Operating System

TEXT BOOK:
1. Operating System Concepts Abraham Silberschatz, Peter Baer Galvin, Greg Gagne, 8th
edition, Wiley-India, 2009.
2. Mordern Operating Systems Andrew S. Tanenbaum, 3rd Edition, PHI
3. Operating Systems: A Spiral Approach Elmasri, Carrick, Levine, TMH Edition
REFERENCE BOOK:
1. Operating Systems Flynn, McHoes, Cengage Learning
2. Operating Systems Pabitra Pal Choudhury, PHI
3. Operating Systems William Stallings, Prentice Hall
4. Operating Systems H.M. Deitel, P. J. Deitel, D. R. Choffnes, 3rd Edition, Pearson

1|Page

Operating System:
An operating system is a program which manages all the computer hardwares.
It provides the base for application program and acts as an intermediary between a user and the
computer hardware.
The operating system has two objectives such as:

Firstly, an operating system controls the computers hardware.

The second objective is to provide an interactive interface to the user and interpret
commands so that it can communicate with the hardware.

The operating system is very important part of almost every computer system.
Managing Hardware

The prime objective of operating system is to manage & control the various hardware resources
of a computer system.
These hardware resources include processer, memory, and disk space and so on.
The output result was display in monitor. In addition to communicating with the hardware
theoperating system provides on error handling procedure and display an error notification.
If a device not functioning properly, the operating system cannot be communicate with the
device.
Providing an Interface
The operating system organizes application so that
users can easily access, use and store them.

2|Page

It provides a stable and consistent way for applications to deal with the hardware without the
user having known details of the hardware.
If the program is not functioning properly, the operating system again takes control, stops the
application and displays the appropriate error message.
Computer system components are divided into 5 parts

Computer hardware

operating system

utilities

Application programs

End user

The operating system controls and coordinate a user of hardware and various application
programs for various users.
It is a program that directly interacts with the hardware.
The operating system is the first encoded with the Computer and it remains on the memory all
time thereafter.
System goals
The purpose of an operating system is to be provided an environment in which an user can
execute programs.
Its primary goals are to make the computer system convenience for the user.
Its secondary goals are to use the computer hardware in efficient manner.
3|Page

View of operating system

User view:The user view of the computer varies by the interface being used. The examples
are -windows XP, vista, windows 7 etc. Most computer user sit in the in front of personal
computer (pc) in this case the operating system is designed mostly for easy use with some
attention paid to resource utilization. Some user sit at a terminal connected to a
mainframe/minicomputer. In this case other users are accessing the same computer through
the other terminals. There user are share resources and may exchange the information. The
operating system in this case is designed to maximize resources utilization to assume that all
available CPU time, memory and I/O are used efficiently and no individual user takes more
than his/her fair and share.The other users sit at workstations connected to network of
other workstations and servers. These users have dedicated resources but they share
resources such as networking and servers like file, compute and print server. Here the
operating system is designed to compromise between individual usability and resource
utilization.
System view: From the computer point of view the operating system is the program which
is most intermediate with the hardware. An operating system has resources as hardware and
software which may be required to solve a problem like CPU time, memory space, file
storage space and I/O devices and so on. Thats why the operating system acts as manager
of these resources. Another view of the operating system is it is a control program. A control
program manages the execution of user programs to present the errors in proper use of the
computer. It is especially concerned of the user the operation and controls the I/O devices.

Types of Operating System

1. Mainframe System: It is the system where the first computer used to handle many commercial
scientific applications. The growth of mainframe systems traced from simple batch system
where the computer runs one and only one application to time shared systems which allowed
for user interaction with the computer system
a. Batch /Early System: Early computers were physically large machine. The common
input devices were card readers, tape drivers. The common output devices were line
printers, tape drivers and card punches. In these systems the user did not interact directly
with the computer system. Instead the user preparing a job which consists of
programming data and some control information and then submitted it to the computer
4|Page

operator after some time the output is appeared. The output in these early computer was
fairly simple is main task was to transfer control automatically from one job to next. The
operating system always resides in the memory. To speed up processing operators
batched the jobs with similar needs and ran then together as a group. The disadvantages
of batch system are that in this execution environment the CPU is often idle because the
speed up of I/O devices is much slower than the CPU.

b. Multiprogrammed System: Multiprogramming concept increases CPU utilization by

organization jobs so that the CPU always has one job to execute the idea behind
multiprogramming concept. The operating system keeps several jobs in memory
simultaneously as shown in below figure.

This set of job is subset of the jobs kept in the job pool. The operating system picks and
beginning to execute one of the jobs in the memory. In this environment the operating
system simply switches and executes another job. When a job needs to wait the CPU is
simply switched to another job and so on. The multiprogramming operating system is
sophisticated because the operating system makes decisions for the user. This is known as
scheduling. If several jobs are ready to run at the same time the system choose one among

5|Page

them. This is known as CPU scheduling. The disadvantages of the multiprogrammed

system are
It does not provide user interaction with the computer system during the
program execution.
The introduction of disk technology solved these problems rather than reading
the cards from card reader into disk. This form of processing is known as
spooling.
SPOOL stands for simultaneous peripheral operations online. It uses the disk as a huge
buffer for reading from input devices and for storing output data until the output
devices accept them. It is also use for processing data at remote sides. The remote
processing is done and its own speed with no CPU intervention. Spooling overlaps the
input, output one job with computation of other jobs. Spooling has a beneficial effect on
the performance of the systems by keeping both CPU and I/O devices working at much
higher time.
c. Time Sharing System:The time sharing system is also known as multi user systems. The
CPU executes multiple jobs by switching among them but the switches occurs so
frequently that the user can interact with each program while it is running. An interactive
computer system provides direct communication between a user and system. The user
gives instruction to the operating systems or to a program directly using keyboard or
mouse and wait for immediate results. So the response time will be short. The time
sharing system allows many users to share the computer simultaneously. Since each action
in this system is short, only a little CPU time is needed for each user. The system switches
rapidly from one user to the next so each user feels as if the entire computer system is
dedicated to his use, even though it is being shared by many users. The disadvantages of
time sharing system are:
It is more complex than multiprogrammed operating system
The system must have memory management & protection, since several jobs are kept
in memory at the same time.
Time sharing system must also provide a file system, so disk management is required.
It provides mechanism for concurrent execution which requires complex CPU
scheduling schemes.
6|Page

2. Personal Computer System/Desktop System: Personal computer appeared in 1970s. They

are microcomputers that are smaller & less expensive than mainframe systems. Instead of
maximizing CPU & peripheral utilization, the systems opt for maximizing user convenience &
responsiveness. At first file protection was not necessary on a personal machine. But when
other computers 2nd other users can access the files on a pc file protection becomes necessary.
The lack of protection made if easy for malicious programs to destroy data on such systems.
These programs may be self replicating& they spread via worm or virus mechanisms. They can
disrupt entire companies or even world wide networks. E.g : windows 98, windows 2000,
Linux.
3. Microprocessor Systems/ Parallel Systems/ Tightly coupled Systems: These Systems
have more than one processor in close communications which share the computer bus, clock,
memory & peripheral devices. Ex: UNIX, LINUX. Multiprocessor Systems have 3 main
advantages.
a. Increased throughput: No. of processes computed per unit time. By increasing the no.
of processors move work can be done in less time. The speed up ratio with N processors
is not N, but it is less than N. Because a certain amount of overhead is incurred in
keeping all the parts working correctly.
b. Increased Reliability: If functions can be properly distributed among several processors,
then the failure of one processor will not halt the system, but slow it down. This ability to
continue to operate in spite of failure makes the system fault tolerant.
c. Economic scale: Multiprocessor systems can save money as they can share peripherals,
storage & power supplies.
The various types of multiprocessing systems are:
Symmetric Multiprocessing (SMP): Each processor runs an identical copy of the
operating system & these copies communicate with one another as required. Ex: Encores
version of UNIX for multi max computer. Virtually, all modern operating system
including Windows NT, Solaris, Digital UNIX, OS/2 & LINUX now provide support for
SMP.

7|Page

Asymmetric Multiprocessing (Master Slave Processors): Each processor is

designed for a specific task. A master processor controls the system & schedules &
allocates the work to the slave processors. Ex- Suns Operating system SUNOS version 4
provides asymmetric multiprocessing.
4. Distributed System/Loosely Coupled Systems: In contrast to tightly coupled systems, the
processors do not share memory or a clock. Instead, each processor has its own local memory.
The processors communicate with each other by various communication lines such as high
speed buses or telephone lines. Distributed systems depend on networking for their
functionalities. By being able to communicate distributed systems are able to share
computational tasks and provide a rich set of features to the users. Networks vary by the
protocols used, the distances between the nodes and transport media. TCP/IP is the most
common network protocol. The processor is a distributed system varies in size and function. It
may microprocessors, work stations, minicomputer, and large general purpose computers.
Network types are based on the distance between the nodes such as LAN (within a room, floor
or building) and WAN (between buildings, cities or countries). The advantages of distributed
system are resource sharing, computation speed up, reliability, communication.
5. Real time Systems: Real time system is used when there are rigid time requirements on the
operation of a processor or flow of data. Sensors bring data to the computers. The computer
analyzes data and adjusts controls to modify the sensors inputs. System that controls scientific
experiments, medical imaging systems and some display systems are real time systems. The
disadvantages of real time system are:
a. A real time system is considered to function correctly only if it returns the correct result
within the time constraints.
b. Secondary storage is limited or missing instead data is usually stored in short term
memory or ROM.
c. Advanced OS features are absent.
Real time system is of two types such as:
8|Page

Hard real time systems: It guarantees that the critical task has been completed on time.
The sudden task is takes place at a sudden instant of time.
Soft real time systems: It is a less restrictive type of real time system where a critical task
gets priority over other tasks and retains that priority until it computes. These have more
limited utility than hard real time systems. Missing an occasional deadline is acceptable
e.g. QNX, VX works. Digital audio or multimedia is included in this category.
It is a special purpose OS in which there are rigid time requirements on the operation of a
processor. A real time OS has well defined fixed time constraints. Processing must be done
within the time constraint or the system will fail. A real time system is said to function correctly
only if it returns the correct result within the time constraint. These systems are characterized
by having time as a key parameter.

Basic Functions of Operation System:

The various functions of operating system are as follows:
1. Process Management:
A program does nothing unless their instructions are executed by a CPU.A process is a program
in execution. A time shared user program such as a complier is a process. A word processing
program being run by an individual user on a pc is a process.
A system task such as sending output to a printer is also a process. A process needs certain
resources including CPU time, memory files & I/O devices to accomplish its task.
These resources are either given to the process when it is created or allocated to it while it is
running. The OS is responsible for the following activities of process management.
Creating & deleting both user & system processes.
Suspending & resuming processes.
Providing mechanism for process synchronization.
Providing mechanism for process communication.
Providing mechanism for deadlock handling.
2. Main Memory Management:
The main memory is central to the operation of a modern computer system. Main memory is a
large array of words or bytes ranging in size from hundreds of thousand to billions. Main
memory stores the quickly accessible data shared by the CPU & I/O device. The central
processor reads instruction from main memory during instruction fetch cycle & it both reads
9|Page

&writes data from main memory during the data fetch cycle. The main memory is generally the
only large storage device that the CPU is able to address & access directly. For example, for the
CPU to process data from disk. Those data must first be transferred to main memory by CPU
generated E/O calls. Instruction must be in memory for the CPU to execute them. The OS is
responsible for the following activities in connection with memory management.
Keeping track of which parts of memory are currently being used & by whom.
Deciding which processes are to be loaded into memory when memory space becomes
available.
Allocating &deallocating memory space as needed.
3. File Management:
File management is one of the most important components of an OS computer can store
information on several different types of physical media magnetic tape, magnetic disk & optical
disk are the most common media. Each medium is controlled by a device such as disk drive or
tape drive those has unique characteristics. These characteristics include access speed, capacity,
data transfer rate & access method (sequential or random).For convenient use of computer
system the OS provides a uniform logical view of information storage. The OS abstracts from
the physical properties of its storage devices to define a logical storage unit the file. A file is
collection of related information defined by its creator. The OS is responsible for the following
activities of file management.
Creating & deleting files.
Creating & deleting directories.
Supporting primitives for manipulating files & directories.
Mapping files into secondary storage.
Backing up files on non-volatile media.
4. I/O System Management:
One of the purposes of an OS is to hide the peculiarities of specific hardware devices from the
user. For example, in UNIX the peculiarities of I/O devices are hidden from the bulk of the OS
itself by the I/O subsystem. The I/O subsystem consists of:
A memory management component that includes buffering, catching & spooling.
A general device- driver interfaces drivers for specific hardware devices. Only the device
driver knows the peculiarities of the specific device to which it is assigned.
10 | P a g e

5. Secondary Storage Management:

The main purpose of computer system is to execute programs. These programs with the data
they access must be in main memory during execution. As the main memory is too small to
accommodate all data & programs & because the data that it holds are lost when power is lost.
The computer system must provide secondary storage to back-up main memory. Most modern
computer systems are disks as the storage medium to store data & program. The operating
system is responsible for the following activities of disk management.
Free space management.
Storage allocation.
Disk scheduling
Because secondary storage is used frequently it must be used efficiently.
Networking:
A distributed system is a collection of processors that dont share memory peripheral devices or a
clock. Each processor has its own local memory & clock and the processor communicate with one
another through various communication lines such as high speed buses or networks. The processors
in the system are connected through communication networks which are configured in a number of
different ways. The communication network design must consider message routing & connection
strategies are the problems of connection & security.
Protection or security:
If a computer system has multi users & allow the concurrent execution of multiple processes then
the various processes must be protected from one anothers activities. For that purpose,
mechanisms ensure that files, memory segments, CPU & other resources can be operated on by only
those processes that have gained proper authorization from the OS.
Command interpretation:
One of the most important functions of the OS is connected interpretation where it acts as the
interface between the user & the OS.

System Calls:
System calls provide the interface between a process & the OS. These are usually available in the
form of assembly language instruction. Some systems allow system calls to be made directly from a
high level language program like C, BCPL and PERL etc. systems calls occur in different ways
depending on the computer in use. System calls can be roughly grouped into 5 major categories.
11 | P a g e

1. Process Control:
End, abort: A running program needs to be able to has its execution either normally (end) or
abnormally (abort).
Load, execute:A process or job executing one program may want to load and executes
another program.
Create Process, terminate process: There is a system call specifying for the purpose of
creating a new process or job (create process or submit job). We may want to terminate a job
or process that we created (terminates process, if we find that it is incorrect or no longer
needed).
Get process attributes, set process attributes: If we create a new job or process we should
able to control its execution. This control requires the ability to determine & reset the
attributes of a job or processes (get process attributes, set process attributes).
Wait time: After creating new jobs or processes, we may need to wait for them to finish their
execution (wait time).
Wait event, signal event: We may wait for a specific event to occur (wait event). The jobs or
processes then signal when that event has occurred (signal event).
2. File Manipulation:
Create file, delete file: We first need to be able to create & delete files. Both the system calls
require the name of the file & some of its attributes.
Open file, close file: Once the file is created, we need to open it & use it. We close the file
when we are no longer using it.
Read, write, reposition file: After opening, we may also read, write or reposition the file
(rewind or skip to the end of the file).
Get file attributes, set file attributes: For either files or directories, we need to be able to
determine the values of various attributes & reset them if necessary. Two system calls get file
attribute & set file attributes are required for their purpose.
3. Device Management:
Request device, release device: If there are multiple users of the system, we first request
the device. After we finished with the device, we must release it.
Read, write, reposition: Once the device has been requested & allocated to us, we can read,
write & reposition the device.
12 | P a g e

4. Information maintenance:
Get time or date, set time or date:Most systems have a system call to return the current
date & time or set the current date & time.
Get system data, set system data: Other system calls may return information about the
system like number of current users, version number of OS, amount of free memory etc.
Get process attributes, set process attributes: The OS keeps information about all its
processes & there are system calls to access this information.
5. Communication: There are two modes of communication such as:
Message passing model: Information is exchanged through an inter process
communication facility provided by operating system. Each computer in a network has a
name by which it is known. Similarly, each process has a process name which is translated to
an equivalent identifier by which the OS can refer to it. The get hostid and get processed
systems calls to do this translation. These identifiers are then passed to the general purpose
open & close calls provided by the file system or to specific open connection system call. The
recipient process must give its permission for communication to take place with an accept
connection call. The source of the communication known as client & receiver known as
server exchange messages by read message & write message system calls. The close
connection call terminates the connection.
Shared memory model: processes use map memory system calls to access regions of
memory owned by other processes. They exchange information by reading & writing data in
the shared areas. The processes ensure that they are not writing to the same location
simultaneously.

SYSTEM PROGRAMS:
System programs provide a convenient environment for program development & execution. They
are divided into the following categories.
File manipulation: These programs create, delete, copy, rename, print & manipulate files
and directories.
Status information: Some programs ask the system for date, time & amount of available
memory or disk space, no. of users or similar status information.
File modification:Several text editors are available to create and modify the contents of file
stored on disk.
13 | P a g e

Programming language support: compliers, assemblers & interpreters are provided to

the user with the OS.
Programming loading and execution: Once a program is assembled or compiled, it must
be loaded into memory to be executed.
Communications: These programs provide the mechanism for creating virtual connections
among processes users 2nd different computer systems.
Application programs: Most OS are supplied with programs that are useful to solve
common problems or perform common operations. Ex: web browsers, word processors &
text formatters etc.

System structure:
1. Simple structure: There are several commercial system that dont have a well- defined
structure such operating systems begins as small, simple & limited systems and then grow
beyond their original scope. MS-DOS is an example of such system. It was not divided into
modules carefully. Another example of limited structuring is the UNIX operating system.

(MS DOS Structure)

2. Layered approach: In the layered approach, the OS is broken into a number of layers
(levels) each built on top of lower layers. The bottom layer (layer o ) is the hardware & top
most layer (layer N) is the user interface.
The main advantage of the layered approach
is modularity.
The layers are selected such that each users
functions (or operations) & services of only
lower layer.

14 | P a g e

This approach simplifies debugging & system verification, i.e. the first layer can be debugged
without concerning the rest of the system. Once the first layer is debugged, its correct
functioning is assumed while the 2nd layer is debugged & so on.
If an error is found during the debugging of a particular layer, the error must be on that layer
because the layers below it are already debugged. Thus the design & implementation of the
system are simplified when the system is broken down into layers.
Each layer is implemented using only operations provided by lower layers. A layer doesnt need
to know how these operations are implemented; it only needs to know what these operations do.
The layer approach was first used in the operating system. It was defined in six layers.

Layers

Functions

User Program

I/O Management

Operator Process
Communication

Memory Management

CPU Scheduling

Hardware

The main disadvantage of the layered approach is:

The main difficulty with this approach involves the careful definition of the layers,
because a layer can use only those layers below it. For example, the device driver for the
disk space used by virtual memory algorithm must be at a level lower than that of the
memory management routines, because memory management requires the ability to use
the disk space.
It is less efficient than a non layered system (Each layer adds overhead to the system call
& the net result is a system call that take longer time than on a non layered system).

Virtual Machines:
By using CPU scheduling & virtual memory techniques an operating system can create the illusion
of multiple processes, each executing on its own processors & own virtual memory. Each processor
is provided a virtual copy of the underlying computer. The resources of the computer are shared to
15 | P a g e

create the virtual machines. CPU scheduling can be used to create the appearance that users have
their own processor.

Implementation: Although the virtual machine concept is useful, it is difficult to implement since
much effort is required to provide an exact duplicate of the underlying machine. The CPU is being
multiprogrammed among several virtual machines, which slows down the virtual machines in
various ways.
Difficulty: A major difficulty with this approach is regarding the disk system. The solution is to
provide virtual disks, which are identical in all respects except size. These are known as mini disks in
IBMs VM OS. The sum of sizes of all mini disks should be less than the actual amount of physical
disk space available.

I/O Structure
A general purpose computer system consists of a CPU and multiple device controller which is
connected through a common bus. Each device controller is in charge of a specific type of device. A
device controller maintains some buffer storage and a set of special purpose register. The device
controller is responsible for moving the data between peripheral devices and buffer storage.
I/O Interrupt: To start an I/O operation the CPU loads the appropriate register within the device
controller. In turn the device controller examines the content of the register to determine the actions
which will be taken. For example, suppose the device controller finds the read request then, the
controller will start the transfer of data from the device to the buffer. Once the transfer of data is
complete the device controller informs the CPU that the operation has been finished. Once the I/O
is started, two actions are possible such as
In the simplest case the I/O is started then at I/O completion control is return to the user
process. This is known as synchronous I/O.

16 | P a g e

The other possibility is asynchronous I/O in which the control is return to the user program
without waiting for the I/O completion. The I/O then continues with other operations.
When an interrupt occurs first determine which I/O device is responsible for interrupting. After
searching the I/O device table the signal goes to the each I/O request. If there are additional
request waiting in the queue for one device the operating system starts processing the next request.
Finally control is return from the I/O interrupt.
DMA controller: DMA is used for high speed I/O devices. In DMA access the device controller
transfers on entire block of data to of from its own buffer storage to memory. In this access the
interrupt is generated per block rather than one interrupt per byte. The operating system finds a
buffer from the pool of buffers for the transfer. Then a portion of the operating system called a
device driver sets the DMA controller registers to use appropriate source and destination addresses
and transfer length. The DMA controller is then instructed to start the I/O operation. While the
DMA controller is performing the data transfer, the CPU is free to perform other tasks. Since the
memory generally can transfer only one word at a time, the DMA controller steals memory cycles
from the CPU. This cycle stealing can slow down the CPU execution while a DMA transfer is in
progress. The DMA controller interrupts the CPU when the transfer has been completed.

Storage Structure
Thestorage structure of a computer system consists of two types of memory such as
Main memory
Secondary memory
Basically the programs & data are resided in main memory during the execution. The programs and
data are not stored permanently due to following two reasons.
Main memory is too small to store all needed programs and data permanently.
Main memory is a volatile storage device which lost its contents when power is turned off.
Main Memory:The main memory and the registers are the only storage area that the CPU can
access the data directly without any help of other device. The machine instruction which take
memory address as arguments do not take disk address. Therefore in execution any instructions and
any data must be resided in any one of direct access storage device. If the data are not in memory
they must be moved before the CPU can operate on them. There are two types of main memory
such as:

17 | P a g e

RAM (Random Access Memory): The RAM is implemented in a semiconductor

technology is called D-RAM (Dynamic RAM) which forms an array of memory words/cells.
Each & every word should have its own address/locator. Instruction is performed through a
sequence of load and store instruction to specific memory address. Each I/O controller
includes register to hold commands of the data being transferred. To allow more convenient
access to I/O device many computer architecture provide memory mapped I/O. In the case
of memory mapped I/O ranges of memory address are mapped to the device register. Read
and write to this memory addressbecause the data to be transferred to and from the device
register.
Secondary Storage: The most common secondary storage devices are magnetic disk and magnetic
tape which provide permanent storage of programs and data.
Magnetic Disk: It provides the bulk of secondary storage for modern computer systems. Each disk
platter has flat circular shape like a CD. The diameter of a platter range starts from 1.8 to 5.25
inches. The two surfaces of a platter are covered with a magnetic material which records the
information/data is given by the user. The read, write head are attached to a disk arm, which moves
all the heads as a unit. The surface of a platter is logically divided into circular tracks which are sub
divided into sectors. The set of tracks which are at one arm position forms a cylinder. There are may
be thousands of cylinders in a disk drive & each track contains 100 of sectors. The storage capacity
of a common disk drive is measured in GB. When the disk is in use a drive motor spins it at high
speed. Most drives rotated 62 to 200 time/sec. The disk speed has two parts such as transfer rate &
positioning time. The transfer rate is the rate at which data flow between the drive & the computer.
The positioning time otherwise called as random access time. It consists of two parts such as seek
time & rotational latency. The seek time is the time taken to move the disk arc to the desired
cylinder. The rotational latency is the time taken to rotate the disk head.
Magnetic Tape:It was used as early secondary storage medium. It is also permanent and can hold
large quantity of data. Its access time is slower, comparison to main memory devices. Magnetic tapes
are sequential in nature. Thats why random access to magnetic tape is thousand times slower than
the random access to magnetic disk. The magnetic tapes are used mainly for backup the data. The
magnetic tape must be kept in a non dusty environment and temperature controlled area. But the
main advantage of the secondary storage device is that it can hold 2 to 3 times more data than a
large disk drive. There are 4 types of magnetic tapes such as:
Inch
18 | P a g e

 Inch
4 mm
8 mm

Operating System Services

An operating system provides an environment for the execution of the program. It provides some
services to the programs. The various services provided by an operating system are as follows:
Program Execution: The system must be able to load a program into memory and to run
that program. The program must be able to terminate this execution either normally or
abnormally.
I/O Operation: A running program may require I/O. This I/O may involve a file or a I/O
device for specific device. Some special function can be desired. Therefore the operating
system must provide a means to do I/O.
File System Manipulation: The programs need to create and delete files by name and read
and write files. Therefore the operating system must maintain each and every files correctly.
Communication: The communication is implemented via shared memory or by the
technique of message passing in which packets of information are moved between the
processes by the operating system.
Error detection: The operating system should take the appropriate actions for the
occurrences of any type like arithmetic overflow, access to the illegal memory location and
too large user CPU time.
Research Allocation: When multiple users are logged on to the system the resources must
be allocated to each of them. For current distribution of the resource among the various
processes the operating system uses the CPU scheduling run times which determine which
process will be allocated with the resource.
Accounting: The operating system keep track of which users use how many and which kind
of computer resources.
Protection: The operating system is responsible for both hardware as well as software
protection. The operating system protects the information stored in a multiuser computer
system.

Process Management:
19 | P a g e

Process: A process or task is an instance of a program in execution. The execution of a process

must programs in a sequential manner. At any time at most one instruction is executed. The process
includes the current activity as represented by the value of the program counter and the content of
the processors registers. Also it includes the process stack which contain temporary data (such as
method parameters return address and local variables) & a data section which contain global
variables.

Difference between process & program:

A program by itself is not a process. A program in execution is known as a process. A program is a
passive entity, such as the contents of a file stored on disk where as process is an active entity with a
program counter specifying the next instruction to execute and a set of associated resources may be
shared among several process with some scheduling algorithm being used to determinate when the
stop work on one process and service a different one.
Process state: As a process executes, it changes state. The state of a process is defined by the
correct activity of that process. Each process may be in one of the following states.
New: The process is being created.
Ready: The process is waiting to be assigned to a processor.
Running: Instructions are being executed.
Waiting: The process is waiting for some event to occur.
Terminated: The process has finished execution.
Many processes may be in ready and waiting state at the same time. But only one process can be
running on any processor at any instant.

Process scheduling:
20 | P a g e

Scheduling is a fundamental function of OS. When a computer is multiprogrammed, it has multiple

processes completing for the CPU at the same time. If only one CPU is available, then a choice has
to be made regarding which process to execute next. This decision making process is known as
scheduling and the part of the OS that makes this choice is called a scheduler. The algorithm it uses
in making this choice is called scheduling algorithm.
Scheduling queues: As processes enter the system, they are put into a job queue. This queue
consists of all process in the system. The process that are residing in main memory and are ready &
waiting to execute or kept on a list called ready queue.

This queue is generally stored as a linked list. A ready queue header contains pointers to the first &
final PCB in the list. The PCB includes a pointer field that points to the next PCB in the ready
queue. The lists of processes waiting for a particular I/O device are kept on a list called device
queue. Each device has its own device queue. A new process is initially put in the ready queue. It
waits in the ready queue until it is selected for execution & is given the CPU.

21 | P a g e

SCHEDULERS:
A process migrates between the various scheduling queues throughout its life-time purposes. The
OS must select for scheduling processes from these queues in some fashion. This selection process
is carried out by the appropriate scheduler. In a batch system, more processes are submittedand then
executed immediately. So these processes are spooled to a mass storage device like disk, where they
are kept for later execution.
Types of schedulers:
There are 3 types of schedulers mainly used:
1. Long term scheduler: Long term scheduler selects process from the disk & loads them into
memory for execution. It controls the degreeof multi-programming i.e. no. of processes in
memory. It executes less frequently than other schedulers. If the degree of
multiprogramming is stable than the average rate of process creation is equal to the average
departure rate of processes leaving the system. So, the long term scheduler is needed to be
invoked only when a process leaves the system. Due to longer intervals between executions
it can afford to take more time to decide which process should be selected for execution.
Most processes in the CPU are either I/O bound or CPU bound. An I/O bound process
(an interactive C program is one that spends most of its time in I/O operation than it
spends in doing I/O operation. A CPU bound process is one that spends more of its time in
doing computations than I/O operations (complex sorting program). It is important that the
long term scheduler should select a good mix of I/O bound & CPU bound processes.

22 | P a g e

2. Short - term scheduler: The short term scheduler selects among the process that are ready
to execute & allocates the CPU to one of them. The primary distinction between these two
schedulers is the frequency of their execution. The short-term scheduler must select a new
process for the CPU quite frequently. It must execute at least one in 100ms. Due to the
short duration of time between executions, it must be very fast.
3. Medium - term scheduler: some operating systems introduce an additional intermediate
level of scheduling known as medium - term scheduler. The main idea behind this scheduler
is that sometimes it is advantageous to remove processes from memory & thus reduce the
degree of multiprogramming. At some later time, the process can be reintroduced into
memory & its execution can be continued from where it had left off. This is called as
swapping. The process is swapped out & swapped in later by medium term scheduler.
Swapping is necessary to improve theprocess miss or due to some change in memory
requirements, the available memory limit is exceeded which requires some memory to be
freed up.

Process control block:

Each process is represented in the OS by a process control block. It is also by a process control
block. It is also known as task control block.

23 | P a g e

A process control block contains many pieces of information associated with a specific process.
It includes the following informations.
Process state: The state may be new, ready, running, waiting or terminated state.
Program counter:it indicates the address of the next instruction to be executed for this
purpose.
CPU registers: The registers vary in number & type depending on the computer
architecture. It includes accumulators, index registers, stack pointer & general purpose
registers, plus any condition- code information must be saved when an interrupt occurs
to allow the process to be continued correctly after- ward.
CPU scheduling information:This information includes process priority pointers to
scheduling queues & any other scheduling parameters.
Memory management information: This information may include such information
as the value of the bar & limit registers, the page tables or the segment tables, depending
upon the memory system used by the operating system.
Accounting information: This information includes the amount of CPU and real time
used, time limits, account number, job or process numbers and so on.
I/O Status Information: This information includes the list of I/O devices allocated to
this process, a list of open files and so on. The PCB simply serves as the repository for
any information that may vary from process to process.

CPU Scheduling Algorithm:

CPU Scheduling deals with the problem of deciding which of the processes in the ready queue is to
be allocated first to the CPU. There are four types of CPU scheduling that exist.

24 | P a g e

1. First Come, First Served Scheduling (FCFS) Algorithm:This is the simplest CPU scheduling
algorithm. In this scheme, the process which requests the CPU first, that is allocated to the CPU
first. The implementation of the FCFS algorithm is easily managed with a FIFO queue. When a
process enters the ready queue its PCB is linked onto the rear of the queue. The average waiting
time

under

FCFS

policy

is

quiet

long.

Process

CPU time

P1

P2

P3

P4

Consider

the

following

example:

Using FCFS algorithm find the average waiting time and average turnaround time if the order is
P1, P2, P3, P4.
Solution: If the process arrived in the order P1, P2, P3, P4 then according to the FCFS the Gantt
chart will be:
P1
0

P2
3

P3
8

P4
10

14

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

Shortest Job First Scheduling (SJF) Algorithm: This algorithm associates with each process
if the CPU is available. This scheduling is also known as shortest next CPU burst, because the
scheduling is done by examining the length of the next CPU burst of the process rather than its
total length. Consider the following example:
Process

CPU time

P1

P2

P3

P4

25 | P a g e

Solution:According to the SJF the Gantt chart will be

P3
0

P1

P2
5

P4
9

14

The waiting time for process P1 = 0, P2 = 2, P3 = 5, P4 = 9 then the turnaround time for process
P3 = 0 + 2 = 2, P1 = 2 + 3 = 5, P4 = 5 + 4 = 9, P2 = 9 + 5 =14.
Then average waiting time = (0 + 2 + 5 + 9)/4 = 16/4 = 4
Average turnaround time = (2 + 5 + 9 + 14)/4 = 30/4 = 7.5
The SJF algorithm may be either preemptive or non preemptive algorithm. The preemptive SJF
is also known as shortest remaining time first.
Consider the following example.
Process

Arrival Time

CPU time

P1

P2

P3

P4

In this case the Gantt chart will be

P1
0

P2

P4
5

P1
10

P3
17

26

The waiting time for process

P1 = 10 - 1 = 9
P2 = 1 1 = 0
P3 = 17 2 = 15
P4 = 5 3 = 2
The average waiting time = (9 + 0 + 15 + 2)/4 = 26/4 = 6.5
3. Priority Scheduling Algorithm: In this scheduling a priority is associated with each process
and the CPU is allocated to the process with the highest priority. Equal priority processes are
scheduled in FCFS manner. Consider the following example:
Process

Arrival Time

CPU time

P1

10

P2

P3

26 | P a g e

P4

P5

According to the priority scheduling the Gantt chart will be

P2
0

P5

P1

P3
16

P4
18

19

The waiting time for process

P1 = 6
P2 = 0
P3 = 16
P4 = 18
P4 = 1
The average waiting time = (0 + 1 + 6 + 16 + 18)/5 = 41/5 = 8.2
4. Round Robin Scheduling Algorithm: This type of algorithm is designed only for the time
sharing system. It is similar to FCFS scheduling with preemption condition to switch between
processes. A small unit of time called quantum time or time slice is used to switch between the
processes. The average waiting time under the round robin policy is quiet long. Consider the
following example:
Process

CPU time

P1

P2

P3

P4

Time Slice = 1 millisecond.

P1
0

P2
1

P3
2

P4
3

P1
4

P2
5

P3
6

P4
7

P1
8

P2
9

P4
10

P2
11

P4
12

P2
13

14

The waiting time for process

P1 = 0 + (4 1) + (8 5) = 0 + 3 + 3 = 6
P2 = 1 + (5 2) + (9 6) + (11 10) + (12 11) + (13 12) = 1 + 3 + 3 + 1 + 1 + 1 = 10
P3 = 2 + (6 3) = 2 + 3 = 5
P4 = 3 + (7 4) + (10 8) + (12 11) = 3 + 3 + 2 + 1 = 9
The average waiting time = (6 + 10 + 5 + 9)/4 = 7.5

Process Synchronization:
27 | P a g e

A co-operation process is one that can affect or be affected by other processes executing in the
system. Co-operating process may either directly share a logical address space or be allotted to the
shared data only through files. This concurrent access is known as Process synchronization.
Critical Section Problem:
Consider a system consisting of n processes (P0, P1, Pn -1) each process has a segment of code
which is known as critical section in which the process may be changing common variable, updating
a table, writing a file and so on. The important feature of the system is that when the process is
executing in its critical section no other process is to be allowed to execute in its critical section. The
execution of critical sections by the processes is a mutually exclusive. The critical section problem is
to design a protocol that the process 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 is followed on exit section. The remaining code is the remainder section.
Example:
While (1)
{
Entry Section;
Critical Section;
Exit Section;
Remainder Section;
}
A solution to the critical section problem must satisfy the following three conditions.
1. Mutual Exclusion: If process Pi is executing in its critical section then no any other process
can be executing in their critical section.
2. Progress: If no process is executing in its critical section and some process wish to enter
their critical sections then only those process that are not executing in their remainder
section can enter its critical section next.
3. Bounded waiting: There exists a bound on the number of times that other processes are
allowed to enter their critical sections after a process has made a request.

Semaphores:
For the solution to the critical section problem one synchronization tool is used which is known as
semaphores. A semaphore S is an integer variable which is accessed through two standard

28 | P a g e

operations such as wait and signal. These operations were originally termed P (for wait means to
test) and V (for single means to increment). The classical definition of wait is
Wait (S)
{
While (S <= 0)
{
Test;
}
S--;
}
The classical definition of the signal is
Signal (S)
{
S++;
}
In case of wait the test condition is executed with interruption and the decrement is executed
without interruption.

Binary Semaphore:
A binary semaphore is a semaphore with an integer value which can range between 0 and 1.
Let S be a counting semaphore. To implement the binary semaphore we need following the
structure of data.
Binary Semaphores S1, S2;
int C;
Initially S1 = 1, S2 = 0 and the value of C is set to the initial value of the counting semaphore S.
Then the wait operation of the binary semaphore can be implemented as follows.
Wait (S1)
C--;
if (C < 0)
{
Signal (S1);
Wait (S2);
}
29 | P a g e

Signal (S1);
The signal operation of the binary semaphore can be implemented as follows:
Wait (S1);
C++;
if (C <=0)
Signal (S2);
Else
Signal (S1);

Classical Problem on Synchronization:

There are various types of problem which are proposed for synchronization scheme such as
Bounded Buffer Problem: This problem was commonly used to illustrate the power of
synchronization primitives. In this scheme we assumed that the pool consists of N buffer
and each capable of holding one item. The mutex semaphore provides mutual exclusion for
access to the buffer pool and is initialized to the value one. The empty and full semaphores
count the number of empty and full buffer respectively. The semaphore empty is initialized
to N and the semaphore full is initialized to zero. This problem is known as procedure and
consumer problem. The code of the producer is producing full buffer and the code of
consumer is producing empty buffer. The structure of producer process is as follows:
do {
produce an item in nextp
............
Wait (empty);
Wait (mutex);
...........
add nextp to buffer
............
Signal (mutex);
Signal (full);
} While (1);
The structure of consumer process is as follows:
30 | P a g e

do {
Wait (full);
Wait (mutex);
...........
Remove an item from buffer to nextc
...........
Signal (mutex);
Signal (empty);
............
Consume the item in nextc;
. . . . . . . .. . . .. .
} While (1);
Reader Writer Problem: In this type of problem there are two types of process are used
such as Reader process and Writer process. The reader process is responsible for only
reading and the writer process is responsible for writing. This is an important problem of
synchronization which has several variations like
o The simplest one is referred as first reader writer problem which requires that no
reader will be kept waiting unless a writer has obtained permission to use the shared
object. In other words no reader should wait for other reader to finish because a
writer is waiting.
o The second reader writer problem requires that once a writer is ready then the writer
performs its write operation as soon as possible.
The structure of a reader process is as follows:
Wait (mutex);
Read count++;
if (read count == 1)
Wait (wrt);
Signal (mutex);
...........
Reading is performed
...........
Wait (mutex);
31 | P a g e

Read count --;

if (read count == 0)
Signal (wrt);
Signal (mutex);
The structure of the writer process is as follows:
Wait (wrt);
Writing is performed;
Signal (wrt);
Dining Philosopher Problem: Consider 5 philosophers to spend their lives in thinking &
eating. A philosopher shares common circular table surrounded by 5 chairs each occupies
by one philosopher. In the center of the table there is a bowl of rice and the table is laid
with 6 chopsticks as shown in below figure.

When a philosopher thinks she does not interact with her colleagues. From time to time a
philosopher gets hungry and tries to pickup two chopsticks that are closest to her. A
philosopher may pickup one chopstick or two chopsticks at a time but she cannot pickup a
chopstick that is already in hand of the neighbor. When a hungry philosopher has both her
chopsticks at the same time, she eats without releasing her chopsticks. When she finished
eating, she puts down both of her chopsticks and starts thinking again. This problem is
considered as classic synchronization problem. According to this problem each chopstick is
represented by a semaphore. A philosopher grabs the chopsticks by executing the wait
operation on that semaphore. She releases the chopsticks by executing the signal operation
on the appropriate semaphore. The structure of dining philosopher is as follows:
do{
32 | P a g e

Wait ( chopstick [i]);

Wait (chopstick [(i+1)%5]);
.............
Eat
.............
Signal (chopstick [i]);
Signal (chopstick [(i+1)%5]);
.............
Think
.............
} While (1);

Critical Region:
According to the critical section problem using semaphore all processes must share a semaphore
variablemutex which is initialized to one. Each process must execute wait (mutex) before entering
the critical section and execute the signal (mutex) after completing the execution but there are
various difficulties may arise with this approach like:
Case 1: Suppose that a process interchanges the order in which the wait and signal operations on
the semaphore mutex are executed, resulting in the following execution:
Signal (mutex);
..........
Critical Section
...........
Wait (mutex);
In this situation several processes may be executing in their critical sections simultaneously, which is
violating mutual exclusion requirement.
Case 2: Suppose that a process replaces the signal (mutex) with wait (mutex). The execution is as
follows:
Wait (mutex);
...........
Critical Section
...........
Wait (mutex);
33 | P a g e

In this situation a deadlock will occur

Case 3: Suppose that a process omits the wait (mutex) and the signal (mutex). In this case the
mutual exclusion is violated or a deadlock will occur.
To illustrate the various types or error generated by using semaphore there are some high level
language constructs have been introduced such as critical region and monitor.
Critical region is also known as conditional critical regions. It constructs guards against certain
simple errors associated with semaphore. This high level language synchronization construct
requires a variable V of type T which is to be shared among many processes. It is declared as
V: shared T;
The variable V can be accessed only inside a region statement as like below:
Wait (mutex);
While (! B) {
First_count++;
if (second_count> 0)
Signal (second_delay);
Else
Signal (mutex);
Wait (first_delay);
First_count--;
Second_count++;
if (first_count> 0)
Signal (first_delay);
Else
Signal (second_delay);
Wait (second_delay);
Second_count --;
}
S;
if (first_count> 0)
Signal (first_delay);
Else if (second_count> 0)
Signal (second_delay);
34 | P a g e

Else
Signal (mutex);
(Implementation of the conditional region constructs)
Where B is a Boolean variable which governs the access to the critical regions which is initialized to
false.Mutex, First_delay and Second_delay are the semaphores which are initialized to 1, 0, and 0
respectively. First_count and Second_count are the integer variables which are initialized to zero.

Monitor:
It is characterized as a set of programmer defined operators. Its representation consists of declaring
of variables, whose value defines the state of an instance. The syntax of monitor is as follows.
Monitor monitor_name
{
Shared variable declarations
Procedure body P1 () {
........
}
Procedure body P2 () {
........
}
.
.
.
Procedure body Pn () {
........
}
{
Initialization Code
}
}

Atomic Transaction:
This section is related to the field of database system. Atomic transaction describes the various
techniques of database and how they are can be used by the operating system. It ensures that the
critical sections are executed automatically. To determine how the system should ensure atomicity
35 | P a g e

we need first to identify the properties of the devices used to for storing the data accessed by the
transactions. The various types storing devices are as follows:
Volatile Storage: Information residing in volatile storage does not survive in case of
system crash. Example of volatile storage is main memory and cache memory.
Non volatile Storage: Information residing in this type of storage usually survives in case
of system crash. Examples are Magnetic Disk, Magnetic Tape and Hard Disk.
Stable Storage: Information residing in stable storage is never lost. Example is non volatile
cache memory.
The various techniques used for ensuring the atomicity are as follows:
1. Log based Recovery: This technique is used for achieving the atomicity by using data structure
called log. A log has the following fields:
a. Transaction Name: This is the unique name of the transaction that performed the
write operation.
b. Data Item Name: This is the unique name given to the data.
c. Old Value: This is the value of the data before to the write operation.
d. New value: This is the value of the data after the write operation.
This recovery technique uses two processes such as Undo and Redo. Undo restores the value of
old data updated by a transaction to the old values. Redo sets the value of the data updated by a
transaction to the new values.
2. Checkpoint: In this principle system maintains the log. The checkpoint requires the following
sequences of action.
a. Output all the log records from volatile storage into stable storage.
b. Output all modified data residing in volatile to the stable storage.
c. Output a checkpoint onto the stable storage.

T0
Read (A)
Write (A)
Read (B)
36 | P a g e

T1

Write (B)

3.

Serializibility: In this technique the

transaction

Read (A)

executed serially in some arbitrary order. Consider a

system

Write (A)

consisting two data items A and B which are both

read and

Read (B)

written by two transactions T0 and T1. Suppose that

their

Write (B)

transactions are executed automatically in the order

T0 followed by T1. This execution sequence is known as schedule which is represented as below.
If transactions are overlapped then their execution resulting schedule is known as non-serial
scheduling or concurrent schedule as like below:
T0

T1

Read (A)
Write (A)
Read (A)
Write (A)
Read (B)
Write (B)
Read (B)
Write (B)
4. Locking: This technique governs how the locks are acquired and released. There are two types
of lock such as shared lock and exclusive lock. If a transaction T has obtained a shared lock (S)
on data item Q then T can read this item but cannot write. If a transaction T has obtained an
exclusive lock (S) on data item Q then T can both read and write in the data item Q.
5. Timestamp: In this technique each transaction in the system is associated with unique fixed
timestamp denoted by TS. This timestamp is assigned by the system before the transaction
starts. If a transaction Ti has been assigned with a timestamp TS (Ti) and later a new transaction
Tj enters the system then TS (Ti) < TS (Tj). There are two types of timestamp such as Wtimestamp and R-timestamp. W-timestamp denotes the largest timestamp of any transaction that
performed write operation successfully. R-timestamp denotes the largest timestamp of any
transaction that executed read operation successfully.

Deadlock:
37 | P a g e

In a multiprogramming environment several processes may compete for a finite number of

resources. A process request resources; if the resource is available at that time a process enters the
wait state. Waiting process may never change its state because the resources requested are held by
other waiting process. This situation is known as deadlock.
Example
System has 2 disk drives.
P1 and P2 each hold one disk drive and each needs another one.
2 train approaches each other at crossing, both will come to full stop and neither shall start
until other has gone.

Traffic only in one direction.

Each section of a bridge can be viewed as a resource.
If a deadlock occurs, it can be resolved if one car backs up (preempt resources and rollback).
Several cars may have to be backed up if a deadlock occurs.
Starvation is possible
System Model:
A system consists of a finite number of resources to be distributed among a number of competing
processes. The resources are partitioned into several types each of which consists of a number of
identical instances. A process may utilized a resources in the following sequence
Request: In this state one can request a resource.
Use: In this state the process operates on the resource.
Release: In this state the process releases the resources.
Deadlock Characteristics: In a deadlock process never finish executing and system resources are
tied up. A deadlock situation can arise if the following four conditions hold simultaneously in a
system.
Mutual Exclusion: At a time only one process can use the resources. If another process
requests that resource, requesting process must wait until the resource has been released.
38 | P a g e

Hold and wait: A process must be holding at least one resource and waiting to additional
resource that is currently held by other processes.
No Preemption: Resources allocated to a process cant be forcibly taken out from it unless
it releases that resource after completing the task.
Circular Wait: A set {P0, P1, .Pn} of waiting state/ process must exists such that P0 is
waiting for a resource that is held by P1, P1 is waiting for the resource that is held by P2 ..
P(n 1) is waiting for the resource that is held by Pn and Pn is waiting for the resources that is
held by P4.
Resource Allocation Graph:
Deadlock can be described more clearly by directed graph which is called system resource allocation
graph. The graph consists of a set of vertices V and a set of edges E. The set of vertices V is
partitioned into two different types of nodes such as P = {P1, P2, .Pn}, the set of all the active
processes in the system and R = {R1, R2, .Rm}, the set of all the resource type in the system. A
directed edge from process Pi to resource type Rj is denoted by Pi Rj. It signifies that process Pi is
an instance of resource type Rj and waits for that resource. A directed edge from resource type Rj to
the process Pi which signifies that an instance of resource type Rj has been allocated to process Pi. A
directed edge Pi Rj is called as request edge and Rj Pi is called as assigned edge.
Process

Resource Type with 4 instances

Pirequests instance of Rj

Pi is holding an instance of Rj

39 | P a g e

Pi

Pi

When a process Pi requests an instance of resource type Rj then a request edge is inserted as
resource allocation graph. When this request can be fulfilled, the request edge is transformed to an
assignment edge. When the process no longer needs access to the resource it releases the resource
and as a result the assignment edge is deleted. The resource allocation graph shown in below figure
has the following situation.
The sets P, R, E

P = {P1, P2, P3}

R = {R1, R2, R3, R4}

E = {P1 R1,P2 R3,R1 P2,R2 P2,R2 P1,R3 P3}

The resource instances are

Resource R1 has one instance

Resource R2 has two instances.

Resource R3 has one instance

Resource R4 has three instances.

The process states are:

Process P1 is holding an instance of R2 and waiting for an instance of R1.

Process P2 is holding an instance of R1 and R2 and waiting for an instance R3.

Process P3 is holding an instance of R3.

The following example shows the resource allocation graph with a deadlock.

P1 -> R1 -> P2 -> R3 -> P3 -> R2 -> P1

P2 -> R3 -> P3 -> R2 -> P1

40 | P a g e

The following example shows the resource allocation graph with a cycle but no deadlock.

P1 -> R1 -> P3 -> R2 -> P1

No deadlock

P4 may release its instance of resource R2

Then it can be allocated to P3

Methods for Handling Deadlocks

The problem of deadlock can deal with the following 3 ways.

We can use a protocol to prevent or avoid deadlock ensuring that the system will never enter
to a deadlock state.

We can allow the system to enter a deadlock state, detect it and recover.

We can ignore the problem all together.

41 | P a g e

To ensure that deadlock never occur the system can use either a deadlock prevention or deadlock
avoidance scheme.
Deadlock Prevention:
Deadlock prevention is a set of methods for ensuring that at least one of these necessary conditions
cannot hold.

Mutual Exclusion: The mutual exclusion condition holds for non sharable. The example is a
printer cannot be simultaneously shared by several processes. Sharable resources do not
require mutual exclusive access and thus cannot be involved in a dead lock. The example is
read only files which are in sharing condition. If several processes attempt to open the read
only file at the same time they can be guaranteed simultaneous access.

Hold and wait:To ensure that the hold and wait condition never occurs in the system, we
must guaranty that whenever a process requests a resource it does not hold any other
resources. There are two protocols to handle these problems such as one protocol that can be
used requires each process to request and be allocated all its resources before it begins
execution. The other protocol allows a process to request resources only when the process has
no resource. These protocols have two main disadvantages. First, resource utilization may be
low, since many of the resources may be allocated but unused for a long period. Second,
starvation is possible. A process that needs several popular resources may have to wait
indefinitely, because at least one of the resources that it needs is always allocated to some other
process.

No Preemption: To ensure that this condition does not hold, a protocol is used. If a process
is holding some resources and request another resource that cannot be immediately allocated
to it. The preempted one added to a list of resources for which the process is waiting. The
process will restart only when it can regain its old resources, as well as the new ones that it is
requesting. Alternatively if a process requests some resources, we first check whether they are
available. If they are, we allocate them. If they are not available, we check whether they are
allocated to some other process that is waiting for additional resources. If so, we preempt the
desired resources from the waiting process and allocate them to the requesting process. If the
resources are not either available or held by a waiting process, the requesting process must
wait.

Circular Wait:We can ensure that this condition never holds by ordering of all resource type
and to require that each process requests resource in an increasing order of enumeration. Let R

42 | P a g e

= {R1, R2, .Rn}be the set of resource types. We assign to each resource type a unique
integer number, which allows us to compare two resources and to determine whether one
precedes another in our ordering. Formally, we define a one to one function F: R

N, where

N is the set of natural numbers. For example, if the set of resource types R includes tape
drives, disk drives and printers, then the function F might be defined as follows:
F (Tape Drive) = 1,
F (Disk Drive) = 5,
F (Printer) = 12.
We can now consider the following protocol to prevent deadlocks: Each process can request
resources only in an increasing order of enumeration. That is, a process can initially request
any number of instances of a resource type, say Ri. After that, the process can request
instances of resource type Rj if and only if F (Rj) > F (Ri). If several instances of the same
resource type are needed, defined previously, a process that wants to use the tape drive and
printer at the same time must first request the tape drive and then request the printer.

Deadlock Avoidance
Requires additional information about how resources are to be used.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.
Safe State
When a process requests an available resource, system must decide if immediate allocation leaves the
system in a safe state.Systems are in safe state if there exists a safe sequence of all process. A
sequence <P1, P2, , Pn> of ALL the processes is the system such that for each Pi, the resources
that Pi can still request can be satisfied by currently available resources + resources held by all the Pj,
withj <i.That is:
If Pi resource needs are not immediately available, then Pi can wait until all Pjhave finished.
When Pj is finished, Pi can obtain needed resources, execute, return allocated resources, and
terminate.
When Pi terminates, Pi +1 can obtain its needed resources, and so on.
If system is in safe state => No deadlock
43 | P a g e

If system in not in safe state => possibility of deadlock

OS cannot prevent processes from requesting resources in a sequence that leads to deadlock
Avoidance => ensue that system will never enter an unsafe state, prevent getting into deadlock

Example:

Suppose processes P0, P1, and P2 share 12 magnetic tape drives

Currently 9 drives are held among the processes and 3 are available
Question: Is this system currently in a safe state?
Answer: Yes!
o Safe Sequence: <P1, P0, P2>

Suppose process P2 requests and is allocated 1 more tape drive.

Question: Is the resulting state still safe?
Answer: No! Because there does not exist a safe sequence anymore.

Only P1 can be allocated its maximum needs.

IFP0 and P2 request 5 more drives and 6 more drives, respectively, then the resulting
state will be deadlocked.

Resource Allocation Graph Algorithm

44 | P a g e

In this graph a new type of edge has been introduced is known as claim edge. Claim edge Pi Rj
indicates that process Pj may request resource Rj; represented by a dashed line.Claim edge converts
to request edge when a process requests a resource.Request edge converted to an assignment edge
when the resource is allocated to the process.When a resource is released by a process, assignment
edge reconverts to a claim edge.Resources must be claimed a priori in the system.

P2 requesting R1, but R1 is already allocated to P1.

Both processes have a claim on resource R2

What happens if P2 now requests resource R2?

Cannot allocate resource R2 to process P2

Why? Because resulting state is unsafe

P1 could request R2, thereby creating deadlock!

Use only when there is a single instance of each resource type

Suppose that process Pi requests a resource Rj
The request can be granted only if converting the request edge to an assignment edge does
not result in the formation of a cycle in the resource allocation graph.
45 | P a g e

Here we check for safety by using cycle-detection algorithm.

Bankers Algorithm
This algorithm can be used in banking system to ensure that the bank never allocates all its available
cash such that it can no longer satisfy the needs of all its customer. This algorithm is applicable to a
system with multiple instances of each resource type. When a new process enter in to the system it
must declare the maximum number of instances of each resource type that it may need. This
number may not exceed the total number of resources in the system. Several data structure must be
maintained to implement the bankers algorithm.
Let,
n = number of processes
m = number of resources types

Available: Vector of length m. If Available[j] = k, there are k instances of resource type

Rjavailable.

Max: n x m matrix. If Max [i,j] = k, then process Pimay request at most k instances of resource
type Rj.

Allocation: n x m matrix. If Allocation[i,j] = k then Pi is currently allocated k instances of Rj.

Need: n x m matrix. If Need[i,j] = k, then Pi may need k more instances of Rjto complete its
task.
Need [i,j] = Max[i,j] Allocation [i,j].

Safety Algorithm
1. Let Workand Finish be vectors of length m and n, respectively. Initialize:
Work = Available
Finish [i] = false for i = 0, 1, ,n- 1.
2. Find and i such that both:
(a) Finish [i] = false
(b) Needi Work
If no such i exists, go to step 4.
3. Work = Work + Allocationi
Finish[i] = true
go to step 2.
4. If Finish [i] == true for all i, then the system is in a safe state.
46 | P a g e

Resource Allocation Algorithm

Request = request vector for process Pi. If Requesti[j] = k then process Pi wants k instances of
resource type Rj.
1. If Requesti Needigo to step 2. Otherwise, raise error condition, since process has exceeded its
maximum claim.
2. If Requesti Available, go to step 3. Otherwise Pi must wait, since resources are not available.
3. Pretend to allocate requested resources to Pi by modifying the state as follows:
Available = Available Request;
Allocationi= Allocationi + Requesti;
Needi=Needi Requesti;
If safe

the resources are allocated to Pi.

If unsafe

Pi must wait, and the old resource-allocation state is restored

Example
5 processes P0 through P4;
3 resource types:

A (10 instances), B (5instances), and C (7 instances).

Snapshot at time T0:

Allocation

Max

Available

ABC

ABC

ABC

P0

010

753

332

P1

200

322

P2

302

902

P3

211

222

P4

002

433

The content of the matrix Need is defined to be Max Allocation.

Need
ABC

47 | P a g e

P0

743

P1

122

P2

600

P3

011

P4

431

The system is in a safe state since the sequence <P1, P3, P4, P2, P0> satisfies safety criteria.
P1 requests (1, 0, 2)
Check that Request
Allocation

Available (that is, (1,0,2)

Need

Available

ABC

ABC ABC

P0

010

743

P1

302

020

P2

301

600

P3

211

011

P4

002

431

(3,3,2)

true.

230

Executing safety algorithm shows that sequence <P1, P3, P4, P0, P2> satisfies safety
requirement.
Can request for (3,3,0) by P4 be granted? NO
Can request for (0,2,0) by P0 be granted? NO (Results Unsafe)

Deadlock Detection
If a system doesnt employ either a deadlock prevention or deadlock avoidance, then deadlock
situation may occur. In this environment the system must provide
An algorithm to recover from the deadlock.
An algorithm to remove the deadlock is applied either to a system which pertains single in
instance each resource type or a system which pertains several instances of a resource type.
Single Instance of each Resource type
If all resources only a single instance then we can define a deadlock detection algorithm which uses a
new form of resource allocation graph called Wait for graph. We obtain this graph from the
resource allocation graph by removing the nodes of type resource and collapsing the appropriate
edges. The below figure describes the resource allocation graph and corresponding wait for graph.

48 | P a g e

Resource-Allocation

Correspondin

Graph

wait-for graph

For single instance

Pi ->Pj(Pi is waiting for Pj to release a resource that Pi needs)
Pi->Pj exist if and only if RAG contains 2 edges Pi ->Rq and Rq ->Pj for some resource Rq
Several Instances of a Resource type
The wait for graph scheme is not applicable to a resource allocation system with multiple instances
of reach resource type. For this case the algorithm employs several data structures which are similar
to those used in the bankers algorithm like available, allocation and request.
Available: A vector of length m indicates the number of available resources of each type.
Allocation: An n x m matrix defines the number of resources of each type currently
allocated to each process.
Request: An n x m matrix indicates the current request of each process. If Request [ij] = k,
then process Pi is requesting k more instances of resource type. Rj.
1. Let Work and Finish be vectors of length m and n, respectively Initialize:
(a) Work = Available
(b)

For i = 1,2, , n, if Allocationi 0, then

Finish[i] = false;otherwise, Finish[i] = true.

2.

Find an index i such that both:

(a)

Finish[i] == false

49 | P a g e

(b)

Requesti Work

If no such i exists, go to step 4.

3. Work = Work + Allocation
Finish [i] = true
Go to step 2
4. If Finish [i] = false, for some i, 1 i n, then the system is in a deadlock state. Moreover, if Finish
[i] = false, then process Pi is deadlocked.

Recovery from Deadlock

When a detection algorithm determines that a deadlock exists, several alternatives exist. One
possibility is to inform the operator that a deadlock has occurred, and to let the operator deal with
the deadlock manually. The other possibility is to let the system recover from the deadlock
automatically. There are two options for breaking a deadlock. One solution is simply to abort one or
more processes to break the circular wait. The second option is to preempt some resources from
one or more of the deadlocked processes.
Process Termination:
To eliminate deadlocks by aborting a process, we use one of two methods. In both methods, the
system reclaims all resources allocated to the terminated processes.
Abort all deadlocked processes: This method clearly will break the deadlock cycle, but at a
great expense; these processes may have computed for a long time, and the results of these
partial computations must be discarded and probably recomputed later.
Abort one process at a time until the deadlock cycle is eliminated:This method incurs
considerable overhead, since after each process is aborted, a deadlock detection algorithm
must be invoked to determine whether any processes are still deadlocked.
Resource Preemption:
To eliminate deadlocks using resource preemption, we successively preempt some resources from
processes and give these resources to other processes until the deadlock cycle is broken. If
preemption is required to deal with deadlocks, then three issues need to be addressed.

50 | P a g e

Selecting a victim: Which resources and which processes are to be preempted? As in

process termination, we must determine the order of preemption to minimize cost. Cost
factors may include such parameters as the numbers of resources a deadlock process is
holding, and the amount of time a deadlocked process has thus far consumed during its
execution.
Rollback: If we preempt a resource from a process, what should be done with that process?
Clearly, it cannot continue with its normal execution; it is missing some needed resource. We
must rollback the process to some safe state, and restart it from that state.
Starvation: In a system where victim selection is based primarily on cost factors, it may
happen that the same process is always picked as a victim. As a result, this process never
completes its designated task, a starvation situation that needs to be dealt with in any
practical system. Clearly, we must ensure that a process can be picked as a victim only a
small finite number of times. The most common solution is to include the number of
rollbacks in the cost factor.

Memory Management
Memory consists of a large array of words or bytes, each with its own address. The CPU fetches
instructions from memory according to the value of the program counter. These instructions
may cause additional loading from and storing to specific memory addresses.
Memory unit sees only a stream of memory addresses. It does not know how they are generated.
Program must be brought into memory and placed within a process for it to be run.
Input queue collection of processes on the disk that are waiting to be brought into memory for
execution.
User programs go through several steps before being run.

51 | P a g e

Address binding of instructions and data to memory addresses can happen at three different stages.
Compile time: If memory location known a priori, absolute code can be generated; must
recompile code if starting location changes.
Example: .COM-format programs in MS-DOS.
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., relocation registers).

Logical Versus Physical Address Space

The concept of a logical address space that is bound to a separate physicaladdress space is
central to proper memory management.
o Logical address address generated by the CPU; also referred to as virtual address.
o Physical address address seen by the memory unit.
The set of all logical addresses generated by a program is a logical address space; the set of all
physical addresses corresponding to these logical addresses are a physical address space.

52 | P a g e

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.
The run-time mapping from virtual to physical addresses is done by a hardware device called the
memory management unit (MMU).

This method requires hardware support slightly different from the hardware configuration. The
base register is now called a relocation register. The value in the relocation register is added to
every address generated by a user process at the time it is sent to memory.
The user program never sees the real physical addresses. The program can create a pointer to
location 346, store it in memory, manipulate it and compare it to other addresses. The user
program deals with logical addresses. The memory mapping hardware converts logical addresses
into physical addresses. The final location of a referenced memory address is not determined
until the reference is made.

Dynamic Loading
Routine is not loaded until it is called.
All routines are kept on disk in a relocatable load format.
The main program is loaded into memory and is executed. When a routine needs to call another
routine, the calling routine first checks to see whether the other the desired routine into memory
and to update the programs address tables to reflect this change. Then control is passed to the
newly loaded routine.
Better memory-space utilization; unused routine is never loaded.
Useful when large amounts of code are needed to handle infrequently occurring cases.
53 | P a g e

No special support from the operating system is required.

Implemented through program design.

Dynamic Linking
Linking is postponed until execution time.
Small piece of code, stub, is used to locate the appropriate memory-resident library routine, or to
load the library if the routine is not already present.
When this stub is executed, it checks to see whether the needed routine is already in memory. If
not, the program loads the routine into memory.
Stub replaces itself with the address of the routine, and executes the routine.
Thus the next time that code segment is reached, the library routine is executed directly,
incurring no cost for dynamic linking.
Operating system is needed to check if routine is in processes memory address.
Dynamic linking is particularly useful for libraries.

Swapping
A process can be swapped temporarily out of memory to a backing store, and then brought back
into memory for continued execution. For example, assume a multiprogramming environment
with a round robin CPU scheduling algorithm. When a quantum expires, the memory manager
will start to swap out the process that just finished, and to swap in another process to the
memory space that has been freed. In the mean time, the CPU scheduler will allocate a time slice
to some other process in memory. When each process finished its quantum, it will be swapped
with another process. Ideally, the memory manager can swap processes fast enough that some
processes will be in memory, ready to execute, when the CPU scheduler wants to reschedule the
CPU. The quantum must also be sufficiently large that reasonable amounts of computing are
done between swaps.
Roll out, roll in swapping variant used for priority-based scheduling algorithms. If a higher
priority process arrives and wants service, the memory manager can swap out the lower priority
process so that it can load and execute lower priority process can be swapped back in and
continued. This variant is some times called roll out, roll in. Normally a process that is swapped
out will be swapped back into the same memory space that it occupied previously. This
restriction is dictated by the process cannot be moved to different locations. If execution time

54 | P a g e

binding is being used, then a process can be swapped into a different memory space, because the
physical addresses are computed during execution time.
Backing store fast disk large enough to accommodate copies of all memory images for all
users; must provide direct access to these memory images. It must be large enough to
accommodate copies of all memory images for all users, and it must provide direct access to
these memory images. The system maintains a ready queue consisting of all processes whose
memory images are scheduler decides to execute a process it calls the dispatcher. The dispatcher
checks to see whether the next process in the queue is in memory. If not, and there is no free
memory region, the dispatcher swaps out a process currently in memory and swaps in the
desired process. It then reloads registers as normal and transfers control to the selected process.
Major part of swap time is transfer time; total transfer time is directly proportional to the
amount of memory swapped.
Modified versions of swapping are found on many systems (i.e., UNIX, Linux, and Windows).

Contiguous Memory Allocation

Main memory is usually divided into two partitions:
o Resident operating system, usually held in low memory with interrupt vector.
o User processes, held in high memory.
In contiguous memory allocation, each process is contained in a single contiguous section of
memory.
Single-partition allocation
o Relocation-register scheme used to protect user processes from each other, and from
changing operating-system code and data.

55 | P a g e

o Relocation register contains value of smallest physical address; limit register contains
range of logical addresses each logical address must be less than the limit register.

Multiple-partition allocation
o Hole block of available memory; holes of various size are scattered throughout
memory.
o When a process arrives, it is allocated memory from a hole large enough to
accommodate it.
o Operating system maintains information about:
a) allocated partitions b) free partitions (hole)
o A set of holes of various sizes, is scattered throughout memory at any given time. When
a process arrives and needs memory, the system searches this set for a hole that is large
enough for this process. If the hole is too large, it is split into two: one part is allocated
to the arriving process; the other is returned to the set of holes. When a process
terminates, it releases its block of memory, which is then placed back in the set of holes.
If the new hold is adjacent to other holes, these adjacent holes are merged to form one
larger hole.
o This procedure is a particular instance of the general dynamic storage allocation
problem, which is how to satisfy a request of size n from a list of free holes. There are
many solutions to this problem. The set of holes is searched to determine which hole is
best to allocate. The first-fit, best-fit and worst-fit strategies are the most common ones
used to select a free hole from the set of available holes.

56 | P a g e

o First-fit: Allocate the first hole that is big enough.

o Best-fit: Allocate the smallest hole that is big enough; must search entire list, unless
ordered by size.
o Worst-fit: Allocate the largest hole; must also search entire list.

Fragmentation
External Fragmentation total memory space exists to satisfy a request, but it is not
contiguous.
Internal Fragmentation allocated memory may be slightly larger than requested memory; this
size difference is memory internal to a partition, but not being used.
Reduce external fragmentation by compaction
o Shuffle memory contents to place all free memory together in one large block.
o Compaction is possible only if relocation is dynamic, and is done at execution time.

Paging
Paging is a memory management scheme that permits the physical address space of a process to
be non contiguous.
Divide physical memory into fixed-sized blocks called frames (size is power of 2, for example
512 bytes).
Divide logical memory into blocks of same size called pages. When a process is to be executed,
its pages are loaded into any available memory frames from the backing store. The backing store
is divided into fixed sized blocks that are of the same size as the memory frames.
The hardware support for paging is illustrated in below figure.
Every address generated by the CPU is divided into two parts: a page number (p) and a page
offset (d). The page number is used as an index into a page table. The page table contains the
base address of each page in physical memory. This base address is combined with the page
offset to define the physical memory address that is sent to the memory unit.

57 | P a g e

The paging model of memory is shown in below figure. The page size is defined by the
hardware. The size of a page is typically of a power of 2, varying between 512 bytes and 16 MB
per page, depending on the computer architecture. The selection of a power of 2 as a page size
makes the translation of a logical address into a page number and page offset particularly easy. If
the size of logical address is 2m, and a page size is 2n addressing units, then the high order m-n
bits of a logical address designate the page number, and the n low order bits designate the page
offset.

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.
Internal fragmentation may occur.

58 | P a g e

Let us take an example. Suppose a program needs 32 KB memory for allocation. The whole
program is divided into smaller units assuming 4 KB and is assigned some address. The address
consists of two parts such as:
A large number in higher order positions and
Displacement or offset in the lower order bits.
The numbers allocated to pages are typically in power of 2 to simplify extraction of page numbers
and offsets. To access a piece of data at a given address, the system first extracts the page number
and the offset. Then it translates the page number to physical page frame and access data at offset in
physical page frame. At this moment, the translation of the address by the OS is done using a page
table. Page table is a linear array indexed by virtual page number which provides the physical page
frame that contains the particular page. It employs a lookup process that extracts the page number
and the offset. The system in addition checks that the page number is within the address space of
process and retrieves the page number in the page table. Physical address will calculated by using the
formula.
Physical address = page size of logical memory X frame number + offset

When a process arrives in the system to be executed, its size expressed in pages is examined. Each
page of the process needs one frame. Thus if the process requires n pages, at least n frames must be

59 | P a g e

available in memory. If n frames are available, they are allocated to this arriving process. The first
page of the process is loaded into one of the allocated frames, and the frame number is put in the
page table for this process. The next page is loaded into another frame, and its frame number is put
into the page table and so on as in below figure. An important aspect of paging is the clear
separation between the users view of memory and the actual physical memory. The user program
views that memory as one single contiguous space, containing only this one program. In fact, the
user program is scattered throughout physical memory, which also holds other programs. The
difference between the users view of memory and the actual physical memory is reconciled by the
address-translation hardware. The logical addresses are translated into physical addresses. This
mapping is hidden from the user and is controlled by the operating system.

Implementation of Page Table

Page table is kept in main memory.
Page-tablebase register (PTBR) points to the page table.
In this scheme every data/instruction-byte access requires two memory accesses. One for the
page-table entry and one for the byte.
The two memory access problem can be solved by the use of a special fast-lookup hardware
cache called associative registers or associative memory or translation look-aside buffers(TLBs).
Typically, the number of entries in a TLB is between 32 and 1024.

60 | P a g e

The TLB contains only a few of the page table entries. When a logical address is generated
by the CPU, its page number is presented to the TLB. If the page number is found, its frame
number is immediately available and is used to access memory. The whole task may take less
than 10 percent longer than it would if an unmapped memory reference were used.
If the page number is not in the TLB (known as a TLB miss), a memory reference to the
page table must be made. When the frame number is obtained, we can use it to access
memory.
Hit Ratio
Hit Ratio: the percentage of times that a page number is found in the associative registers.
For example, if it takes 20 nanoseconds to search the associative memory and 100 nanoseconds
to access memory; for a 98-percent hit ratio, we have
Effective memory-access time = 0.98 x 120 + 0.02 x 220
= 122 nanoseconds.
The Intel 80486 CPU has 32 associative registers, and claims a 98-percent hit ratio.
Valid or invalid bit in a page table
Memory protection implemented by associating protection bit with each frame.
Valid-invalid bit attached to each entry in the page table:
o Valid indicates that the associated page is in the process logical address space, and is
thus a legal page.
o Invalid indicates that the page is not in the process logical address space.
61 | P a g e

Pay attention to the following figure. The program extends to only address 10,468, any reference
beyond that address is illegal. However, references to page 5 are classified as valid, so accesses to
addresses up to 12,287 are valid. This reflects the internal fragmentation of paging.

Structure of the Page Table

Hierarchical Paging:
A logical address (on 32-bit machine with 4K page size) is divided into:
o A page number consisting of 20 bits.
o A page offset consisting of 12 bits.
Since the page table is paged, the page number is further divided into:
o A 10-bit page number.
o A 10-bit page offset.
Thus, a logical address is as follows:

Where p1 is an index into the outer page table, and p2 is the displacement within the page of the
outer page table.The below figure shows a two level page table scheme.

62 | P a g e

Address-translation scheme for a two-level 32-bit paging architecture is shown in below figure.

Hashed Page Table:

A common approach for handling address spaces larger than 32 bits is to use a hashed page table,
with the hash value being the virtual page number. Each entry in the hash table contains a linked list
of elements that has to the same location. Each element consists of three fields: (a) the virtual page
number, (b) the value of the mapped page frame, and (c) a pointer to the next element in the linked
list. The algorithm works as follows: The virtual page number in the virtual address is hashed into
the hash table. The virtual page number is compared to field (a) in the first element in the linked list.
If there is a match, the corresponding page frame (field (b)) is used to form the desired physical
address. If there is no match, subsequent entries in the linked list are searched for a matching virtual
page number. The scheme is shown in below figure.

63 | P a g e

Inverted Page Table:

One entry for each real page (frame) of memory.
Entry consists of the virtual address of the page stored in that real memory location, with
information about the process that owns that page.
There is only one page table in the system. Not per process.
Decreases memory needed to store each page table, but increases time needed to search the table
when a page reference occurs.
Use hash table to limit the search to one or at most a few page-table entries.

Each virtual address in the system consists of a triple <process-id, page-number, offset>. Each
inverted page table entry is a pair <process-id, page-number> where the process-id assumes the role
of the address space identifier. When a memory reference occurs, part of the virtual address,
consisting of <process-id, page-number>, is presented to the memory subsystem. The inverted page
table is then searched for a match. If a match is found say at entry i, then the physical address <i,
offset> is generated. If no match is found, then an illegal address access has been attempted.
Shared Page:
Shared code
64 | P a g e

o One copy of read-only (reentrant) code shared among processes (i.e., text editors,
compilers, window systems).
o Shared code must appear in same location in the logical address space of all processes.
Private code and data
o Each process keeps a separate copy of the code and data.
o The pages for the private code and data can appear anywhere in the logical address
space.
Reentrant code or pure code is non self modifying code. If the code is reentrant, then it never
changes during execution. Thus, two or more processes can execute the same code at the same time.
Each process has its own copy of registers and data storage to hold the data for the process
execution. The data for two different processes will of course vary for each process.

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:

Main program,

Procedure,

Function,

Method,

Object,

Local variables, global variables,

Common block,

Stack,

65 | P a g e

Symbol table, arrays

Segmentation is a memory management scheme that supports this user view of memory.
A logical address space is a collection of segments. Each segment has a name and a length.
The addresses specify both the segment name and the offset within the segment.
The user therefore specifies each address by two quantities such as segment name and an offset.
For simplicity of implementation, segments are numbered and are referred to by a segment
number, rather than by a segment name.
Logical address consists of a two tuples:

<segment-number, offset>

Segment table maps two-dimensional physical addresses; each table entry has:
o Base contains the starting physical address where the segments reside in memory.
o Limit specifies the length of the segment.
Segment-table base register (STBR) points to the segment tables location in memory.
Segment-table length register (STLR) indicates number of segments used by a program;

66 | P a g e

Segment number s is legal if s< STLR.

When the user program is compiled by the compiler it constructs the segments.
The loader takes all the segments and assigned the segment numbers.
The mapping between the logical and physical address using the segmentation technique is
shown in above figure.
Each entry in the segment table as limit and base address.
The base address contains the starting physical address of a segment where the limit address
specifies the length of the segment.
The logical address consists of 2 parts such as segment number and offset.
The segment number is used as an index into the segment table. Consider the below
example is given below.

Segmentation with Paging

Both paging and segmentation have advantages and disadvantages, thats why we can combine
these two methods to improve this technique for memory allocation.
These combinations are best illustrated by architecture of Intel-386.
The IBM OS/2 is an operating system of the Intel-386 architecture. In this technique both
segment table and page table is required.
The program consists of various segments given by the segment table where the segment table
contains different entries one for each segment.
Then each segment is divided into a number of pages of equal size whose information is
maintained in a separate page table.
67 | P a g e

If a process has four segments that is 0 to 3 then there will be 4 page tables for that process, one
for each segment.
The size fixed in segmentation table (SMT) gives the total number of pages and therefore
maximum page number in that segment with starting from 0.
If the page table or page map table for a segment has entries for page 0 to 5.
The address of the entry in the PMT for the desired page p in a given segment s can be obtained
by B + P where B can be obtained from the entry in the segmentation table.
Using the address (B +P) as an index in page map table (page table), the page frame (f) can be
obtained and physical address can be obtained by adding offset to page frame.

Virtual Memory
It is a technique which allows execution of process that may not be compiled within the primary
memory.
It separates the user logical memory from the physical memory. This separation allows an
extremely large memory to be provided for program when only a small physical memory is
available.
Virtual memory makes the task of programming much easier because the programmer no longer
needs to working about the amount of the physical memory is available or not.
The virtual memory allows files and memory to be shared by different processes by page
sharing.
It is most commonly implemented by demand paging.
68 | P a g e

Demand Paging
A demand paging system is similar to the paging system with swapping feature. When we want to
execute a process we swap it into the memory. A swapper manipulates entire process where as a
pager is concerned with the individual pages of a process. The demand paging concept is using pager
rather than swapper. When a process is to be swapped in, the pager guesses which pages will be used
before the process is swapped out again. Instead of swapping in a whole process, the pager brings
only those necessary pages into memory. The transfer of a paged memory to contiguous disk space
is shown in below figure.

Thus it avoids reading into memory pages that will not used any way decreasing the swap time and
the amount of physical memory needed. In this technique we need some hardware support to
distinct between the pages that are in memory and those that are on the disk. A valid and invalid bit
is used for this purpose. When this bit is set to valid it indicates that the associate page is in memory.
If the bit is set to invalid it indicates that the page is either not valid or is valid but currently not in
the disk.

69 | P a g e

Marking a page invalid will have no effect if the process never attempts to access that page. So while
a process executes and access pages that are memory resident, execution proceeds normally. Access
to a page marked invalid causes a page fault trap. It is the result of the OSs failure to bring the
desired page into memory.
Procedure to handle page fault
If a process refers to a page that is not in physical memory then
We check an internal table (page table) for this process to determine whether the reference was
valid or invalid.
If the reference was invalid, we terminate the process, if it was valid but not yet brought in, we
have to bring that from main memory.
Now we find a free frame in memory.
Then we read the desired page into the newly allocated frame.
When the disk read is complete, we modify the internal table to indicate that the page is now in
memory.
We restart the instruction that was interrupted by the illegal address trap. Now the process can
access the page as if it had always been in memory.

Page Replacement
Each process is allocated frames (memory) which hold the processs pages (data)
Frames are filled with pages as needed this is called demand paging

70 | P a g e

Over-allocation of memory is prevented by modifying the page-fault service routine to replace

pages
The job of the page replacement algorithm is to decide which page gets victimized to make
room for a new page
Page replacement completes separation of logical and physical memory

Page Replacement Algorithm

Optimal algorithm
Ideally we want to select an algorithm with the lowest page-fault rate
Such an algorithm exists, and is called (unsurprisingly) the optimal algorithm:
Procedure: replace the page that will not be used for the longest time (or at all) i.e. replace the
page with the greatest forward distance in the reference string
Example using 4 frames:
Reference #

9 10 11 12

Page referenced

Frames

_ = faulting page

Analysis: 12 page references, 6 page faults, 2 page replacements. Page faults per number of
frames = 6/4 = 1.5
Unfortunately, the optimal algorithm requires special hardware (crystal ball, magic mirror, etc.)
not typically found on todays computers
Optimal algorithm is still used as a metric for judging other page replacement algorithms
FIFO algorithm
Replaces pages based on their order of arrival: oldest page is replaced
Example using 4 frames:

71 | P a g e

Reference #

9 10 11 12

Page referenced

Frames

_ = faulting page

Analysis: 12 page references, 10 page faults, 6 page replacements. Page faults per number of
frames = 10/4 = 2.5
LFU algorithm (page-based)
procedure: replace the page which has been referenced least often
For each page in the reference string, we need to keep a reference count. All reference counts
start at 0 and are incremented every time a page is referenced.
example using 4 frames:
Reference #

9 10 11 12

Page referenced

Frames
_ = faulting page
n

= reference count

1
2

1
2
3

1
2
3
4

1
2
3
4

1
2
3
4

1
2
5
4

1
2
5
4

1
2
5
4

1
2
3
4

1
2
3
4

1
2
5
4

At the 7th page in the reference string, we need to select a page to be victimized. Either 3 or 4
will do since they have the same reference count (1). Lets pick 3.
Likewise at the 10th page reference; pages 4 and 5 have been referenced once each. Lets pick
page 4 to victimize. Page 3 is brought in, and its reference count (which was 1 before we paged
it out a while ago) is updated to 2.
Analysis: 12 page references, 7 page faults, 3 page replacements. Page faults per number of
frames = 7/4 = 1.75

72 | P a g e

LFU algorithm (frame-based)

Procedure: replace the page in the frame which has been referenced least often
Need to keep a reference count for each frame which is initialized to 1 when the page is paged
in, incremented every time the page in the frame is referenced, and reset every time the page in
the frame is replaced
Example using 4 frames:

Reference #

9 10 11 12

Page referenced

Frames

_ = faulting page
n

1
2

= reference count

1
2
3

1
2
3
4

1
2
3
4

1
2
3
4

1
2
5
4

1
2
5
4

1
2
5
4

1
2
3
4

1
2
3
4

1
2
5
4

At the 7th reference, we victimize the page in the frame which has been referenced least often -in this case, pages 3 and 4 (contained within frames 3 and 4) are candidates, each with a
reference count of 1. Lets pick the page in frame 3. Page 5 is paged in and frame 3s reference
count is reset to 1.
At the 10th reference, we again have a page fault. Pages 5 and 4 (contained within frames 3 and
4) are candidates, each with a count of 1. Lets pick page 4. Page 3 is paged into frame 3, and
frame 3s reference count is reset to 1.
Analysis: 12 page references, 7 page faults, 3 page replacements. Page faults per number of
frames = 7/4 = 1.75
LRU algorithm
Replaces pages based on their most recent reference replace the page with the greatest
backward distance in the reference string
Example using 4 frames:
Reference #

73 | P a g e

9 10 11 12

Page referenced

Frames

_ = faulting page

Analysis: 12 page references, 8 page faults, 4 page replacements. Page faults per number of
frames = 8/4 = 2
One possible implementation (not necessarily the best):
o Every frame has a time field; every time a page is referenced, copy the current time into
its frames time field
o When a page needs to be replaced, look at the time stamps to find the oldest

Thrashing

If a process does not have enough pages, the page-fault rate is very high

low CPU utilization

OS thinks it needs increased multiprogramming

adds another process to system

Thrashing is when a process is busy swapping pages in and out

Thrashing results in severe performance problems. Consider the following scenario, which is
based on the actual behaviour of early paging systems. The operating system monitors CPU
utilization. If CPU utilization is too low, we increase the degree of multiprogramming by
introducing a new process to the system. A global page replacement algorithm is used; it
replaces pages with no regard to the process to which they belong. Now suppose that a
process enters a new phase in its execution and needs more frames.

74 | P a g e

FILE SYSTEM
File concept:
A file is a collection of related information that is stored on secondary storage. Information stored in
files must be persistent i.e. not affected by power failures & system reboots. Files may be of free
from such as text files or may be formatted rigidly. Files represent both programs as well as data.
Part of the OS dealing with the files is known as file system. The important file concepts include:
1. File attributes: A file has certain attributes which vary from one operating system to another.
Name: Every file has a name by which it is referred.
Identifier: It is unique number that identifies the file within the file system.
Type: This information is needed for those systems that support different types of files.
Location: It is a pointer to a device & to the location of the file on that device
Size: It is the current size of a file in bytes, words or blocks.
Protection: It is the access control information that determines who can read, write &
execute a file.
Time, date & user identification: It gives information about time of creation or last
modification & last use.
2. File operations: The operating system can provide system calls to create, read, write, reposition,
delete and truncate files.
Creating files: Two steps are necessary to create a file. First, space must be found for the
file in the file system. Secondly, an entry must be made in the directory for the new file.
Reading a file: Data & read from the file at the current position. The system must keep a
read pointer to know the location in the file from where the next read is to take place. Once
the read has been taken place, the read pointer is updated.

75 | P a g e

Writing a file: Data are written to the file at the current position. The system must keep a
write pointer to know the location in the file where the next write is to take place. The write
pointer must be updated whenever a write occurs.
Repositioning within a file (seek): The directory is searched for the appropriate entry &
the current file position is set to a given value. After repositioning data can be read from or
written into that position.
Deleting a file: To delete a file, we search the directory for the required file. After deletion,
the space is releasedso that it can be reused by other files.
Truncating a file: The user may erase the contents of a file but allows all attributes to
remain unchanged expect the file length which is rest to O & the space is released.
3. File types: The file name is spilt into 2 parts, Name & extension. Usually these two parts are
separated by a period. The user & the OS can know the type of the file from the extension itself.
Listed below are some file types along with their extension:
File Type

Extension

Executable File

exe, bin, com

Object File

obj, o (compiled)

Source Code file

C, C++, Java, pas

Batch File

bat, sh (commands to command the interpreter)

Text File

txt, doc (textual data documents)

arc, zip, tar (related files grouped together into file compressed for

Archieve File

storage)

Multimedia File

mpeg (Binary file containing audio or A/V information)

4. File structure: Files can be structured in several ways. Three common possible are:
Byte sequence:The figure shows an unstructured sequence of bytes. The OS doesnt care
about the content of file. It only sees the bytes. This structure provides maximum flexibility.
Users can write anything into their files & name them according to their convenience. Both
UNIX & windows use this approach.

byte

76 | P a g e

Record sequence: In this structure, a file is a sequence of fixed length records. Here the
read operation returns one records & the write operation overwrites or append or record.

Record

Tree:In this organization, a file consists of a tree of records of varying lengths. Each record
consists of a key field. The tree is stored on the key field to allow first searching for a
particular key.
Access methods: Basically, access method is divided into 2 types:
Sequential access: It is the simplest access method. Information in the file is processed in
order i.e. one record after another. A process can read all the data in a file in order starting
from beginning but cant skip & read arbitrarily from any location. Sequential files can be
rewound. It is convenient when storage medium was magnetic tape rather than disk.
Direct access: A file is made up of fixed length-logical records that allow programs to read
& write records rapidly in no particular O order. This method can be used when disk are
used for storing files. This method is used in many applications e.g. database systems. If an
airline customer wants to reserve a seat on a particular flight, the reservation program must
be able to access the record for that flight directly without reading the records before it. In a
direct access file, there is no restriction in the order of reading or writing. For example, we
can read block 14, then read block 50 & then write block 7 etc. Direct access files are very
useful for immediate access to large amount of information.

77 | P a g e

Directory structure: The file system of computers can be extensive. Some systems store thousands
of file on disk. To manage all these data, we need to organize them. The organization is done in 2
steps. The file system is broken into partitions. Each partition contains information about file within
it.
Operation on a directory:
Search for a file: We need to be able to search a directory for a particular file.
Create a file: New files are created & added to the directory.
Delete a file: When a file is no longer needed, we may remove it from the directory.
List a directory: We should be able to list the files of the directory.
Rename a file: The name of a file is changed when the contents of the file changes.
Traverse the file system: It is useful to be able to access every directory & every file
within a directory.
Structure of a directory: The most common schemes for defining the structure of the directory
are:
1. Single level directory: It is the simplest directory structure. All files are present in the same
directory. So it is easy to manage & understand.
Limitation: A single level directory is difficult to manage when the no. of files increases or
when there is more than one user. Since all files are in same directory, they must have unique
names. So, there is confusion of file names between different users.
2. Two level directories: The solution to the name collision problem in single level directory is to
create a separate directory for each user. In a two level directory structure, each user has its own
user file directory. When a user logs in, then master file directory is searched. It is indexed by
user name & each entry points to the UFD of that user.
Limitation: It solves name collision problem. But it isolates one user from another. It is an
advantage when users are completely independent. But it is a disadvantage when the users need
to access each others files & co-operate among themselves on a particular task.
3. Tree structured directories: It is the most common directory structure. A two level directory is
a two level tree. So, the generalization is to extend the directory structure to a tree of arbitrary
height. It allows users to create their own subdirectories & organize their files. Every file in the
system has a unique path name. It is the path from the root through all the sub-directories to a
specified file. A directory is simply another file but it is treated in a special way. One bit in each
78 | P a g e

directory entry defines the entry as a file (O) or as sub- directories. Each user has a current
directory. It contains most of the files that are of current interest to the user. Path names can be
of two types: An absolute path name begins from the root directory & follows the path down to
the specified files. A relative path name defines the path from the current directory. E.g. If the
current directory is root/spell/mail, then the relative path name is prt/first & the absolute path
name is root/ spell/ mail/ prt/ first. Here users can access the files of other users also by
specifying their path names.
4. A cyclic graph directory:It is a generalization of tree structured directory scheme. An a cyclic
graph allows directories to have shared sub-directories & files. A shared directory or file is not
the same as two copies of a file. Here a programmer can view the copy but the changes made in
the file by one programmer are not reflected in the others copy. But in a shared file, there is
only one actual file. So many changes made by a person would be immediately visible to others.
This scheme is useful in a situation where several people are working as a team. So, here all the
files that are to be shared are put together in one directory. Shared files and sub-directories can
be implemented in several ways. A common way used in UNIX systems is to create a new
directory entry called link. It is a pointer to another file or sub-directory. The other approach is
to duplicate all information in both sharing directories. A cyclic graph structure is more flexible
then a tree structure but it is also more complex.
Limitation: Now a file may have multiple absolute path names. So, distinct file names may refer
to the same file. Another problem occurs during deletion of a shared file. When a file is removed
by any one user. It may leave dangling pointer to the non existing file. One serious problem in a
cyclic graph structure is ensuring that there are no cycles. To avoid these problems, some
systems do not allow shared directories or files. E.g. MS-DOS uses a tree structure rather than a
cyclic to avoid the problems associated with deletion. One approach for deletion is to preserve
the file until all references to it are deleted. To implement this approach, we must have some
mechanism for determining the last reference to the file. For this we have to keep a list of
reference to a file. But due to the large size of the no. of references. When the count is zero, the
file can be deleted.
5. General graph directory: When links are added to an existing tree structured directory, the
tree structure is destroyed, resulting in a simple graph structure. Linking is a technique that
allows a file to appear in more than one directory. The advantage is the simplicity of algorithm to
transverse the graph & determines when there are no more references to a file. But a similar
79 | P a g e

problem exists when we are trying to determine when a file can be deleted. Here also a value
zero in the reference count means that there are no more references to the file or directory & the
file can be deleted. But when cycle exists, the reference count may be non-zero even when there
are no references to the directory or file. This occurs due to the possibility of self referencing
(cycle) in the structure. So, here we have to use garbage collection scheme to determine when
the last references to a file has been deleted & the space can be reallocated. It involves two steps:
Transverse the entire file system & mark everything that can be accessed.
Everything that isnt marked is added to the list of free space.
But this process is extremely time consuming. It is only necessary due to presence of cycles in
the graph. So, a cyclic graph structure is easier to work than this.

Protection
When information is kept in a computer system, a major concern is its protection from physical
damage (reliability) as well as improper access.
Types of access: In case of systems that dont permit access to the files of other users. Protection
is not needed. So, one extreme is to provide protection by prohibiting access. The other extreme is
to provide free access with no protection. Both these approaches are too extreme for general use.
So, we need controlled access. It is provided by limiting the types of file access. Access is permitted
depending on several factors. One major factor is type of access requested. The different type of
operations that can be controlled are:
Read
Write
Execute
Append
Delete
List
Access lists and groups:
Various users may need different types of access to a file or directory. So, we can associate an access
lists with each file and directory to implement identity dependent access. When a user access
requests access to a particular file, the OS checks the access list associated with that file. If that user
is granted the requested access, then the access is allowed. Otherwise, a protection violation occurs
& the user is denied access to the file. But the main problem with access lists is their length. It is
80 | P a g e

very tedious to construct such a list. So, we use a condensed version of the access list by classifying
the users into 3 categories:
Owners: The user who created the file.
Group: A set of users who are sharing the files.
Others: All other users in the system.
Here only 3 fields are required to define protection. Each field is a collection of bits each of which
either allows or prevents the access. E.g. The UNIX file system defines 3 fields of 3 bits each: rwx
r( read access)
w(write access)
x(execute access)
Separate fields are kept for file owners, group & other users. So, a bit is needed to record protection
information for each file.

Allocation methods
There are 3 methods of allocating disk space widely used.
1. Contiguous allocation:
a. It requires each file to occupy a set of contiguous blocks on the disk.
b. Number of disk seeks required for accessing contiguously allocated file is minimum.
c. The IBM VM/CMS OS uses contiguous allocation. Contiguous allocation of a file is defined
by the disk address and length (in terms of block units).
d. If the file is n blocks long and starts all location b, then it occupies blocks b, b+1, b+2,----------- - -b+ n-1.
e. The directory for each file indicates the address of the starting block and the length of the
area allocated for each file.
f. Contiguous allocation supports both sequential and direct access. For sequential access, the
file system remembers the disk address of the last block referenced and reads the next block
when necessary.
g. For direct access to block i of a file that starts at block b we can immediately access block b
+ i.
h. Problems: One difficulty with contiguous allocation is finding space for a new file. It also
suffers from the problem of external fragmentation. As files are deleted and allocated, the
free disk space is broken into small pieces. A major problem in contiguous allocation is how
81 | P a g e

much space is needed for a file. When a file is created, the total amount of space it will need
must be found and allocated. Even if the total amount of space needed for a file is known in
advances, pre-allocation is inefficient. Because a file that grows very slowly must be allocated
enough space for its final size even though most of that space is left unused for a long
period time. Therefore, the file has a large amount of internal fragmentation.
2. Linked Allocation:
a. Linked allocation solves all problems of contiguous allocation.
b. In linked allocation, each file is linked list of disk blocks, which are scattered throughout the
disk.
c. The directory contains a pointer to the first and last blocks of the file.
d. Each block contains a pointer to the next block.
e. These pointers are not accessible to the user. To create a new file, we simply create a new
entry in the directory.
f. For writing to the file, a free block is found by the free space management system and this
new block is written to & linked to the end of the file.
g. To read a file, we read blocks by following the pointers from block to block.
h. There is no external fragmentation with linked allocation & any free block can be used to
satisfy a request.
i.

Also there is no need to declare the size of a file when that file is created. A file can continue
to grow as long as there are free blocks.

j.

Limitations: It can be used effectively only for sequential access files. To find the i ' th
block of the file, we must start at the beginning of that file and follow the pointers until we
get the ith block. So it is inefficient to support direct access files. Due to the presence of
pointers each file requires slightly more space than before. Another problem is reliability.
Since the files are linked together by pointers scattered throughout the disk. What would
happen if a pointer were lost or damaged.

3. Indexed Allocation:
a. Indexed allocation solves the problem of linked allocation by bringing all the pointers
together to one location known as the index block.
b. Each file has its own index block which is an array of disk block addresses. The ith entry in
the index block points to the ith block of the file.

82 | P a g e

c. The directory contains the address of the index block. The read the ith block, we use the
pointer in the ith index block entry and read the desired block.
d. To write into the ith block, a free block is obtained from the free space manager and its
address is put in the ith index block entry.
e. Indexed allocation supports direct access without suffering external fragmentation.
f. Limitations: The pointer overhead of index block is greater than the pointer overhead of
linked allocation. So here more space is wasted than linked allocation. In indexed allocation,
an entire index block must be allocated, even if most of the pointers are nil.

Free Space Management

Since there is only a limited amount of disk space, it is necessary to reuse the space from the deleted
files. To keep track of free disk space, the system maintains a free space list. It records all the disk
blocks that are free i.e. not allocated to some file or dictionary. To create a file, we search the free
space list for the required amount of space and allocate it to the new file. This space is then removed
from the free space list. When a file is deleted, its disk space is added to the free space list.
Implementation:
There are 4 ways to implement the free space list such as:
Bit Vector: The free space list is implemented as a bit map or bit vector. Each block is
represented as 1 bit. If the block is free, the bit is 1 and if it is allocated then the bit is 0. For
example, consider a disk where blocks 2, 3, 4, 5, 8, 9, 10, 11, 12, 13, 17, 18, 25, 26 & 27 are free
and rest of the blocks are allocated. The free space bit map would be
0011110011111100011000000111..
The main advantage of this approach is that it is simple and efficient to find the first free block
or n consecutive free blocks on the disk. But bit vectors are inefficient unless the entire vector is
kept in main memory. It is possible for smaller disks but not for larger ones.
Linked List: Another approach is to link together all the free disk blocks and keep a pointer to
the first free block. The first free block contains a pointer to the next free block and so on. For
example, we keep a pointer to block 2 as the free block. Block 2 contains a pointer to block
which points to block 4 which then points to block 5 and so on. But this scheme is not efficient.
To traverse the list, we must read each block which require a lot of I/O time.

83 | P a g e

Grouping: In this approach, we store the address of n free blocks in the first free block. The
first n-1 of these blocks is actually free. The last block contains the address of another n free
blocks and so on. Here the addresses of a large number of free blocks can be found out quickly.
Counting: Rather than keeping a list of n free disk block addresses, we can keep the address of
the first free block and the number of free contiguous blocks. So here each entry in the free
space list consists of a disk address and a count.

84 | P a g e