File Management

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 Learning Objectives
• The fundamentals of file management and the
structure of the file management system
• File-naming conventions, including the role of
extensions
• The difference between fixed-length and variable-
length record format
• The advantages and disadvantages of contiguous,
noncontiguous, and indexed file storage techniques

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 Learning Objectives (continued)
• Comparisons of sequential and direct file access
• The security ramifications of access control
techniques and how they compare
• The role of data compression in file storage

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 The File Manager

• File management system

– Software
• File access responsibilities
– Creating, deleting, modifying, controlling
• Support for libraries of programs
– Online users
• Spooling operations
• Interactive computing
• Collaborates with device manager

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 Responsibilities of the File Manager
• Four tasks
– File storage tracking
– Policy implementation
• Determine where and how files are stored
• Efficiently use available storage space
• Provide efficient file access
– File allocation if user access cleared
• Record file use
– File deallocation
• File returned to
storage
• Communicate
file availability 6
 Responsibilities of the File Manager
(continued)
• Policy determines:
– File storage location
– System and user access
• Uses device-independent commands
• Access to material
– Two factors
• Flexibility of access to information (Factor 1)
– Shared files
– Providing distributed access
– Allowing users to browse public directories

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 Responsibilities of the File Manager
(continued)
• Subsequent protection (Factor 2)
– Prevent system malfunctions
– Security checks
• Account numbers, passwords, lockwords
• File allocation
– Activate secondary storage device, load file into
memory, update records
• File deallocation
– Update file tables, rewrite file (if revised), notify
waiting processes of file availability

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 Definitions
• Field
– Group of related bytes
– Identified by user (name, type, size)
• Record
– Group of related fields
• File
– Group of related records
– Information used by specific application programs
• Report generation
– Flat file
• No connections to other files, no dimensionality

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 Definitions (continued)
• Databases
– Groups of related files
– Interconnected at various levels
• Give users flexibility of access to stored data
• Program files
– Contain instructions
• Data files
– Contain data
• Directories
– Listings of filenames and their attributes

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Definitions (continued)

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 Interacting with the File Manager
• Commands
– Embedded in program
• OPEN, CLOSE, READ, WRITE, MODIFY
– Submitted interactively
• CREATE, DELETE, RENAME, COPY
• Device independent
– Physical location knowledge not needed
• Cylinder, surface, sector
– Device medium knowledge not needed
• Tape, magnetic disk, optical disc, flash storage
– Network knowledge not needed

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Interacting with the File Manager
(continued)

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 Interacting with the File Manager
(continued)
• Logical commands
– Broken into lower-level signals
– Example: READ
• Move read/write heads to record cylinder
• Wait for rotational delay (sector containing record
passes under read/write head)
• Activate appropriate read/write head and read record
• Transfer record to main memory
• Send flag indicating free device for another request
• Performs error checking and correction
– No need for error-checking code in programs

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 Typical Volume Configuration
• Volume
– Secondary storage unit (removable, nonremovable)
– Multifile volume
• Contains many files
– Multivolume files
• Extremely large files spread across several volumes
• Volume name
– File manager manages
– Easily accessible
• Innermost part of CD, beginning of tape, first sector of
outermost track

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Typical Volume Configuration
(continued)

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 Typical Volume Configuration
(continued)
• Master file directory (MFD)
• Stored immediately after volume descriptor
• Lists
– Names and characteristics of every file in volume
• File names (program files, data files, system files)
– Subdirectories
• If supported by file manager
– Remainder of volume
• Used for file storage

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 Typical Volume Configuration
(continued)
• Single directory per volume
– Supported by early operating systems
• Disadvantages
– Long search time for individual file
– Directory space filled before disk storage space filled
– Users cannot create subdirectories
– Users cannot safeguard their files
– Each program needs unique name
• Even those serving many users

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 About Subdirectories

• Newer file managers

– Create MFD for each volume
• Contains file and subdirectory entries
– Improvement over single directory scheme
• Problems remain: unable to logically group files
• Subdirectory
– Created upon account opening
– Treated as file
• Flagged in MFD as subdirectory
• Unique properties

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 About Subdirectories (continued)
• File managers today
– Users create own subdirectories (folders)
• Related files grouped together
– Implemented as upside-down tree
• Efficient system searching of individual directories
• May require several directories to reach file

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About Subdirectories (continued)

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 About Subdirectories (continued)
• File descriptor
– Filename: ASCII code
– File type: organization and usage
• System dependent
– File size: for convenience
– File location
• First physical block identification
– Date and time of creation
– Owner
– Protection information: access restrictions
– Record size: fixed size, maximum size

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 File-Naming Conventions
• Filename components
– Relative filename and extension
• Complete filename (absolute filename)
– Includes all path information
• Relative filename
– Name without path information
– Appears in directory listings, folders
– Provides filename differentiation within directory
– Varies in length
• One to many characters
• Operating system specific

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 File-Naming Conventions (continued)

• Extensions
– Appended to relative filename
• Two to three characters
• Separated by period
• Identifies file type or contents
– Example
• BASIA_TUNE.MPG
– Unknown extension
• Requires user intervention

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File-Naming Conventions (continued)

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 File-Naming Conventions (continued)
• Operating system specifics
– Windows
• Drive label and directory name, relative name, and
extension
– Network with Open/VMS Alpha
• Node, volume or storage device, directory, subdirectory,
relative name and extension, file version number
– UNIX/Linux
• Forward slash (root), first subdirectory, sub-
subdirectory, file’s relative name

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 File Organization
• Arrangement of records within files
• All files composed of records
• Modify command
– Request to access record within a file

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 Record Format
• Fixed-length records
– Direct access: easy
– Record size critical
– Ideal for data files
• Variable-length records
– Direct access: difficult
– No empty storage space and no character truncation
– File descriptor stores record format
– Used with files accessed sequentially
• Text files, program files
– Used with files using index to access records

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Record Format (continued)

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 Physical File Organization
• Describes:
– Record arrangement
– Medium characteristics
• Magnetic disks file organization
– Sequential, direct, indexed sequential
• File organization scheme selection considerations
– Volatility of data
– Activity of file
– Size of file
– Response time
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 Physical File Organization (continued)

• Sequential record organization

– Records stored and retrieved serially
• One after the other
– Easiest to implement
– File search: beginning until record found
– Optimization features may be built into system
• Select key field from record and sort before storage
• Complicates maintenance algorithms
• Preserve original order when records added, deleted

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Physical File Organization (continued)

• Direct record organization

– Uses direct access files
– Direct access storage device implementation
• Random organization
• Random access files
– Relative address record identification
• Known as logical addresses
• Computed when records stored, retrieved
– Uses hashing algorithms to transform a key field

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 Physical File Organization (continued)
• Direct record organization (continued)
– Advantages
• Fast record access
• Sequential access if starting at first relative address and
incrementing to next record
• Updated more quickly than sequential files
• No preservation of records order
• Adding, deleting records is quick
– Disadvantages
• Hashing algorithm collision
• Similar keys

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Physical File Organization (continued)

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 Physical File Organization (continued)

• Indexed sequential record organization

– Best of sequential and direct access
– ISAM software: creates, maintains
– Advantage: no collisions (no hashing algorithm)
• Generates index file for record retrieval
• Divides ordered sequential file into equal sized blocks
• Each entry in index file contains the highest record key
and physical data block location
• Search index file
– Overflow areas

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 Physical Storage Allocation
• File manager works with files
– As whole units
– As logical units or records
• Within file
– Records must have same format
– Record length may vary
• Records subdivided into fields
• Application programs manage record structure
• File storage
– Refers to record storage

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Physical Storage Allocation
(continued)

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 Contiguous Storage

• Records stored one after another

– Advantages
• Any record found once starting address, size known
• Easy direct access
– Disadvantages
• Difficult file expansion, fragmentation

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 Noncontiguous Storage
• Files use any available disk storage space
• File records stored in contiguous manner
– If enough empty space
• Remaining file records and additions
– Stored in other disk sections (extents)
– Extents
• Linked together with pointers
• Physical size determined by operating system
• Usually 256 bytes

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 Noncontiguous Storage (continued)
• File extents linked in two ways
– Storage level
• Each extent points to next one in sequence
• Directory entry
• Filename, storage location of first extent, location of last
extent, total number of extents (not counting first)
– Directory level
• Each extent listed with physical address, size, pointer to
next extent
• Null pointer indicates last one

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 Noncontiguous Storage (continued)
• Advantage
– Eliminates external storage fragmentation
– Eliminates need for compaction
• Disadvantage
– No direct access support
• Cannot determine specific record’s exact location

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Noncontiguous Storage (continued)

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 Indexed Storage

• Allows direct record access

– Brings pointers together
• Links every extent file into index block
• Every file has own index block
– Disk sector addresses for file
– Lists entry in order sectors linked
• Supports sequential and direct access
• Does not necessarily improve storage space use
• Larger files experience several index levels

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 Access Methods
• Dictated by a file organization
• Most flexibility: indexed sequential files
• Least flexible: sequential files
• Sequential file organization
– Supports only sequential access
• Records: fixed or variable length
• Access next sequential record
– Use address of last byte read
• Current byte address (CBA)
– Updated every time record
accessed
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Access Methods (continued)

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 Sequential Access
• Update CBA
• Fixed-length records
– Increment CB
• CBA = CBA + RL
• Variable-length records
– Add length of record (RLK) plus numbers of bytes
used to hold record to CBA
• CBA = CBA + N + RLk

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 Direct Access
• Fixed-length records (RN: desired record number)
– CBA = (RN – 1) * RL
• Variable-length records
– Virtually impossible
• Address of desired record cannot be easily computed
– Requires sequential search through records
– Keep table of record numbers and CBAs
• Indexed sequential file
– Accessed sequentially or directly
– Index file searched for pointer to data block

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Levels in a File Management System

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 Levels in a File Management System
(continued)
• Level implementation
– Structured and modular programming techniques
– Hierarchical
• Highest module passes information to lower module
• Modules further subdivided
– More specific tasks
• Uses information of basic file system
– Logical file system transforms record number to byte
address

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 Levels in a File Management System
(continued)
• Verification at every level
– Directory level
• File system checks if requested file exists
– Access control verification module
• Determines whether access allowed
– Logical file system
• Checks if requested byte address within file limits
– Device interface module
• Checks if storage device exists

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 Access Control Verification Module
• File sharing
– Data files, user-owned program files, system files
– Advantages
• Save space, synchronized updates, resource efficiency
– Disadvantage
• Need to protect file integrity
– Five possible file actions
• READ only, WRITE only, EXECUTE only, DELETE
only, combination
– Four methods

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 Access Control Matrix
• Advantages
– Easy to implement
– Works well in system with few files, users

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 Access Control Matrix (continued)
• Disadvantages
– As files and user increase, matrix increases
• Possibly beyond main memory capacity
– Wasted space: due to null entries

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 Access Control Lists
• Modification of access control matrix technique

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 Access Control Lists (continued)
• Contains user names granted file access
– User denied access grouped under “WORLD”
• Shorten list by categorizing users
– SYSTEM
• Personnel with unlimited access to all files
– OWNER
• Absolute control over all files created in own account
– GROUP
• All users belonging to appropriate group have access
– WORLD
• All other users in system

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 Capability Lists
• Lists every user and files each has access to
• Can control access to devices as well as to files
• Most common

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 Lockwords

• Lockword
– Similar to password
– Protects single file
• Advantage
– Requires smallest storage amount for file protection
• Disadvantages
– Guessable, passed on to unauthorized users
– Does not control type of access
• Anyone who knows lockword can read, write, execute,
delete file

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 Data Compression

• A technique used to save space in files

• Text decompression
• Other decompression schemes

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 Text Compression
• Records with repeated characters
– Repeated characters are replaced with a code
• Repeated terms
– Compressed using symbols to represent most
commonly used words
– University student database common words
• Student, course, grade, department each be
represented with single character
• Front-end compression
– Entry takes given number of characters from previous
entry that they have in common

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 Other Compression Schemes
• Large files
– Video and music
• ISO MPEG standards
– Photographs
• ISO
– International Organization for Standardization

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 Summary

• File manager
– Controls every file and processes user commands
– Manages access control procedures
• Maintain file integrity and security
– File organizations
• Sequential, direct, indexed sequential
– Physical storage allocation schemes
• Contiguous, noncontiguous, indexed
– Record types
• Fixed-length versus variable-length
records
– Four access methods
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