CHAPTER ONE

1.0 INTRODUCTION

An operating system acts as an intermediary between the user of a computer and the computer
hardware. The purpose of an operating system is to provide an environment in which a user can
execute programs in a convenient and efficient manner.

An operating system is software that manages the computer hardware. The hardware must provide
appropriate mechanisms to ensure the correct operation of the computer system and to prevent user
programs from interfering with the proper operation of the system.

Internally, operating systems vary greatly in their makeup, since they are organized along many
different lines. The design of a new operating system is a major task. It is important that the goals of
the system be well defined before the design begins. These goals form the basis for choices among
various algorithms and strategies. Because an operating system is large and complex, it must be
created piece by piece. Each of these pieces should be a well-delineated portion of the system, with
carefully defined inputs, outputs, and functions.

1.1 Definition of Operating System

An operating system is a program that manages a computer’s hardware. It also provides a basis for
application programs and acts as an intermediary between the computer user and the computer
hardware. An amazing aspect of operating systems is how they vary in accomplishing these tasks.
Mainframe operating systems are designed primarily to optimize utilization of hardware. Personal
computer (PC) operating systems support complex games, business applications, and everything in
between. Operating systems for mobile computers provide an environment in which a user can easily
interface with the computer to execute programs. Thus, some operating systems are designed to be
convenient, others to be efficient, and others to be some combination of the two.

Examples of operating system are:

1. MS-DOS, PC-DOS
2. Windows Vista
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 3. Windows 7
4. Windows 8
5. Windows 10
6. Windows NT (Network)
7. Windows 2000 Server
8. Unix OS
9. Linux OS
10. Mac OS (Macintosh)

An operating system (OS):– is a software layer to manage details of hardware resources – a set of
utilities to simplify application development

The Diagram above shows the interaction between operating system and other resources

 Operating system goals:

1. Execute user programs and make solving user problems easier.
2. Make the computer system convenient to use.
3. Use the computer hardware in an efficient manner.

 Operating System is a resource allocator

1. Manages all resources
2. Decides between conflicting requests for efficient and fair resource use

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  OS is a control program
1. Controls execution of programs to prevent errors and improper use of the computer
2. It is composed of the Kernel (i.e. OS Kernel) that has a complete control over everything in the
system.

Before we can explore the details of computer system operation, we need to know something about
system structure. We thus discuss the basic functions of system startup, I/O, and storage early in this
chapter. We also describe the basic computer architecture that makes it possible to write a functional
operating system.

Because an operating system is large and complex, it must be created piece by piece. Each of these
pieces should be a well-delineated portion of the system, with carefully defined inputs, outputs, and
functions. In this chapter, we provide a general overview of the major components of a contemporary
computer system as well as the functions provided by the operating system. Additionally, we cover
several other topics to help set the stage for the remainder of this text: data structures used in operating
systems, computing environments, and open-source operating systems.

1.2 The Major Functions of Operating System.

Operating system perform the following functions

i. Booting the computer

ii. Hide the complexities of hardware from the user.
iii. Provides a user interface, e.g. command line interface (CLI) and graphical user interface (GUI).

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 iv. Manage the hardware's resources which include the processors, memory, data storage and I/O
devices.
v. Handle "interrupts" generated by the I/O controllers.
vi. Sharing of I/O between many programs using the CPU.
vii. Loading and Execution programs/thread/processes in system memory
viii. Data security.

1.3 What Operating Systems Do?

We begin our discussion by looking at the operating system’s role in the overall computer system. A
computer system can be divided roughly into four components: the hardware, the operating
system, the application programs, and the users
i. The hardware— the central processing unit (CPU), the memory, and the input/output (I/O)
devices—provides the basic computing resources for the system.
ii. The application programs—such as word processors, spreadsheets, compilers, and Web
browsers—define the ways in which these resources are used to solve users’ computing
problems.
iii. The operating system controls the hardware and coordinates its use among the various
application programs for the various users.
We can also view a computer system as consisting of hardware, software, and data. The
operating system provides the means for proper use of these resources in the operation of the
computer system. 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.
To understand more fully the operating system’s role, we next explore operating systems
from two viewpoints: that of the user and that of the system.

iv. User View

The user’s view of the computer varies according to the interface being used. Most computer
users sit in front of a PC, consisting of a monitor, keyboard, mouse, and system unit. Such a
system is designed for one user to monopolize its resources. The goal is to maximize the
work (or play) that the user is performing. In this case, the operating system is designed
mostly for ease of use, with some attention paid to performance and none paid to resource
utilization—how various hardware and software resources are shared. Performance is, of

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 course, important to the user; but such systems are optimized for the single-user experience
rather than the requirements of multiple users.

In other cases, a user sits at a terminal connected to a mainframe or a minicomputer. Other users are
accessing the same computer through other terminals. These users share resources and may exchange
information. The operating system in such cases is designed to maximize resource utilization— to
assure that all available CPU time, memory, and I/O are used efficiently and that no individual user
takes more than her fair share.

In still other cases, users sit at workstations connected to networks of other workstations and
servers. These users have dedicated resources at their disposal, but they also share resources such as
networking and servers, including file, compute, and print servers. Therefore, their operating system
is designed to compromise between individual usability and resource utilization. Recently, many
varieties of mobile computers, such as smartphones and tablets, have come into fashion. Most mobile
computers are standalone units for individual users. Quite often, they are connected to networks
through cellular or other wireless technologies. Increasingly, these mobile devices are replacing
desktop and laptop computers for people who are primarily interested in using computers for e-mail
and web browsing. The user interface for mobile computers generally features a touch screen, where
the user interacts with the system by pressing and swiping fingers across the screen rather than using
a physical keyboard and mouse.

Some computers have little or no user view. For example, embedded computers in home devices and
automobiles may have numeric keypads and may turn indicator lights on or off to show status, but
they and their operating systems are designed primarily to run without user intervention.

1.4 Operating System Kernel

It is a computer program that is the core of the operating system, with complete control over
everything in the system. It is closer to the hardware and it provides low level services like:

i. Device driver
ii. Process management
iii. Memory management
iv. System calls
v. Network Management

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 It is one of the first programs loaded on start-up (after the boot loader or bootstrap loader or
bootstrap).

It handles the rest of start-up as well as input/output requests from software, translating them into
data-processing instructions for the central processing unit. It handles memory and peripherals like
keyboards, monitors, printers, and speakers.

1.5 Difference between Operating System and Kernel

1. The kernel is main part of the operating system whereas OS is a full application that also includes
applications like the user interface (shell (Shell (i.e. CLI or GUI), tools and services.

2. The kernel is the lowest level of the operating system and is responsible for translating the command
into something that can be understood by the computer whereas OS is the software package that
communicates directly to the hardware and our applications

3. Kernel is responsible for Hardware level interactions at some specific range whereas the OS is like
hardware level interaction with full scope of computer.

4. Kernel triggers System Calls to intimate OS that a resource is available at a point in time whereas OS
is responsible to handle that system calls in order to utilize the resource.

1.6 Boot Devices

The boot device is the device from which the operating system is loaded. A modern PC's BIOS
firmware supports booting from various devices such as:

1. A Local solid state drive or hard disk drive via the Master Boot Record (MBR) on such a drive or
disk
2. An optical disc drive
3. A USB mass storage device (e.g. flash drive, SD card, or hard disk drive, optical disc drive, etc.),

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 4. A CD/DVD ROM drive
5. A floppy disk drive. This is an older, less common BIOS bootable devices.

1.7 Operating System Services

One set of operating-system services provides functions that are helpful to the user:

1. User interface - Almost all operating systems have a user interface (UI). Varies between Command-
Line (CLI), Graphics User Interface (GUI).
2. Program execution - The system must be able to load a program into memory and to run that
program, end execution, either normally or abnormally (indicating error).
3. I/O Operations - A running program may require I/O, which may involve a file or an I/O device.
4. File-system manipulation - The file system is of particular interest. Obviously, programs need to
read and write files and directories, create and delete them, search them, list file Information,
permission management.
5. Communications – Processes may exchange information, on the same computer or between
computers over a network. Communications may be via shared memory or through message passing
(packets moved by the OS).

6. Error Detection – OS needs to be constantly aware of possible errors

 May occur in the CPU and memory hardware, in I/O devices, in user program.
 For each type of error, OS should take the appropriate action to ensure correct and consistent
computing.
 Debugging facilities can greatly enhance the user’s and programmer’s abilities to efficiently use
the system

Another set of OS functions exists for ensuring the efficient operation of the system itself via
resource sharing.

1. Resource Allocation - When multiple users or multiple jobs running concurrently, resources
must be allocated to each of them.
Many types of resources - Some (such as CPU cycles, main memory, and file storage) may have
spvecial allocation code, others (such as I/O devices) may have general request and release code.
2. Accounting - To keep track of which users use how much and what kinds of computer resources.

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 3. Protection and Security - The owners of information stored in a multiuser or networked
computer system may want to control use of that information, concurrent processes should not
interfere with each other.
 Protection involves ensuring that all access to system resources is controlled
 Security of the system from outsiders requires user authentication, extends to defending external
I/O devices from invalid access attempts.
 If a system is to be protected and secure, precautions must be instituted throughout it. A chain is
only as strong as its weakest link.

The OS and Hardware

1. An OS mediates programs’ access to hardware resources – Computation (CPU)

i. Volatile storage (memory) and persistent storage (disk, etc.)
ii. Network communications (TCP/IP stacks, ethernet cards, etc.)
iii. Input/output devices (keyboard, display, sound card, etc.)

2. The OS abstracts hardware into logical resources and well defined interfaces to those resources

i. Processes (CPU, memory)

ii. Files (disk)

iii. Sockets (network)

1.8 The Major Operating System issues

1. Structure: how is the OS organized?

2. Sharing: how are resources shared across users?
3. Naming: how are resources named (by users or programs)?
4. Security: how is the integrity of the OS and its resources ensured?
5. Protection: how is one user/program protected from another?
6. Performance: The performance of OS and the system is been determine by the hardware component
or the system configuration.
7. Reliability: what happens if something goes wrong (either with hardware or with a program)?
8. Extensibility: can we add new features?
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 9. Communication: how do programs exchange information, including across a network?
10. Concurrency: how are parallel activities created and controlled?
11. Scale and Growth: what happens as demands or resources increase?
12. Persistence: how to make data last longer than programs
13. Compatibility & Legacy Apps: can we ever do anything new?
14. Distribution: Accessing the world of information
15. Accounting: who pays the bills, and how do we control resource usage?

Exercise One

1. Discuss briefly what you understand by operating system

2. Explain the function of Kernel relating to operating system
3. Describe the function of operating system relating to file
4. Differentiate between operating system and kernel with example
5. State and discuss the service provided by the operating system

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 CHAPTER TWO

2.0 MAJOR OPERATING SYSTEM MANAGEMENT FUNCTION

1. Memory Management
Memory management refers to management of Primary Memory or Main Memory. Main memory is
a large array of words or bytes where each word or byte has its own address.

Memory management is the functionality of an operating system which handles or manages primary
memory and moves processes back and forth between main memory and disk during execution.
Memory management keeps track of each and every memory location, regardless of either it is
allocated to some process or it is free. It checks how much memory is to be allocated to processes. It
decides which process will get memory at what time. It tracks whenever some memory gets freed or
unallocated and correspondingly it updates the status.

Main memory provides a fast storage that can be accessed directly by the CPU. For a program to be
executed, it must in the main memory.
An Operating System does the following activities for memory management:

1. Keeps tracks of primary memory, i.e., what parts of it are in use by whom, what parts are not in use.

2. In multiprogramming, the OS decides which process will get memory when and how much.

3. Allocates the memory when a process requests it to do so.

4. De-allocates the memory when a process no longer needs it or has been terminated.

2. Process Management
In multiprogramming environment, the OS decides which process gets the processor when and for
how much time. This function is called process scheduling. An Operating System does the
following activities for process management:

1. Keeps tracks of processor and status of process. The program responsible for this task is known as
traffic controller.

2. Allocates the processor (CPU) to a process.

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 3. De-allocates processor when a process is no longer required.

3. Device Management
An Operating System manages device communication via their respective drivers. It does the
following activities for device management:

1. Keeps tracks of all devices. The program responsible for this task is known as the

I/O controller.

2. Decides which process gets the device when and for how much time.

3. Allocates the device in the most efficient way.

4. De-allocates devices.

4. File Management
A file system is normally organized into directories for easy navigation and usage. These directories
may contain files and other directions.

An Operating System does the following activities for file management:

i. Keeps track of information, location, uses, status etc. The collective facilities are often known as
file system.
ii. Decides who gets the resources.
iii. Allocates the resources.
iv. De-allocates the resources.

2.1. Other Important Activities

Following are some of the important activities that an Operating System performs:

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 i. Security -- By means of password and similar other techniques, it prevents unauthorized access
to programs and data.

ii. Control over system performance -- Recording delays between request for a service and
response from the system.

iii. Job accounting -- Keeping track of time and resources used by various jobs and users.

iv. Error detecting aids -- Production of dumps, traces, error messages, and other debugging and
error detecting aids.

v. Coordination between other software and users -- Coordination and assignment of compilers,
interpreters, assemblers and other software to the various users of the computer systems.

2.2 Types of Operating System

Operating systems are there from the very first computer generation and they keep evolving with
time. In this chapter, we will discuss some of the important types of operating systems which are
most commonly used.

1. Batch Operating System

Batch processing is a technique in which an Operating System collects the programs and data
together in a batch before processing starts. An operating system does the following activities related
to batch processing:

i. The OS defines a job which has predefined sequence of commands, programs and
data as a single unit.

ii. The OS keeps numbers jobs in memory and executes them without any manual
information.

iii. Jobs are processed in the order of submission, i.e., first come first served fashion.

iv. When a job completes its execution, its memory is released and the output for the
job gets copied into an output spool for later printing or processing.

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Advantages

i. Batch processing takes much of the work of the operator to the computer.
ii. Increased performances as a new job get started as soon as the previous job is
finished, without any manual intervention.

Disadvantages

i. Difficult to debug programs.

ii. A job could enter an infinite loop.
iii. Due to lack of protection scheme, one batch job can affect other pending jobs.

The users of a batch operating system do not interact with the computer directly. Each user prepares his
job on an off-line device like punch cards and submits it to the computer operator. To speed up
processing, jobs with similar needs are batched together and run as a group.

The programmers leave their programs with the operator and the operator then sorts the programs with
similar requirements into batches.

The problems with Batch Systems are as follows:

i. Lack of interaction between the user and the job.

ii. CPU is often idle, because the speed of the mechanical I/O devices is slower than the CPU.

iii. Difficult to provide the desired priority.

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2. Time-Sharing Operating Systems

Time-sharing is a technique which enables many people, located at various terminals, to use a
particular computer system at the same time. Time-sharing or multitasking is a logical extension of
multiprogramming. Processor's time which is shared among multiple users simultaneously is termed
as time-sharing.

 The main difference between Multiprogramming Batch Systems and Time-Sharing Systems is
that in case of multiprogramming batch systems, the objective is to maximize processor use,
whereas in Time-Sharing Systems, the objective is to minimize response time.

Multiple jobs are executed by the CPU by switching between them, but the switches occur so
frequently. Thus, the user can receive an immediate response. For example, in a transaction
processing, the processor executes each user program in a short burst or quantum of computation.
That is, if n users are present, then each user can get a time quantum. When the user submits the
command, the response time is in few seconds at most.

The operating system uses CPU scheduling and multiprogramming to provide each user with a small
portion of a time. Computer systems that were designed primarily as batch systems have been
modified to time-sharing systems.

Advantages of Timesharing operating systems are as follows:

i. Provides the advantage of quick response

ii. Avoids duplication of software

iii. Reduces CPU idle time

Disadvantages of Time-sharing operating systems are as follows:

i. Problem of reliability

ii. Question of security and integrity of user programs and data

iii. Problem of data communication

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3. Distributed Operating System

Distributed systems use multiple central processors to serve multiple real-time applications and
multiple users. Data processing jobs are distributed among the processors accordingly.

The processors communicate with one another through various communication lines (such as high-
speed buses or telephone lines). These are referred as loosely coupled systems or distributed
systems. Processors in a distributed system may vary in size and function. These processors are
referred as sites, nodes, computers, and so on.

The advantages of distributed systems are as follows:

i. With resource sharing facility, a user at one site may be able to use the resources available at
another.

ii. Speedup the exchange of data with one another via electronic mail.

iii. If one site fails in a distributed system, the remaining sites can potentially continue operating.

iv. Better service to the customers.

v. Reduction of the load on the host computer.

vi. Reduction of delays in data processing.

4. 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 systems include Microsoft Windows Server 2003, Microsoft
Windows Server 2008, UNIX, Linux, Mac OS X, Novell NetWare etc.

The advantages of network operating systems are as follows:

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 i. Centralized servers are highly stable.

ii. Server are highly secure and managed.

iii. Upgrades to new technologies and hardware can be easily integrated into the system.

iv. Remote access to servers is possible from different locations and types of systems.

The disadvantages of network operating systems are as follows:

i. High cost of buying and running a server.

ii. Dependency on a central location for most operations.

iii. Regular maintenance and updates are required.

5. Real-Time Operating System

A real-time system is defined as a data processing system in which the time interval required to
process and responds to inputs it and controls the environment. The time taken by the system to
respond to an input and display of required updated information is termed as the response time. So
in this method, the response time is very less as compared to online processing.

Real-time systems are used when there are rigid time requirements on the operation of a processor or
the flow of data and real-time systems can be used as a control device in a dedicated application. A
real-time operating system must have well-defined, fixed time constraints, otherwise the system will
fail. For example, Scientific experiments, medical imaging systems, industrial control systems,
weapon systems, robots, air traffic control systems, etc.

There are two types of real-time operating systems.

i. Hard real-time systems

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

ii. Soft real-time systems

Soft real-time systems are less restrictive. A critical real-time task gets priority over other tasks
and retains the priority until it completes. Soft real-time systems have limited utility than hard
real-time systems. For example, multimedia, virtual reality, Advanced Scientific Projects like
undersea exploration and planetary rovers, etc.

Other OS Services
1. File System Manipulation

A file represents a collection of related information. Computers can store files on the disk (secondary
storage), for long-term storage purpose. Examples of storage media include magnetic tape, magnetic
disk and optical disk drives like CD, DVD. Each of these media has its own properties like speed,
capacity, data transfer rate and data access methods.

A file system is normally organized into directories for easy navigation and usage. These directories
may contain files and other directions. Following are the major activities of an operating system with
respect to file management:

i. Program needs to read a file or write a file.

ii. The operating system gives the permission to the program for operation on file.

iii. Permission varies from read-only, read-write, denied, and so on.

iv. Operating System provides an interface to the user to create/delete files.

v. Operating System provides an interface to the user to create/delete directories.

vi. Operating System provides an interface to create the backup of file system.

2. Communication
In case of distributed systems which are a collection of processors that do not share memory,

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 peripheral devices, or a clock, the operating system manages communications between all the
processes. Multiple processes communicate with one another through communication lines in the
network.

The OS handles routing and connection strategies, and the problems of contention and security.
Following are the major activities of an operating system with respect to communication:

i. Two processes often require data to be transferred between them.

ii. Both the processes can be on one computer or on different computers, but are connected through
a computer network.

iii. Communication may be implemented by two methods, either by Shared Memory or by Message
Passing.

3. Error Handling

Errors can occur anytime and anywhere. An error may occur in CPU, in I/O devices or in the
memory hardware. Following are the major activities of an operating system with respect to error
handling:

i. The OS constantly checks for possible errors.

ii. The OS takes an appropriate action to ensure correct and consistent computing.

4. Resource Management
In case of multi-user or multi-tasking environment, resources such as main memory, CPU cycles and
files storage are to be allocated to each user or job. Following are the major activities of an operating
system with respect to resource management:

i. The OS manages all kinds of resources using schedulers.

ii. CPU scheduling algorithms are used for better utilization of CPU.

5. Protection
Considering a computer system having multiple users and concurrent execution of multiple
processes, the various processes must be protected from each other's activities. Protection refers to a
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 mechanism or a way to control the access of programs, processes, or users to the resources defined
by a computer system. Following are the major activities of an operating system with respect to
protection:

i. The OS ensures that all access to system resources is controlled.

ii. The OS ensures that external I/O devices are protected from invalid access attempts.

iii. The OS provides authentication features for each user by means of passwords.

2.3 Multitasking
Multitasking is when multiple jobs are executed by the CPU simultaneously by switching between
them. Switches occur so frequently that the users may interact with each program while it is running.
An OS does the following activities related to multitasking:

i. The user gives instructions to the operating system or to a program directly, and receives an
immediate response.

ii. The OS handles multitasking in the way that it can handle multiple operations / executes multiple
programs at a time.

iii. Multitasking Operating Systems are also known as Time-sharing systems.

iv. These Operating Systems were developed to provide interactive use of a computer system at a
reasonable cost.

v. A time-shared operating system uses the concept of CPU scheduling and multiprogramming to
provide each user with a small portion of a time-shared CPU.

vi. Each user has at least one separate program in memory.

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  A program that is loaded into memory and is executing is commonly referred to as a process.

 When a process executes, it typically executes for only a very short time before it either finishes or
needs to perform I/O.

 Since interactive I/O typically runs at slower speeds, it may take a long time to complete. During this
time, a CPU can be utilized by another process.

 The operating system allows the users to share the computer simultaneously. Since each action or
command in a time-shared system tends to be short, only a little CPU time is needed for each user.

 As the system switches CPU rapidly from one user/program to the next, each user is given the
impression that he/she has his/her own CPU, whereas actually one CPU is being shared among many
users.

2.4 Multiprogramming

Sharing the processor, when two or more programs reside in memory at the same time, is referred as
multiprogramming. Multiprogramming assumes a single shared processor. Multiprogramming
increases CPU utilization by organizing jobs so that the CPU always has one to execute.
The following figure shows the memory layout for a multiprogramming system.

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An OS does the following activities related to multiprogramming.

i. The operating system keeps several jobs in memory at a time.

ii. This set of jobs is a subset of the jobs kept in the job pool.

iii. The operating system picks and begins to execute one of the jobs in the memory.

iv. Multiprogramming operating systems monitor the state of all active programs and system resources
using memory management programs to ensures that the CPU is never idle, unless there are no jobs
to process.

Advantage

i. High and efficient CPU utilization.

ii. User feels that many programs are allotted CPU almost simultaneously.

Disadvantages

i. CPU scheduling is required.

ii. To accommodate many jobs in memory, memory management is required.

2.5 Interactivity

Interactivity refers to the ability of users to interact with a computer system. An Operating system
does the following activities related to interactivity:

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 i. Provides the user an interface to interact with the system.

ii. Manages input devices to take inputs from the user. For example, keyboard.

iii. Manages output devices to show outputs to the user. For example, Monitor.

The response time of the OS needs to be short, since the user submits and waits for the result.

Real-Time System

Real-time systems are usually dedicated, embedded systems. An operating system does the following
activities related to real-time system activity.

i. In such systems, Operating Systems typically read from and react to sensor data.

ii. The Operating system must guarantee response to events within fixed periods of time to ensure
correct performance.

Distributed Environment
s

A distributed environment refers to multiple independent CPUs or processors in a computer system. An

operating system does the following activities related to distributed environment:

i. The OS distributes computation logics among several physical processors.

ii. The processors do not share memory or a clock. Instead, each processor has its own local
memory.

iii. The OS manages the communications between the processors. They communicate with each
other through various communication lines.

2.6 Spooling

Spooling is an acronym for simultaneous peripheral operations online. Spooling refers to putting data
of various I/O jobs in a buffer. This buffer is a special area in memory or hard disk which is
accessible to I/O devices.

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 An operating system does the following activities related to distributed environment:

i. Handles I/O device data spooling as devices have different data access rates.

ii. Maintains the spooling buffer which provides a waiting station where data can rest while the
slower device catches up.

iii. Maintains parallel computation because of spooling process as a computer can perform I/O in
parallel fashion. It becomes possible to have the computer read data from a tape, write data to
disk and to write out to a tape printer while it is doing its computing task.

Advantages

i. The spooling operation uses a disk as a very large buffer.

ii. Spooling is capable of overlapping I/O operation for one job with processor operations for
another job.

2.7 Process

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

sequential fashion.

A process is defined as an entity which represents the basic unit of work to be implemented in the
system.

To put it in simple terms, we write our computer programs in a text file and when we execute this

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 program, it becomes a process which performs all the tasks mentioned in the program.

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:

S.N. Component & Description

Stack
1 The process Stack contains the temporary data such as method/function
parameters, return address, and local variables.

Heap
2
This is a dynamically allocated memory to a process during its runtime.

Text
3 This includes the current activity represented by the value of Program Counter
and the contents of the processor's registers.

Data
4
This section contains the global and static variables.

Program
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A program is a piece of code which may be a single line or millions of lines. A computer program is
usually written by a computer programmer in a programming language. For example, here is a simple
program written in C programming language:

#include <stdio.h>

int main() {

printf("Hello, World! \n"); return 0;

A computer program is a collection of instructions that performs a specific task when executed by a
computer. When we compare a program with a process, we can conclude that a process is a dynamic
instance of a computer program.

A part of a computer program that performs a well-defined task is known as an algorithm. A collection
of computer programs, libraries and related data are referred to as software.

2.8 Process Life Cycle

When a process executes, it passes through different states. These stages may differ in different
operating systems, and the names of these states are also not standardized.

In general, a process can have one of the following five states at a time.

25
 1. Start

This is the initial state when a process is first started/created.

2. Ready

The process is waiting to be assigned to a processor. Ready processes are waiting to

have the processor allocated to them by the operating system so that they can run.
Process may come into this state after Start state or while running it by but
interrupted by the scheduler to assign CPU to some other process.

3. Waiting

Process moves into the waiting state if it needs to wait for a resource, such as waiting for
user input, or waiting for a file to become available.

4. Running

Once the process has been assigned to a processor by the OS scheduler, the process
state is set to running and the processor executes its instructions.

5. Terminated or Exit

Once the process finishes its execution, or it is terminated by the operating system, it is
moved to the terminated state where it waits to be removed from main memory.

Process Control Block (PCB)

A Process Control Block is a data structure maintained by the Operating System for
every process. The PCB is identified by an integer process ID (PID).
A PCB keeps all the information needed to keep track of a process as listed
below in the table:

26
S.N. Information & Description

Process State
1 The current state of the process i.e., whether it is ready, running, waiting, or
whatever.

Process privileges
2
This is required to allow/disallow access to system resources.

Process ID
3
Unique identification for each of the process in the operating system.

Pointer
4
A pointer to parent process.

Program Counter
5 Program Counter is a pointer to the address of the next instruction to be
executed for this process.

CPU Registers
6 Various CPU registers where process need to be stored for execution for
running state.

CPU Scheduling Information

7 Process priority and other scheduling information which is required to schedule
the process.

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 Memory Management Information
8 This includes the information of page table, memory limits, Segment table
depending on memory used by the operating system.

Accounting Information
9 This includes the amount of CPU used for process execution, time limits,
execution ID etc.

IO Status Information
10
This includes the list of I/O devices allocated to the process.

The architecture of a PCB is completely dependent on Operating System and may contain
different information in different operating systems. Here is a simplified diagram of a PCB:

28
The PCB is maintained for a process throughout its lifetime, and is deleted once the process terminates.

Exercise Two
1. Describe the function of OS relating to management system.
2. List and discuss five types of operating system.
3. State and discuss the life cycle of a process.
4. Concisely discuss the following terms
a. Spooling
b. Multitasking
c. Multi-programming
5. With clear example, differentiate between a process and a thread

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 CHAPTER THREE

3.0 Process Scheduling

Definition: The process scheduling is the activity of the process manager that handles the
removal of the running process from the CPU and the selection of another process on the
basis of a particular strategy.

Process scheduling is an essential part of a Multiprogramming operating systems.

Such operating systems allow more than one process to be loaded into the executable
memory at a time and the loaded process shares the CPU using time multiplexing.

Process Scheduling Queue

The OS maintains all PCBs in Process Scheduling Queues. The OS maintains a separate
queue for each of the process states and PCBs of all processes in the same execution state
are placed in the same queue. When the state of a process is changed, its PCB is unlinked
from its current queue and moved to its new state queue.

The Operating System maintains the following important process scheduling queues:

1. Job queue - This queue keeps all the processes in the system.

2. Ready queue - This queue keeps a set of all processes residing in main memory, ready

and waiting to execute. A new process is always put in this queue.

3. Device queues - The processes which are blocked due to unavailability of an I/O

device constitute this queue.

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 The OS can use different policies to manage each queue (FIFO, Round Robin, Priority, etc.).
The OS scheduler determines how to move processes between the ready and run queues
which can only have one entry per processor core on the system; in the above diagram,
it has been merged with the CPU.

Two-State Process Model

Two-state process model refers to running and non-running states which are described below.
S.N State & Description

1 Running
When a new process is created, it enters into the system as in the
running state.

2 Not Running.
Processes that are not running are kept in queue, waiting for their
turn to execute. Each entry in the queue is a pointer to a particular
process. Queue is implemented by using linked list. Use of
dispatcher is as follows. When a process is interrupted, that
process is transferred in the waiting queue. If the process has
completed or aborted, the process is discarded. In either case, the
dispatcher then selects a process from the queue to execute.

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3.1 Scheduler

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

i. Long-Term Scheduler

ii. Short-Term Scheduler

iii. Medium-Term Scheduler

1. Long-Term Scheduler

It is also called a job scheduler. A long-term scheduler determines which programs are
admitted to the system for processing. It selects processes from the queue and loads
them into memory for execution. Process loads into the memory for CPU scheduling.

The primary objective of the job scheduler is to provide a balanced mix of jobs, such as
I/O bound and processor bound. It also controls the degree of multiprogramming.
If the degree of multiprogramming is stable, then the average rate of process creation
must be equal to the average departure rate of processes leaving the system.

On some systems, the long-term scheduler may not be available or minimal. Time-sharing
operating systems have no long term scheduler. When a process changes the state from
new to ready, then there is use of long-term scheduler.

2. Short-Term Scheduler

It is also called CPU scheduler. Its main objective is to increase system performance
in accordance with the chosen set of criteria. It is the change of ready state to running
state of the process. CPU scheduler selects a process among the processes that are ready
to execute and allocates CPU to one of them.

Short-term schedulers, also known as dispatchers, make the decision of which process
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 to execute next. Short-term schedulers are faster than long-term schedulers.

3. Medium-Term Scheduler

Medium-term scheduling is a part of swapping. It removes the processes from the memory.
It reduces the degree of multiprogramming. The medium-term scheduler is in-charge of
handling the swapped out-processes.

A running process may become suspended if it makes an I/O request. Suspended processes
cannot make any progress towards completion. In this condition, to remove the process
from memory and make space for other processes, the suspended process is moved to the
secondary storage. This process is called swapping, and the process is said to be swapped
out or rolled out. Swapping may be necessary to improve the process mix.

3.1.1 Comparison among Schedulers

Long-Term Short-Term Medium-Term

S/N Scheduler Scheduler
Scheduler

It is a process swapping
1 It is a job scheduler It is a CPU scheduler
Scheduler.

Speed is in between both

Speed is lesser than Speed is fastest among
2 short and long term
short term scheduler other two
Scheduler.

It provides lesser control

It controls the degree of It reduces the degree of
3 Multiprogramming over degree of Multiprogramming.

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 Multiprogramming

It is almost absent or
It is also minimal in time It is a part of Time sharing
4 minimal in time sharing
sharing system systems.
System

It selects processes It can re-introduce the

It selects those
from pool and loads process into memory and
5 processes which are
them into memory for execution can be
ready to execute
Execution continued.

3.2 Context Switch

A context switch is the mechanism to store and restore the state or context of a CPU in
Process Control block so that a process execution can be resumed from the same point
at a later time. Using this technique, a context switcher enables multiple processes to share
a single CPU. Context switching is an essential part of a multitasking operating system
features.

When the scheduler switches the CPU from executing one process to execute another, the
state from the current running process is stored into the process control block. After this, the
state for the process to run next is loaded from its own PCB and used to set the PC, registers,
etc. At that point, the second process can start executing.

34
Context switches are computationally intensive since register and memory state must be saved
and restored. To avoid the amount of context switching time, some hardware systems employ
two or more sets of processor registers. When the process is switched, the following information
is stored for later use.

i. Program Counter
ii. Scheduling information
iii. Base and limit register value
iv. Currently used register
v. Changed State
vi. I/O State information
vii. Accounting information
viii. Scheduling Algorithms

35
3.3 A Process Scheduler schedules different processes to be assigned to the CPU based
on particular scheduling algorithms. There are six popular process scheduling algorithms
which we are going to discuss in this chapter:

1. First-Come, First-Served (FCFS) Scheduling

2. Shortest-Job-Next (SJN) Scheduling

3. Priority Scheduling

4. Shortest Remaining Time

5. Round Robin(RR) Scheduling

6. Multiple-Level Queues Scheduling

These algorithms are either non-preemptive or preemptive. Non-preemptive algorithms are

Designed so that once a process enters the running state, it cannot be preempted until it completes
its allotted time, whereas the preemptive scheduling is based on priority where a scheduler may
preempt a low priority running process anytime when a high priority process enters into a ready state.

1 First Come, First Served (FCFS)

i. Jobs are executed on first come, first served basis.

ii. It is a non-preemptive scheduling algorithm.

iii. Easy to understand and implement.

iv. Its implementation is based on FIFO queue.

v. Poor in performance, as average wait time is high.

36
Wait time of each process is as follows:

Process Wait Time : Service Time - Arrival Time

P0 0-0=0
P1 5-1=4
P2 8-2=6
P3 16 - 3 = 13

Average Wait Time: (0 + 4 + 6 + 13) / 4 = 5.75

2. Shortest Job Next (SJN) or (SJF)

i. This is also known as shortest job first, or SJF.

ii. This is a non-preemptive scheduling algorithm.

iii. Best approach to minimize waiting time.

37
 iv. Easy to implement in Batch systems where required CPU time is known in advance.

v. Impossible to implement in interactive systems where the required CPU time is not known.

vi. The processer should know in advance how much time a process will take.

Wait time of each process is as follows:

Process Wait Time : Service Time - Arrival Time

P0 3-0=3

P1 0-0=0

P2 16 - 2 = 14

P3 8-3=5

Average Wait Time: (3 + 0+ 14 + 5) / 4 = 5.50

38
3. Priority Based Scheduling

Priority scheduling is a non-preemptive algorithm and one of the most common

scheduling algorithms in batch systems.

Each process is assigned a priority. Process with highest priority is to be executed first and
so on.

Processes with same priority are executed on first come first served basis.

Priority can be decided based on memory requirements, time requirements or any other
resource requirement.

Waiting time of each process is as follows:

Process Wait Time : Service Time - Arrival Time

P0 9-0=9
P1 6-1=5
P2 14 - 2 = 12
P3 0-0=0

Average Wait Time: (9+5+12+0) / 4 = 6.5

39
4. Shortest Remaining Time

i. Shortest remaining time (SRT) is the preemptive version of the SJN algorithm.

ii. The processor is allocated to the job closest to completion but it can be preempted by
a newer ready job with shorter time to completion.

iii. Impossible to implement in interactive systems where required CPU time is not known.

iv. It is often used in batch environments where short jobs need to be given preference.

5. Round Robin Scheduling

i. Round Robin is a preemptive process scheduling algorithm.

ii. Each process is provided a fix time to execute; it is called a quantum.

iii. Once a process is executed for a given time period, it is preempted and other process
executes for a given time period.

iv. Context switching is used to save states of preempted processes.

40
Wait time of each process is as follows:

Process Wait Time : Service Time - Arrival Time

P0 (0-0) + (12-3) = 9
P1 (3-1) = 2
P2 (6-2) + (14 – 9) + (20 -17) = 12
P3 (9-3) + (17-12) = 11

Average Wait Time: (9+2+12+11) / 4 = 8.5

3.4 Multiple-Level Queues Scheduling

Multiple-level queues are not an independent scheduling algorithm. They make use of other existing
algorithms to group and schedule jobs with common characteristics.

i. Multiple queues are maintained for processes with common characteristics.

ii. Each queue can have its own scheduling algorithms.

iii. Priorities are assigned to each queue.

For example, CPU-bound jobs can be scheduled in one queue and all I/O-bound jobs in another
queue. The Process Scheduler then alternately selects jobs from each queue and assigns them
to the CPU based on the algorithm assigned to the queue.

3.5 What is a Thread?

A thread is flows of execution through the process code, with its own program counter that
keeps track of which instruction to execute next, system registers which hold its current
working variables, and a stack which contains the execution history.

41
A thread shares with its peer threads few information like code segment, data segment and
open files. When one thread alters a code segment memory item, all other threads see that.

A thread is also called a lightweight process. Threads provide a way to improve

application performance through parallelism. Threads represent a software approach to
improving performance of operating system by reducing the overhead thread is equivalent
to a classical process.

Each thread belongs to exactly one process and no thread can exist outside a process.
Each thread represents a separate flow of control. Threads have been successfully used
in implementing network servers and web server. They also provide a suitable foundation for
parallel execution of applications on shared memory multiprocessors.
The following figure shows the working of a single-threaded and a multithreaded process.

42
3.5.1 Difference between Process and Thread

S.N Process Thread

Process is heavy weight or resource Thread is lightweight, taking lesser

1
intensive. resources than a process.

Process switching needs interaction Thread switching does not need to

2
with operating system. interact with operating system.

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

If one process is blocked, then no While one thread is blocked and

4 other process can execute until the waiting, a second thread in the same
first process is unblocked. task can run.

Multipl usin
e processes without g Multiple threaded processes use fewer
5
threads use more resources. resources.

In multiple processes each process

One thread can read, write or change
6 operats independently of the
another thread's data.
others.

43
 3.5.2 Advantages of Thread

i. Threads minimize the context switching time.

ii. Use of threads provides concurrency within a process.

iii. Efficient communication.

iv. It is more economical to create and context switch threads.

v. Threads allow utilization of multiprocessor architectures to a greater scale and

efficiency.

Types of Thread

Threads are implemented in following two ways:

1. User Level Threads -- User managed threads

2. Kernel Level Threads -- Operating System managed threads acting on kernel, an

operating system core.

1. User Level Threads: 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. The application starts with a single thread.

44
Advantages of User Level Threads

i. Thread switching does not require Kernel mode privileges.

ii. User level thread can run on any operating system.

iii. Scheduling can be application specific in the user level thread.

iv. User level threads are fast to create and manage.

Disadvantages User Level Threads

i. In a typical operating system, most system calls are blocking.

ii. Multithreaded application cannot take advantage of multiprocessing.

45
 2. Kernel Level Threads: In this case, thread management is done by the Kernel. There is no
thread management code in the application area. Kernel threads are supported directly by the
operating system. Any application can be programmed to be multithreaded. All of the threads
within an application are supported within a single process.

The Kernel maintains context information for the process as a whole and for individual threads
within the process. 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 of Kernel Level Threads

i. Kernel can simultaneously schedule multiple threads from the same process on
multiple processes.

ii. If one thread in a process is blocked, the Kernel can schedule another thread of the same
process.

iii. Kernel routines themselves can be multithreaded.

Disadvantages of Kernel Level Threads

i. Kernel threads are generally slower to create and manage than the user threads.

ii. Transfer of control from one thread to another within the same process requires a mode

switch to the Kernel.

3.6 Multithreading Models

Some operating systems provide 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.

46
 Multithreading models are three types

i. Many-to-many relationship

ii. Many-to-one relationship

iii. One-to-one relationship

1. Many-to-Many Model
The many-to-many model multiplexes any number of user threads onto an equal or smaller
number of kernel threads.

The following diagram shows the many-to-many threading model where 6 user level threads
are multiplexing with 6 kernel level threads. In this model, developers can create as many
user threads as necessary and the corresponding Kernel threads can run in parallel on
a multiprocessor machine. This model provides the best accuracy on concurrency and
when a thread performs a blocking system call, the kernel can schedule another thread for
execution.

47
2. Many-to-One Model
Many-to-one model maps many user level threads to one Kernel-level thread. Thread
management is done in user space by the thread library. When thread makes a blocking system
call, the entire process will be blocked. Only one thread can access the Kernel at a time,
so multiple threads are unable to run in parallel on multiprocessors.

If the user-level thread libraries are implemented in the operating system in such a way
that the system does not support them, then the Kernel threads use the many-to-one
relationship modes.

3. One-to-One Model
There is one-to-one relationship of user-level thread to the kernel-level thread. This model
provides more concurrency than the many-to-one model. It also allows another thread to run
when a thread makes a blocking system call. It supports multiple threads to execute in parallel
on microprocessors.

Disadvantage of this model is that creating user thread requires the corresponding Kernel
thread. OS/2, windows NT and windows 2000 use one to one relationship model.

48
3.6.1 Difference between User–Level & Kernel-Level Thread

S.N
. User-Level Threads Kernel-Level Thread

User-level threads are faster to Kernel-level threads are slower to create

1
create and manage. and manage.

Implementation is by a thread Operating system supports creation of

2
library at the user level. Kernel threads.

User-level thread is generic and can Kernel-level thread is specific to the

3
run on any operating system. operating system.

Multi-threaded applications cannot Kernel routines themselves can be

4
take advantage of multiprocessing. multithreaded.

3.7 Process Address Space

The process address space is the set of logical addresses that a process references in its
code. For example, when 32-bit addressing is in use, addresses can range from 0 to
0x7fffffff; that is, 2^31 possible numbers, for a total theoretical size of 2 gigabytes.

The operating system takes care of mapping the logical addresses to physical addresses
at the time of memory allocation to the program. There are three types of addresses
used in a program before and after memory is allocated:

49
S.N Memory Addresses & Description

Symbolic addresses
1 The addresses used in a source code. The variable names, constants,
and instruction labels are the basic elements of the symbolic address
space.

2 Relative addresses

At the time of compilation, a compiler converts symbolic addresses

into relative addresses.

3 Physical addresses

The loader generates these addresses at the time when

a program is loaded into main memory.

Virtual and physical addresses are the same in compile-time and load-time address-
binding schemes. Virtual and physical addresses differ in execution-time address-
binding scheme.

The set of all logical addresses generated by a program is referred to as a logical

address space. The set of all physical addresses corresponding to these logical
addresses is referred to as a physical address space.

The runtime mapping from virtual to physical address is done by the memory
management unit (MMU) which is a hardware device. MMU uses the following
mechanism to convert virtual address to physical address.

50
 i. The value in the base register is added to every address generated by a user process,
which is treated as offset at the time it is sent to memory. For example, if the base register
value is 10000, then an attempt by the user to use address location 100 will be
dynamically reallocated to location 10100.

ii. The user program deals with virtual addresses; it never sees the real physical addresses.

3.8 Static vs. Dynamic Loading

The choice between Static or Dynamic Loading is to be made at the time of computer
program being developed. If you have to load your program statically, then at the time
of compilation, the complete programs will be compiled and linked without leaving
any external program or module dependency. The linker combines the object program
with other necessary object modules into an absolute program, which also includes
logical addresses.

If you are writing a Dynamically loaded program, then your compiler will compile the
program and for all the modules which you want to include dynamically, only
references will be provided and rest of the work will be done at the time of execution.

At the time of loading, with static loading, the absolute program (and data) is loaded
into memory in order for execution to start.

If you are using dynamic loading, dynamic routines of the library are stored on a disk
in relocatable form and are loaded into memory only when they are needed by the
program.

3.8.1 Static vs. Dynamic Linking

As explained above, when static linking is used, the linker combines all other modules

51
 needed by a program into a single executable program to avoid any runtime
dependency.

When dynamic linking is used, it is not required to link the actual module or library
with the program, rather a reference to the dynamic module is provided at the time of
compilation and linking.

Dynamic Link Libraries (DLL) in Windows and Shared Objects in Unix are good
examples of dynamic libraries.

Exercise Three

1. What do you understand by thread

2. Differentiate between a process and a thread
3. Discuss the different among the multi-threading model.
4. Difference between User–Level & Kernel-Level Thread
5. Discuss virtual and physical address

52