~/Apple/) print }’ test.txt -> if first word is apple, the print
awk ‘{if($1~/[0-9]/) print }’ test.txt -> if first word is a number then print
 CHAPTER 9 FINISHED

THANK YOU !!