WOLLO UNIVERSITY

COLLEGE OF INFORMATICS
DEPARTMENT OF COMPUTER SCIENCE

FUNDAMENTAL OF OPERATING SYSTEM (C0SC 3023) LECTURE NOTE

FOR THIRD YEAR COMPUTER SCIENCE TUDENTS

BY: Kibebu M.

2015
E.C
.
1
 Chapter 1 :- Introduction
 Unit Structure
 Introduction to Operating System
 Definition of Operating system
 Functions and Purpose of Operating System
System calls/Programs
Fundamental of Operating System
Operating System Services
Operating System Components
Types of Operating System
Batch System
Time Sharing System
Multiprogramming

2
 Definition of Operating Systems
 An Operating system is a program that controls the execution
of application programs and acts as an interface between the user
of a computer and the computer hardware.
 A more common definition is that the operating system is the
one program running at all times on the computer (usually called
the kernel), with all else being applications programs.
 An Operating system is concerned with the allocation of
resources and services, such as memory, processors, devices and
information.
 An operating system is a 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 3
 Functions of Operating System
Operating system performs three functions:
Convenience: An OS makes a computer more convenient to
use.
 Efficiency: An OS allows the computer system resources to
be used in an efficient manner.
 Ability to Evolve: An OS should be constructed in such a
way as to permit the effective development, testing and
introduction of new system functions without at the same time
interfering with service

4
 Operating System as User Interface
 Every general purpose computer consists of the hardware,
operating system, system programs, application programs.
 The hardware consists of memory, CPU, ALU, I/O devices,
peripheral device and storage device.
 System program consists of compilers, loaders,editors,OS
 The application program consists of business program,
database program.
 The fig. 1.1 shows the conceptual view of a computer system

5
Cont…

Fig 1.1 Abstract view of the components a computer system

6
 Cont…

1.Hardware - provides basic computing resources(CPU,

memory ,I/O devices).
2.Operating system - controls and coordinates the use of the
hardware among the various application programs for the
various users.
3.Applications programs - define the ways in which the system
resources are used to solve the computing problems of the
users (database systems, video games, business pro grams).
4. Users (people, machines, other computers).

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 Goal(Purpose) of operating system
 OS is designed to serve the following purposes :
1) . Resource Management: Disk, CPU cycles, etc. must be managed
efficiently to maximize overall system performance. It controls
the allocation and use of the computing system‘s resources among
the various user and tasks.
2) . Resource Abstraction: Software interface to simplify use of
hardware resources . It provides an interface between the computer
hardware and the programmer that simplifies and makes feasible for
coding, creation, debugging of application programs
3) Virtualization: Supports resource sharing – gives each process the
appearance of an unshared resource

8
 System Calls // Programs
System calls provide the interface between a process and
the operating system.
Some of system calls are assembler, compiler, interpreter
and loader.

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 Assembler
 Input to an assembler is an assembly language program.
 Output is an object program plus information that enables the
loader to prepare the object program for execution.
 At one time, the computer programmer had at his disposal a
basic machine that interpreted, through hardware, certain
fundamental instructions.
 He would program this computer by writing a series of ones
and zeros(machine language), place them into the memory of
the machine.

10
 Compiler
 The high level languages – examples are FORTRAN,
COBOL, ALGOL and PL/I – are processed by compilers and
interpreters.
 A compilers is a program that accepts a source program in a
―high-level language‖ and produces a corresponding object
program.
 An interpreter is a program that appears to execute a source
program as if it was machine language. The same name
(FORTRAN, COBOL etc) is often used to designate both a
compiler and its associated language.

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 Loader
A loader is a routine that loads an object program and
prepares it for execution. There are various loading
schemes: absolute, relocating and direct-linking.
 Loader is a program that places programs into
memory and prepares them for execution.
 In a simple loading scheme, the assembler outputs the
machine language translation of a program on a
secondary device and a loader is placed in core.
 The loader places into memory the machine language
version of the user‘s program and transfers control to it.
Since the loader program is much smaller than the
assembler, those makes more core available to user‘s
program. 12
Fundamental of Operating System

Basic concepts
Operating System Services
Operating System Components
Types of operating system
Batch System
Time Sharing System
Multiprogramming
Spooling
Properties of operating system

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 Operating System Services
 An operating system provides services to programs and to
the users of those programs. It provided by one environment
for the execution of programs. The services provided by one
operating system is difficult than other operating system.
 Operating system makes the programming task easier.
 The common service provided by the operating system is
listed below.
1. Program execution
2. I/O operation
3. File system manipulation
4. Communications
5. Error detection

14
Cont…
1. Program execution: Operating system loads a program into memory and
executes the program. The program must be able to end its execution,
either normally or abnormally.
2. I/O Operation : I/O means any file or any specific I/O device. Program
may require any I/O device while running. So operating system must
provide the required I/O.
3. File system manipulation : Program needs to read a file or write a file.
The operating system gives the permission to the program for operation on
file.
4. Communication : Data transfer between two processes is required for
some time. The both processes are on the one computer or on different
computer but connected through computer network. Communication may
be implemented by two methods:
a. Shared memory
b. Message passing.
5. Error detection : error may occur in CPU, in I/O devices or in the
memory hardware. The operating system constantly needs to be aware of
possible errors. It should take the appropriate action to ensure correct and
consistent computing. Operating system with multiple users provides
following services: 1. Resource Allocation
2. Accounting
3. Protection
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Cont…
1) Resource Allocation :
 If there are more than one user or jobs running at the same time, then
resources must be allocated to each of them. Operating system manages
different types of resources require special allocation code, i.e. main memory
CPU cycles and file storage.
 There are some resources which require only general request and release
code. For allocating CPU, CPU scheduling algorithms are used for better
utilization of CPU.
2) Accounting :
 Logs of each user must be kept. It is also necessary to keep record of which
user how much and what kinds of computer resources. This log is used for
accounting purposes.
3) Protection :
 Protection involves ensuring that all access to system resources is controlled.
Security starts with each user having to authenticate to the system, usually by
means of a password. External I/O devices must be also protected from
invalid access attempts.
 In protection, all the access to the resources is controlled. In multiprocessing
environment, it is possible that, one process to interface with the other, or
with the operating system, so protection is required.

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 Operating System Components
 Modern operating systems share the goal of supporting
the system components. The system components are :
 Process Management
Main-Memory Management
Secondary-Storage Management
I/O System Management
File Management
Protection System
Networking
Command-Interpreter System

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Cont…

Process Management

 A process is a program in execution. A process needs

certain resources, including CPU time, memory, files, and
I/O devices, to accomplish its task.
 The five major activities of an operating system in regard to
process management are:
• Creation and deletion of user and system processes.
• Suspension and resumption of processes.
• A mechanism for process synchronization.
• A mechanism for process communication.
• A mechanism for deadlock handling.
 Process management is usually performed by the kernel.
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Cont…

Main-Memory Management
 Memory is a large array of words or bytes, each with its own
address. It is a repository of quickly accessible data shared by
the CPU and I/O devices.
 The major activities of an operating system in regard to
memory-management are:
o Keep track of which part of memory are currently being
used and by whom.
o Decide which processes are loaded into memory when
memory space becomes available.
o •Allocate and deallocate memory space as needed..

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Cont…

I/O System Management

 The I/O system consists of:

 A buffer-caching system
 A general device-driver interface
 Drivers for specific hardware devices (device drivers)
 Device Drivers
Must have access to I/O hardware
Must be able to handle interrupts.
Communicate with other parts of the OS (File system,
Networking etc).

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Cont…

File Management

 A file is a collection of related information.

o Commonly, files represent programs (both source and
object forms) and data.
 The operating system is responsible for the following
activities in connection with file management:
o File creation and deletion.
o Directory creation and deletion.
o Support of primitives for manipulating files and directories.
o Mapping files onto secondary storage. e.g. free space
allocation.
o File backup on stable (non-volatile) storage media.
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Cont…

Protection System

 Protection refers to a mechanism for controlling access by

programs, processes, or users to both system and user
resources.
 Operating Systems commonly control access by using
permissions. All system resources have an owner and a
permission associated with them. Users may be combined
into groups for the purpose of protection. e.g. in UNIX
every file has an owner and a group.

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 Networking(Distributed system)

A distributed system is a collection of processors that

do not share memory, peripheral devices, or a clock
The processors communicate with one another through
communication lines called network

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 Cont…
Command-Interpreter System

 Many commands are given to the operating system by control

statements which deal with:
o process creation and management (e.g. running a program)
o I/O handling (e.g. set terminal type)
o secondary-storage management (e.g. format a disk)
o main-memory management (e.g. specify virtual memory
parameters)
o file-system access (e.g. print file)
o protection (e.g. set permissions)
o networking (e.g. set IP address)
 The program that reads and interprets control statements is called
variously:
o command-line interpreter
o shell (in UNIX)

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 Type of Operating system
Batch System
Batch operating system is one where programs and
data are collected together in a batch before processing
starts.
A job is predefined sequence of commands, programs
and data that are combined in to a single unit called job.
Memory management in batch system is very simple.
Memory is usually divided into two areas : Operating
system and user program area.

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Cont…

 Scheduling is also simple in batch system. Jobs are processed in

the order of submission i.e first come first served fashion.
 When job completed execution, its memory is releases and the
output for the job gets copied into an output spool for later
printing.
 Batch system often provides simple forms of file management.
Access to file is serial. Batch systems do not require any time
critical device management.
 Batch systems are inconvenient for users because users can not
interact with their jobs to fix problems. There may also be long
turn around times. Example of this system id generating monthly
bank statement.

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Cont…
 Advantages of Batch System
 Move much of the work of the operator to the computer.
 Increased performance since it was possible for job to
start as soon as the previous job finished.
 Disadvantages of Batch System
 Turn around time can be large from user standpoint.
 Difficult to debug program.
 A job could enter an infinite loop.
 A job could corrupt the monitor, thus affecting pending
jobs.
 Due to lack of protection scheme, one batch job can
affect pending jobs.

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 Time Sharing System

 Multi-programmed batched systems provide an environment

where the various system resources (for example, CPU,
memory, peripheral devices) are utilized effectively.
 Time sharing, or multitasking, is a logical extension of
multiprogramming. Multiple jobs are executed by the CPU
switching between them, but the switches occur so frequently
that the users may interact with each program while it is
running.

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Cont…

 Time-sharing systems were developed to provide interactive

use of a computer system at a reasonable cost.
 A time-shared operating system uses CPU scheduling and
multiprogramming to provide each user with a small portion
of a time-shared computer. Each user has at least one separate
program in memory.
 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 short
time before it either finishes or needs to perform I/O. I/O may
be interactive; that is, output is to a display for the user and
input is from a user keyboard. Since interactive I/O typically
runs at people speeds, it may take a long time to completed.

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 Multiprogramming
 When two or more programs are in memory at the same time,
sharing the processor is referred to the multiprogramming
operating system. Multiprogramming assumes a single processor
that is being shared. It increases CPU utilization by organizing
jobs so that the CPU always has one to execute.
 The operating system keeps several jobs in memory at a time. This
set of jobs is a subset of the jobs kept in the job pool. The
operating system picks and begins to execute one of the job in the
memory. Multiprogrammed system provide an environment in
which the various system resources are utilized effectively, but
they do not provide for user interaction with the computer system.
Jobs entering into the system are kept into the memory. Operating
system picks the job and begins to execute one of the job in the
memory.
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Cont…

 Multiprogramming operating system monitors the state of all

active programs and system resources. This ensures that the CPU
is never idle unless there are no jobs.
 Advantages

1. High CPU utilization.

2. It appears that many programs are allotted CPU almost
simultaneously.
 Disadvantages

1. CPU scheduling is requires.

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

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 Spooling
 Acronym for simultaneous peripheral operations on line.
 Spooling refers to putting jobs in a buffer, a special area in memory or on
a disk where a device can access them when it is ready.
 Spooling is useful because device access data that different rates. The
buffer provides a waiting station where data can rest while the slower
device catches up. Fig 2.3 shows the spooling.

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Cont…

 The most common spooling application is print spooling.

 In print spooling, documents are loaded into a buffer and then the printer
pulls them off the buffer at its own rate.
 Spooling is also used for processing data at remote sites. The CPU sends
the data via communications path to a remote printer.
 Spooling overlaps the I/O of one job with the computation of other jobs.
 One difficulty with simple batch systems is that the computer still needs to
read the decks of cards before it can begin to execute the job. This means
that the CPU is idle during these relatively slow operations. Spooling batch
systems were the first and are the simplest of the multiprogramming
systems.
Advantage of Spooling
 1. The spooling operation uses a disk as a very large buffer.
 2. Spooling is however capable of overlapp

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 Essential Properties of the Operating System
 Batch : Jobs with similar needs are batched together and run through
the computer as a group by an operator or automatic job sequencer.
Performance is increased by attempting to keep CPU and I/O devices
busy at all times through buffering , off line operation, spooling and
multiprogramming. A Batch system is good for executing large jobs
that need little interaction, it can be submitted and picked up latter.
 Time sharing : Uses CPU s scheduling and multiprogramming to
provide economical interactive use of a system. The CPU switches
rapidly from one user to another i.e. the CPU is shared between a
number of interactive users. Instead of having a job defined by
spooled card images, each program reads its next control instructions
from the terminal and output is normally printed immediately on the
screen.
 Interactive : User is on line with computer system and interacts
with it via an interface. It is typically composed of many short
transactions where the result of the next transaction may be
unpredictable. Response time needs to be short since the user
submits and waits for the result.

34
Cont…

 Real time system : Real time systems are usually

dedicated, embedded systems. They typically read from and
react to sensor data. The system must guarantee response to
events within fixed periods of time to ensure correct
performance.
 Distributed : Distributes computation among several
physical processors. The processors do not share memory or
a clock. Instead, each processor has its own local memory.
They communicate with each other through various
communication lines

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 Chapter 2:
Process and process Management
 Unit Structure

Process Management
 Concept of Process
 Process State
 Process Management
 Operation on processes
Thread managements
 Introduction of Thread
 Types of Thread
 Difference between Process and Thread
Concurrency
 Principle of concurrency
 Race Condition
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 Process concepts
A process is an instance of a program in execution. It encompasses the
static concept of program and the dynamic aspect of execution. As the
process runs, its context (state) changes – register contents, memory
contents, etc., are modified by execution.
 process is a sequential program in execution. A process defines the
fundamental unit of computation for the computer. Components of the process
are:
 Object program
 Data
 Resources
 Status of the process execution
 Object program i.e. code to be executed.
 Data is used to for executing the program.
 While executing the program, it may require some resources.
 Last component(Status of the process execution) is used for verifying
the status of the process execution.
 A process can run to completion only when all requested resources have been
allocated to the process. Two or more processes could be executing the same
program each using their own data and resources.
 Process exists in a limited span of time.
37
 Processes and Programs
 Process is a dynamic entity, that is a program in execution. A
process is a sequence of information executions. Process exists
in a limited span of time. Two or more processes could be
executing the same program, each using their own data and
resources.
 Program is a static entity made up of program statement.
Program contains the instructions. A program exists at single
place in space and continues to exist. A program does not
perform the action by itself.

38
Cont…
Process state
 When process executes, it changes state. Process state is defined as the
current activity of the process.
 Process contains five states. Each process is in one of the states
New
Ready
Running
Waiting
Terminated (exit)
• New- a process that has just been created
• Ready- ready processes are waiting to have the processor. Allocating
to them by the operating system so that they can run.
• Running- the process that is currently being executed. A running
process processes all the resources needed for its execution, including
the processor.
• Waiting- a process that can not execute until some event occurs. Such
as the completion of an I/O operation. The running process may
become suspended by invoking an I/O routine.

39
Cont…
 Terminated- a process that has been released from the pool of
executable process by the OS.

Fig. 3.1 shows the general form of the process state transition diagram.
40
Cont…
 When ever process changes state, the OS reacts by placing the PCB
in the list that corresponds to its new state. Only one process can
run on any processor at any instant and many processes may be in
ready and waiting state.
Suspended processes:- Characteristics of suspended processes
1. Suspended process is not immediately available for execution.
2. The process may or may not be waiting on an event.
3. For preventing the execution, process is suspend by OS, parent
process, process itself and an agent.
4. Process may not be removed from the suspended state until the
agent orders the removal.
 Reasons for process suspension
1. Swapping
2. Timing
3. Interactive user request
4. Parent process request 41
Cont…
 Swapping : is used to move all of a process from main
memory to disk .OS needs to release required main memory
to bring in a process that is ready to execute.
 Timing : Process may be suspended while waiting for the
next time interval.
 Interactive user request : Process may be suspended for
debugging purpose by user.
 Parent process request : To modify the suspended process
or to coordinate the activity of various descendants.

42
 Process Control Block (PCB)
 PCB – is the data structure used by the OS. OS groups all
information that needs about a particular process.
 PCB- Information associated with each process. which contains :
Process ID (name, number)
Process state
Priority, owner, etc...
 Program counter
CPU registers
CPU scheduling information
Memory-management information
 Accounting information
 I/O status information
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Fig. 3.2 Process Control Block
Pointer Process State
Process Number

Program Counter

CPU registers

Memory Allocation

Event Information

List of open files

44
Cont…
 Pointer : Pointer points to another process control block. Pointer is used for
maintaining the scheduling list.
 Process State : Process state may be new, ready, running, waiting and so on
 Program Counter : It indicates the address of the next instruction to be
executed for this process.
 Event information : For a process in the blocked state this field contains
information concerning the event for which the process is waiting.
 CPU register : It indicates general purpose register, stack pointers, index
registers and accumulators etc. number of register and type of register totally
depends upon the computer architecture.
 Memory Management Information : This information may include the value
of base and limit register. This information is useful for deallocating the
memory when the process terminates.
 Accounting Information : This information includes the amount of CPU and
real time used, time limits, job or process numbers, account numbers
 Process control block also includes the information about CPU scheduling,
I/O resource management, file management information, priority and so.
 The PCB simply serves as the repository for any information that may vary
from process to process
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 Process Management / Process Scheduling
 Multiprogramming operating system allows more than one
process to be loaded into the executable memory at a time and
for the loaded process to share the CPU using time
multiplexing.
 The scheduling mechanism is the part 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
particular strategy

46
 Scheduling Queues
 When the process enters into the system, they are put into a job
queue. This queue consists of all processes in the system. The
operating system also has other queues.
 Device queue is a queue for which a list of processes waiting for

a particular I/O device. Each device has its own device queue.
 Fig. 3.3 shows the queuing diagram of process scheduling. In the
fig 3.3,
 queue is represented by rectangular box.

 The circles represent the resources that serve the queues.

 The arrows indicate the flow of processes in the system.

47
Cont…

Fig. 3.3 Queuing Diagram

48
Cont…
 Queues are of three types :job queue, ready queue and set
of device queues. A newly arrived process is put in the Job
queue.
 Processes are waiting in ready queue for allocating the CPU.
 Once the CPU is assigned to the process, then process will
execute. While executing the process, one of the several
events could occur.
1. The process could issue an I/O request and then place in
an I/O queue.
2. The process could create new sub process and waits for its
termination.
3. The process could be removed forcibly from the CPU, as a
result of interrupt and put back in the ready queue.

49
 Schedules
Schedulers are of two types.
1. Long Term Scheduler
2. Short Term Scheduler

50
Cont…
Long Term Scheduler
 It is also called job scheduler.
 Long term scheduler determines which programs are admitted to the
system for processing. Job scheduler selects processes from the queue and
loads them into memory for execution. Process loads into the memory for
CPU scheduler.
 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 same systems, the long term scheduler may be absent or minimal.
Time-sharing operating systems have no long term scheduler. When
process changes the state from new to ready, then there is a long term
scheduler.
I.e. - Long-term scheduler (job scheduler) - selects which processes should
be brought into the ready queue.
- Long-term scheduler is invoked very infrequently (seconds, minutes)
`=> (may be slow). The long-term scheduler controls the degree
of multiprogramming.
51
Cont…

Short Term Scheduler

 It is also called CPU scheduler. Main objective is increasing 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 from
among the processes that are ready to execute and allocates the CPU to
one of them.
 Short term scheduler also known as dispatcher, execute most frequently
and makes the fine grained decision of which process to execute next.
Short term scheduler is faster than long tern scheduler .
I.e. - Short-term scheduler (CPU scheduler) - selects which process
should be executed next and allocates CPU.
- Short-term scheduler is invoked very frequently (milliseconds) =>
(must be fast).

52
Cont…

53
Cont…

Context Switch
 Sometimes called process switch
 A context switch involves two processes:

◦ One leaves the Running state

◦ Another enters the Running state
 The status (context) of one process is saved; the status of the
second process restored.
 When CPU switches to another process, the system must save
the state of the old process and load the saved state for the
new process.
 Context-switch time is overhead; the system does no useful
work while switching. Time dependent on hardware support.

54
 Operation on Processes
 Several operations are possible on the process. Process must be created and
deleted dynamically. Operating system must provide the environment for
the process operation. We discuss the two main operations on processes.
A. Create a process
B.Terminate a process

Process Creation
 Parent process creates children processes, which, in turn create other
processes, forming a tree of processes.
• When a process creates a new process, two possibilities exist in
terms of execution.
1. The parent continues to execute concurrently with its children.
2. The parent waits until some or all of its children have terminated

55
Cont…

For address space, two possibilities occur:

1. The child process is a duplicate of the parent
process.
2. The child process has a program loaded into it.

56
 Cont…

Resource sharing - 3 possibilities

 Parent and children share all resources.
 Children share subset of parent's resources.
 Parent and child share no resources.
.

57
Cont…
Process Termination
 Process executes last statement and asks the operating system
to delete it (exit).
Output data from child to parent (via fork).
Process' resources are deallocated by operating system.
 Parent may terminate execution of children processes (abort).
Child has exceeded allocated resources.
Task assigned to child is no longer required.
Parent is exiting.
 Operating system does not allow child to continue if its parent
terminates.
Cascading termination.

58
Cont…

Following are the resources for terminating the child

process by parent process.
1. The task given to the child is no longer required.
2. Child has exceeded its usage of some of the
resources that it has been allocated.
3. Operating system does not allow a child to
continue if its parent terminates.

59
 Thread concepts
A thread is a flow of execution through the process code,
with its own program counter, system registers and stack.
Threads are a popular way to improve application
performance through parallelism. A thread is sometimes
called a light weight process.
 Threads represent a software approach to improving
performance of operating system by reducing the over head
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.
 Fig. 4.1shows the single and multithreaded process.

60
Cont….

•Threads have been successfully used in implementing network

servers. They also provide a suitable foundation for parallel
execution of applications on shared memory multiprocessors

61
Cont…
A thread (or lightweight process) is a basic unit of CPU utilization;
it consists of:
 program counter
 register set
 stack space
 A thread shares with its peer threads its:
 code section
 data section
 operating-system resources
 A traditional or heavyweight process is equal to a task with one thread.
In a task containing multiple threads, while one server thread is blocked and
waiting, a second thread in the same task could run.
 Cooperation of multiple threads in same job confers higher throughput and
 improved performance.
 Applications that require sharing a common buffer (producer-consumer
problem) benefit from thread utilization.
 Threads provide a mechanism that allows sequential processes to make
blocking system calls while also achieving parallelism.

62
 Types of Thread
 Threads is implemented in two ways :
1. User Level
2. Kernel Level
User Level Thread
 In a user thread, all of the work of thread management is done
by the application and the 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 begins with a single thread and begins
running in that thread.
 User level threads are generally fast to create and manage 63
Cont…

Advantage of user level thread over Kernel level thread :

1.Thread switching does not require Kernel mode privileges
2. User level thread can run on any operating system.
3. Scheduling can be application specific.
4. User level threads are fast to create and manage.

Disadvantages of user level thread :

1. In a typical operating system, most system calls are
blocking.
2. Multithreaded application cannot take advantage of
multiprocessing.

64
 Kernel Level Threads
 In Kernel level thread, thread management 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 individuals 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.
65
Cont…

Advantages of Kernel level thread:

1. Kernel can simultaneously schedule multiple threads from
the same process on multiple process.
2. If one thread in a process is blocked, the Kernel can
schedule another thread of the same process.
3. Kernel routines themselves can multithreaded.
Disadvantages:
1. Kernel threads are generally slower to create and manage
than the user threads.
2 Transfer of control from one thread to another within same
process requires a mode switch to the Kernel.

66
Cont…

Advantages of Thread
1. Thread minimize context switching time.
2. Use of threads provides concurrency within a process.
3. Efficient communication.
4. Economy- It is more economical to create and context
switch threads.
5. Utilization of multiprocessor architectures –
The benefits of multithreading can be greatly increased in a
multiprocessor architecture.

67
Cont… Difference between User Level
and Kernel Level Thread
User Level Threads Kernel Level Thread

• User level thread are faster to create •Kernel level thread are slower to
and manage create and manage.
• Implemented by a thread library at •Operating system support directly
the user level. to Kernel threads.
• User level thread can run on any •Kernel level threads are specific
operating system. to the operating system.
• Support provided at the user level •Support may be provided by
called user level thread. kernel is called Kernel level
• Multithread application cannot take threads.
advantage of multiprocessing. •Kernel routines themselves can
be multithreaded

68
Cont… Difference between Process and Thread
Process
 Process is called heavy weight process.
 Process switching needs interface with operating system.
 In multiple process implementation each process executes the same code but
has its own memory and file resources.
 If one server process is blocked no other server process can execute until the
first process unblocked.
 Multiple redundant process uses more resources than multiple threaded.
 In multiple process each process operates independently of the others.

Thread
 Thread is called light weight process.
 Thread switching does not need to call a operating system and cause an
interrupt to the Kernel.
 All threads can share same set of open files, child processes.
 While one server thread is blocked and waiting, second thread in the same task
could run.
 Multiple threaded process uses fewer resources than multiple redundant
process.
 One thread can read, write or even completely wipe out another threads stack.
69
 Concurrency concept
 Concurrent processes executing in the operating system may
be either:-
 Cooperating processes or
Independent processes
A process is independent if it cannot affect or be affected by the
other processes executing in the system.
 On the other hand, a process is cooperating if it can affect or be
affected by the other processes executing in the system.
 Cooperating processes may either directly share a logical
address space(that is, both code and data), or be allowed to share
data only through files. The former case is achieved through the
use of lightweight processes or threads.

70
Cont…
 Processes (or threads) that cooperate to solve problems must
exchange information. Two approaches:
◦ Shared memory (Shared memory is more efficient (no copying),
but isn’t always possible)
◦ Message passing (copying information from one process address
space to another)
 There are several reasons for providing an environment that allows
process cooperation
 Information sharing
 Computation speedup
 Modularity
 Convenience

71
 Race condition
When several processes access and manipulate the
same data concurrently and the outcome of the
execution depends on the particular order in which the
access takes place, is called a race condition. this
condition may result in data inconsistency.
A race condition occurs when multiple processes or
threads read and write data items so that the final result
depends on the order of execution of instructions in the
multiple processes.

72
Cont…
 Suppose that two processes, P1 and P2, share the global variable a. At
some point in its execution, P1 updates a to the value 1, and at some point
in its execution, P2 updates a to the value 2. Thus, the two tasks are in a
race to write variable a. In this example the "loser" of the race (the process
that updates last) determines the final value of a.
 Therefore Operating System Concerns of following things
1. The operating system must be able to keep track of the various
processes
2. The operating system must allocate and deallocate various resources for
each active process.
3. The operating system must protect the data and physical resources of
each process against unintended interference by other processes.
4. The functioning of a process, and the output it produces, must be
independent of the speed at which its execution is carried out relative to
the speed of other concurrent processes.

73
Cont…

 Process Interaction can be defined as

• Processes unaware of each other
• Processes indirectly aware of each other
• Processes directly aware of each other
 Concurrent processes come into conflict with each other
when they are competing for the use of the same resource.
 Two or more processes need to access a resource during the
course of their execution. Each process is unaware of the
existence of the other processes. There is no exchange of
information between the competing processes.

74
 Critical-Section
A critical section is the code that accesses shared data or
resources.
 The important feature of the 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. Thus, the execution of
critical sections by the processes is mutually exclusive in
time. Otherwise result critical-section problem
 The critical-section problem is to design a protocol that the

processes can use to cooperate.

• Critical section problem is design an algorithm that allows at
most one process into the critical section at a time.


75
Cont…

A solution to the critical-section problem must satisfy the

following three requirements:
1. Mutual Exclusion: If process Pi is executing in its critical section,
then no other processes can be executing in their critical sections.
2. Progress: If no process is executing in its critical section an there
exist some processes that wish to enter their critical sections, then
only those processes that are not executing in their remainder
section can participate in the decision of which will enter its
critical section next, and this selection cannot be postponed
indefinitely.
3 Bounded Waiting: There exist a bound on the number of times
that other processes are allowed to enter their critical sections after
a process has made a request to enter its critical section and before
that request is granted.

76
 Chapter 3: CPU Scheduling
Introduction
 CPU scheduling is the basis of multi programmed operating systems.
By switching the CPU among processes, the operating system can
make the computer more productive
 When a computer is multi-programmed, it frequently has multiple
processes computing for the CPU at the same time.
 This situation occurs whenever two or more processes are
simultaneously in the ready state.
 If only one CPU is available, a choice has to be made which process
to run next.
 The part of the operating system that makes the choice is called the
scheduler and the algorithm it uses is called the scheduling
algorithm.
77
CPU Scheduling
 Back in the old days of batch systems with input in the form of

card images on a magnetic tape, the scheduling algorithm was

simple: just run the next job on the tape.
 With timesharing systems, the scheduling algorithm became more
complex because there were generally multiple users waiting for
service.
Basic Concepts
 The idea of multiprogramming is relatively simple. process is
executed until it must wait, typically for the completion of some
I/O request. In a simple computer system, the CPU would then
just sit idle.
 Scheduling is a fundamental operating-system function.Almost all
computer resources are scheduled before use.
78
Cont…
 CPU - I/O Burst Cycle
The success of CPU scheduling depends on the following
observed property of processes: Process execution consists of a
cycle of CPU execution and I/O wait. Processes alternate back and
forth between these two states.
 Context Switch
To give each process on a multi programmed machine a fair share
of the CPU, a hardware clock generates interrupts periodically.
This allows the operating system to schedule all processes in main
memory (using scheduling algorithm) to run on the CPU at equal
intervals. Each switch of the CPU from one process to another is
called a context switch.

79
Cont…
 Preemptive Scheduling
CPU scheduling decisions may take place under the
following four circumstances:
1. When a process switches from the running state to the
waiting state (for. example, I/O request, or invocation of wait
for the termination of one of the child processes).
2. When a process switches from the running state to the ready
state (for example, when an interrupt occurs).
3. When a process switches from the waiting state to the ready
state (for example, completion of I/O).
4. When a process terminates.

80
 CPU Scheduling :- Scheduling Criteria

 Different CPU scheduling algorithms have different properties and may

favor one class of processes over another.
 In choosing which algorithm to use in a particular situation, we must
consider the properties of the various algorithms.
 Many criteria have been suggested for comparing CPU scheduling
algorithms.
 Criteria that are used include the following:
◦ CPU utilization - keep the CPU as busy as possible
◦ Throughput - number of processes that complete their execution per time unit
◦ Turnaround time - amount of time to execute a particular process
◦ Waiting time - amount of time a process has been waiting in the ready queue
◦ Response time - amount of time it takes from when a request was submitted until
the first response is produced, not output (for time sharing environment)
◦ Fairness – comparable processes should get comparable services (gives each
process a fair share of the CPU).
81
CPU Scheduling:- Optimization
◦ Max CPU utilization

◦ Max throughput

◦ Minimum turnaround time

◦ Minimum waiting time

◦ Minimum response time

82
CPU Scheduling
 Scheduling Algorithms
1. First-Come, First-Served (FCFS) Scheduling
 The simplest of all scheduling algorithm is non-preemptive FCFS
scheduling algorithm.
 Processes are assigned the CPU in the order they request it.
 When the first job enters the system from the outside in the
morning, it is started immediately and allowed to run as long as it
wants too.
 As other jobs come in, they are put onto the end of the queue.
 When the running process blocks, the first process on the queue
is run next.
 When a blocked process becomes ready, like a newly arrived job,
it is put on the end of the queue.
83
CPU Scheduling
 Example:
 Process Burst time
 P1 = 24, P2 = 3, P3 = 3
 Suppose that the processes arrive in the order: P1, P2,
P3.
A diagram to show this schedule is:

Waiting time for:

P1 = 0
P2 = 24
P3 = 27
Average waiting time: (0 + 24 + 27)/3 = 17

84
CPU Scheduling
2. Shortest Job First (SJF) Scheduling
It is a non preemptive batch algorithm that assumes the run times
are known in advance.
Associate with each process the length of its next CPU burst. Use
these lengths to schedule the process with the shortest time.
When several equally important jobs are sitting in the input queue
waiting to be started, the scheduler picks the shortest job first.
For example: here we found four jobs A, B, C, and D with run
times of 8, 4, 4, and 4 minutes respectively.

85
 CPU Scheduling

In the case of (a) turnaround time for A is 8 mints, For B is 12

mints. For C is 16 mints and for D is 20 mints. For an average of
14 mints. For the case of (b) ) turnaround for A is 4 mints. For B
is 8 mints. For C is 12 mints and for D is 20 mints. For an average
of 11 mints.
Shortest Job First is provably Optimal.. It is worth pointing out that shortest
job first is only optimal when all the jobs are available simultaneously. Eg
five processes having run times of 2, 4, 1, 1, 1 respectively. Their arrival
times are 0, 0,3,3, and 3. check the difference of the average turn around time
if they run in the order of A, B, C, D and E and in the order of B, C, D, E, A.

86
CPU Scheduling

87
CPU Scheduling
3.

88
 CPU Scheduling

4. Round-Robin (RR)Scheduling
One of the oldest, simplest, fairest, and mostly used algorithm
Each process is assigned a time interval called its quantum, which it
is allowed to run.
If the process is still running at the end of the quantum, the CPU is
preempted and given to another process.
It is easy to implement, all the scheduler needs to do is maintain a list
of runnable processes.
When the process uses up its quantum, it is put on the end of the list.
The only interesting issue with round robin is the length of the
quantum
89
 CPU Scheduling

Fig. Round-Robin scheduling (a) the list of runnable processes. (b) the list of
runnable processes after B uses up its quantum.

Setting the quantum too short causes too many processes switches
and lowers the CPU efficiency. But setting it too long may cause
poor response to short interactive request. A quantum around 20-
50 msec. is often a reasonable compromise

90
 CPU Scheduling

Example: with time quantum = 20

91
 CPU Scheduling
5. Priority Scheduling
Round-Robin scheduling makes the implicit assumption that all
processes are equally important.
The need to take external factors into account leads to priority
scheduling.
The basic idea is each process is assigned a priority, and the runnable
process with the highest priority is allowed to run.
(smallest integer means highest priority).
It can be preemptive or non-preemptive.
Problem: starvation (or indefinite blocking) – low priority processes
may never execute.
Solution: aging as time progresses increase the priority of the process.
92
 CPU Scheduling
 Summary

 FCFS simple but causes short jobs to wait for long jobs.
 SJF is optimal giving shortest waiting time but need to know
length of next burst.
 SJF is a type of priority scheduling - may suffer from starvation
- prevent using aging
 RR is gives good response time, it is preemptive. Problem
selecting the quantum.
 Multiple queue Algorithms use the best of each algorithm by
having more than one queue. Feedback queues allow jobs to
move from queue to queue.

93
 CPU Scheduling
 Exercise

Suppose that the ff jobs arrive as indicated for scheduling and execution on
single CPU.
Job Arrival time Size (msec.) Priority
J1 0 12 1(Gold)
J2 2 4 3(Bronze)
J3 5 2 1(Gold)
J4 8 10 3(Bronze)
J5 10 6 2(Silver)
1. Draw a Gantt chart showing FCFS and calculate Avg. wait. Time and Avg. turn around time
2. Draw a Gantt chart showing non preemptive SJF and calculate Avg. wait. Time and
Avg. turn around time
3. Draw a Gantt chart showing SRTF and calculate Avg. wait. Time and Avg. turn around time
4. Draw a Gantt chart showing RR (q=4 msec.) and calculate Avg. wait. Time and Avg. turn
around time
5. Draw a Gantt chart showing Preemptive Priority and calculate Avg. wait. time and
Avg. turn around time 94
 CHAPTER 4 :- DEADLOCK
 Unit Structure
• Introduction
• Deadlock Characterization
• Method for Handling Deadlock
• Deadlock Prevention Recovery
• Avoidance and Protection
• Deadlock Detection

95
 Objectives

After going through this unit, you will be able to:

◦ To develop a description of deadlocks, which prevent
sets of concurrent processes from completing their
tasks.
◦ To present number of different methods for preventing
or avoiding deadlocks in a computer system.

96
 Introduction
 In a 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 wait
state. It may happen that waiting processes will never again change
state, because the resources they have requested are held by other
waiting processes. This situation is called a deadlock.
 If a process requests an instance of a resource type, the allocation of
any instance of the type will satisfy the request. If it will not, then
the instances are not identical, and the resource type classes have not
been defined properly.
 A process must request a resource before using it, and must release
the resource after using it. A process may request as many resources
as it requires to carry out its designated task.

97
Cont…
 Under the normal mode of operation, a process may utilize a
resource in only the following sequence:
1. Request: If the request cannot be granted immediately, then the
requesting process must wait until it can acquire the resource.
2. Use: The process can operate on the resource.
3. Release: The process releases the resource

98
 Deadlock Characterization
 In a deadlock, processes never finish executing and system
resources are tied up, preventing other jobs from ever
starting.
 Necessary Conditions

A deadlock situation can arise if the following four

conditions hold simultaneously in a system:
1. Mutual exclusion
2. Hold and wait
3. No preemption
4. Circular wait

99
Cont…
1. Mutual exclusion: At least one resource must be held in a non-
sharable mode; that is, only one process at a time can use the
resource. If another process requests that resource, the requesting
process must be delayed until the resource has been released.
2. Hold and wait : There must exist a process that is holding at least
one resource and is waiting to acquire additional resources that are
currently being held by other processes.
3. No preemption : Resources cannot be preempted; that is, a
resource can be released only voluntarily by the process holding it,
after that process, has completed its task.
4. Circular wait: There must exist a set {P0, P1, ..., Pn } of waiting
processes such that P0 is waiting for a resource that is held by P1,
P1 is waiting for a resource that is held by P2, …., Pn-1 is waiting
for a resource that is held by Pn, and Pn is waiting for a resource
that is held by P0.

100
 Methods for Handling Deadlocks

 Principally, there are three methods for dealing with the

deadlock problem. Those are:-
 Deadlock prevention:- by making at least one of the necessary
condition can not hold.
 Deadlock avoidance:- using protocol to ensure that the system
will never enter deadlock state.
 Deadlock detection:-allowing the system to enter in to dead lock
state and recover.

101
 Deadlock Prevention
 For a deadlock to occur, each of the four necessary-conditions
must hold. By ensuring that at least on one these conditions
cannot hold, we can prevent the occurrence of a deadlock.
◦ Mutual Exclusion – not required for sharable resources; must
hold for non sharable resources
◦ Hold and Wait – must guarantee that whenever a process requests
a resource, it does not hold any other resources.
◦ No Preemption – If a process that is holding some resources
requests another resource that cannot be immediately allocated to
it, then all resources currently being held are released.
◦ Circular Wait – impose a total ordering of all resource types, and
require that each process requests resources in an increasing order
of enumeration.

102
 Deadlock Avoidance
 Requires that the system has some additional a priori information
available.
 Simplest and most useful model requires that each process declare the
maximum number of resources of each type that it may need.
 The deadlock-avoidance algorithm dynamically examines the
resource-allocation state to ensure that there can never be a circular-
wait condition.
 Resource-allocation state is defined by the number of available and
allocated resources, and the maximum demands of the processes.

103
 Deadlock Detection
 If a system does not employ either a deadlock-prevention or
a deadlock avoidance algorithm, then a deadlock situation
may occur. In this environment, the system must provide:
◦ An algorithm that examines the state of the system to determine
whether a deadlock has Occurred.
◦ An algorithm to recover from the deadlock

104
 Summary
A deadlocked state occurs when two or more processes are waiting
indefinitely for an event that can be caused only one of the waiting
processes. There are three principal methods for dealing with
deadlocks:
◦ Use some protocol to prevent or avoid deadlocks, entering that the system
will never enter a deadlocked state.
◦ Allow the system to enter a deadlocked state, detect it, and then recover.
◦ Ignore the problem altogether and pretend that deadlocks never occur in
the system.
 Deadlock occur only when some process makes a request that cannot
e granted immediately.

105
 Chapter 5: Memory and Device Management
5.1 Memory Management
Introduction
Memory is an important resource that must be carefully
managed.
The average home computer nowadays has a thousand times as
much memory as the IBM 7094.
Programs expand to fill the memory available to hold them.
Ideally every programmer like an infinitely large, infinitely fast,
nonvolatile and inexpensive memory.
Unfortunately technology does not provide such memories.
Consequently, most computers have a memory hierarchy.
 Small amount, very fast, expensive and volatile (cache memory)
 Tens of megabytes, medium speed, volatile (RAM)
 Tens or hundreds of gigabytes, slow, cheap and nonvolatile (disk storage)
106
 Cont…
 It is the job of the operating system to coordinate how these
memories are used.
 In this chapter we will study how OS manage memory.
 The part of the OS that manages the memory hierarchy is called
the memory manager.
 It keeps track of which parts of memory are in use and which
parts are not in use, to allocate memory to processes when they
need it and deallocate it when they are done, and to manage
swapping b/n main memory and disk when main memory is too
small to hold all the processes
 There are a number of d/t memory management schemes ranging
from simple to highly sophisticated.
107
 Cont…
 Program must be brought into memory and placed within a
process for it to be executed.
 User programs go through several steps before being executed.

108
 Cont…
Address binding of instructions and data to memory addresses can happen at three stages:
 Compile time: If memory location known a priori, absolute code can be generated;
 must recompile code if starting location changes.
 Load time: Must generate relocatable code if memory location is not known at compile
time.
 Execution time: Binding delayed until run time if the process can be moved during its
execution from one memory segment to another. Need hardware support for address
maps (e.g., base and limit registers).
 Dynamic Loading - routine is not loaded until it is called.
o Better memory-space utilization; unused routine is never loaded.
o Useful when large amounts of code are needed to handle infrequently occurring cases.
 Dynamic Linking - linking postponed until execution time.
o Small piece of code, stub, used to locate the appropriate memory-resident library
routine.
o Stub replaces itself with the address of the routine, and executes the routine.
o Operating system needed to check if routine is in processes' memory address.

109
 Cont…
Basic memory management
 Memory management can be divided into two classes: those that
move processes back and forth b/n main memory and disk during
execution (swapping and paging) and those that do not.
Mono-programming without swapping or paging
 The simplest possible memory management scheme is to run
just one program at a time, sharing the memory b/n that program
and the OS.

110
 Cont…
Multiprogramming with fixed partitions
 Most modern systems allow multiple processes to run at the same time.

 The easiest way to achieve multiprogramming is simply to divide

memory up into ‘n’ (possible unequal) partitions.
 When a job arrives, it can be put into the input queue for the smallest
partition large enough to hold it.
 Any space in a partition not used by a job is lost.

111
 Cont…
Logical versus Physical Address Space
 The concept of a logical address space that is bound to a separate physical address
space is central to proper memory management.
 Logical address - generated by the CPU; also referred to as virtual address.
 Physical address - address seen by the memory unit.
 Logical and physical addresses are the same in compile-time and load-time
address-binding schemes; logical (virtual) and physical addresses differ in
execution-time address-binding scheme.
 Memory-management unit (MMU) - hardware device that maps virtual to physical
address.

112
 Cont…
 In MMU scheme, the value in a relocation register is added to every
address generated by a user process at the time it is sent to memory.
 The user program deals with logical addresses; it never sees the real
physical addresses.
Swapping
 A process can be swapped temporarily out of memory to a backing
store, and then brought back into memory for continued execution.
 Backing store - fast disk large enough to accommodate copies of all
memory images for all users; must provide direct access to these
memory images.
 Major part of swap time is transfer time; total transfer time is directly
proportional to the amount of memory swapped.

113
 Cont…
Paging
 Divide physical memory into fixed-sized blocks called frames (size is
power of 2, between 512 bytes and 8192 bytes).
 Divide logical memory into blocks of same size called pages.
 Keep track of all free frames.
 To run a program of size n pages, need to find n free frames and load
program.
 Set up a page table to translate logical to physical addresses.
 Address generated by CPU is divided into:
 Page number (p) - used as an index into a page table which
contains base address of each page in physical memory.
 Page offset (d) - combined with base address to define the physical
memory address that is sent to the memory unit.
114
Cont…

115
 Cont…

 Separation between user's view of memory and actual physical

memory reconciled by address translation hardware; logical
addresses are translated into physical addresses.

116
 Cont…

Segmentation
 memory-management scheme that supports user view of memory.
 A program is a collection of segments. A segment is a logical unit

such as: Code, local variables, global variables, stack

 · Example

117
 Cont…

 Logical address consists of a two tuple:

 <segment-number, offset>
 A segment table maps two-dimensional user defined addresses
into one dimensional
 physical addresses; each entry in the table has:
 base - contains the starting physical address where the
segments reside in memory.
 limit - specifies the length of the segment. as: Code, local
variables, global variables, stack

118