OPERATING SYSTEM CONCEPTS

&
COMPUTER FUNDAMENTALS
SACHIN G. PAWAR
SUNBEAM, PUNE.
 Introduction To OS
What is Operating System:
 An OS is a program that manages the computer
hardware.
 It also provides a basis for application programs and
acts as an intermediary between the computer user and
the computer hardware.
 OS is a resource allocator: Resources like, CPU time,
memory space, file storage space, I/O devices and so on.
 OS is the control program: manages the execution of
user programs to prevent errors and improper use of
computer.
 Introduction To OS
 The One program running all the time on
computers is the Kernel, everything else is
either as system program (ships with the OS)
or an application programs.

CD/DVD : Core OS + Programs/Utilities

Core OS : Kernel
 Booting Process
 The procedure of starting a computer system
by loading the kernel is known as booting
process.
 The first sector of any device/partition is
known as boot sector.
 If boot sector of any storage device/partition

contains a special program called bootstrap

program, then that device is said to be
bootable device/partition.
 Booting Process
 Bootstrap program locates the kernel, loads it
into main memory and starts its execution.
 There is separate bootstrap program for each
OS.
 If multiple operating systems are installed on
the computer, the boot loader encompasses the
boot strap/boot loader for other operating
systems.
 NTLDR(Windows), GRUB(Linux), Boot
Mgr(Windows 7 and Windows 8)
 Introduction
 A Computer is a complex system;
contemporary computers contains millions of
elementary electronics components.

Basic functions of Computer:

1. Data Storage
2. Data Processing
3. Data Movement
4. Control
 Introduction
 Basic structural Components of the Computer
System:
The way in which the components are interrelated.
1. Central Processing Unit/Processor: Controls the
operations of computer and performs its data
processing functions.
2. Main Memory: Stores instructions and data
3. I/O: Moves data between the computer and its
external environment.
4. System interconnections: Some mechanism that
provides for communication among CPU, main
memory, and I/O.
 Introduction
 Word: In general word is an ordered set of bytes
or bits(binary digit) that is the normal unit in
which information may be stored, transmitted or
operated within on within a given computer.
 The basic elements of digital computer, must
perform data storage, movement, processing and
control functions. Only two fundamental types of
components required.
1. Gates: is a device that implements a simple
Boolean or logical function, such as AND, OR
functions.
 Introduction
2. Memory Cell: is a device that can store one bit
of data; i.e. the device can be in one of two
stable states at any time.

 By interconnecting large numbers of these

fundamental devices we can construct a
computer.
 Introduction
Top level view of computer components:
1. CPU:

PC, IR, MAR, MBR, I/O AR, I/O BR,

Execution Unit.
2. I/O module:

Buffers
3. Main memory:

Instructions, Data
4. System Bus
 Introduction
 When data are moved over longer distances, to or from
a remote device, the process is known as
communications.
 Bus: A bus is communication pathway connecting two
or more devices. A key characteristic of bus is that it is
shared transmission medium.
 Multiple devices connects to bus, and a signal
transmitted by any one device is available for reception
by all other devices attached to the bus.
 Typically bus consists of multiple communication
pathways or lines, each line is capable of transmitting
signals representing binary 1 and binary 0.
 Introduction
 System Bus: A bus that connects major computer
components (processor, memory, I/O) is called system
bus.
 There are many different bus designs, on any bus the lines

can be classified into three functional groups:

1. Data lines (data bus)
2. Address lines(address bus)
3. Control lines
Typical control lines includes:
Memory write, Memory read, I/O write, I/O read,
Transfer ACK, Bus request, Bus grant, Interrupt request,
Interrupt ACK, Clock and Reset.
 Computer Memory
Internal Memory:
1. Processor registers

2. Cache Memory/One or more levels of Cache:

L1, L2.
3. Main Memory(Dynamic Random Access
Memory).
External Memory:
4. Hard disk

5. Magnetic disk

6. Optical disks and tapes

 Computer Memory
Characteristics of Memory System:
1. Location
Processor
Internal (main memory)
External (secondary)
2. Capacity
Word size
Number of words
3. Unit of transfer
Word
Block
 Computer Memory
4. Access Method
1. Sequential
2. Direct
3. Random
4. Associative
5. Performance
1. Access Time(latency)
2. Memory Cycle Time: The minimum time delay
between the initiation of two independent memory
operations is called Memory cycle time.
3. Transfer rate
 Computer Memory
6. Physical Type
Semi conductor
Magnetic
Optical
Magneto-optical
7. Physical Characteristics
Volatile/non volatile
Erasable/non erasable
8. Organization
 Cache Memory
Cache Memory:
It is used between CPU and Main memory to
increase the overall system performance.
Disk Cache:
It is purely a software technique. A portion of
main memory can be used as buffer to hold
data temporarily that is to be read out to disk.
Such a technique some times referred as disk
cache, which improves performance.
 Cache Memory
 The cache contains a copy of portions of main
memory.

 When the processor attempts to read a word of

memory, a check is made to determine if the
word is in the cache. If so, the word is
delivered to the processor. If not a block of
main memory consisting of some fixed number
of words, is read into the cache and then word
is delivered to the processor.
 Cache Memory
 Main memory consists of up to 2^n addressable words,
with each word having a unique n-bit address.
 Memory is considered to consists of number of fixed-
length blocks of K words each, i.e. there are M = 2^n/K
blocks.
 The Cache consists of C lines. Each line contains K
words, plus a tag of few bits; the number of words in
the line is referred to as line size.
 The number of lines is considerably less than the
number of main memory blocks.(C << M)
 The tag is usually a portion of the main memory
address.
 Cache Memory
 When a cache hit occurs, the data and address
buffers are disabled and communication is only
between processor and cache with no system
bus traffic.
 When a cache miss occurs, the desired address
is loaded onto the system bus and the data are
returned through the data buffer to both the
cache and the processor.
 Memory Technologies
Main Memory/RAM(Random Access Memory)
 The two basic forms of semiconductor random

access memory are:

1. Dynamic RAM
2. Static RAM.
 The basic element of main memory is memory

cell.
 DRAM and SRAM

Synchronous DRAM, Rambus DRAM, DDR

SDRAM, Cache DRAM
 Memory Technologies
Types of ROM (Read Only Memory)
PROM: Programmable ROM
Three forms of Read Mostly memory:
1. EPROM: Erasable Programmable ROM
2. EEPROM: Electrically Erasable
Programmable ROM
3. Flash Memory.

UV EPROM: Ultra Violetically Erasable

Programmable ROM.
 External Memory
Magnetic Disk:
 Magnetic disks remain the most important component

of external memory. Both removable and fixed, or

hard, disks are used in systems ranging from personal
computers to mainframe and supercomputers.
 To achieve greater performance and higher availability,

servers and larger systems use RAID disk technology.

 RAID is a family of techniques for using multiple disks

as a parallel array of data storage devices, with

redundancy built into compensate for disk failure.
 External Memory
 Tracks: On the circular platter the set of concentric
rings are called as tracks.
 Each track is the same width as the head. There are
thousands of tracks per surface.
 Adjacent tracks are separated by gaps. These prevents
or at least minimizes, errors due to misalignment of
the head or simply interference of magnetic fields.
 Sectors: Data are transferred to and from the disk in
sectors. There are typically hundreds of sectors per
track, and these may be of either fixed or variable
length .
 External Memory
 To avoid imposing unreasonable precision
requirements on the system, adjacent sectors
are separated by intra track (inter sector) gaps.
Physical Characteristics of Disk Systems
1. Head Motion:

Fixed head(one per track)

Movable head(one per surface)
2. Platters:
Single Platter
Multiple Platter
 External Memory
3. Disk Portability:
Non removable disk
Removable disk
4. Sides:
Single sided
Double sided
5. Head Mechanism:
Contact (Floppy)
Fixed gap
Aerodynamic gap (Winchester)
 External Memory
Disk Performance Parameters:
1. Seek Time: On a movable head system, the
time it takes to position the head at the track is
known as seek time.
2. Rotational Delay: once the track is selected,
the disk controller waits until the appropriate
sector rotates to line up with the head. The time
it takes for the beginning of the sector to reach
the head is known as Rotational Delay or
Rotational Latency.
 External Memory
3. Access Time: The sum of seek time if any
and the rotational delay is equals the access
time, which is the time it takes to get into the
position to read or write.
4. Transfer Time: Once the head is in position,
the read and write operation is then performed
as the sector moves under the head, this is the
data transfer portion of the operation; the time
required for the transfer is the transfer time.
 External Memory
RAID( Redundant Array of Independent Disks)
1. RAID is a set of physical disk drives viewed
by the operating system as a single logical
drive.
2. Data are distributed across the physical drives
of an array.
3. Redundant disk capacity is used to store parity
information, which guarantees data
recoverability in case of disk failure.
 Input Output
I/O Module:
 In addition to the processor and set of memory

modules, the third key element of a computer

system is a set of I/O modules.
 Each module interfaces to the system bus or

central switch and controls one or more

peripheral devices.
 I/O module contains the logic for performing a

communication function between the

peripheral and the bus.
 Input Output
Major functions of I/O Modules:
1. Interface to the processor and memory via the system bus
or central switch.
2. Interface to the one or more peripheral devices by
tailored data links.

 An external device attaches to the computer by a link to

an I/O module.
 The link is used to exchange control, status, and data
between the I/O module and the external device.
 An external device connected to an I/O module is often
referred as peripheral device and or peripheral.
 Input and Output
We can broadly classify external devices into
three categories:
1. Human readable: suitable for communicating
with the computer user.
e.g. VDT’s Video Display Terminals and Printers.
2. Machine readable: suitable for communicating
with equipment. e.g. magnetic disks and tape
systems.
3. Communication: suitable for communicating
with remote devices.
 Input and Output
 To execute an I/O related instructions, the processor
issues an address specifying particular I/O module
and external device.

 There are four types of I/O commands that an I/O

module may receive when it is addressed by the
processor.
1. Control
2. Test
3. Read
4. Write
 Input and Output
Nature of an external device:
1. The interface to I/O module is in the form of control, data
and status signals.
2. Control signals determines the function that the device
will perform, such as send data to the I/O module (INPUT
or READ), accept data from the I/O module (OUTPUT or
WRITE), report status, or perform some control function
particular to the device (e.g. position a disk head).
3. Data are in the form of set of bits sent or receive from the
I/O module.
4. Status signals indicates the state of the device. E.g.
READY/NOT READY.
 Input and Output
Control Logic associated with the device,
control’s the device operation in response to
direction from the I/O module.
The Transducer: converts data from electrical
to other forms of energy during output and
from other forms to electrical during input.
 Input and Output
 With Programmed I/O, data are exchanged
between the processor and the I/O module. The
Processor executes a program that gives it direct
control of the I/O operation, including sensing
device status, sending a read or write command,
and transferring the data.
 When the processor issues the command to the
I/O module, it must wait until the I/O operation
is complete. If the processor is faster than the
I/O module, this is wasteful processor time.
 Input and Output
 With Interrupt driven I/O, the processor issues an
I/O command, continue to execute other instructions,
and is interrupted by the I/O module when the later
has completed its work.
 With both Programmed and Interrupt driven I/O, the
processor is responsible for extracting data from main
memory for output and storing data in main memory
for input.
 The alternative knows as Direct Memory
Access(DMA), in this mode, the I/O module and the
memory exchange the data directly, without processor
involvement.
 Input and Output
 Interrupt driven I/O, though more efficient
than simple Programmed I/O, still requires the
active intervention of the processor to transfer
data between memory and I/O module, and
any data transfer must travels the path
through the processor.

 When large volumes of data are to be moved,

more efficient technique is required:
Direct Memory Access.
 Input and Output
DMA function:
 DMA involves an additional module on system bus.

 The DMA module is capable of mimicking the

processor and, indeed of taking over control of the

system from the processor.
 It needs to do this to transfer data to and from

memory over the system bus.

 DMA module must use the bus only when processor
does not use it, or it must force the processor to
suspend operation temporarily, and this technique is
referred to as cycle stealing, because the DMA
module in effect steals the bus cycle.
 Input and Output
 When the processor wishes to read and write block
of data, it issues the command to a DMA module, by
sending the following information to the DMA
module:
 Weather the read or write is requested, using the read or
write control line between the processor and DMA
module.
 The address of the I/O device involved, communicated on
the data lines.
 The starting location in memory to read or write to
communicated on the data lines and stored by the DMA
module in its address register.
 The number of words to be read or written, again
communicated via the data lines and store in the data
count register.
 Input and Output
 The processor then continues with other work. It has
delegated this I/O operation to the DMA module.
 The DMA module transfers the entire block of data, one
word at a time directly to or from a memory without
going through the processor.
 When the transfer is complete, the DMA module sends
an interrupt signal to the processor. Thus the processor is
involved only at the beginning and end of the transfer.
 The DMA module acting as a surrogate processor, uses
programmed I/O to exchange data between memory
and I/O module through the DMA module.
e.g. Intel 8237A DMA Controller.
 Operating System
Concepts
Important functions of OS:
1. Process Management
2. Memory Management
3. IO and File Management
4. CPU Scheduling
5. Hardware Abstraction
6. Networking
7. Protection and Security
8. User Interfacing
 Operating System
Concepts
UNIX System Architecture:
USER level: User’s program (executable)
KERNEL level:
 System Calls
 File Subsystem
 Process Control Subsystem:
1. IPC
2. CPU Scheduling
3. Memory Management.
 Character Devices & Block Devices: Device Drivers.
 Hardware Control
HARDWARE level:
Hardware(i.e. Real Machine).
 Operating System
Concepts
Dual Mode Operation:
 In order to ensure the proper execution of the operating

system, we must be able to distinguish between the

execution of operating system code and user defined code.
 OS operates in two modes:

1. User mode (non-privileged mode) and

2. Kernel mode( also called as supervisor mode, system
mode, or privileged mode).
 A bit, called mode bit, is added to the hardware of the

computer to indicate the current mode:

kernel mode(0)
user mode(1).
 Operating System
Concepts
System Calls:
 System Calls provides an interface to the services made

available by an OS.
 These calls are generally available as routines written in C, C+

+, although certain low-level tasks written using assembly

language instructions.
 Types of system calls:

System calls can grouped roughly into six major categories.

1. Process control: fork(), exit(), wait()
2. File Manipulation: open(), read(), write(), close()
3. Device Manipulation: ioctl(), read(), write()
4. Information Maintenance: getpid(), alarm(), sleep()
5. Communication: pipe(), shmget(), mmap()
6. Protection: chmod(), umask(), chown().
PROCESS MANAGAMENT
 The operating system is responsible for the
following activities in connection with process
and thread management.
1. The creation and termination of both user
and system processes.
2. The scheduling of processes.
3. Provision of mechanism for synchronization
4. Inter Process communication
5. Deadlock handling for the processes.
 PROCESS MANAGAMENT
 Program is a passive entity, where as process is
an active entity.
 Process State:
As a process executes, its changes state. The
state of the process is defined in part by the
current activity of that process.
 Each process may be in one of the following
state:
1. New: The process is being created.
2. Running: Instruction are being executed.
PROCESS MANAGAMENT
3. Waiting: The process is waiting for some
event to occur (such as an IO completion or
reception of an signal).
4. Ready: The process is waiting to be assigned
to a processor.
5. Terminated: The process has finished the
execution.
 PROCESS MANAGAMENT
PCB: Process Control Block
 Each process represented in the OS by a PCB-also known as task

control block.
 It contains many pieces of information associated with the

specific process, including these:

1. Process state
2. Program Counter
3. CPU Registers
4. CPU Scheduling information
5. Memory Management Information
6. Execution Context
7. Accounting Information
8. I/O Status Information
 PROCESS MANAGAMENT
Process Scheduling:
 The objective of multiprogramming is to have

some process running at all times, to maximize

CPU utilization.
 The objective of time sharing is to switch the

CPU among processes so that frequently user

can interact with each program while it is
running.
 PROCESS MANAGEMENT
 Unix is the world’s first multi-programming,
multi-tasking, multi-user operating system.
 Multi-programming:
 In such systems multiple programs can be loaded in
the memory.
 The number of programs can be loaded into the
memory at the same time is called as degree of multi
programming.
 Multi-tasking/time sharing: CPU time is
shared among multiple processes in the main
memory.
 PROCESS MANAGEMENT
 Multi-user:
 Multiple
users can execute multiple tasks
concurrently on the same system

 Multi processor System:

 Thesystems in which multiple processors are
connected in a closed circuit is called as
“multiprocessor computer”.
 PROCESS MANAGEMENT
Scheduling queues:
Job queue: as processes enter the system, they
are put into the Job queue, which consists of all
processes in the system.
Ready queue: the processes that are residing in
main memory and are ready and waiting to
execute are kept on a list called ready queue.
Device queue: The list of processes waiting for
a particular I/O device is called device queue.
Each device has its own device queue.
 PROCESS MANAGEMENT
Scheduler:
1. Long term scheduler or job scheduler:
In the batch system, more processes are submitted than can
be executed immediately.
These processes are spooled to a mass storage
device(typically a disk), where they are kept for later
execution. The long term scheduler or job scheduler, selects
processes from this pool and loads them into memory for
execution.
2. Short term scheduler or CPU scheduler:
The short term scheduler or CPU scheduler selects from
among the processes that are ready to execute and allocates
the CPU to one of them.
 PROCESS MANAGEMENT
Context Switch:
 When an interrupt occurs, the system needs to save the

current context of the process running on the CPU so

that it can restore that context when its processing is
done, essentially suspending the process and then
resuming it.
 The context is represented in the PCB of the process, it

includes the value of the CPU registers, the process

state and memory management information.
 Generally, we perform state save of the current state of

CPU, be it in kernel or user mode, and then a state

restore to resume operations.
 PROCESS MANAGEMENT
 Switching the CPU to another process requires
performing a state save of current process and
state restore of a different process. This task is
known as Context Switch.
 When the context switch occurs, the kernel
saves the context of old process in its PCB and
loads the saved context of the new process
scheduled to run.
 PROCESS MANAGEMENT
 Process Scheduling or Thread Scheduling:
 CPU Scheduling is the basis of multi programmed
operating systems.
 By switching the CPU among processes, the OS can
make the computer more productive.
 Non-preemptive Scheduling:
Under this type of scheduling, once the CPU has
been allocated to a process, the process keeps
the CPU until it releases the CPU either by
terminating or by switching to waiting state.
 PROCESS MANAGEMENT
 Dispatcher:
 The dispatcher is the module that gives the control of CPU to
the process selected by the short term scheduler.
 This function involves the following:

 Switching Context
 Switching to user mode
 Jumping to the proper location in the user program
to restart the program.
 Dispatch Latency:
The time it takes for the dispatcher to stop one process
and start another running is known as dispatch latency.
 PROCESS MANAGEMENT
 Scheduling Criteria:
1. CPU Utilization: MAX :We want to keep CPU as busy as
possible.
2. Throughput: MAX: One measure of work is the number of
processes that are completed per time unit, is called
throughput.
3. Turnaround time: MIN: The interval from the time of
submission of a process to the time of completion is the
turnaround time. So the it is the sum of the periods spent
waiting to get into memory, waiting in the ready queue,
executing on the CPU, and doing I/O.
4. Waiting time: MIN: it is the sum of the periods spent waiting
in the ready queue.
5. Response time: MIN: it is the time from the submission of a
request until the first response is produced.
 PROCESS MANAGEMENT
 Scheduling Algorithms:
1. FCFS: First-Come, First-Served Scheduling:
 Process arrived first will be scheduled first.
 For implementation FIFO queue can be used.
 FCFS algorithm is non preemptive.
 e.g. Process-CPU Burst Time: P1-24, P2-3, P3-3.
2. SJF: Shortest-Job-First Scheduling:
 Process having minimum burst time will be executed first
 This algorithm gives minimum waiting time
 e.g. Process-CPU Burst Time: P1-6, P2-8, P3-7, P4-3.
 Preemptive SJF will preempt the currently executing process.
Also refereed as shortest-remaining-time-first scheduling
algorithms.
 e..g Process-Arrival Time-CPU Burst Time
P1-0-8, P2-1-4, P3-2-9, P4-3-5.
 PROCESS MANAGEMENT
3. Priority Scheduling
 e.g. Process-Burst Time-Priority
P1-10-3, P2-1-1, P3-2-4, P4-1-5, P5-5-2.
 Indefinite blocking/starvation.
 Aging
4. Round-Robin Scheduling
 This algorithm gives minimum response time
 e.g. Process-CPU Burst Time.
P1-24, P2-3, P3-3.
time quantum - 4 ms( small CPU time)
 PROCESS MANAGEMENT
5. Multilevel Queue Scheduling:
Depending on the nature of the processes, the
ready queue is splited into the multiple sub-
queues and each queue can have different
scheduling algorithm.
6. Multilevel Feedback Queue Scheduling:
If a process is not getting sufficient CPU time
in its current queue, then it can be shifted into
another queue by OS. This enhanced concept
is known as Multilevel feedback queue.
 PROCESS MANAGEMENT
Multi-Processor Scheduling:
1. Asymmetric Multi-Processing:
 The single processor handles all scheduling decisions, I/O
processing, and other system activities called master server.
 The other processors execute only user code.
 In this type only one processor accesses the system data
structures, reducing the need for data sharing.
2. Symmetric Multi-Processing:
 Where each processor is self scheduling.
 All processes may be in common ready queue, or each
processor may have its own private queue of ready processes.
 e.g. Windows XP, Windows 2000, Solaris, Linux and Mac OS
X supports SMP.
 PROCESS MANAGEMENT
INTER PROCESS COMMUNICATION
Independent Process:
 A process is independent if it cannot affect or be affected

by the other process executing in the system.

 Any process that does not share data with any other

process is independent.

Cooperating Process:
 A process is cooperating if it can affect or be affected by

any other process in the system.

 Any process that shares data with any other process is a

cooperating process.
PROCESS MANAGEMENT
Cooperating processes requires an inter process
communication (IPC) mechanism that will allow
them to exchange data and information.
There are two fundamental models of IPC:
1. Shared Memory Model: In this model, a region of
memory that is shared by cooperating processes is
established. Processes then can exchange information
by reading and writing data to the shared region.
2. Message Passing Model: In this model,
communication takes place by means of messages
exchanged between the cooperating processes.
 PROCESS MANAGEMENT
 Pipe:
 Pipe is used to communicate between two processes.
 It is a stream based unidirectional communication.
 There are two types of pipe:
 1. Unnamed Pipe: Used to communicate between related
processes.
 2. Named Pipe/FIFO: Used to communicate between
unrelated processes.
 Message Queue:
 Used to transfer packets of data from one process to
other process.
 It is bidirectional IPC mechanism.
 PROCESS MANAGEMENT
 Signals:
 A process can send signal to another process or OS can
send signal to a process. E.g. SIGKILL, SIGSEGV
 Sockets:
 Socket is defined as communication endpoint
 Using socket one process can communicate with another
process on same machine or different machine in the
network.
 Socket = IP Address + Port
 RPC (Remote Procedure Call)
 Used call method from another process on the same
machine or different machine in the network.
 PROCESS MANAGEMENT
Process Coordination/Process Synchronization:
 Cooperating processes can either directly share a

logical address space(i.e. both code and data) or be

allowed share data only through files or messages.
 Concurrent access to shared data may results in

data inconsistency.
 The mechanisms to ensure the orderly execution of

cooperating processes that share a logical address

space, so that data inconsistency is maintained.
 PROCESS MANAGEMENT
Critical-Section Problem:
 Consider a system consisting of n processes { P1, P2, …, Pn-

1}. Each process has a segment code, called a critical section,

in which the process may be changing common variables,
updating a table, writing a file and so on. The important
feature of this system is that, when one process is executing
in its critical section, no other process is to be allowed to
execute in its critical section. That is, no two processes are
executing in their critical sections at the same time.
 The critical section problem is to design a protocol that

processes can use to cooperate. Each process must request

permission to enter its critical section. The section of code
implementing this request is the entry section. The critical
section may be followed by an exit section. The remaining
code is remainder section.
 PROCESS MANAGEMENT
Semaphores:
 To over come the problem of critical section we can

use the synchronization tool called a semaphore.

 Semaphore S is an integer variable that, apart from

initialization is accessed only through two standard

atomic operations: wait( ) and signal( ).
 All modifications to the integer value of the

semaphore in the wait( ) and signal( ) operations must

be executed indivisible. That is when one process
modifies the semaphore value, no other process can
simultaneously modify that same semaphore value.
 PROCESS MANAGEMENT
Deadlock:
 In multiprogramming environment, several

processes may compete for a finite number of

resources.
 A process requests resources; if the resources are

not available at that time, the process enters a

waiting state.
 Sometimes, again awaiting process never able to

change state, because the resources it has

requested are held by other waiting process. This
situation is called a deadlock.
 PROCESS MANAGEMENT
Necessary Conditions to occur deadlock:
1. Mutual exclusion: resource is not sharable

2. Hold and Wait: process hold a resource and wait for another
resource.
3. No preemption: A resource should not be released until task is
completed.
4. Circular wait

Resource-Allocation Graph:
 Deadlocks can be described more precisely in terms of directed

graphs called as system resource allocation graph.

 This graph consists of a set of vertices V and set of edges E. The set

of vertices V partitioned into two different types of nodes: P = { P1,

P2, …., Pn }, the set consisting of all the active processes in the
system, and R={R1, R2, …., Rn}, the set consisting of all resources
types in the system.
 PROCESS MANAGEMENT
 The directed edge from process Pi to resource type Rj is denoted
by Pi  Rj; it signifies that Process Pi has requested an instance
of the resource Rj and is currently waiting for that process.
 A directed edge from resource type Rj to process Pi is denoted by
Rj  Pi; it signifies that Rj has been allocated to process Pi.
 A directed edge Pi  Rj is called request edge, and a directed
edge Rj  Pi is called assignment edge.
 Pictorially we represents each process Pi as a circle and each
resource as a rectangle. Since resource type Rj may have more
than one instance, we represent each such instance as a dot
within a rectangle.
 If the graph contains no cycle, then no process in the system is
deadlocked. If the graph does contains cycle, then the deadlock
may exists.
 PROCESS MANAGEMENT
Methods of Handling Deadlocks.
1. Deadlock Prevention: For a deadlock to occur, each
of the four necessary conditions must hold. By
ensuring that at least one of these conditions can not
hold, we can prevent the occurrence of deadlock.
2. Deadlock Avoidance:

1. Resource-Allocation-Graph Algorithm
2. Banker’s Algorithm
3. Recovery from the deadlock:
1. Process termination
2. Resource Preemption
 MEMORY MANAGEMENT
 An address generated by the CPU is commonly
referred to as a logical address, whereas an
address seen by the memory unit - that is, one
loaded into the memory address register of the
memory- is commonly referred to as a physical
address.
 The runtime mapping from virtual/logical to
physical memory addresses is done by a
hardware device called Memory Management
Unit (MMU).
 MEMORY MANAGEMENT
SWAPPING:
 A process must be in memory to be executed. A process,

however, can be swapped temporarily out of memory to a

backing store and then brought back into memory for
continued execution.
 If a higher priority process arrives and wants service, the

memory manager can swap out the lower priority process

and then load and execute the higher priority process.
 When the high priority process finishes, the lower priority

process can be swapped back in and continued. This

variant of swapping is sometimes called roll out, roll in.
 MEMORY MANAGEMENT
 Memory Allocation:
1. Contiguous memory allocation, each process is contained in a single
contiguous section of memory.
2. Partition:
 Dynamic Memory Allocation:

1. First Fit: Allocates the first hole that is big enough

2. Best Fit: Allocate the smallest hole that is big enough
3. Worst Fit: Allocate the largest hole
 Generally the first fit is faster than other two algorithms.
 External Fragmentation:

Both the first fit and best fit strategies for memory allocation suffer
from external fragmentation. As processes are loaded and removed
from memory, the free memory space is broken into little pieces.
External fragmentation exists when there is enough total memory
space to satisfy a request but the available spaces are not contiguous;
storage is fragmented into large number of small holes.
 MEMORY MANAGEMENT
Internal Fragmentation:
Unused memory that is internal to a partition

Solution to the external fragmentation:

1. Compaction: Shuffle the memory contents so as to place all free
memory together in one large block.
2. Noncontiguous memory allocation: Permit the logical address
space of processes to be noncontiguous, thus allowing a process to
be allocated physical memory wherever such memory available.
 To achieve noncontiguous memory allocation two techniques are

in used:
1. Paging
2. Segmentation
 MEMORY MANAGEMENT
Paging:
 Paging is the memory-management scheme

that permits the physical address space of a

process to be noncontiguous.
 Breaking the physical memory into fixed-size

blocks called frames and breaking logical

memory into blocks of same size called pages.
 Backing store is divided into fixed size blocks

which are of the same size of memory frames.

 MEMORY MANAGEMENT
 The page size like frame size is defined by the
hardware . The size of the page is typically a
power of 2, varying between 512 bytes to 16MB
per page , depending upon the computer
architecture.
Segmentation:
It is a memory-management scheme that supports
this user view of memory. A logical memory is
collection of segments. Each segment has a name
and length. The address specify both the segment
name and the offset within the segment.
 MEMORY MANAGEMENT
 Various memory-management strategies used in
computer systems. All this strategies have the same
goal: to keep many processes in the memory
simultaneously to allow multiprogramming.
 However, they tend to require that an entire
process be in memory before it can execute.
 Virtual memory is a technique that allows the
execution of processes that are not completely in
memory.
 One major advantage of this scheme is that
programs can be larger than physical memory.
 MEMORY MANAGEMENT
 Virtual memory abstracts main memory into an
extremely large, uniform array of storage,
separating logical memory as viewed by the
user from physical memory.
 This technique frees programmers from the
concerns of memory storage limitations.
 Virtual memory also allows processes to share
files easily and to implement shared memory.
 In addition, it also provides an efficient
mechanism for process creation.
 MEMORY MANAGEMENT
Demand Paging:
 A strategy is to load pages only as they are needed

is known as demand paging, and is commonly

used in virtual memory systems.
 With demand-paged virtual memory, pages are

only loaded when they are demanded during

program execution; pages that are never accessed
are thus never loaded into physical memory.
 A demand paging system is similar to paging

system with swapping where processes reside in

secondary memory(usually disk).
 MEMORY MANAGEMENT
 When we want to execute a process, we swap it into the memory.
Rather than swapping the entire process into memory, however
we use lazy swapper.
 A lazy swapper never swaps the page into memory unless that

page will be needed.

 Page replacement: is a basic to demand paging. It completes the

separation between logical memory and physical memory.

Hardware to support demand paging:
1. Page table: This table has the ability to mark an entry invalid
through a valid-invalid bit or special value of protection bits.
2. Secondary memory: It is known as swap device, and the
section of the disk used for this purpose is known as swap space.
 MEMORY MANAGEMENT
Page Replacement Algorithms:
1. FIFO (First In First Out)

2. Optimal Page Replacement: which has the lowest

page fault rate. Replace the page that will not be
used for the longest period of time.
3. LRU Page Replacement: If we use recent past as
an approximation of the near future, then we can
replace the page that has not been used for
longest period of time.
4. Counting Based Page Replacement:

Least Frequently Used(LFU)

Most Frequently Used(MFU)
 MEMORY MANAGEMENT
 Thrashing:
 The high paging activity is called thrashing.
 A process is thrashing if it is spending more
time on paging than executing.
 STORAGE MANAGEMENT
 Since main memory is too small to accommodate
all the data and programs permanently, the
computer system must provide secondary
storage to backup main memory.
 Modern Computer systems uses disk as the
primary online storage medium for information.
 The File system provides the mechanism for on-
line storage of and access to both data and
programs residing on the disks.
 STORAGE MANAGEMENT
The device that attach to a computer vary in
many aspects.
 Some devices transfers a character or a block
of characters at a time.
 Some can be accessed only sequentially, others
randomly.
 Some transfers data synchronously and some
asynchronously.
 Some are dedicated, some shared.
 They can be read-only or read-write.
 STORAGE MANAGEMENT
 They vary greatly in speed.
 In many ways, they are also the slowest major
component of the computer.
 Because of all this device variation, the OS
needs to provide a wide range of functionality
to applications, to allow them to control all
aspects of the device.
 The OS abstracts from the physical properties
of the storage devices to define a logical storage
unit, the file.
 STORAGE MANAGEMENT
 File is a named collection of related information
that is recorded on secondary storage.
 In general: file is a sequence/stream of bits, bytes,
lines or records.
 Any file has:
 Data(contents of the file)
 Metadata(information about the file)
 Size of the file
 User/group information
 Time stamps: creation, accessed, modified
 Type of file
 Information about data blocks of that file
 STORAGE MANAGEMENT
 File Type:
Executable(.exe, .com, .bin) , Object(.o, .obj),
Source code (.c, .cpp, .java, .asm), Batch (.bat,
sh ), Text (.txt, .doc), Word Processor (wp, .doc,
.tex), Multi media(mpeg, mov, rm, mp3, avi)
 FILE SYSTEM:
 FileSystem is way of organizing the contents on the
disk.
 During formatting file system is created
 STORAGE MANAGEMENT
Logical File System:
 Logical File system manages metadata information.
 Metadata includes all the file- system structure
except the actual data(or contents of the file).
 It maintains the file structure via file control blocks.
A file control block(FCB) (in UNIX: inode) contains
the information about the file, including ownership,
permissions, and location of the file contents.
 The logical file system is also responsible for
protection and security.
 STORAGE MANAGEMENT
Any File System is logically divided into four parts:

1. Boot Block/Boot Sector:

 It contains the bootstrap program and boot loader

program.

2. Super Block/Volume Control Block:

 It contains info about: the partition, partition size,

label, no. of data blocks, no. of free data blocks and info
about free data blocks. Information about other blocks.
 STORAGE MANAGEMENT
3. i-node List/Mater File Table:
 The information/metadata of a file is stored in

a structure is called as “file control block” or

“inode”
 Collection of inodes in a partition is called as

“i-node list”.
4. Data Block:
The data or the contents of file are stored in
data block.
 FAT: File Allocation Table: e.g. Win 95
 STORAGE MANAGEMENT
 Disk Allocation Mechanisms:
Each file system allocates data blocks to the file
in different ways:
1. Contiguous Allocation:
 No. of blocks required for the file are allocated
contiguously.
 inode of the file contains starting block address and
number of data blocks.
 Faster sequential random access
STORAGE MANAGEMENT
2. Linked Allocation:
 Each data block of the file contains data/contents
and address of next data block of that file.
 Inode contains address of starting and ending data
block.
 No external fragmentation, faster sequential access
 Slower random access
 E.g. FAT
STORAGE MANAGEMENT
3. Indexed Allocation:
 A special data block contains addresses of data block
of the file. This block is called as “index block”
 The address of the index block is stored in the inode
of the file
 No external fragmentation, faster random and
sequential access.
 File can not grow beyond certain limit
 STORAGE MANAGEMENT
Disk Scheduling:
HDD Structure:
 Access Time: Time required to perform
read/write operation on a particular sector of the
disk, is called as “disk access time”.
 Disk access time includes two components = seek
time + rotational latency
 Seek Time: is the time required to move head to
desired cylinder(track)
 Rotational Latency: is the time required to rotate the
platters so that desired sector is reached to the head.
 STORAGE MANAGEMENT
Disk Scheduling Algorithms:
When number of requests are pending for accessing disk
cylinders, magnetic head is moved using certain
algorithms, they are called as disk scheduling
algorithms.
1. FCFS:
requests are handled in the order in which they arrives
2. SSTF (Shortest Seek Time First ):
requests of nearest(to current position of magnetic head)
cylinder is handled first
3. SCAN or Elevator:
Magnetic head keep moving from 0 to max cylinder and
in reverse order continuously serving cylinder requests.
 STORAGE MANAGEMENT
4. C-SCAN:
Magnetic head keep moving from 0 to max
cylinder serving the requests and then jump
back to 0 directly.

5. LOOK:
 Implementation policy of SCAN or C-SCAN
 If no requests pending magnetic head is stopped.