OPERATING SYSTEMS

[R17A0513 ]
LECTURE NOTES

B.TECH III YEAR – I SEM (R17)

(2019-2020)

DEPARTMENT OF
COMPUTER SCIENCE AND ENGINEERING

MALLA REDDY COLLEGE OF ENGINEERING &

TECHNOLOGY
(Autonomous Institution – UGC, Govt. of India)
Recognized under 2(f) and 12 (B) of UGC ACT 1956
(Affiliated to JNTUH, Hyderabad, Approved by AICTE - Accredited by NBA & NAAC – ‘A’ Grade - ISO 9001:2015 Certified)
Maisammaguda, Dhulapally (Post Via. Hakimpet), Secunderabad – 500100, Telangana State, India
III Year B. Tech CSE - I Sem L T/P/D C
4 -/0/- 4
(R17A0513) Operating Systems

Objectives:
 To understand main components of OS and their working
 To study the operations performed by OS as a resource manager
 To understand the different scheduling policies of OS
 To understand the different memory management techniques
 To understand process concurrency and synchronization
 To understand the concepts of input/ output, storage and file management
 To study different OS and compare their features.

UNIT - I: Operating System Introduction: Operating Systems Objectives and functions,

Computer System Architecture, OS Structure, OS Operations, Evolution of Operating Systems -
Simple Batch, Multi programmed, time shared, Personal Computer, Parallel, Distributed
Systems, Real-Time Systems, Special - Purpose Systems, Operating System services, user OS
Interface, System Calls, Types of System Calls, System Programs, Operating System Design and
Implementation, OS Structure, Virtual machines.

UNIT - II: Process and CPU Scheduling - Process concepts - The Process, Process State,
Process Control Block, Threads, Process Scheduling - Scheduling Queues, Schedulers, Context
Switch, Preemptive Scheduling, Dispatcher, Scheduling Criteria, Scheduling algorithms,
Multiple-Processor Scheduling, Real-Time Scheduling, Thread scheduling, Case studies: Linux,
Windows. Process Coordination - Process Synchronization, The Critical section Problem,
Peterson's solution, Synchronization Hardware, Semaphores, and Classic Problems of
Synchronization, Monitors, Case Studies: Linux, Windows.

UNIT - III: Memory Management and Virtual Memory - Logical & physical Address Space,
Swapping, Contiguous Allocation, Paging, Structure of Page Table. Segmentation, Segmentation
with Paging, Virtual Memory, Demand Paging, Performance of Demanding Paging, Page
Replacement - Page Replacement Algorithms, Allocation of Frames, Thrashing.

UNIT - IV: File System Interface - The Concept of a File, Access methods, Directory Structure,
File System Mounting, File Sharing, Protection, File System Implementation - File System
Structure, File System Implementation, Allocation methods, Free-space Management, Directory
Implementation, Efficiency and Performance. Mass Storage Structure - Overview of Mass
Storage Structure, Disk Structure, Disk Attachment, Disk Scheduling, Disk Management, Swap
space Management.

UNIT - V: Deadlocks - System Model, Deadlock Characterization, Methods for Handling

Deadlocks, Deadlock Prevention, Deadlock Avoidance, Deadlock Detection, Recovery from
Deadlock. Protection - System Protection, Goals of Protection, Principles of Protection,
Domain of Protection, Access Matrix, Implementation of Access Matrix, Access Control,
Revocation of Access Rights, Capability-Based Systems, Language-Based Protection.
TEXT BOOKS:
1. Operating System Principles, Abraham Silberchatz, Peter B. Galvin, Greg Gagne 8th Edition,
Wiley Student Edition.
2. Operating systems - Internals and Design Principles, W. Stallings, 6th Edition, Pearson.

REFERENCES BOOKS:
1. Modern Operating Systems, Andrew S Tanenbaum 3rd Edition PHI.
2. Operating Systems A concept - based Approach, 2nd Edition, D. M. Dhamdhere, TMH.
3. Principles of Operating Systems, B. L. Stuart, Cengage learning, India Edition.
4. Operating Systems, A. S. Godbole, 2nd Edition, TMH
5. An Introduction to Operating Systems, P.C.P. Bhatt, PHI.
6. Operating Systems, S, Haldar and A. A. Arvind, Pearson Education.
7. Operating Systems, R. Elmasri, A. G. Carrick and D. Levine, Mc Graw Hill.
8. Operating Systems in depth, T. W. Doeppner, Wiley.

Outcomes:
 Apply optimization techniques for the improvement of system performance.
 Ability to understand the synchronous and asynchronous communication
mechanisms in their respective OS.
 Learn about minimization of turnaround time, waiting time and response time and
also maximization of throughput with keeping CPU as busy as possible.
 Ability to compare the different OS
 INDEX
UNIT
TOPIC PAGE NO
NO
Operating System Introduction 1-10

Evolution of Operating Systems 10-17

I Operating System services 18
System Calls, Structure of OS 19-27
Virtual machines 28-29
Process and CPU Scheduling
Process concepts 30-35
II Process Scheduling 35-48
Process Coordination &
48-58
Synchronization
Memory Management 59-74
III
Virtual Memory 75-83
File System Interface 84-104
IV
Mass Storage Structure 105-115
Deadlocks 116-125
V
Protection 125-133
OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

UNIT-I
Operating System Introduction: Operating Systems Objectives and functions, Computer System
Architecture, OS Structure, OS Operations, Evolution of Operating Systems - Simple Batch, Multi
programmed, time shared, Personal Computer, Parallel, Distributed Systems, Real-Time Systems, Special -
Purpose Systems, Operating System services, user OS Interface, System Calls, Types of System Calls,
System Programs, Operating System Design and Implementation, OS Structure, Virtual machines

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Operating system performs the following functions:

1. Booting
Booting is a process of starting the computer operating system starts the computer to work.
It checks the computer and makes it ready to work.
2. Memory Management
It is also an important function of operating system. The memory cannot be managed
without operating system. Different programs and data execute in memory at one time. if
there is no operating system, the programs may mix with each other. The system will not
work properly.
3. Loading and Execution
A program is loaded in the memory before it can be executed. Operating system provides
the facility to load programs in memory easily and then execute it.
4. Data security
Data is an important part of computer system. The operating system protects the data stored on
the computer from illegal use, modification or deletion.
5. Disk Management
Operating system manages the disk space. It manages the stored files and folders in a proper
way.
6. Process Management
CPU can perform one task at one time. if there are many tasks, operating system decides which
task should get the CPU.
7. Device Controlling
operating system also controls all devices attached to computer. The hardware devices
are controlled with the help of small software called device drivers..
8. Providing interface
It is used in order that user interface acts with a computer mutually. User interface controls
how you input data and instruction and how information is displayed on screen. The operating
system offers two types of the interface to the user:
1. Graphical-line interface: It interacts with of visual environment to communicate
with the computer. It uses windows, icons, menus and other graphical objects to
issuescommands.
2. Command-lineinterface:itprovidesaninterfacetocommunicatewiththecomputerbytyping
commands.

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Computer System Architecture

Computer system can be divided into four
components H a r d w ar e – provides basic
computing resources
CPU, memory, I/O devices, Oper at ing system
Controls and coordinates use of hardware among various applications and users
Application programs – define the ways in which the system resources are used to solve the computing
problems of the users
Word processors, compilers, web browsers, database systems, video
games Users
People, machines, other computers Four
Components of a Computer System

Computer architecture means construction/design of a computer. A computer system may be

organized in different ways. Some computer systems have single processor and others have
multiprocessors. So based on the processors used in computer systems, they are categorized
into the following systems.

1. Single-processor system

2. Multiprocessor system

3. Clustered Systems:

1. Single-Processor Systems:

Some computers use only one processor such as microcomputers (or personal computers PCs).
On a single-processor system, there is only one CPU that performs all the activities in the
computer system. However, most of these systems have other special purpose processors, such
as I/O processors that move data quickly among different components of the computers. These
processors execute only a limited system programs and do not run the user program. Sometimes
they are managed by the operating system. Similarly, PCs contain a special purpose
microprocessor in the keyboard, which converts the keystrokes into computer codes to be sent to
the CPU. The use of special purpose microprocessors is common in microcomputer. But it does
not mean that this system is multiprocessor. A system that has only one general-purpose CPU,
is considered as single- processor system.

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2. Multiprocessor Systems:

In multiprocessor system, two or more processors work together. In this system, multiple programs
(more than one program) are executed on different processors at the same time. This type of
processing is known as multiprocessing. Some operating systems have features of multiprocessing.
UNIX is an example of multiprocessing operating system. Some versions of Microsoft Windows
also support multiprocessing.

Multiprocessor system is also known as parallel system. Mostly the processors of

multiprocessor system share the common system bus, clock, memory and peripheral devices.
This system is very fast in data processing.

Types of Multiprocessor Systems:

The multiprocessor systems are further divided into two

types; (i). Asymmetric multiprocessing system
(ii). Symmetric multiprocessing system

(i) Asymmetric Multiprocessing System(AMS):

The multiprocessing system, in which each processor is assigned a specific task, is known as
Asymmetric Multiprocessing System. For example, one processor is dedicated for handling
user's requests, one processor is dedicated for running application program, and one processor
is dedicated for running image processing and so on. In this system, one processor works as
master processor, while other processors work as slave processors. The master processor
controls the operations of system. It also schedules and distributes tasks among the slave
processors. The slave processors perform the predefined tasks.

(ii) Symmetric Multiprocessing System(SMP):

The multiprocessing system, in which multiple processors work together on the same task, is
known as Symmetric Multiprocessing System. In this system, each processor can perform all
types of tasks. All processors are treated equally and no master-slave relationship exists
between the processors.

For example, different processors in the system can communicate with each other. Similarly, an
I/O can be processed on any processor. However, I/O must be controlled to ensure that the data
reaches the appropriate processor. Because all the processors share the same memory, so the
input data given to the processors and their results must be separately controlled. Today all
modern operating systems including Windows and Linux provide support for SMP.

It must be noted that in the same computer system, the asymmetric multiprocessing and
symmetric multiprocessing technique can be used through different operating systems.

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A Dual-Core Design

3. Clustered Systems:

Clustered system is another form of multiprocessor system. This system also contains multiple
processors but it differs from multiprocessor system. The clustered system consists of two or
more individual systems that are coupled together. In clustered system, individual systems (or
clustered computers) share the same storage and are linked together ,via Local Area Network
(LAN).

A layer of cluster software runs on the cluster nodes. Each node can monitor one or more of
the other nodes over the LAN. If the monitored machine fails due to some technical fault (or
due to other reason), the monitoring machine can take ownership of its storage. The
monitoring machine can also restart the applications that were running on the failed machine.
The users of the applications see only an interruption of service.

Types of Clustered Systems:

Like multiprocessor systems, clustered system can also be of two

types (i). Asymmetric Clustered System
(ii). Symmetric Clustered System
(i). Asymmetric Clustered System:
In asymmetric clustered system, one machine is in hot-standby mode while the other
machine is running the application. The hot-standby host machine does nothing. It only
monitors the active server. If the server fails, the hot-standby machine becomes the active
server.
(ii). Symmetric Clustered System:
In symmetric clustered system, multiple hosts (machines) run the applications. They also
monitor each other. This mode is more efficient than asymmetric system, because it uses all
the available hardware. This mode is used only if more than one application be available to
run.

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Operating System – Structure

Operating System Structure

Multiprogramming needed for efficiency
Single user cannot keep CPU and I/O devices busy at all times
Multiprogramming organizes jobs (code and data) so CPU always has one to
Execute A subset of total jobs in system is kept in memory

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2) Multitasking

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Operating-system Operations

1) Dual-Mode Operation·
In order to ensure the proper execution of the operating system, we must be able to distinguish
between the execution of operating-system code and user defined code. The approach taken by
most computer systems is to provide hardware support that allows us to differentiate among
various modes of execution.

At the very least we need two separate modes of operation.user mode and kernel mode.
A bit, called the mode bit is added to the hardware of the computer to indicate the current mode:
kernel (0) or user (1).with the mode bit we are able to distinguish between a task that is
executed on behalf of the operating system and one that is executed on behalf of the user, When
the
computer system is executing on behalf of a user application, the system is in user mode.
However,when a user application requests a service from the operating system (via a.. system
call), it must transition from user to kernel mode to fulfill the request.

At system boot time, the hardware starts in kernel mode. The operating system is then loaded
and starts user applications in user mode. Whenever a trap or interrupt occurs, the hardware
switches from user mode to kernel mode (that is, changes the state of the mode bit to 0). Thus,
whenever the operating system gains control of the computer, it is in kernel mode. The system
always switches to user mode (by setting the mode bit to 1) before passing control to a user
program.
The dual mode of operation provides us with the means for protecting the operating system
from errant users-and errant users from one another. We accomplish this protection by

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designating some of the machine instructions that may cause harm as privileged instructions.
the hardware allows privileged instructions to be executed only in kernel mode. If an attempt is
made to execute a privileged instruction in user mode, the hardware does not execute the
instruction but rather treats it as illegal and traps it to the operating system. The instruction to
switch to kernel mode is an example of a privileged instruction. Some other examples include
I/0 control timer management and interrupt management.

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Personal-Computer Systems(PCs)
A personal computer (PC) is a small, relatively inexpensive computer designed for an
individual user. In price, personal computers range anywhere from a few hundred dollars to
thousands of dollars. All are based on the microprocessor technology that enables
manufacturers to put an entire CPU on one chip.
At home, the most popular use for personal computers is for playing games. Businesses
use personal computers for word processing, accounting, desktop publishing, and for
running spreadsheet and database management applications.

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Special purpose systems

a) Real-Time EmbeddedSystems
These devices are found everywhere, from car engines and manufacturing robots to DVDs
and microwave ovens. They tend to have very specific tasks.
They have little or no user interface, preferring to spend their time monitoring and
managing hardware devices, such as automobile engines and robotic arms.

b) Multimedia Systems
Most operating systems are designed to handle conventional data such as text files, programs,
word-processing documents, and spreadsheets. However, a recent trend in technology is the
incorporation of multimedia data into computer systems. Multimedia data consist of audio
and video files as well as conventional files. These data differ from conventional data in that
multimedia data-such as frames of video-must be delivered (streamed) according to certain
time restrictions (for example, 30 frames per second). Multimedia describes a wide range of
applications in popular use today. These include audio files such as MP3, DVD movies,
video conferencing, and short video clips of movie previews or news stories downloaded
over the Internet. Multimedia applications may also include live webcasts (broadcasting over
the World Wide Web)

c) Hand held Systems

Handheld Systems include personal digital assistants (PDAs, cellular telephones. Developers of
handheld systems and applications face many challenges, most of which are due to the limited
size of such devices. For example, a PDA is typically about 5 inches in height and 3 inches in
width, and it weighs less than one-half pound. Because of their size, most handheld devices
have small amounts of memory, slow processors, and small display screens.

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Operating System Services

One set of operating-system services provides functions that are helpful to the user
Communications – Processes may exchange information, on the same computer or between computers
over a network Communications may be via shared memory or through message passing (packets moved
by the OS)
Error detection – OS needs to be constantly aware of possible errors May occur in the CPU and
memory hardware, in I/O devices, in user program For each type of error, OS should take the appropriate
action to ensure correct and consistent computing Debugging facilities can greatly enhance the user’s
and programmer’s abilities to efficiently use the system

Another set of OS functions exists for ensuring the efficient operation of the system itself via resource
sharing
Resource allocation - When multiple users or multiple jobs running concurrently, resources must
be allocated to each of them
Many types of resources - Some (such as CPU cycles, main memory, and file storage) may have special
allocation code, others (such as I/O devices) may have general request and release code
Accounting - To keep track of which users use how much and what kinds of computer resources
Protection and security - The owners of information stored in a multiuser or networked computer
system may want to control use of that information, concurrent processes should not interfere with each
other
Protection involves ensuring that all access to system resources is controlled
Security of the system from outsiders requires user authentication, extends to defending external I/O
devices from invalid access attempts
If a system is to be protected and secure, precautions must be instituted throughout it. A chain is only as
strong as its weakest link.
User Operating System Interface - CLI
Command Line Interface (CLI) or command interpreter allows direct command entry
Sometimes implemented in kernel, sometimes by systems program
Sometimes multiple flavors implemented – shells
Primarily fetches a command from user and executes it

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User Operating System Interface - GUI

User-friendly desktop metaphor interface

Usually mouse, keyboard, and monitor
Icons represent files, programs, actions,
etc
Various mouse buttons over objects in the interface cause various actions (provide information,
options, execute function, open directory (known as a folder)
Invented at Xerox PARC
Many systems now include both CLI and GUI
interfaces Microsoft Windows is GUI with CLI
“command” shell
Apple Mac OS X as “Aqua” GUI interface with UNIX kernel underneath and shells
available Solaris is CLI with optional GUI interfaces (Java Desktop, KDE)
System Calls

Programming interface to the services provided by

the OS Typically written in a high-level language (C
or C++)
Mostly accessed by programs via a high-level Application Program Interface (API) rather than
direct system call usenThree most common APIs are Win32 API for Windows, POSIX API for POSIX-
based systems (including virtually all versions of UNIX, Linux, and Mac OS X), and Java API for the
Java virtual machine (JVM)
Why use APIs rather than system calls?(Note that the system-call names used throughout this text are
generic)
Example of System Calls

Example of Standard API

Consider the ReadFile() function in the
Win32 API—a function for reading from a file

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A description of the parameters passed to ReadFile() HANDLE file—the file to be read

LPVOID buffer—a buffer where the data will be read into and written
from DWORD bytesToRead—the number of bytes to be read into the
buffer LPDWORD bytesRead—the number of bytes read during the
last read LPOVERLAPPED ovl—indicates if overlapped I/O is being
used
System Call Implementation
Typically, a number associated with each system call
System-call interface maintains a table indexed according to
these Numbers
The system call interface invokes intended system call in OS kernel and returns status of the system
call and any return values
The caller need know nothing about how the system call is
implemented Just needs to obey API and understand what OS will
do as a result call Most details of OS interface hidden from
programmer by API
Managed by run-time support library (set of functions built into libraries included with compiler)
API – System Call – OS Relationship
Standard C Library Example

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System Call Parameter Passing

Often, more information is required than simply identity of desired system
call Exact type and amount of information vary according to OS and call
Three general methods used to pass parameters to the
OS Simplest: pass the parameters in registers
In some cases, may be more parameters than registers
Parameters stored in a block, or table, in memory, and address of block passed as a parameter
in a register
This approach taken by Linux and Solaris
Parameters placed, or pushed, onto the stack by the program and popped off the stack by the operating
system
Block and stack methods do not limit the number or length of parameters being passed

Parameter Passing via Table

Types of System Calls

1. Process control
2. File management
3. Device management
4. Information
maintenance
5. Communications
Process control
A running needs to halt its execution either normally or abnormally.
If a system call is made to terminate the running program, a dump of memory is sometimes
taken and an error message generated which can be diagnosed by a debugger
o end, abort
o load, execute
o create process, terminate process
o get process attributes, set process attributes
o wait for time
o wait event, signal event
o allocate and free memory
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File management
OS provides an API to make these system calls for managing files
o create file, delete file
o open, close file
o read, write, reposition
o get and set file attributes
Device management
Process requires several resources to execute, if these resources are available, they will be
granted and control retuned to user process. Some are physical such as video card and other
such as file. User program request the device and release when finished
o request device, release device
o read, write, reposition
o get device attributes, set device attributes
o logically attach or detach devices

Information maintenance
System calls exist purely for transferring information between the user
program and OS. It can return information about the system, such as the number of current users,
the version number of the operating system, the amount of free memory or disk space and so on.
o get time or date, set time or date
o get system data, set system data
o get and set process, file, or device attributes

Communications
Two common models of communication
Message-passing model, information is exchanged through an inter process-
communication facility provided by the OS.
Shared-memory model, processes use map memory system calls to gain access to regions of
memory owned by other processes.
o create, delete communication connection
o send, receive messages
o transfer status information
o attach and detach remote devices

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Examples of Windows and Unix System Calls

MS-DOS execution

(a) At system startup (b) running a

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program FreeBSD Running Multiple Programs

System Programs
System programs provide a convenient environment for program development and execution. The can
be divided into:
File manipulation
Status information
File modification
Programming language support
Program loading and execution
Communications
Application programs

Most users’ view of the operation system is defined by system programs, not the actual
system calls provide a convenient environment for program development and execution
Some of them are simply user interfaces to system calls; others are considerably more complex
File management - Create, delete, copy, rename, print, dump, list, and generally manipulate files and
directories
 Status information
Some ask the system for info - date, time, amount of available memory, disk space, number of users
Others provide detailed performance, logging, and debugging information
Typically, these programs format and print the output to the terminal or other output devices
Some systems implement a registry - used to store and retrieve configuration information
 File modification
Text editors to create and modify files
Special commands to search contents of files or perform transformations of the text
Programming-language support - Compilers, assemblers, debuggers and interpreters sometimes
provided
Program loading and execution- Absolute loaders, relocatable loaders, linkage editors, and overlay-
loaders, debugging systems for higher-level and machine language
Communications - Provide the mechanism for creating virtual connections among processes, users, and
computer systems
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Allow users to send messages to one another’s screens, browse web pages, send electronic-mail
messages, log in remotely, transfer files from one machine to another

Operating System Design and Implementation

Design and Implementation of OS not “solvable”, but some approaches have proven successful
Internal structure of different Operating Systems can vary widely
Start by defining goals and specifications Affected by
choice of hardware, type of system User goals and
System goals
User goals – operating system should be convenient to use, easy to learn, reliable, safe, and fast
System goals – operating system should be easy to design, implement, and maintain, as well as flexible,
reliable, error-free, and efficient
Important principle to separate
Policy: What will be done?
Mechanism: How to do it?
Mechanisms determine how to do something, policies decide what will be done
The separation of policy from mechanism is a very important principle, it allows maximum flexibility if
policy decisions are to be changed later
Simple Structure
MS-DOS – written to provide the most functionality in the least space Not divided into
modules
Although MS-DOS has some structure, its interfaces and levels of Functionality are not well separated
MS-DOS Layer Structure

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The operating system is divided into a number of layers (levels), each built on top of lower layers. The
bottom layer (layer 0), is the hardware; the highest (layer N) is the user interface.
With modularity, layers are selected such that each uses functions (operations) and services of
only lower-level layers
Traditional UNIX System Structure

UNIX

UNIX – limited by hardware functionality, the original UNIX operating system had limited structuring.
The UNIX OS consists of two separable parts

Systems programs
The kernel
Consists of everything below the system-call interface and above the physical hardware
Provides the file system, CPU scheduling, memory management, and other operating-system
functions; a large number of functions for one level

Layered Operating System

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Micro kernel System Structure
Moves as much from the kernel into “user” space
Communication takes place between user modules using message passing
Benefits:
Easier to extend a microkernel
Easier to port the operating system to new architectures More reliable (less code
is running in kernel mode)
More secure
Detriments:
Performance overhead of user space to kernel space communication

MacOS X Structure

Modules

Most modern operating systems implement kernel modules

Uses object-oriented approach
Each core component is separate
Each talks to the others over known interfaces
Each is loadable as needed within the kernel
Overall, similar to layers but with more flexible

Solaris Modular Approach

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Virtual Machines
A virtual machine takes the layered approach to its logical conclusion. It treats hardware and the
operating system kernel as though they were all hardware
A virtual machine provides an interface identical to the underlying bare hardware
The operating system host creates the illusion that a process has its own processor and (virtual memory)
Each guest provided with a (virtual) copy of underlying computer
Virtual Machines History and Benefits
First appeared commercially in IBM mainframes in 1972
Fundamentally, multiple execution environments (different operating systems) can share the same hardware
Protect from each other
Some sharing of file can be permitted, controlled
Commutate with each other, other physical systems via networking
Useful for development, testing
Consolidation of many low-resource use systems onto fewer busier systems
“Open Virtual Machine Format”, standard format of virtual machines, allows a VM to run within many
different virtual machine (host) platforms

Para-virtualization
Presents guest with system similar but not identical to hardware
Guest must be modified to run on par virtualized hardware
Guest can be an OS, or in the case of Solaris 10 applications running in containers
Solaris 10 with Two Containers

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VMware Architecture

The Java Virtual Machine

Operating-System Debugging

Debugging is finding and fixing errors, or bugs

generate log files containing error information
Failure of an application can generate core dump file capturing memory of the process
Operating system failure can generate crash dump file containing kernel memory Beyond
crashes, performance tuning can optimize system performance
Kernighan’s Law: “Debugging is twice as hard as writing the code in the rst place. Therefore, if you
write the code as cleverly as possible, you are, by definition, not smart enough to debug it.”
DTrace tool in Solaris, FreeBSD, Mac OS X allows live instrumentation on production systems
Probes fire when code is executed, capturing state data and sending it to consumers of those probes

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UNIT-2
Process and CPU Scheduling : Process concepts- the process, process states, process control block,
Threads, process scheduling- Scheduling queues, schedulers, context switch, preemptive scheduling,
dispatcher, scheduling criteria, scheduling algorithms, multiprocessor scheduling, real time scheduling,
Thread scheduling, case studies Linux, Windows.
Process Coordination- Process synchronization, the critical- section problem, Peterson’s Solution,
synchronization Hardware, semaphores, classic problems of synchronization, monitors, Case studies
Linux, Windows.

Process

A process is a program at the time of execution.

Differences between Process and Program

Process Program
Process is a dynamic object Program is a static object

Process is sequence of instruction Program is a sequence of instructions

execution
Process loaded in to main memory Program loaded into secondary storage
devices
Time span of process is limited Time span of program is unlimited
Process is a active entity Program is a passive entity

Process States

When a process executed, it changes the state, generally the state of process is determined by the
current activity of the process. Each process may be in one of the following states:

1. New : The process is beingcreated.

2. Running : The process is beingexecuted.
3. Waiting : The process is waiting for some event tooccur.
4. Ready : The process is waiting to be assigned to a processor.
5. Terminated : The Process has finishedexecution.
Only one process can be running in any processor at any time, But many process may be in ready and
waiting states. The ready processes are loaded into a “ready queue”.
Diagram of process state

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

a) New ->Ready : OS creates process and prepares the

process to be executed,thenOSmoved the process into readyqueue.

b) Ready->Running : OS selects one of the Jobs from ready Queue and move themfrom
ready to Running.

c) Running->Terminated : When the Execution of a process has Completed,

OSterminatesthatprocess from running state. Sometimes OS terminates the process for someother
reasons including Time exceeded, memory unavailable, access violation, protection Error, I/O failure
and soon.

d) Running->Ready : When the time slot of the processor expired (or) If the
processorreceivedanyinterrupt signal, the OS shifted Running -> ReadyState.

e) Running -> Waiting : A process is put into the waiting state, if the process need an event occur
(or) an I/O Devicerequire.

f) Waiting->Ready : A process in the waiting state is moved to ready state

when the eventforwhichit has beenCompleted.

Process Control Block:

Each process is represented in the operating System by a Process Control Block.

It is also called Task Control Block. It contains many pieces of information associated with a specific Process.

Process State

Program Counter

CPU Registers

CPU Scheduling Information

Memory – Management Information

Accounting Information

I/O Status Information

Process Control Block

1. ProcessState : The State may be new, ready, running, and waiting,Terminated…
2. ProgramCounter : indicates the Address of the next Instruction to be executed.
3. CPUregisters : registers include accumulators, stack pointers, General
purpose Registers….
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

4. CPU-SchedulingInfo : includes a process pointer, pointers to schedulingQueues,other

scheduling parametersetc.
5. Memory management Info: includes page tables, segmentation tables, value of base
and limit registers.
6. AccountingInformation: includes amount of CPU used, time limits, Jobs(or)Process numbers.
7. I/O StatusInformation: Includes the list of I/O Devices Allocated to theprocesses, list of open files.

Threads:

A process is divide into number of light weight process, each light weight process is said to be a
Thread. The Thread has a program counter (Keeps track of which instruction to execute next), registers
(holds its current working variables), stack (execution History).

Thread States:

1. bornState : A thread is justcreated.

2. readystate : The thread is waiting forCPU.
3. running : System assigns the processor to thethread.
4. sleep : A sleeping thread becomes ready after the designated sleep timeexpires.
5. dead : The Execution of the threadfinished.

Eg: Word processor.

Typing, Formatting, Spell check, saving are threads.

Differences between Process and Thread

Process Thread
Process takes more time to create. Thread takes less time to create.
it takes more time to complete execution & Less time to terminate.
terminate.
Execution is very slow. Execution is very fast.
It takes more time to switch b/w two processes. It takes less time to switch b/w two threads.
Communication b/w two processes is difficult . Communication b/w two threads is easy.
Process can’t share the same memory area. Threads can share same memory area.
System calls are requested to communicate each System calls are not required.
other.
Process is loosely coupled. Threads are tightly coupled.
It requires more resources to execute. Requires few resources to execute.
Multithreading

A process is divided into number of smaller tasks each task is called a Thread. Number of Threads with
in a Process execute at a time is called Multithreading.

If a program, is multithreaded, even when some portion of it is blocked, the whole program is
not blocked.The rest of the program continues working If multiple CPU’s are available.
Multithreading gives best performance.If we have only a single thread, number of CPU’s
available, No performance benefits achieved.

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

 Process creation is heavy-weight while thread creation is light-weight

 Can simplify code, increase efficiency
 Kernels are generally multithreaded

CODE- Contains instruction

DATA- holds global variable
FILES- opening and closing
files
REGISTER- contain information about CPU state
STACK-parameters, local variables, functions
Types OfThreads:

1) User Threads : Thread creation, scheduling, management happen in user space by Thread
Library. user threads are faster to create and manage. If a user thread performs a system call, which
blocks it, all the other threads in that process one also automatically blocked, whole process isblocked.
Advantages

 Thread switching does not require Kernel modeprivileges.

 User level thread can run on any operatingsystem.
 Scheduling can be application specific in the user levelthread.
 User level threads are fast to create andmanage.

Disadvantages

 In a typical operating system, most system calls areblocking.

 Multithreaded application cannot take advantage ofmultiprocessing.

2) Kernal Threads: kernel creates, schedules, manages these threads .these threads are slower,
manage. If one thread in a process blocked, over all process need not be blocked.

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Advantages
 Kernel can simultaneously schedule multiple threads from the same process on multiple
processes.
 If one thread in a process is blocked, the Kernel can schedule another thread of the same process.
 Kernel routines themselves can multithreaded.

Disadvantages

 Kernel threads are generally slower to create and manage than the userthreads.
 Transfer of control from one thread to another within same process requires a mode switch to
the Kernel.

Multithreading Models

Some operating system provides a combined user level thread and Kernel level thread facility. Solaris is
a good example of this combined approach. In a combined system, multiple threads within the same
application can run in parallel on multiple processors and a blocking system call need not block the entire
process. Multithreading models are three types
 Many to many relationship.
 Many to one relationship.
 One to one relationship.

Many to Many Model

In this model, many user level threads multiplexes to the Kernel thread of smaller or equal numbers. The
number of Kernel threads may be specific to either a particular application or a particular machine.

Following diagram shows the many to many model. In this model, developers can create as many user
threads as necessary and the corresponding Kernel threads can run in parallels on a multiprocessor.

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Many to One Model

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

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

One to One Model

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

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

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PROCESS SCHEDULING:

CPU is always busy in Multiprogramming. Because CPU switches from one job to another job. But in
simple computers CPU sit idle until the I/O request granted.
scheduling is a important OS function. All resources are scheduled before use.(cpu, memory,
devices…..)

SCHEDULING QUEUES: people live in rooms. Process are present in rooms knows as

queues. There are 3types

1. job queue: when processes enter the system, they are put into a job queue, which consists all
processes in the system. Processes in the job queue reside on mass storage and await the allocation of
main memory.
2. ready queue: if a process is present in main memory and is ready to be allocated to cpu for
execution, is kept in readyqueue.

3. device queue: if a process is present in waiting state (or) waiting for an i/o event to complete is
said to bein device queue.
(or)
The processes waiting for a particular I/O device is called device queue.

Schedulers : There are 3 schedulers

1. Long term scheduler.

2. Medium term scheduler
3. Short term scheduler.

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Scheduler duties :

 maintains the queue.

 Select the process from queues assign toCPU.

Types of schedulers

1. Long term scheduler:

select the jobs from the job pool and loaded these jobs into main memory (ready queue). Long
term scheduler is also called job scheduler.
2. Short term scheduler:
select the process from ready queue, and allocates it to the cpu.
If a process requires an I/O device, which is not present available then process enters device queue.
short term scheduler maintains ready queue, device queue. Also called as cpu scheduler.
3. Medium term scheduler: if process request an I/O device in the middle of the execution,
then the process removed from the main memory and loaded into the waiting queue. When the I/O
operation completed, then the job moved from waiting queue to ready queue. These two operations
performed by medium term scheduler.

Context Switch: Assume, main memory contains more than one process. If cpu is executing a process, if time
expires or if a high priority process enters into main memory, then the scheduler saves information about current
process in the PCB and switches to execute the another process. The concept of moving CPU by scheduler from one
process to other process is known as context switch.
Non-Preemptive Scheduling: CPU is assigned to one process, CPU do not release until the completition of that
process. The CPU will assigned to some other process only after the previous process has finished.

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Preemptive scheduling: here CPU can release the processes even in the middle of the execution. CPU
received a signal from process p2. OS compares the priorities of p1 ,p2. If p1>p2, CPU continues the
execution of p1. If p1<p2 CPU preempt p1 and assigned to p2.

Dispatcher: The main job of dispatcher is switching the cpu from one process to another process.
Dispatcher connects the cpu to the process selected by the short term scheduler.

Dispatcher latency: The time it takes by the dispatcher to stop one process and start another process is
known as dispatcher latency. If the dispatcher latency is increasing, then the degree of
multiprogramming decreases.

SCHEDULING CRITERIA;

1. Throughput: how many jobs are completed by the cpu with in a timeperiod.
2. Turn around time : The time interval between the submission of the process and
time of the completion is turn aroundtime.
TAT = Waiting time in ready queue + executing time + waiting time in waiting queue for I/O.
3. Waiting time: The time spent by the process to wait for cpu to beallocated.
4. Response time: Time duration between the submission and firstresponse.
5. Cpu Utilization: CPU is costly device, it must be kept as busy aspossible.
Eg: CPU efficiency is 90% means it is busy for 90 units, 10 units idle.

.CPU SCHEDULINGALGORITHMS:

1. First come First served scheduling: (FCFS): The process that request the CPU first is
holds the cpu first. If a process request the cpu then it is loaded into the ready queue, connect CPU to
that process.

Consider the following set of processes that arrive at time 0, the length of the cpu burst time given in
milli seconds.
burst time is the time, required the cpu to execute that job, it is in milli seconds.

Process Burst time(milliseconds)

P1 5
P2 24
P3 16
P4 10
P5 3

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Average turn around time:

Turn around time= waiting time + burst time

Turn around time for p1= 0+5=5.

Turn around time for p2=5+24=29

Turn around time for p3=29+16=45

Turn around time for p4=45+10=55

Turn around time for p5= 55+3=58

Average turn around time= (5+29++45+55+58/5) = 187/5 =37.5 millisecounds

Average waiting time:

waiting time= starting time- arrival time

Waiting time for p1=0

Waiting time for p2=5-0=5

Waiting time for p3=29-

0=29 Waiting time for

p4=45-0=45 Waiting time

for p5=55-0=55

Average waiting time= 0+5+29+45+55/5 = 125/5 = 25 ms.

Average Response Time :

Formula : First Response - Arrival

Time Response Time for P1 =0

Response Time for P2 => 5-0 = 5

Response Time for P3 => 29-0 =

29 Response Time for P4 => 45-0

= 45 Response Time for P5 => 55-

0 = 55

Average Response Time => (0+5+29+45+55)/5 =>25ms

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1) First Come FirstServe:

It is Non Primitive Scheduling Algorithm.

PROCESS BURST ARRIVAL

TIME TIME
P1 3 0

P2 6 2

P3 4 4

P4 5 6

P5 2 8

Process arrived in the order P1, P2, P3, P4,

P5. P1 arrived at 0 ms.
P2 arrived at 2
ms. P3 arrived at
4 ms. P4 arrived
at 6 ms. P5
arrived at 8 ms.

Average Turn Around Time : waiting time + burst time

Formula : Turn around Time =

Turn Around Time for P1 => 0+3=

3
Turn Around Time for P2 => 1+6 = 7
Turn Around Time for P3 => 5+4 = 9
Turn Around Time for P4 => 7+ 5=
12 Turn Around Time for P5 => 2+
10=12
Average Turn Around Time => ( 3+7+9+12+12 )/5 =>43/5 = 8.50 ms.
Average Response Time :
Formula : Response Time = First Response - Arrival Time

Response Time of P1 = 0
Response Time of P2 => 3-2 = 1
Response Time of P3 => 9-4 = 5
Response Time of P4 => 13-6 =
7 Response Time of P5 => 18-8
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=10
Average Response Time => ( 0+1+5+7+10 )/5 => 23/5 = 4.6 ms
Advantages: Easy to Implement, Simple.

Disadvantage: Average waiting time is very high.

2) Shortest Job First Scheduling ( SJF ):

Which process having the smallest CPU burst time, CPU is assigned to that process . If two
process having the same CPU burst time, FCFS is used.

PROCESS CPU BURST TIME

P1 5

P2 24

P3 16

P4 10

P5 3

P5 having the least CPU burst time ( 3ms ). CPU assigned to that ( P5 ). After completion of P5 short
term scheduler search for nest ( P1 ).......

Average Waiting Time :

Formula = Staring Time - Arrival

Time waitting Time for P1 => 3-0 = 3
waiting Time for P2 => 34-0 = 34
waiting Time for P3 => 18-0 = 18
waiting Time for P4 =>8-0=8
waiting time for P5=0
Average waiting time => ( 3+34+18+8+0 )/5 => 63/5 =12.6 ms

Average Turn Around Time :

Formula = waiting Time + burst Time

Turn Around Time for P1 => 3+5 =8

Turn Around for P2 => 34+24 =58
Turn Around for P3 => 18+16 = 34
Turn Around Time for P4 => 8+10
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=18 Turn Around Time for P5 => 0+3

=3
Average Turn around time => ( 8+58+34+18+3 )/5 => 121/5 = 24.2 ms
Average Response Time :

Formula : First Response - Arrival Time

First Response time for P1 =>3-0 = 3

First Response time for P2 => 34-0 =
34 First Response time for P3 => 18-0
= 18 First Response time for P4 => 8-0
= 8 First Response time for P5 = 0
Average Response Time => ( 3+34+18+8+0 )/5 => 63/5 = 12.6

ms SJF is Non primitive scheduling algorithm

Advantages : Least average waiting time

Least average turn around time Least average
response time
Average waiting time ( FCFS ) = 25
ms Average waiting time ( SJF ) =
12.6 ms 50% time saved in SJF.
Disadvantages:

 knowing the length of the next CPU burst time isdifficult.

 Aging ( Big Jobs are waiting for long time for CPU)

3) Shortest Remaining Time First ( SRTF );

This is primitive scheduling algorithm.

Short term scheduler always chooses the process that has term shortest remaining time. When a new
process joins the ready queue , short term scheduler compare the remaining time of executing process
and new process. If the new process has the least CPU burst time, The scheduler selects that job and
connect to CPU. Otherwise continue the old process.

PROCESS BURST ARRIVAL

TIME TIME
P1 3 0

P2 6 2

P3 4 4

P4 5 6

P5 2 8

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P1 arrives at time 0, P1 executing First , P2 arrives at time 2. Compare P1 remaining time and P2 ( 3-2 =
1) and 6. So, continue P1 after P1, executing P2, at time 4, P3 arrives, compare P2 remaining time (6-1=5
) and 4 ( 4<5 ) .So, executing P3 at time 6, P4 arrives. Compare P3 remaining time and P4 ( 4-2=2 ) and
5 (2<5 ). So, continue P3 , after P3, ready queue consisting P5 is the least out of three. So execute P5,
next P2, P4.

FORMULA : Finish time - Arrival

Time Finish Time for P1 => 3-0 = 3

Finish Time for P2 => 15-2 =
13 Finish Time for P3 => 8-4
=4 Finish Time for P4 => 20-6
= 14 Finish Time for P5 => 10-
8=2

Average Turn around time => 36/5 = 7.2 ms.

4 )ROUND ROBIN SCHEDULING ALGORITHM :

It is designed especially for time sharing systems. Here CPU switches between the processes. When the
time quantum expired, the CPU switched to another job. A small unit of time, called a time quantum or
time slice. A time quantum is generally from 10 to 100 ms. The time quantum is generally depending
on OS. Here ready queue is a circular queue. CPU scheduler picks the first process from ready queue,
sets timer to interrupt after one time quantum and dispatches the process.

PROCESS BURST TIME

P1 30

P2 6

P3 8

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AVERAGE WAITING TIME :

Waiting time for P1 => 0+(15-5)+(24-20) => 0+10+4 = 14

Waiting time for P2 => 5+(20-10) => 5+10 = 15
Waiting time for P3 => 10+(21-15) => 10+6 =
16 Average waiting time => (14+15+16)/3 = 15
ms.

AVERAGE TURN AROUND TIME :

FORMULA : Turn around time = waiting time + burst

Time Turn around time for P1 => 14+30 =44

Turn around time for P2 => 15+6 = 21 Turn
around time for P3 => 16+8 = 24
Average turn around time => ( 44+21+24 )/3 = 29.66 ms

5) PRIORITY SCHEDULING :

PROCESS BURST PRIORITY

TIME
P1 6 2

P2 12 4

P3 1 5

P4 3 1

P5 4 3

P4 has the highest priority. Allocate the CPU to process P4 first next P1, P5, P2, P3.

AVERAGE WAITING TIME :

Waiting time for P1 => 3-0 =3

Waiting time for P2 => 13-0 =
13 Waiting time for P3 => 25-0
= 25 Waiting time for P4 => 0
Waiting time for P5 => 9-0 =9

Average waiting time => ( 3+13+25+0+9 )/5 = 10 ms

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AVERAGE TURN AROUND TIME :

Turn around time for P1 =>3+6 = 9

Turn around time for P2 => 13+12=
25 Turn around time for P3 => 25+1
= 26
Turn around time for P4 => 0+3= 3
Turn around time for P5 => 9+4 =
13

Average Turn around time => ( 9+25+26+3+13 )/5 = 15.2 ms

disadvantage : Starvation

Starvation means only high priority process are executing, but low priority process are waiting for
the CPU for the longest period of the time.

6) Multilevel QueueScheduling:
ready queue is partitioned into number of ready queues .Each ready queue is capable to load same type
of jobs. Each ready queue has its own scheduling algorithm. ready queue is partitioned into 4 ready
queues. one ready queue for system processes, one ready queue for background processes, one ready
queue for foreground processes, another ready queue for student processes. No student process run
unless system, foreground, background process were all empty.
Each queue gets a certain portion of the cpu time , which it can then schedule among its various processes.

System Process

Interactive Process

Interactive editing process

Batch Process

Student Process

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7) Multilevel FeedbackQueues:
This algorithm allows a process to move between the queues. if a process uses too much cpu time,it will
be moved to next low priority queue.a process that waits too long in a lower priority queue may be
moved to a higher priority queue.It prevents starvation.

E.G: It has 3 queues(Q0,Q1,Q2),Scheduler first executes all process in Q0.only when Q0 is empty will
it execute Q1.The process in Q2 will only be executed ,if Q0,Q1 are empty. high priority queue is
Q0,low priority queue is Q2.
A process entering the ready queue is put in Q0.A process in Q0 is given a time quantum of 8 ms.if it
does not finish with in this time, moved to tail of Q1.if Q0 is empty, the process at the head of the
queue

Q1 is given a time quantum of 16 ms.if it does not complete,put into Q2.Q2 processes are run on FCFS basis.but
these processes are run only when Q0,Q1 are empty.
This algorithm gives highest priorities to any process with a CPU burst of 8 ms (or) less.process that
need more than 8 but less than 24 ms are also served quickly.long processes automatically sink to Q2,are
served in FCFS.
Thread Scheduling
Kernel-level threads scheduled by the Operating system. user level threads managed by a thread
library.To run a CPU, user level threads must ultimately be mapped to an associated kernel level
thread. Contention scope:
Defines whether a thread is to contend for processing resources relative to other threads with in the
same process (or) relative to other threads within the same system.
a) Process contentionscope:
Competition for the CPU takes palce among threads belonging to the same process.
b) System contentionscope:
Completion for the CPU takes place among all threads in the system.

Multiple – processorscheduling:
When multiple processes are available,then the scheduling gets more complicated ,because there is
more than one CPU which must be kept busy and in effective use at all times.
Load sharing resolves around balancing the load between multiple processors.multi processor systems
may be heterogeneous(It contains different kinds of CPU’s) ( or ) Homogeneous(all the same kind of
CPU).

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1) Approaches to multiple-processor
scheduling a)Asymmetric multiprocessing
One processor is the master,controlling all activities and running all kernel code,while the other runs
only user code.
b)Symmetric multiprocessing:
Each processor schedules its own job.each processor may have its own private queue of ready processes.

2) Processor Affinity
successive memory accesses by the process are often satisfied in cache memory.what happens if the
process migrates to another processor.the contents of cache memory must be invalidated for the first
processor,cache for the second processor must be repopulated.most Symmetric multi processor systems
try to avoid migration of processes from one processor to another processor,keep a process running on
the same processor.this is called processor affinity.
a) Soft affinity:
Soft affinity occurs when the system attempts to keep processes on the same processor but makes no
guarantees.
b) Hard affinity:
Process specifies that it is not to be moved between processors.
3) Load balancing:
One processor wont be sitting idle while another is overloaded.
Balancing can be achived through push migration or pull migration.

Push migration:
Push migration involves a separate process that runs periodically(e.g every 200 ms) and moves processes
from heavily loaded processors onto less loaded processors.
Pull migration:
Pull migration involves idle processors taking processes from the ready queues of the other processors.

4) Multicore processors:
A multi-core processor is a single computing component with 2 or more independent actual
processing units(cores),which are the units that read and execute program instructions.
When a processor acceses memory,it spends some time waiting for the data to become available.this is
known as memory stall.To remedy this,design multithreaded processor cores in which 2 or more
hardware threads are assigned to each core.If one thread stall while waiting for memory,the core can
switch to another thread.

From operating system perspective,each hardware thread appears as a logical processor that is
availableto run a software thread.thus on a dual threaded,dual core system,four logical processors are
presented to the operatingsystem.

5) Virtualization and scheduling:

In virtualization,single-CPU system,frequently acts like a multiprocessor system.the virtualization

software presents one or more virtual CPU’s to each of the virtual machines running on the system and
then schedules the use of the physical CPU’s among the virtual machines.most virtual environments
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

have one host OS,many guest OS.The host OS creates and manages the virtual machines,each virtual
machine has a guest OS installed and applications running within that guest.

Real time scheduling:

Real time scheduling is generally used in the case of multimedia operating systems.Here multiple
processes compete for the CPU.How to schedule processes A,B,C so that each one meets its deadlines.
The general tendency is to make them pre-emptable,so that a process in danger of missing its deadline
can preempt another process.when this process sends its frame,the preempted process can continue from
where it had left off.here throughput is not so significant.Important is that tasks start and end as per their
deadlines.

Process coordination:

Process synchronization refers to the idea that multiple processes are to join up orhandshake at a
certain point, in order to reach an agreement or commit to a certain sequence of action. Coordination of
simultaneous processes to complete a task is known as process synchronization.
The critical section problem
Consider a system ,assume that it consisting of n processes.Each process having a segment of code.This
segment of code is said to be critical section.
E.G: Railway Reservation System.
Two persons from different stations want to reserve their tickets,the train number,destination is
common,the two persons try to get the reservation at the same time. unfortunately, the available berths
are only one,both are trying for that berth.
It is also called the critical section problem.solution is when one process is executing in its critical
section,,no other process is to be allowed to execute in its critical section.
The critical section problem is to design a protocol that the processes can use to cooperate.Each process
must request permission to enter its critical section.The section of code implementing this request is the
entry section.The critical section may be followed by an exit section.The remaining code is the
remainder section.

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

A solution to the critical section problem must satisfy the following 3 requirements:
1.mutual exclusion:
Only one process can execute their critical section at any time.
2. Progress:
When no process is executing a critical section for a data,one of the processes wishing to enter a
critical section for data will be granted entry.
3. Bounded wait:
No process should wait for a resource for infinite amount of time.

Critical section:
The portion in any program that acceses a shared resource is called as critical section (or) critical region.

Peterson’s solution:
Peterson solution is one of the solutions to critical section problem involving two processes.This
solution states that when one process is executing its critical section then the other process executes the
rest of the code and vice versa.
Peterson solution requires two shared data items:
1) turn: indicates whose turn it is to enter into the critical
section. If turn == i ,then process i is allowed into their
criticalsection.
2) flag: indicates when a process wants to enter into critical section.when process i wants to
enter their critical section,it sets flag[i] to true.
do {
flag[i] =
TRUE; turn =
j;
while (flag[j] && turn == j);
critical section
flag[i] = FALSE;
remainder section
} while (TRUE);

Synchronization hardware
In a uniprocessor multiprogrammed system, mutual exclusion can be obtained by disabling the
interrupts before the process enters its critical section and enabling them after it has exited the critical
section.

Disable interrupts
Critical section
Enable interrupts

Once a process is in critical section it cannot be interrupted. This solution cannot be used in
multiprocessor environment. since processes run independently on different processors.
In multiprocessor systems, Testandset instruction is provided,it completes execution without

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 OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

interruption. Each process when entering their critical section must set lock,to prevent other processes
from entering their critical sections simultaneously and must release the lock when exiting their critical
sections.

do {
acquire lock
critical section
release lock
remainder section
} while (TRUE);

A process wants to enter critical section and value of lock is false then testandset returns false and the
value of lock becomes true. thus for other processes wanting to enter their critical sections testandset
returns true and the processes do busy waiting until the process exits critical section and sets the value
of lock to false.
• Definition:
boolean TestAndSet(boolean&lock){
boolean temp=lock;
Lock=true;
return temp;
}
Algorithm for TestAndSet
do{
while testandset(&lock)
//do nothing
//critical section
lock=false
remainder section
}while(TRUE);

Swap instruction can also be used for mutual exclusion

Definition
Void swap(boolean &a, boolean &b)
{
boolean temp=a;
a=b;
b=temp;
}
Algorithm
do
{
key=true;
while(key=true)
swap(lock,key);
critical section
lock=false;
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

remainder section
}while(1);

lock is global variable initialized to false.each process has a local variable key. A process wants to enter
critical section,since the value of lock is false and key is true.

lock=false
key=true
after swap instruction,
lock=true key=false

now key=false becomes true,process exits repeat-until,and enter into critical section.
When process is in critical section (lock=true),so other processes wanting to enter critical section will
have
lock=true key=true
Hence they will do busy waiting in repeat-until loop until the process exits critical section and sets the
value of lock to false.
Semaphores
A semaphore is an integer variable.semaphore accesses only through two operations.
1) wait: wait operation decrements the count by1.
If the result value is negative,the process executing the wait operation is blocked.
2) signaloperation:
Signal operation increments by 1,if the value is not positive then one of the process blocked in wait
operation unblocked.

wait (S) {
while S <= 0 ; // no-op
S--;
}

signal (S)
{
S++;
}

In binary semaphore count can be 0 or 1.

The value of semaphore is initialized to 1.

do {
wait (mutex);
// Critical Section
signal (mutex);
// remainder section
} while (TRUE);
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

First process that executes wait operation will be immediately granted sem.count to 0.
If some other process wants critical section and executes wait() then it is blocked,since value becomes -
1. If the process exits critical section it executes signal().sem.count is incremented by 1.blocked process
is removed from queue and added to ready queue.

Problems:
1) Deadlock
Deadlock occurs when multiple processes are blocked.each waiting for a resource that can only be freed
by one of the other blocked processes.
2) Starvation
one or more processes gets blocked forever and never get a chance to take their turn in the critical
section.
3) Priority inversion
If low priority process is running ,medium priority processes are waiting for low priority process,high
priority processes are waiting for medium priority processes.this is called Priority inversion.
The two most common kinds of semaphores are counting semaphores and binary semaphores.
Counting semaphores represent multiple resources, while binary semaphores, as the name
implies, represents two possible states (generally 0 or 1; locked or unlocked).
Classic problems of synchronization
1) Bounded-buffer problem
Two processes share a common ,fixed –size buffer.
Producer puts information into the buffer, consumer takes it out.
The problem arise when the producer wants to put a new item in the buffer,but it is already full. The
solution is for the producer has to wait until the consumer has consumed atleast one buffer. similarly if
the consumer wants to remove an item from the buffer and sees that the buffer is empty,it goes to sleep
until the producer puts something in the buffer and wakes it up.

The structure of the producer process

do {
// produce an item in nextp wait
(empty);
wait (mutex);
// add the item to the buffer signal
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

(mutex);
signal (full);
} while (TRUE);

The structure of the consumer process

do {
wait (full); wait
(mutex);
// remove an item from buffer to nextc signal
(mutex);
signal (empty);
// consume the item in nextc
} while (TRUE);

2) The readers-writers problem

A database is to be shared among several concurrent processes.some processes may want only to read
the database,some may want to update the database.If two readers access the shared data simultaneously
no problem.if a write,some other process access the database simultaneously problem arised.Writes
have excusive access to the shared database while writing to the database.This problem is known as
readers- writes problem.

First readers-writers problem

No reader be kept waiting unless a writer has already obtained permission to use the shared
resource.
Second readers-writes problem:
Once writer is ready,that writer performs its write as soon as possible.

A process wishing to modify the shared data must request the lock in write mode. multiple processes
are permitted to concurrently acquire a reader-writer lock in read mode. A reader writer lock in read
mode. but only one process may acquire the lock for writing as exclusive access is required for writers.

Semaphore mutex initialized to 1

o Semaphore wrt initialized to 1
o Integer read count initialized to 0

The structure of a writer process

do {
wait (wrt) ;
// writing is performed
signal (wrt) ;
} while (TRUE);

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

The structure of a reader process

do {
wait (mutex) ;
readcount ++ ;
if (readcount == 1)
wait (wrt) ;
signal (mutex)
// reading is performed
wait (mutex) ;
readcount - - ;
if (readcount == 0)
signal (wrt) ;
signal (mutex) ;
} while (TRUE);

3) Dining Philosophers problem

Five philosophers are seated on 5 chairs across a table.Each philosopher has a plate full of noodles.
Each philosopher needs a pair of forks to eat it.There are only 5 forks available all together. there is
only one fork between any two plates of noodles.
In order to eat, a philosopher lifts two forks,one to his left and the other to his right. if he is successful
in obtaining two forks, he starts eating after some time, he stops eating and keeps both the forks down.

What if all the 5 philosophers decide to eat at the same time ?

All the 5 philosophers would attempt to pick up two forks at the same time. So,none of them succeed.

One simple solution is to represent each fork with a semaphore.a philosopher tries to grab a fork
by executing wait() operation on that semaphore.he releases his forks by executing the signal()
operation.This solution guarantees that no two neighbours are eating simultaneously.
Suppose all 5 philosophers become hungry simultaneously and each grabs his left fork,he will be
delayed forever.

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The structure of Philosopher i:

do{
wait ( chopstick[i] );
wait ( chopStick[ (i + 1) % 5] );
// eat
signal ( chopstick[i] );
signal (chopstick[ (i + 1) % 5] );
// think
} while (TRUE);

Several remedies:
1) Allow at most 4 philosophers to be sitting simultaneously at the table.
2) Allow a philosopher to pickup his fork only if both forks are available.
3) An odd philosopher picks up first his left fork and then right fork. an even philosopher picks up his right fork and then
his left fork.

MONITORS
The disadvantage of semaphore is that it is unstructured construct. Wait and signal operations can be scattered in a
program and hence debugging becomes difficult.
A monitor is an object that contains both the data and procedures needed to perform allocation of a shared resource. To
accomplish resource allocation using monitors, a process must call a monitor entry routine. Many processes may
want to enter the monitor at the same time. but only one process at a time is allowed to enter. Data inside a monitor
may be either global to all routines within the monitor (or) local to a specific routine. Monitor data is accessible only
within the monitor. There is no way for processes outside the monitor to access monitor data. This is a form of
information hiding.
If a process calls a monitor entry routine while no other processes are executing inside the monitor, the process
acquires a lock on the monitor and enters it. while a process is in the monitor, other processes may not enter the
monitor to acquire the resource. If a process calls a monitor entry routine while the other monitor is locked the monitor
makes the calling process wait outside the monitor until the lock on the monitor is released. The process that has the
resource will call a monitor entry routine to release the resource. This routine could free the resource and wait for
another requesting process to arrive monitor entry routine calls signal to allow one of the waiting processes to enter the
monitor and acquire the resource. Monitor gives high priority to waiting processes than to newly arriving ones.

Structure:
monitor monitor-name
{
// shared variable declarations
procedure P1 (…) { …. }
procedurePn (…) {……}
Initialization code (…) { … }
}
}
Processes can call procedures p1,p2,p3……They cannot access the local variables of the monitor

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Schematic view of a Monitor

Monitor with Condition Variables

Monitor provides condition variables along with two operations on them i.e. wait and signal.

wait(condition variable)
signal(condition variable)
Every condition variable has an associated queue.A process calling wait on a particular condition
variable is placed into the queue associated with that condition variable.A process calling signal on a
particular condition variable causes a process waiting on that condition variable to be removed from the
queue associated with it.
Solution to Producer consumer problem using monitors:

monitor producerconsumer
condition full,empty;
int count;

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

procedure insert(item)
{
if(count==MAX)
wait(full) ;
insert_item(item);
count=count+1;
if(count==1)
signal(empty);
}
procedure remove()
{
if(count==0)
wait(empty);
remove_item(item);
count=count-1;
if(count==MAX-1)
signal(full);
}
procedure producer()
{
producerconsumer.insert(item);
}
procedure consumer()
{
producerconsumer.remove();
}

Solution to dining philosophers problem using monitors

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

A philosopher may pickup his forks only if both of them are available.A philosopher can eat only if his
two neighbours are not eating.some other philosopher can delay himself when he is hungry.
Diningphilosophers.Take_forks( ) : acquires forks ,which may block the process.
Eat noodles ( )
Diningphilosophers.put_forks( ): releases the forks.
Resuming processes within a monitor
If several processes are suspended on condion x and x.signal( ) is executed by some process. then
how do we determine which of the suspended processes should be resumed next ?
solution is FCFS(process that has been waiting the longest is resumed first).In many circumstances,
such simple technique is not adequate. alternate solution is to assign priorities and wake up the process
with the highest priority.

Resource allocation using monitor

boolean
inuse=false;
conditionavailable;
//conditionvariable
monitorentry void get resource()
{
if(inuse) //is resource inuse
{
wait(available); wait until available issignaled
}
inuse=true; //indicate resource is now inuse
}
monitor entry void return resource()
{
inuse=false; //indicate resource is not in use
signal(available); //signal a waiting process to proceed
}

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

UNIT-3
Memory Management and Virtual Memory - Logical & physical Address Space, Swapping, Contiguous
Allocation, Paging, Structure of Page Table. Segmentation, Segmentation with Paging, Virtual Memory,
Demand Paging, Performance of Demanding Paging, Page Replacement - Page Replacement Algorithms,
Allocation of Frames, Thrashing
Logical And Physical Addresses

An address generated by the CPU is commonly refereed as Logical Address, whereas the
address seen by the memory unit, that is one loaded into the memory address register of the
memory is commonly refereed as the Physical Address. The compile time and load time
address binding generates the identical logical and physical addresses. However, the execution
time address binding scheme results in differing logical and physical addresses.

The set of all logical addresses generated by a program is known as Logical Address Space,
where as the set of all physical addresses corresponding to these logical addresses is
Physical Address Space. Now, the run time mapping from virtual address to physical address
is done by a hardware device known as Memory Management Unit. Here in the case of
mapping the base register is known as relocation register. The value in the relocation register is
added to the address generated by a user process at the time it is sent to memory .Let's
understand this situation with the help of example: If the base register contains the value
1000,then an attempt by the user to address location 0 is dynamically relocated to location
1000,an access to location 346 is mapped to location 1346.
Memory-Management Unit (MMU)
Hardware device that maps virtual to physical address
In MMU scheme, 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 deals with logical addresses; it never sees the real physical addresses

The user program never sees the real physical address space, it always deals with
the Logical addresses. As we have two different type of addresses Logical address in the
range (0 to max) and Physical addresses in the range(R to R+max) where R is the value
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

of relocation register. The user generates only logical addresses and thinks that the process runs
in location to 0 to max. As it is clear from the above text that user program supplies only logical
addresses, these logical addresses must be mapped to physical address before they are used.
Base and Limit Registers

A pair of base and limit registers define the logical address space

HARDWARE PROTECTION WITH BASE AND LIMIT

Binding of Instructions and Data to Memory

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
Load time: Must generate relocatable code if memory location is not known at compile time
Execution time: Binding delayed until run time if the process can be moved during its execution
from
one memory segment to another. Need hardware support for address maps (e.g., base and
limit registers)

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Multistep Processing of a User Program

Dynamic Loading
Routine is not loaded until it is called
Better memory-space utilization; unused routine is never loaded
Useful when large amounts of code are needed to handle infrequently occurring cases
No special support from the operating system is required implemented through program design

Dynamic Linking
Linking postponed until execution time
Small piece of code, stub, used to locate the appropriate memory-resident library
routine Stub replaces itself with the address of the routine, and executes the routine
Operating system needed to check if routine is in processes’ memory
address Dynamic linking is particularly useful for libraries
System also known as shared libraries

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Swapping
A process can be swapped temporarily out of memory to a backing store, and then brought back into
memory for continued executionnBacking store – fast disk large enough to accommodate copies of all
memory images for all users; must provide direct access to these memory imagesnRoll out, roll in –
swapping variant used for priority-based scheduling algorithms; lower-priority process is swapped out so
higher-priority process can be loaded and executednMajor part of swap time is transfer time; total transfer
time is directly proportional to the amount of memory swappednModified versions of swapping are found
on many systems (i.e., UNIX, Linux, and Windows)
System maintains a ready queue of ready-to-run processes which have memory images on disk

Schematic View of Swapping

Contiguous Allocation

Main memory usually into two partitions:

Resident operating system, usually held in low memory with interrupt vector
User processes then held in high memorynRelocation registers used to protect user processes from
each other, and from changing operating-system code and data
Base register contains value of smallest physical address
Limit register contains range of logical addresses – each logical address must be less than the limit
register
MMU maps logical address dynamically
Hardware Support for Relocation and Limit Registers

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Multiple-partition allocation
Hole – block of available memory; holes of various size are scattered throughout
memory When a process arrives, it is allocated memory from a hole large enough to
accommodate it

Contiguous memory allocation is one of the efficient ways of allocating main memory to the
processes. The memory is divided into two partitions. One for the Operating System and
another for the user processes. Operating System is placed in low or high memory depending on
the interrupt vector placed. In contiguous memory allocation each process is contained in a
single contiguous section of memory.

Memory protection

Memory protection is required to protect Operating System from the user processes and user
processes from one another. A relocation register contains the value of the smallest physical
address for example say 100040. The limit register contains the range of logical address for
example say 74600. Each logical address must be less than limit register. If a logical address is
greater than the limit register, then there is an addressing error and it is trapped. The limit
register hence offers memory protection.

The MMU, that is, Memory Management Unit maps the logical address dynamically, that is at
run time, by adding the logical address to the value in relocation register. This added value is
the physical memory address which is sent to the memory.

The CPU scheduler selects a process for execution and a dispatcher loads the limit and
relocation registers with correct values. The advantage of relocation register is that it provides an
efficient way to allow the Operating System size to change dynamically.

Memory allocation

There are two methods namely, multiple partition method and a general fixed partition method.
In multiple partition method, the memory is divided into several fixed size partitions. One
process occupies each partition. This scheme is rarely used nowadays. Degree of
multiprogramming depends on the number of partitions. Degree of multiprogramming is the
number of programs that are in the main memory. The CPU is never left idle in
multiprogramming. This was used by IBM OS/360 called MFT. MFT stands for
Multiprogramming with a Fixed number of Tasks.

Generalization of fixed partition scheme is used in MVT. MVT stands for Multiprogramming
with a Variable number of Tasks. The Operating System keeps track of which parts of memory
are available and which is occupied. This is done with the help of a table that is maintained by

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

the Operating System. Initially the whole of the available memory is treated as one large block
of memory called a hole. The programs that enter a system are maintained in an input queue.
From the hole, blocks of main memory are allocated to the programs in the input queue. If the
hole is large, then it is split into two, and one half is allocated to the arriving process and the
other half is returned. As and when memory is allocated, a set of holes in scattered. If holes are
adjacent, they can be merged.
Now there comes a general dynamic storage allocation problem. The following are the
solutions to the dynamic storage allocation problem.

 First fit: The first hole that is large enough is allocated. Searching for the holes
starts from the beginning of the set of holes or from where the previous first fit search ended.

 Best fit: The smallest hole that is big enough to accommodate the incoming
process is allocated. If the available holes are ordered, then the searching can be reduced.

 Worst fit: The largest of the available holes is allocated.

First and Best fits decrease time and storage utilization. First fit is generally faster.
Fragmentation
The disadvantage of contiguous memory allocation is fragmentation. There are two types
of fragmentation, namely, Internal fragmentation and External fragmentation.
Internal fragmentation

When memory is free internally, that is inside a process but it cannot be used, we call that
fragment as internal fragment. For example say a hole of size 18464 bytes is available. Let the
size of the process be 18462. If the hole is allocated to this process, then two bytes are left
which is not used. These two bytes which cannot be used forms the internal fragmentation. The
worst part of it is that the overhead to maintain these two bytes is more than two bytes.

External fragmentation

All the three dynamic storage allocation methods discussed above suffer external fragmentation.
When the total memory space that is got by adding the scattered holes is sufficient to satisfy a
request but it is not available contiguously, then this type of fragmentation is called external
fragmentation.

The solution to this kind of external fragmentation is compaction. Compaction is a method by

which all free memory that are scattered are placed together in one large memory block. It is to
be noted that compaction cannot be done if relocation is done at compile time or assembly
time. It is possible only if dynamic relocation is done, that is relocation at execution time.

One more solution to external fragmentation is to have the logical address space and physical
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

address space to be non contiguous. Paging and Segmentation are popular non contiguous
allocation methods.

Paging
A computer can address more memory than the amount physically installed on the system. This
extra memory is actually called virtual memory and it is a section of a hard that's set up to
emulate the computer's RAM. Paging technique plays an important role in implementing virtual
memory.
Paging is a memory management technique in which process address space is broken into
blocks of the same size called pages (size is power of 2, between 512 bytes and 8192 bytes).
The size of the process is measured in the number of pages.
Similarly, main memory is divided into small fixed-sized blocks of (physical) memory called
frames and the size of a frame is kept the same as that of a page to have optimum utilization of
the main memory and to avoid external fragmentation.

Paging Hardware

Address Translation
Page address is called logical address and represented by page number and the offset.
Logical Address = Page number + page offset
Frame address is called physical address and represented by a frame number and the offset.
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Physical Address = Frame number + page offset

A data structure called page map table is used to keep track of the relation between a page of
a process to a frame in physical memory.

Paging Model of Logical and Physical Memory

Paging Example

32-byte memory and 4-byte pages

Free Frames
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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

When the system allocates a frame to any page, it translates this logical address into a physical
address and create entry into the page table to be used throughout execution of the program.
When a process is to be executed, its corresponding pages are loaded into any available
memory frames. Suppose you have a program of 8Kb but your memory can accommodate only
5Kb at a given point in time, then the paging concept will come into picture. When a computer
runs out of RAM, the operating system (OS) will move idle or unwanted pages of memory to
secondary memory to free up RAM for other processes and brings them back when needed by
the program.
This process continues during the whole execution of the program where the OS keeps
removing idle pages from the main memory and write them onto the secondary memory and
bring them back when required by the program.

Implementation of Page Table

Page table is kept in main memory

Page-table base register (PTBR) points to the page table
Page-table length register (PRLR) indicates size of the page table
In this scheme every data/instruction access requires two memory accesses. One for the page table
and one for the data/instruction.
The two memory access problem can be solved by the use of a special fast-lookup hardware
cache called associative memory or translation look-aside buffers (TLBs)

Paging Hardware With TLB

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

=2+e–a
Memory Protection
Memory protection implemented by associating protection bit with each frame
Valid-invalid bit attached to each entry in the page table:
“valid” indicates that the associated page is in the process’ logical address space, and is thus a legal
page “invalid” indicates that the page is not in the process’ logical address space
Valid (v) or Invalid (i) Bit In A Page Table

Shared Pages
Shared code
One copy of read-only (reentrant) code shared among processes (i.e., text editors, compilers,
window systems).
Shared code must appear in same location in the logical address space of all processes
Private code and data
Each process keeps a separate copy of the code and data
The pages for the private code and data can appear anywhere in the logical address space
Shared Pages Example

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Structure of the Page Table

Hierarchical Paging
Hashed Page Tables
Inverted Page Tables

Hierarchical Page Tables

Break up the logical address space into multiple page

tables A simple technique is a two-level page table

Two-Level Page-Table Scheme

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Two-Level Paging Example

A logical address (on 32-bit machine with 1K page size) is divided
into: a page number consisting of 22 bits
a page offset consisting of 10 bits
Since the page table is paged, the page number is further divided into:
a 12-bit page
number a 10-bit
page offset
Thus, a logical address is as follows:

where pi is an index into the outer page table, and p2 is the displacement within the page of the
outer page table

p
Page number page offset
pi p2 d

12 10 10
Address-Translation Scheme

Three-level Paging Scheme

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Hashed Page Tables

Common in address spaces > 32 bits

The virtual page number is hashed into a page table
This page table contains a chain of elements hashing to the same
location Virtual page numbers are compared in this chain searching
for a match
If a match is found, the corresponding physical frame is extracted

Hashed Page Table

Inverted Page Table

One entry for each real page 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
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
Inverted Page Table Architecture

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Advantages and Disadvantages of Paging

Here is a list of advantages and disadvantages of paging −
 Paging reduces external fragmentation, but still suffer from internal fragmentation.
 Paging is simple to implement and assumed as an efficient memory management
technique.
 Due to equal size of the pages and frames, swapping becomes very easy.
 Page table requires extra memory space, so may not be good for a system having
small RAM.

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
 symbol table
 arrays

User’s View of a Program

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Segmentation Architecture
Logical address consists of a two tuple:
o <segment-number, offset>,
Segment table – maps two-dimensional physical adp drh
esy
ses
s;iecaa
chl tam
bleeem
ntro
y rhy
as: space
base – contains the starting physical address where the segments reside in memory
limit – specifies the length of the segment
Segment-table base register (STBR) points to the segment table’s location in memory
Segment-table length register (STLR) indicates number of segments used by a program;
segment number s is legal if s < STLR
Protection
With each entry in segment table associate:
validation bit = 0 Þ illegal
segment read/write/execute
privileges
Protection bits associated with segments; code sharing occurs at segment level
Since segments vary in length, memory allocation is a dynamic storage-allocation
problem A segmentation example is shown in the following diagram

Segmentation Hardware

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Example of Segmentation

Segmentation with paging

Instead of an actual memory location the segment information includes the address of a page
table for the segment. When a program references a memory location the offset is translated to
a memory address using the page table. A segment can be extended simply by allocating
another memory page and adding it to the segment's page table.
An implementation of virtual memory on a system using segmentation with paging usually
only moves individual pages back and forth between main memory and secondary storage,
similar to a paged non-segmented system. Pages of the segment can be located anywhere in
main memory and need not be contiguous. This usually results in a reduced amount of
input/output between primary and secondary storage and reduced memory fragmentation.

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OPERATING SYSTEM NOTES III YEAR/I SEM MRCET

Virtual Memory
Virtual Memory is a space where large programs can store themselves in form of pages while
their execution and only the required pages or portions of processes are loaded into the main
memory. This technique is useful as large virtual memory is provided for user programs when
a very small physical memory is there.
In real scenarios, most processes never need all their pages at once, for following reasons :
 Error handling code is not needed unless that specific error occurs, some of which
are quite rare.
 Arrays are often over-sized for worst-case scenarios, and only a small fraction of the
arrays are actually used in practice.
 Certain features of certain programs are rarely used.

Fig. Diagram showing virtual memory that is larger than physical memory.
Virtual memory is commonly implemented by demand paging. It can also be implemented in a
segmentation system. Demand segmentation can also be used to provide virtual memory.

Benefits of having Virtual Memory :

1. Large programs can be written, as virtual space available is huge compared to
physical memory.
2. Less I/O required, leads to faster and easy swapping of processes.

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3. More physical memory available, as programs are stored on virtual memory, so they
occupy very less space on actual physical memory.

Demand Paging

A demand paging is similar to a paging system with swapping(Fig 5.2). When we want to execute a
process, we swap it into memory. Rather than swapping the entire process into memory.

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. Thus, it avoids reading into memory pages that will not be used in anyway, decreasing the swap
time and the amount of physical memory needed.

Hardware support is required to distinguish between those pages that are in memory and those
pages that are on the disk using the valid-invalid bit scheme. Where valid and invalid pages can be checked
checking the bit and marking a page will have no effect if the process never attempts to access the pages.
While the process executes and accesses pages that are memory resident, execution proceeds normally.
Fig. Transfer of a paged memory to continuous disk space

Access to a page marked invalid causes a page-fault trap. This trap is the result of the operating
system's failure to bring the desired page into memory.

Initially only those pages are loaded which will be required the process immediately.
The pages that are not moved into the memory, are marked as invalid in the page table. For an
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invalid entry the rest of the table is empty. In case of pages that are loaded in the memory, they
are marked as valid along with the information about where to find the swapped out page.
When the process requires any of the page that is not loaded into the memory, a page fault trap is
triggered and following steps are followed,
1. The memory address which is requested by the process is first checked, to verify the
request made by the process.
2. If its found to be invalid, the process is terminated.
3. In case the request by the process is valid, a free frame is located, possibly from a
free-frame list, where the required page will be moved.
4. A new operation is scheduled to move the necessary page from disk to the specified
memory location. ( This will usually block the process on an I/O wait, allowing some other
process to use the CPU in the meantime. )
5. When the I/O operation is complete, the process's page table is updated with the
new frame number, and the invalid bit is changed to valid.

Fig. Steps in handling a page fault

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6. The instruction that caused the page fault must now be restarted from the beginning.
There are cases when no pages are loaded into the memory initially, pages are only loaded when
demanded by the process by generating page faults. This is called Pure Demand Paging.
The only major issue with Demand Paging is, after a new page is loaded, the process starts
execution from the beginning. Its is not a big issue for small programs, but for larger programs
it affects performance drastically.
Advantages of Demand Paging:
1. Large virtual memory.
2. More efficient use of memory.
3. Unconstrained multiprogramming. There is no limit on degree of multiprogramming.

Disadvantages of Demand Paging:

4. Number of tables and amount of processor over head for handling page interrupts are greater than in
the case of the simple paged management techniques.
5. due to the lack of an explicit constraints on a jobs address space size.

Page Replacement
As studied in Demand Paging, only certain pages of a process are loaded initially into the
memory. This allows us to get more number of processes into the memory at the same time.
but what happens when a process requests for more pages and no free memory is available to
bring them in. Following steps can be taken to deal with this problem :
1. Put the process in the wait queue, until any other process finishes its execution
thereby freeing frames.
2. Or, remove some other process completely from the memory to free frames.
3. Or, find some pages that are not being used right now, move them to the disk to get free
frames. This technique is called Page replacement and is most commonly used. We have
some great algorithms to carry on page replacement efficiently.
Page Replacement Algorithm
Page replacement algorithms are the techniques using which an Operating System decides
which memory pages to swap out, write to disk when a page of memory needs to be allocated.
Paging happens whenever a page fault occurs and a free page cannot be used for allocation
purpose accounting to reason that pages are not available or the number of free pages is lower
than required pages.
When the page that was selected for replacement and was paged out, is referenced again, it has
to read in from disk, and this requires for I/O completion. This process determines the quality
of the page replacement algorithm: the lesser the time waiting for page-ins, the better is the
algorithm.
A page replacement algorithm looks at the limited information about accessing the pages
provided by hardware, and tries to select which pages should be replaced to minimize the total
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number of page misses, while balancing it with the costs of primary storage and processor time
of the algorithm itself. There are many different page replacement algorithms. We evaluate an
algorithm by running it on a particular string of memory reference and computing the number
of page faults,
Reference String
The string of memory references is called reference string. Reference strings are generated
artificially or by tracing a given system and recording the address of each memory reference.
The latter choice produces a large number of data, where we note two things.
 For a given page size, we need to consider only the page number, not the entire address.
 If we have a reference to a page p, then any immediately following references
to page p will never cause a page fault. Page p will be in memory after the first reference; the
immediately following references will not fault.
 For example, consider the following sequence of addresses − 123,215,600,1234,76,96
 If page size is 100, then the reference string is
1,2,6,12,0,0 First In First Out (FIFO) algorithm
 Oldest page in main memory is the one which will be selected for replacement.
 Easy to implement, keep a list, replace pages from the tail and add new pages at
the head.

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Optimal Page algorithm

 An optimal page-replacement algorithm has the lowest page-fault rate of all
algorithms. An optimal page-replacement algorithm exists, and has been called OPT or MIN.
 Replace the page that will not be used for the longest period of time. Use the time
when a page is to be used.

Least Recently Used (LRU) algorithm

 Page which has not been used for the longest time in main memory is the one
which will be selected for replacement.
 Easy to implement, keep a list, replace pages by looking back into time.

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Page Buffering algorithm

 To get a process start quickly, keep a pool of free frames.
 On page fault, select a page to be replaced.
 Write the new page in the frame of free pool, mark the page table and restart the process.
 Now write the dirty page out of disk and place the frame holding replaced page
in free pool.
Least frequently Used(LFU) algorithm
 The page with the smallest count is the one which will be selected for replacement.
 This algorithm suffers from the situation in which a page is used heavily during
the initial phase of a process, but then is never used again.
Most frequently Used(MFU) algorithm
 This algorithm is based on the argument that the page with the smallest count was
probably just brought in and has yet to be used.
Allocation of Frames in Operating System:
Normally, there are fixed amounts of free memory with various processes at different time in
a system. The question is how this fixed amount of free memory is allocated among the
different processes.
The simplest case is the single process system. All available memory for user programs can
initially be put on the free frame list (pure demand paging). When the user program starts its
execution, it will generate a sequence of page faults. The user program would get all free
frames from the free frame list. As soon as this list was exhausted, and the more free frames
are required, the page replacement algorithm can be used to select one of the in-used pages
to be replaced with the next required page and so on. After the program was terminated, all
used pages are put on the free frame list again.
The frame allocation procedure is more complicated when there are two of more programs in
memory at the same time.
1. Minimum Number of Frames:
We cannot allocate more than the total number of available frames in the system. On the
other hand, there is a minimum number of frames which must be allocated. This minimum
number is determined by the instruction architecture. It is obvious that we must provide
enough frames to hold all the different pages that any single instruction can reference. For
example, all memory reference instructions of-a machine have only one memory address.
So we need at least one frame for the instruction code and one frame for the memory
reference. If one level indirect addressing is allowed, a load instruction on page m can refer
to an address on page. It is an indirect reference to page k. We need three pages.
2. Algorithms:
The simplest way is to divide m available frames among n processes to give everyone an
equal share, m/n frames. This is called equal allocation. Various processes will need
different amounts of memory. If the equal allocation is applied, there can be some frames

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wasted. Therefore, other allocation scheme can be used to give available memory to each
process according to its size. This is called, proportional allocation. Let the size of the
virtual memory for process pi be si, the number of frames allocated to the process p i be ai,
and define S = ∑ si
If the total number of available frames is m, then ai can be
calculated: ai = (si/S) * m.
Of course ai must be adjust to be a integer, greater than the minimum number of frames
required by the instruction set with a sum not exceeding m.
In both of theses cases, the number of frames allocated to each process may vary according to
the multiprogramming level; say l. If l increases, each process will lose some of the allocated
frames to provide memory needed for the new process. Otherwise, the frames allocated to the
departed process can be now spread over the remaining processes.
Within these two allocation schemes, a high-priority process is treated the same as low-
priority process. By definition, it is desirable to give more memory to high-priority process
to speed up its execution.
3. Replacement Scope:
When its necessary to find free page frames, what set of pages should become candidates for
replacement?
 Local replacement policies replace pages that belong to the process that needs the new frame.

 Global policies consider all unlocked frames. Most systems use global replacement

because it is easy to implement, has minimal overhead, and performs reasonably well.

Local Replacement Global Replacement

Rarely used -A process is given a fixed
Fixed number of frames. Page faults are
Allocation satisfied This combination isn't possible
from this set.
The process is given a fixed allocation Replacement pages are chosen from
and pages to be replaced are chosen from any page in memory. Resident set
Variable this set. Periodically, the resident, set size varies, although by a blind
Allocation size is re-evaluated. Pages can be added process.
or subtracted. This is the most common approach

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UNIT-4
File System Interface - The Concept of a File, Access methods, Directory Structure, File System Mounting,
File Sharing, Protection, File System Implementation - File System Structure, File System Implementation,
Allocation methods, Free-space Management, Directory Implementation, Efficiency and Performance.
Mass Storage Structure - Overview of Mass Storage Structure, Disk Structure, Disk Attachment, Disk
Scheduling, Disk Management, Swap space Management

File System

File Concept :

Computers can store information on various storage media such as, magnetic disks,
magnetic tapes, optical disks. The physical storage is converted into a logical storage unit
by operating system. The logical storage unit is called FILE. A file is a collection of similar
records. A record is a collection of related fields that can be treated as a unit by some
application program. A field is some basic element of data. Any individual field contains a
single value. A data base is collection of related data.

Student Marks Marks Fail/Pas

KUMA 85 86 P
LAKSH 93 92 P
DATA FILE

Student name, Marks in sub1, sub2, Fail/Pass are fields. The collection of fields is called a

RECORD. RECORD:

LAKSH 93 92 P
Collection of these records is called a data file.

FILE ATTRIBUTES :

1. Name : A file is named for the convenience of the user and is referred by its
name. A name is usually a string of characters.
2. Identifier : This unique tag, usually a number ,identifies the file within the file system.
3. Type : Files are of so many types. The type depends on the extension of the file.

Example: .exe Executable file

.obj Object file

.src Source file

4. Location : This information is a pointer to a device and to the location of the

file on thatdevice.
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5. Size : The current size of the file (in bytes, words,blocks).

6. Protection : Access control information determines who can do reading,
writing, executing and so on.
7. Time, Date, User identification : This information may be kept for
creation, last modification,last use.

FILE OPERATIONS

1. Creating a file : Two steps are needed to create a file. They are:
 Check whether the space is available ornot.
 If the space is available then made an entry for the new file in the
directory. The entry includes name of the file, path of the file,etc…
2. Writing a file : To write a file, we have to know 2 things. One is name of the
file and second is the information or data to be written on the file, the system searches the
entired given location for the file. If the file is found, the system must keep a write pointer
to the location in the file where the next write is to take place.
3. Reading a file : To read a file, first of all we search the directories for the file, if
the file is found, the system needs to keep a read pointer to the location in the file where the
next read is to take place. Once the read has taken place, the read pointer is updated.
4. Repositioning within a file : The directory is searched for the appropriate
entry and the current file position pointer is repositioned to a given value. This operation
is also called file seek.
5. Deleting a file : To delete a file, first of all search the directory for named
file, then released the file space and erase the directoryentry.
6. Truncating a file : To truncate a file, remove the file contents only but, the
attributes are as itis.

FILE TYPES:The name of the file split into 2 parts. One is name and second is
Extension. The file type is depending on extension of the file.

File Type Extension Purpose

Executable .exe Ready to run
.com (or) ready to
.bin run machine
Source code .c Source code in
.cpp various
.asm languages.
Object .obj Compiled,
.o machine
Batch .bat Commands to
.sh the command
Text .txt Textual
.doc data,
documents

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Word processor .doc Various word

.wp process
.rtf or
formats
Library .lib Libraries of
.dll routines for
Print or View .pdf Binary file in a
.jpg format for
Archive .arc Related files
.zip grouped into a
Multimedia .mpeg Binary file
.mp3 containing audio
.avi or audio/video

FILE STRUCTURE

File types also can be used to indicate the internal structure of the file. The operating system
requires that an executable file have a specific structure so that it can determine where in
memory to load the file and what the location of the first instruction is. If OS supports
multiple file structures, the resulting size of OS is large. If the OS defines 5 different file
structures, it needs to contain the code to support these file structures. All OS must support
at least one structure that of an executable file so that the system is able to load and run
programs.

INTERNAL FILE STRUCTURE

In UNIX OS, defines all files to be simply stream of bytes. Each byte is individually
addressable by its offset from the beginning or end of the file. In this case, the logical
record size is 1 byte. The file system automatically packs and unpacks bytes into physical
disk blocks, say 512 bytes per block.

The logical record size, physical block size, packing determine how many logical records are
in each physical block. The packing can be done by the user’s application program or OS. A
file may be considered a sequence of blocks. If each block were 512 bytes, a file of 1949
bytes would be allocated 4 blocks(2048 bytes). The last 99 bytes would be wasted. It is
called internal fragmentation all file systems suffer from internal fragmentation,the larger the
block size, the greater the internal fragmentation.

FILE ACCESS METHODS

Files stores information, this information must be accessed and read into computer
memory. There are so many ways that the information in the file can be accessed.

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1. Sequential file access:

Information in the file is processed in order i.e. one record after the other.
Magnetic tapes are supporting this type of file accessing.

Eg : A file consisting of 100 records, the current position of read/write head is 45 th

record, suppose we want to read the 75th record then, it access sequentially from 45, 46,
47
…….. 74, 75. So the read/write head traverse all the records between 45 to 75.

Direct access:

Direct access is also called relative access. Here records can read/write randomly without
any order. The direct access method is based on a disk model of a file, because disks allow
random access to any file block.

Eg : A disk containing of 256 blocks, the position of read/write head is at 95th block. The
block is to be read or write is 250th block. Then we can access the 250th block directly
without any restrictions.

Eg : CD consists of 10 songs, at present we are listening song 3, If we want to listen song

10, we can shift to 10.

2. INDEXED SEQUENTIAL FILEACCESS

The main disadvantage in the sequential file is, it takes more time to access a Record
.Records are organized in sequence based on a key field.

Eg :

A file consisting of 60000 records,the master index divide the total records into 6 blocks,
each block consisiting of a pointer to secondary index.The secondary index divide the 10,000
records into 10 indexes.Each index consisting of a pointer to its orginal location.Each record
in the index file consisting of 2 field, A key field and a pointer field.

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DIRECTORY STRUCTURE

Sometimes the file system consisting of millions of files,at that situation it is very hard to
manage the files. To manage these files grouped these files and load one group into one
partition.

Each partition is called a directory .a directory structure provides a mechanism for

organizing many files in the file system.

OPERATION ON THE DIRECTORIES :

1. Search for a file : Search a directory structure for requiredfile.

2. createafile : New files need to be created, added to thedirectory.

3. Deleteafile : When a file is no longer needed,we want to remove it fromthe

directory.

4. List adirectory : We can know the list of files in thedirectory.

5. Renameafile : When ever we need to change the name of the file,wecanchange

thename.

6. Traverse the file system : We need to access every directory and every file
with in a directory structure we can traverse the file system

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The various directory structures

1. Single level directory:

The directory system having only one directory,it consisting of all

files some times it is said to be root directory.

E.g :- Here directory containing 4 files (A,B.C,D).the advantage of the scheme is

its simplicity and the ability to locate files quickly.The problem is different users
may accidentally use the same names for their files.

E.g :- If user 1 creates a files caled sample and then later user 2 to creates a file
called sample,then user2’s file will overwrite user 1 file.Thats why it is not used in
the multi user system.

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2. Two level directory:

The problem in single level directory is different user may be accidentally use the
same name for their files. To avoid this problem each user need a private directory,

Names chosen by one user don't interfere with names chosen by a different user.

Root directory is the first level directory.user 1,user2,user3 are user level of
directory A,B,C are files.

3. Tree structured directory:

Two level directory eliminates name conflicts among users but it is not satisfactory
for users with a large number of files.To avoid this create the sub-directory and load
the same type of files into the sub-directory.so, here each can have as many
directories are needed.

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There are 2 types of path

1. Absoulte path

2. Relative path

Absoulte path : Begging with root and follows a path down to specified files
giving directory, directory name on the path.

Relative path : A path from current directory.

4. Acyclic graphdirectory

Multiple users are working on a project, the project files can be stored in a comman
sub-directory of the multiple users. This type of directory is called acyclic graph
directory .The common directory will be declared a shared directory. The graph
contain no cycles with shared files, changes made by one user are made visible to
other users.A file may now have multiple absolute paths. when shared directory/file
is deleted, all pointers to the directory/ files also to be removed.

5. General graph directory:

When we add links to an existing tree structured directory, the tree

structure is destroyed, resulting is a simple graph structure.

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Advantages :- Traversing is easy. Easy sharing is possible.

FILE SYSTEM MOUNTING
Assume there are 2 disks D1 and D2 connected to a system .D1 could be a hard
disk and D2 could be a floppy disk (or) both could be hard disk (or) floppy disk.

Two file system on 2 Devices

assume to copy a file r from D2 to a directory u under D1. In MS-

DOS

UNIX adopts a different approach .UNIX allows to uproot the whole directory
structure under D2 : mount (or) graft it on D1 : under a specific directory -say
Y by using a mount command. After mounting, the directory structure looks as

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A Directory structure after mounting

now copying of the file.

Similarly, a file system can be unmounted and separated into another independent
file system with a separate root directory.

File Sharing
In a Single User System, the concept of File Sharing is not needed. Only one
user needs files stored on a computer. In Multi user scenario, there are
multiple users accessing Multiple Computers. In Such a case, the need for
accessing the files stored on other computers is felt many times. Here file
sharing comes intopicture.

Managing Access Rights

In Multi user scenario, it is very important to decide which user can

access which files, specify specific actions that a user can perform on a
particular file.

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Access Right Meaning

None The user would not be able to
perform any operation on
the file. The user may
not even be
The user can read the file but
Read-only can’t perform
Read – Write The user can perform all
kinds of read and update
operations
Execute User can Execute the file

Who can have access rights?

Access right to whom? Meaning
User The specified access rights are
Provided to a particular user
Group The specified access rights are
provided to a group of users
All The specified access rights apply

Remote File Systems

Today, communication among remote computers is possible.

Networking allows the sharing of resources spread across a campus (or) even
around the world.

Example: Share data in the form of files.

Remote file sharing methods have changed. The first method involves manually
transferring files between machines via FTP. The second method uses a distributed
file system (DFS) in which remote directories are visible from a local machine. The
third method, the WWW. A Browser is needed to gain access to remote files and
separate operations are used to transfer files.

FTP is used for both anonymous and authentication access. Anonymous access
allows a user to transfer files without having an account on the remote system.
WWW uses Anonymous File exchange. DFS involves a much tighter integration
between the machine that is accessing the remote files and the mutual providing the
files.

Client & Server Model

Remote file systems, the machine containing the files is the server, and the machine
seeking access to the files is the client. The server declares that a resource is available
to clients and specifies exactly which files and exactly which clients. A server can
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serve multiple clients and a client can use multiple servers. The server usually
specifies the available files on directory level. A client can be specified by an IP
address. But these can be imitated as a result of imitating; an unauthorized client
could be allowed to access the server. More secure Solutions include secure
Authentication of the client via encrypted Keys. Once remote file system mounted,
file operation requests are sent to server. Server checks if the user have credentials to
access the file. The request is either allowed/denied. If allowed the file is return to
client, client can read, write, other operations. The client closes the file when access is
completed.

Distributed information systems

To make client- server systems easier to manage, distributed information systems

also known as distributed naming services, provide uniform access to the
information needed for remote computing.

DNS (Domain name system), we can visit a website by typing in the domain name
rather than the IP address (67.43.14.98). DNS translates domain names into IP
address, allowing to access an internet location by its domain name. Before DNS
became wide spread ,files containing the same information were sent via emails (or)
FTP between all networked hosts.
In the case of Microsoft common Internet File System (CIFS) Network information
is used in conjunction with user authentication (User name, password) to create a
network login that the server uses to decide whether to allow (or) deny access to a
requested file system.

Failure Models

Local file systems can fail for a variety of reasons, failure of disk corruption of the
directory Structure, cable failure……User(or) System administrator failure can also
cause files to be lost. Human intervention will be required to repair the damage.
remote file system have even more failure modes because of the complexity of the
network systems and the required interaction between remote machines.

In the case of networks, the network can be interrupted between 2 hosts, such
interruptions can result from h/w failure, poor h/w configuration etc.

Consider, a crash of the server, suddenly the remote file system is no longer
reachable. The system can either terminate all operations to the lost server (or) delay
operations until the server is again reachable.

To implement recovery from failure, state information may be maintained on both

client, Server.
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If both server, client maintain knowledge of the current activities, then they can
recover from failure.

Consistency Semantics
Consistency semantics represent an important criterion for evaluating any file system
that supports file sharing. These semantics specify how multiple users of a system
are to access a shared file simultaneously. They specify when modifications of data
by one user will be observable by other users. These semantics are typically
implemented as code with the file system.
Protection

When information stored in a computer system, we want to keep it safe from

physical damage and improper access. Reliability is generally provided by duplicate
copies of files. Many computers have systems programs that automatically copy disk
files to tape at regular intervals(once per day (or) week) to maintain a copy should a
file system be accidentally destroyed. File systems can be damaged by hardware
problems, power failures, and temperature extremes. Files may be deleted
accidentally. Bugs in the file system software also cause file contents to be lost.
Protection can be provided in many ways. For a small single user system, we might
provide protection by physically removing the floppy disks and locking them in a
disk drawer. In multilayer system, other mechanisms areneeded.

Types of Access

Protection mechanisms provide controlled access by limiting types of file access that
can be made. Access is permitted/denied depending on several factors, one of which
is the type of access requested.

Read: Read from the file Write: Write/rewrite the file

Execute: load the file into memory & execute it Append: Write new information at the
end of the file Delete: delete the file and free its space for reuse List: list the name and
attributes of the file.
Renaming, copying, editing the file may also be controlled

Access Control

Most common approach to the protection problem is to make access dependent on the
identity of the user different users may need different types of access to a file. An
access control list (ACL) specifying user names and types of access file, OS checks
the list (ACL) associated with that file. If that user is listed for the requested access,
the access is allowed. Otherwise protection violation occurs, and user process is
denied access to the file.
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Access can be provided to the following class of users:

1) Owner: The user who created the file is the owner.

2) Group: A set of users who are sharing the file.
3) Universe: All the other users in the system constitute the universe.
Other Protection approaches : Maintain password for each file.

Disadvantages
a) No of passwords that a user needs to remember may becomelarge.
b) If only one password is used for all files, then once it is discovered,
all files areaccessible.
c) Some systems allow a user to associate a password with a sub
directory rather than individual file.
File system structure:
Disk provides the bulk of secondary storage on which a file system is maintained.
They have 2 characteristics that make them a convenient medium for storing multiple
files.
1. A disk can be rewritten in place. It is possible to read a block from
the disk, modify the block, and write it back into sameplace.
2. A disk can access directly any block of information itcontains.

Application Programs

Logical File System

File Organisation Module

Basic File System

I/O Control

Devices

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I/O Control: consists of device drivers and interrupt handlers to transfer information
between the main memory and the disk system. The device driver writes specific bit
patterns to special locations in the I/O controller’s memory to tell the controller
which device location to act on and what actions to take.

The Basic File System needs only to issue commands to the appropriate device
driver to read and write physical blocks on the disk. Each physical block is
identified by its numeric disk address (Eg. Drive 1, cylinder 73, track2, sector 10).

The File Organization Module knows about files and their logical blocks and
physical blocks. By knowing the type of file allocation used and the location of the
file, file organization module can translate logical block address to physical
addresses for the basic file system to transfer. Each file’s logical blocks are
numbered from 0 to n. so, physical blocks containing the data usually do not match
the logical numbers. A translation is needed to locate eachblock.

The Logical File System manages all file system structure except the actual data
(contents of file). It maintains file structure via file control blocks. A file control
block (inode in Unix file systems) contains information about the file, ownership,
permissions, location of the file contents.

File System Implementation:

Overview:

A Boot Control Block (per volume) can contain information needed by the system to
boot an OS from that volume. If the disk does not contain an OS, this block can
beempty.

A Volume Control Block (per volume) contains volume (or partition) details, such as
number of blocks in the partition, size of the blocks, a free block, count and free
block pointers, free FCB count, FCB pointers.

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A Typical File Control Block

A Directory Structure (per file system) is used to organize the files. A PER-FILE

FCB contains many details about the file.

A file has been created; it can be used for I/O. First, it must be opened. The open( )
call passes a file name to the logical file system. The open( ) system call First searches
the system wide open file table to see if the file is already in use by another process. If
it is ,a per process open file table entry is created pointing to the existing system wide
open file table. If the file is not already open, the directory structure is searched for the
given file name. Once the file is found, FCB is copied into a system wide open file
table in memory. This table not only stores the FCB but also tracks the number of
processes that have the fileopen.

Next, an entry is made in the per – process open file table, with the pointer to the entry
in the system wide open file table and some other fields. These are the fields include a
pointer to the current location in the file ( for the next read/write operation) and the
access mode in which the file is open. The open () call returns a pointer to the
appropriate entry in the per-process file system table. All file operations are preformed
via this pointer. When a process closes the file the per- process table entry is removed.
And the system wide entry open count is decremented. When all users that have
opened the file close it, any updated metadata is copied back to the disk base directory
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structure. System wide open file table entry is removed.

System wide open file table contains a copy of the FCB of each open file,
other information. Per process open file table, contains a pointer to the
appropriate entry in the system wide open file
table, other information.

Virtual File Systems

Virtual File Systems (VFS) on Unix provide an object-oriented way of
implementing file
systems
VFS allows the same system call interface (the API) to be used for different types
of file
systems
o Separates file-system generic operations from implementation details
o Implementation can be one of many file systems types, or network file system
Implements vnodes which hold inodes or network file details
o Then dispatches operation to appropriate file system implementation
routines The API is to the VFS interface, rather than any specific type of
file system

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Directory Implementation
Linear list of file names with pointer to the data blocks
o Simple to program
o Time-consuming to
execute Linear search time
Could keep ordered alphabetically via linked list or use B+ tree
Hash Table – linear list with hash data
structure o Decreases directory search time
o Collisions – situations where two file names hash to the same location
o Only good if entries are fixed size, or use chained-overflow method

Allocation Methods – Contiguous

An allocation method refers to how disk blocks are allocated for files:
Contiguous allocation – each file occupies set of contiguous blocks o Best performance
in most cases
o Simple – only starting location (block #) and length (number of blocks) are required
o Problems include finding space for file, knowing file size, external
fragmentation, need for compaction off-line (downtime) or on-line

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Linked
Linked allocation – each file a linked list of
blocks o File ends at nil pointer
o No external fragmentation
o Each block contains pointer to next block
o No compaction, external fragmentation
o Free space management system called when new block needed
o Improve efficiency by clustering blocks into groups but
increases internal fragmentation
o Reliability can be a problem
o Locating a block can take many I/Os
and disk seeks FAT (File Allocation Table)
variation
o Beginning of volume has table, indexed by block number
o Much like a linked list, but faster on disk and cacheable

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File-Allocation Table

Indexed allocation
o Each file has its own index block(s) of pointers to its data blocks

Free-Space Management
File system maintains free-space list to track available
blocks/clusters Linked list (free list)
o Cannot get contiguous space easily
o No waste of space
o No need to traverse the entire list (if # free blocks recorded

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Linked Free Space List on Disk

Grouping
Modify linked list to store address of next n-1 free blocks in first free block, plus a
pointer to next block that contains free-block-pointers (like this one).
Counting
Because space is frequently contiguously used and freed, with contiguous- allocation
allocation, extents, or clustering.
Keep address of first free block and count of following free
blocks. Free space list then has entries containing addresses
and counts.

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Secondary storage structure:

Overview of mass storage structure

Magnetic disks: Magnetic disks provide the bulk of secondary storage for modern
computer system . each disk platter has a flat circular shape, like a CD. Common platter
diameters range from 1.8 to 5.25 inches. The two surfaces of a platter are covered with a
magnetic material. We store information by it magnetically on the platters.

Moving head disk mechanism

A read /write head files just above each surface of every platter. The heads are attached to
a disk arm that 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 that are at one
arm position makes up a cylinder. There may be thousands of concentric cylinders in a
disk drive, and each track may contain hundreds of sectors.

When the disk in use, a driver motor spins it at high speed. Most drivers rotate 60 to
200 times per second. Disk speed has 2 parts. The transfer rate is the at which data flow
between the drive and the computer. To read/write, the head must be positioned at the
desired track and at the beginning of the desired sector on the track, the time it takes to
position the head at the desired track is called seek time. Once the track is selected the
disk controller waits until desired sector reaches the read/write head. The time it takes
to reach the desired sector is called latency time or rotational dealy-access time. When
the desired sector reached the read/write head, then the real data transferring starts.

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A disk can be removable. Removable magnetic disks consist of one platter, held in a
plastic case to prevent damage while not in the disk drive. Floppy disks are in expensive
removable magnetic disks that have a soft plastic case containing a flexible platter. The
storage capacity of a floppy disk is 1.44MB.

A disk drive is attached to a computer by a set of wires called an I/O bus. The data
transfer on a bus are carried out by special processors called controllers. The host
controller is the controller at the computer end of the bus. A disk controller is built into
each disk drive . to perform i/o operation, the host controller operates the disk drive
hardware to carry out the command. Disk controllers have built in cache, data transfer at
the disk drive happens b/w cache and disk surface. Data transfer at the host, occurs b/w
cache and host controller.

Magnetic Tapes: magnetic tapes was used as an early secondary storage medium. It is
permanent and can hold large amount of data. It access time is slow compared to main
memory and magnetic disks. Tapes are mainly used for back up, for storage of
infrequently used information. Typically they store 20GB to 200GB.

Disk Structure: most disks drives are addressed as large one dimensional arrays of
logical blocks. The one dimensional array of logical blocks is mapped onto the sectors
of the disk sequentially. sector 0 is the fist sector of the first track on the outermost
cylinder. The mapping proceeds in order through that track, then through the rest of the
tracks in that cylinder, and then through the rest of the cylinder from outermost to inner
most. As we move from outer zones to inner zones, the number of sectors per track
decreases. Tracks in outermost zone hold 40% more sectors then innermost zone. The
number of sectors per track has been increasing as disks technology improves, and the
outer zone of a disk usually has several hundred sectors per track. Similarly, the number
of cylinders per disk has been increasing; large disks have tens of thousands of
cylinders.

Disk attachment

Computer access disk storage is 2 ways.

1. Via I/O ports(host attachedstorage)

2. Via a remote host in a distributed file system(network attachedstorage).

1 .Host attached storage : host attached storage are accessed via local I/O ports. The
desktop pc uses an I/O bus architecture called IDE. This architecture supports maximum
of 2 drives per I/O bus. High end work station and servers use SCSI and FC.

SCSI is an bus architecture which have large number of conductor’s in a ribbon cable
(50 or 68) scsi protocol supports maximum of 16 drives an bus. Host consists of a
controller card (SCSI Initiator) and upto 15 storage device called SCSI targets.

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Fc(fiber channel) is the high speed serial architecture. It operates mostly on optical
fiber (or) over 4 conductor copper cable. It has 2 variants. One is a large switched
fabric having a 24-bit address space. The other is an (FC-AL) arbitrated loop that can
address 126 devices.

A wide variety of storage devices are suitable for use as host attached.( hard disk,cd
,dvd,tape devices)

2.Network-attached storage: A(NAS) is accessed remotely over a data network .clients access
network attached storage via remote procedure calls. The rpc are carried via tcp/udp over an ip
network-usually the same LAN that carries all data traffic to theclients.

NAS CLIENT
LAN/WAN
CLIENT
NAS

NAS provides a convenient way for all the computers on a LAN to share a pool of storage
with the same ease of naming and access enjoyed with local host attached storage .but it
tends to be less efficient and have lower performance than direct attached storage.

3.Storage area network: The drawback of network attached storage(NAS) is storage I/O
operations consume bandwidth on the data network. The communication b/w servers and
clients competes for bandwidth with the communication among servers and storagedevices.

A storage area network(SAN) is a private network using storage protocols connecting

servers and storage units. The power of a SAN is its flexibility. multiple hosts and
multiple storage arrays can attach to the same SAN, and storage can be dynamically
allocated to hosts. SANs make it possible for clusters of server to share the same storage.

Disk Scheduling Algorithms

Disk scheduling algorithms are used to allocate the services to the I/O requests on the
disk . Since seeking disk requests is time consuming, disk scheduling algorithms try to
minimize this latency. If desired disk drive or controller is available, request is served
immediately. If busy, new request for service will be placed in the queue of pending
requests. When one request is completed, the Operating System has to choose which
pending request to service next. The OS relies on the type of algorithm it needs when
dealing and choosing what particular disk request is to be processed next. The objective
of using these algorithms is keeping Head movements to the amount as possible. The less
the head to move, the faster the seek time will be. To see how it works, the different disk
scheduling algorithms will be discussed and examples are also provided for better
understanding on these different algorithms.

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1. First Come First Serve(FCFS)

It is the simplest form of disk scheduling algorithms. The I/O requests are served or
processes according to their arrival. The request arrives first will be accessed and served
first. Since it follows the order of arrival, it causes the wild swings from the innermost
to the outermost tracks of the disk and vice versa . The farther the location of the request
being serviced by the read/write head from its current location, the higher the seek time
will be.

Example: Given the following track requests in the disk queue, compute for the Total
Head Movement (THM) of the read/write head :

95, 180, 34, 119, 11, 123, 62, 64

Consider that the read/write head is positioned at location 50. Prior to this track location
199 was serviced. Show the total head movement for a 200 track disk (0-199).
Solution:

Total Head Movement Computation: (THM) =

(180 - 50) + (180-34) + (119-34) + (119-11) + (123-11) + (123-62) + (64-62) =

130 + 146 + 85 + 108 + 112 + 61 + 2 (THM) = 644 tracks

Assuming a seek rate of 5 milliseconds is given, we compute for the seek time

using the formula: Seek Time = THM * Seek rate

=644 * 5 ms

Seek Time = 3,220 ms.

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2. Shortest Seek Time First(SSTF):

This algorithm is based on the idea that that he R/W head should proceed to the track that
is closest to its current position . The process would continue until all the track requests
are taken care of. Using the same sets of example in FCFS the solution are as follows:

Solution:

(THM) = (64-50) + (64-11) + (180-11) =

14 + 53 + 169 (THM) = 236 tracks

Seek Time = THM * Seek rate

= 236 * 5ms

Seek Time = 1,180 ms

In this algorithm, request is serviced according to the next shortest distance. Starting at
50, the next shortest distance would be 62 instead of 34 since it is only 12 tracks away
from 62 and 16 tracks away from 34 . The process would continue up to the last track
request. There are a total of 236 tracks and a seek time of 1,180 ms, which seems to be a
better service compared with FCFS which there is a chance that starvation3 would take
place. The reason for this is if there were lots of requests closed to each other, the other
requests will never be handled since the distance will always be greater .

3. SCAN SchedulingAlgorithm

This algorithm is performed by moving the R/W head back-and-forth to the innermost
and outermost track. As it scans the tracks from end to end, it process all the requests
found in the direction it is headed. This will ensure that all track requests, whether in the
outermost, middle or innermost location, will be traversed by the access arm thereby

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finding all the requests. This is also known as the Elevator algorithm. Using the same sets
of example in FCFS the solution are as follows:

Solution:

This algorithm works like an elevator does. In the algorithm example, it scans down
towards the nearest end and when it reached the bottom it scans up servicing the
requests that it did not get going down. Ifa request comes in after it has been scanned, it
will not be serviced until the process comes back down or
moves back up. This process moved a total of 230 tracks and a seek time of 1,150.
This is optimal than the previous algorithm.

4 .LOOK Scheduling Algorithm

This algorithm is similar to SCAN algorithm except for the end-to-end reach of each
sweep. The R/W head is only tasked to go the farthest location in need of servicing. This
is also a directional algorithm, as soon as it is done with the last request in one direction
it then sweeps in the other direction. Using the same sets of example in FCFS the
solution are as follows:

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Solution:

Seek Time = THM * Seek rate

= 208 * 5ms Seek Time = 1,040 ms .
This algorithm has a result of 208 tracks and a seek rate of 1,040 milliseconds.
This algorithm is better than the previous algorithm.

4. Circular SCAN (C-SCAN)Algorithm

This algorithm is a modified version of the SCAN algorithm. C-SCAN sweeps the disk
from end-to-end, but as soon it reaches one of the end tracks it then moves to the other
end track without servicing any requesting location. As soon as it reaches the other end
track it then starts servicing and grants requests headed to its direction. This algorithm
improves the unfair situation of the end tracks against the middle tracks. Using the same
sets of example in FCFS the solution are as follows:

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Notice that in this example an alpha3 symbol (α) was used to represent the dash line.
This return sweeps is sometimes given a numerical value which is included in the
computation of the THM . As analogy, this can be compared with the carriage return
lever of a typewriter. Once it is pulled to the right most direction, it resets the typing
point to the leftmost margin of the paper . A typist is not supposed to type during the
movement of the carriage return lever because the line spacing is being adjusted . The
frequent use of this lever consumes time, same with the time consumed when the R/W
head is reset to its starting position.

Assume that in this example, α has a value of 20ms, the computation

would be as follows: (THM) = (50-0) + (199-62) + α

= 50 + 137 + 20 (THM)

= 207 tracks

Seek Time = THM *

Seek rate

= 187 * 5ms Seek Time = 935 ms .

The computation of the seek time excluded the alpha value because it is not an actual
seek or search of a disk request but a reset of the access arm to the starting position .

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Disk management

Disk formatting: A magnetic disk is a blank slate. It is just a platter of a magnetic

recording material. before a disk can store data , it must be divided into sectors that the
disk controller can read and write. This process is called low level formatting
(or)physical formatting. low level formatting fills the disk with a special data structure
for each sector .the Data structure for a sector typically consists of a header, a data area,
a trailer . the header and trailer contain information used by the disk controller ,such as a
sector number and an error correcting code(ECC). When the controller writes a sector of
data during normal I/O, the ECC is updated with a value calculated from all the bytes in
the data area . when the sector is read ,the ECC is recalculated and compared with the
stored value. If the stored and calculated numbers are different, this mismatch indicates
that the data area of this sector has become corrupted, and that the disk sector may be
bad. ECC contains enough information, if only few bits of data have been corrupted, to
enable the controller to identify which bits have changed and calculate what their correct
values should be. The controller automatically does the ECC processing what ever a
sector is read/written for many hard disks, when the disk controller is instructed to low
level format the disk, it can also be told how many bytes of data space to leave between
the header and trailer of all sectors.
Before it can use a disk to hold files , OS still needs to record its own data structures on
the disk. It does in 2 steps. The first step is to partition the disk in to one/more groups of
cylinders. OS can treat each partition as a separate disk. The second step is logical
formatting (or)creation of file system. In this step, OS stores the initial File system data
structures on to the disk. These data structures include maps of free and allocate space
and initial empty directory.

Boot block:-

When a computer is powered up -it must have an initial program to run. This initial
bootstrap program initializes all aspects of the system, from CPU registers to device
controllers, and the contents of main memory, and then starts the OS. To do its job, the
bootstrap program finds the OS kernel on disk, loads that kernel into memory and jumps
to an initial address to begin the OS execution. For most computers, the bootstrap is
stored in ROM. This location is convenient, because ROM needs no initialization and is
at a fixed location that the CPU can start executing when powered up, ROM is read only,
it cannot be infected by computer virus. The problem is that changing this bootstrap code
requires changing the ROM hardware chips. For this reason, most systems store a tiny
bootstrap loader program in the boot ROM whose job is to bring in a full bootstrap
program from disk. The full bootstrap program is stored in the boot blocks at a fixed
location on the disk. A disk that has a boot partition is called a boot disk or system disk.
The code in the boot ROM instructs the disk controller to read the boot blocks into
memory and then starts executing that code.

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Bad blocks:-

A Block in the disk damaged due to the manufacturing defect or virus or physical
damage. This defector block is called Bad block. MS-DOS format command, scans the
disk to find bad blocks. If format finds a bad block, it tells the allocation methods not to
use that block. Chkdsk program search for the bad blocks and to lock them away. Data
that resided on the bad blocks usually are lost. The OS tries to read logical block 87.
The controller calculates ECC and finds that the sector is bad. It reports this finding to
the OS. The next time the system is rebooted, a special command is run to tell the SCS
controller to replace the bad sector
with a spare.
After that, whenever the system requests logical block 87, the request is translated into
the replacement sectors address by the controller.

Sector slipping:-

Logical block 17 becomes defective and the first available spare follows sector 202.
Then, sector slipping remaps all the sectors from 17 to 202, sector 202 is copied into the
spare, then sector 201 to 202, 200 to 201 and so on. Until sector 18 is copied into sector
19. Slipping the sectors in this way frees up the space of sector 18.

Swap space management:-

System that implements swapping may use swap space to hold an entire process image,
including the code and data segments. Paging systems may simply store pages that have
been pushed out of main memory. Note that it may be safer to overestimate than to
underestimate the amount of swap space required, because if a system runs out of swap
space it may be forced to abort processes. Overestimation wastes disk space that could
otherwise be used for files, but it does no other harm. Some systems recommend the
amount to be set aside for swap space. Linux has suggested setting swap space to
double the amount of physical memory. Some OS allow the use of multiple swap
spaces. These swap spaces as put on separate disks so that load placed on the (I/O)
system by paging and swapping can be spread over the systems I/O devices.

Swap space location:-

A Swap space can reside in one of two places. It can be carved out of normal file system
(or) it can be in a separate disk partition. If the swap space is simply a large file, within
the file system, normal file system methods used to create it, name it, allocate its space. It
is easy to implement but inefficient. External fragmentation can greatly increase
swapping times by forcing multiple seeks during reading/writing of a process image. We
can improve performance by caching the block location information in main memory and
by using special tools to allocate physically contiguous blocks for the swap file.
Alternatively, swap space can be created in a separate raw partition. a separate swap
space storage manager is used to allocate
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/deal locate the blocks from the raw partition. this manager uses algorithms optimized for
speed rather than storage efficiency. Internal fragmentation may increase but it is
acceptable because life of data in swap space is shorter than files. since swap space is
reinitialized at boot time, any fragmentation is short lived. the raw partition approach
creates a fixed amount of swap space during disk partitioning adding more swap space
requires either repartitioning the disk (or) adding another swap space elsewhere.

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UNIT-5
Deadlocks - System Model, Deadlock Characterization, Methods for Handling Deadlocks,
Deadlock Prevention, Deadlock Avoidance, Deadlock Detection, Recovery from Deadlock.
Protection - System Protection, Goals of Protection, Principles of Protection, Domain of
Protection, Access Matrix, Implementation of Access Matrix, Access Control, Revocation of
Access Rights, Capability-Based Systems, Language-Based Protection.
DEADLOCKS
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 consisting of
some number of identical instances. Memory space, CPU cycles, files, I/O devices are
examples of resource types. If a system has 2 CPUs, then the resource type CPU has 2
instances.
A process must request a resource before using it and must release the resource after using
it. A process may request as many resources as it requires to carry out its task. The number
of resources as it requires to carry out its task. The number of resources requested may not
exceed the total number of resources available in the system. A process cannot request 3
printers if the system has only two.
A process may utilize a resource in the following sequence:
(I) REQUEST: The process requests the resource. If the request cannot be granted
immediately (if the resource is being used by another process), then therequesting process
must wait until it can acquire theresource.
(II) USE: The process can operate on the resource .if the resource is a printer, the
process can print on theprinter.
(III) RELEASE: The process release theresource.
For each use of a kernel managed by a process the operating system checks that the process
has requested and has been allocated the resource. A system table records whether each
resource is free (or) allocated. For each resource that is allocated, the table also records the
process to which it is allocated. If a process requests a resource that is currently allocated to
another process, it can be added to a queue of processes waiting for this resource.
To illustrate a deadlocked state, consider a system with 3 CDRW drives. Each of 3 processes
holds one of these CDRW drives. If each process now requests another drive, the 3 processes
will be in a deadlocked state. Each is waiting for the event “CDRW is released” which can be
caused only by one of the other waiting processes. This example illustrates a deadlock
involving the same resource type.

Deadlocks may also involve different resource types. Consider a system with one printer and
one DVD drive. The process Pi is holding the DVD and process Pj is holding the printer. If Pi
requests the printer and Pj requests the DVD drive, a deadlock occurs.
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DEADLOCK CHARACTERIZATION:
In a deadlock, processes never finish executing, and system resources are tied up, preventing
other jobs from starting.
NECESSARY CONDITIONS:
A deadlock situation can arise if the following 4 conditions hold simultaneously in a
system:
1. MUTUAL EXCLUSION: Only one process at a time can use the resource. If
another process requests that resource, the requesting process must be delayed until
theresource has beenreleased.
2. HOLD AND WAIT: A process must be holding at least one resource and
waitingto acquire additional resources that are currently being held by otherprocesses.
3. NO PREEMPTION: Resources cannot be preempted. A resource can be released
only voluntarily by the process holding it, after that process has completed itstask.
4. CIRCULAR WAIT: A set {P0,P1,…..Pn} of waiting processes must exist such that
P0 is waiting for resource held by P1, P1 is waiting for a resource held by P2,……,Pn-1 is
waiting for a resource held by Pn and Pn is waiting for a resource held byP0.
RESOURCE ALLOCATION GRAPH
Deadlocks can be described more precisely in terms of a directed graph called a system
resource allocation graph. This graph consists of a set of vertices V and a set of edges E. the
set of vertices V is partitioned into 2 different types of nodes:
P = {P1, P2….Pn}, the set consisting of all the active processes in the system. R=
{R1, R2….Rm}, the set consisting of all resource types in the system.
A directed edge from process Pi to resource type Rj is denoted by Pi ->Rj. It signifies that
process Pi has requested an instance of resource type Rj and is currently waiting for that
resource.
A directed edge from resource type Rj to process Pi is denoted by Rj ->Pi, it signifies
that an instance of resource type R j has been allocated to process Pi.
A directed edge Pi ->Rj is called a requested edge. A directed
edge Rj->Piis called an assignmentedge.
We represent each process Pi as a circle, each resource type Rj as a rectangle. Since resource
type Rj may have more than one instance. We represent each such instance as a dot within the
rectangle. A request edge points to only the rectangle Rj. An assignment edge must also
designate one of the dots in therectangle.
When process Pi requests an instance of resource type Rj, a request edge is inserted in the
resource allocation graph. When this request can be fulfilled, the request edge is
instantaneously transformed to an assignment edge. When the process no longer needs access
to the resource, it releases the resource, as a result, the assignment edge is deleted.
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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}

One instance of resource type R1

Two instances of resource type
R2 One instance of resource type
R3 Three instances of resource
type R4 PROCESS STATES:
Process P1 is holding an instance of resource type R2 and is waiting for an instance of
resource type R1.
Process P2 is holding an instance of R1 and an instance of R2 and is waiting for instance of R3.
Process P3 is holding an instance of R3.
If the graph contains no cycles, then no process in the system is
deadlocked. If the graph does contain a cycle, then a deadlock may exist.
Suppose that process P3 requests an instance of resource type R2. Since no resource instance is
currently available, a request edge P3 ->R2 is added to the graph.
2 cycles:
P1 ->R1 ->P2 ->R3 ->P3 ->R2 -
>P1 P2 ->R3 ->P3 ->R2 ->P2

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Processes P1, P2, P3 are deadlocked. Process P2 is waiting for the resource R3, which is held
by process P3.process P3 is waiting for either process P1 (or) P2 to release resource R2. In
addition, process P1 is waiting for process P2 to release resource R1.

We also have a cycle: P1 ->R1 ->P3 ->R2 ->P1

However there is no deadlock. Process P4 may release its instance of resource type R 2.
That resource can then be allocated to P3, breaking the cycle.
DEADLOCK PREVENTION
For a deadlock to occur, each of the 4 necessary conditions must held. By ensuring that at
least one of these conditions cannot hold, we can prevent the occurrence of a deadlock.

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Mutual Exclusion – not required for sharable resources; must hold for
nonsharable resources
Hold and Wait – must guarantee that whenever a process requests a resource, it
does not hold any other resources
o Require process to request and be allocated all its resources
before it begins execution, or allow process to request resources only
when the process has none
o Low resource utilization; starvation possible
No Preemption –
o If a process that is holding some resources requests another resource
that cannot be immediately allocated to it, then all resources currently
being held are released
o Preempted resources are added to the list of resources for which
the process is waiting
o Process will be restarted only when it can regain its old resources, as
well as the new ones that it is requesting
Circular Wait – impose a total ordering of all resource types, and require that
each process requests resources in an increasing order of enumeration
Deadlock Avoidance
Requires that the system has some additional a priori information available
 Simplest and most useful model requires that each process declare the maximum number
of resources of each type that it may need
 The deadlock-avoidance algorithm dynamically examines the resource-
allocation state to ensure that there can never be a circular-wait condition
 Resource-allocation state is defined by the number of available and allocated
resources, and the maximum demands of the processes .
Safe State
 When a process requests an available resource, system must decide if
immediate allocation leaves the system in a safe state
System is in safe state if there exists a sequence <P1, P2, …, Pn> of ALL the
processes in the systems such that for each P i, the resources that Pi can still
request can be satisfied by currently available resources + resources held by
all the Pj, with j <I
That is:
o If Pi resource needs are not immediately available, then Pi can wait until all
Pjhave finished
o When Pj is finished, Pi can obtain needed resources, execute,
return allocated resources, and terminate
o When Pi terminates, Pi +1 can obtain
its needed resources, and so on If a system is in safe state
no deadlocks
If a system is in unsafe state possibility of deadlock
Avoidance ensure that a system will never enter an unsafe state
Avoidance algorithms
Single instance of a resource type
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o Use a resource-allocation graph Multiple instances of a resource type

o Use the banker’s algorithm
Resource-Allocation Graph Scheme
Claim edgePiÆRj indicated 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

Unsafe State In Resource-Allocation Graph

Banker’s Algorithm
Multiple instances
Each process must a priori claim maximum use
When a process requests a resource it may have to wait
When a process gets all its resources it must return them in a finite amount
of time Let n = number of processes, and m = number of resources types.
Available: Vector of length m. If available [j] = k, there are k instances of resource type
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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 Work and Finish be vectors of length m and n,
respectively. Initialize: Work = Available
Finish [i] = false fori = 0, 1, …,n- 1
2. Find an isuch that both:
(a) Finish [i] = false
(b) Needi£Work
If no such iexists, go to step 4
3. Work =
Work + Allocationi
Finish[i] = true
go to step 2
4. IfFinish [i] == true for all i, then the system is in a safe state
Resource-Request Algorithm for Process Pi
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;
o If safe the resources are allocated to Pi
o If unsafe Pi must wait, and the old resource-allocation state is restored

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Example of Banker’s Algorithm(REFER CLASS NOTES)

consider 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 0 1 0 753 332
P1 2 0 0 322
P2 3 0 2 902
P3 2 1 1 222
P4 0 0 2 433
Σ The content of the matrix Need is defined to be Max –
Allocation Need
ABC
The system is in a safe state since the sequence <P1, P3, P4, P2, P0>
satisfies safety criteria

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P1 Request (1,0,2)
Check that Request £ Available (that is, (1,0,2) £ (3,3,2) true
Allocation Need Available
ABC ABC ABC
P0 0 1 0 743 230
P1 3 0 2 020
P2 3 0 2 600
P3 2 1 1 011
P4 0 0 2 431
Executing safety algorithm shows that sequence <P1, P3, P4, P0, P2> satisfies safety requirement
Deadlock Detection
Allow system to enter
deadlock state Detection
algorithm
Recovery scheme
Single Instance of Each Resource Type
Maintain wait-
for graph
Nodes are
processes
PiÆPjif Piis
waiting forPj
Periodically invoke an algorithm that searches for a cycle in the graph. If there is a cycle,
there exists a deadlock
An algorithm to detect a cycle in a graph requires an order of n2 operations,
where n is the number of vertices in the graph
Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

Several Instances of a Resource Type

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 [i][j] = k, then process Pi is requesting k more instances of resource type.Rj.
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Detection Algorithm
Let Work and Finish be vectors of length m and n, respectively Initialize:
(a) Work = Available
(b) For i = 1,2, …, n, if
Allocationiπ 0, then Finish[i] =
false; otherwise, Finish[i] = true
2. Find an index isuch that both:
(a) Finish[i] == false
(b) Requesti£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] == false, for some i, 1 £i£n, then the system is in deadlock state. Moreover, if
Finish[i] == false, then Pi is deadlocked
Recovery from Deadlock:
Process Termination
Abort all deadlocked processes
Abort one process at a time until the deadlock cycle is
eliminated In which order should we choose to abort?
o Priority of the process
o How long process has computed, and how much longer to completion
o Resources the process has used
o Resources process needs to complete
o How many processes will need to be terminated
o Is process interactive or batch?
Resource Preemption
Selecting a victim – minimize cost
Rollback – return to some safe state, restart process for that state
Starvation – same process may always be picked as victim, include number of
rollback in cost factor

PROTECTION
Goals of Protection:
In one protection model, computer consists of a collection of objects,
hardware or software
Each object has a unique name and can be accessed through a well-
defined set of operations
Protection problem - ensure that each object is accessed correctly and only by
those processes that are allowed to do so
Principles of Protection
Guiding principle – principle of least privilege
o Programs, users and systems should be given just enough
privileges to perform their tasks
o Limits damage if entity has a bug, gets abused
o Can be static (during life of system, during life of process)
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o Or dynamic (changed by process as needed) – domain

switching, privilege escalation
o “Need to know” a similar concept regarding
access to data Must consider “grain” aspect
o Rough-grained privilege management easier, simpler, but least
privilege now done in large chunks
o For example, traditional Unix processes either have
abilities of the associated user, or of root
o Fine-grained management more complex, more overhead, but more protective
o File ACL lists, RBAC
o Domain can be user, process, procedure

Domain Structure
Access-right = <object-name, rights-set>
where rights-set is a subset of all valid operations that can be performed on the
object Domain = set of access-rights

Systems with 3 protection domains

We have 3 domains D1,D2,D3. The access right <O4,{print}>

is shared by D2 and D3, implying that a process executing in either of these two
domains can print object O4. A process must be executing in domain D1 to read and
write object O1, while only processes in domain D3 may execute object O1.
A domain can be realized in a variety of ways:
a) Each user may be a domain, the set of objects that can be accessed depends on the
identity of the user. Domain switching (enabling the process to switch from one
domain to another) occurs when the user is changed generally when one user logs out
andanother userlog- in.
b) Each process may be a domain. The set of objects that can be accessed depends on
the identity of the process. Domain switching occurs when one process sends a
messageto another process and then waits for response.
c) Each procedure may be a domain. The set of objects that can be accessed
corresponding to the local variables defined with in the procedure.Domain switching
occurs when a procedure call ismade.

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Access Matrix
Our model of protection can be viewed abstractly as a matrix, called an access matrix.
The rows of the access matrix represents domains, columns represent objects. Each
entry in the matrix consists of a set of access rights. The entry access(i,j) defines the set
of operations that a process executing in domain Di can invoke on object Oj.

`There are 4 domains and 4 objects- 3 files(F1,F2,F2) And one printer. A process
executing in domain D1 can read files F1 and F3. A process executing in domain D4
has the same privileges as one executing in domain D1, but in addition, it can also write
onto files F1 and F3. Note that the printer can be accessed only by a process executing
in domain D2.
The access matrix can be implement policy decisions concerning protection. The
policy decisions involve which rights should be included in the (i,j)th entry. We must
also decide the domain in which each process executes.
When a user creates a new object Oj, the column Oj is added to the access matrix with
the appropriate initialization entries.
Processes should be able to switch from one domain to another. Switching from
domain Di to domain Dj is allowed if only if the access right; switch belongs to access
(i,j). a process executing in domain D2 can switch to domain D3 or to domain D4. A
process in domain D4 can switch to D1 and one in domain D1 can switch to D2.
Access matrix design separates mechanism from policy
o Mechanism
Operating system provides access-matrix + rules
If ensures that the matrix is only manipulated by authorized agents and that rules are strictly enforced
o Policy
User dictates policy Who can access what object and in what mode But doesn’t solve
the general confinement problem

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Access Matrix of Figure A with Domains as Objects

Access Matrix with Copy Rights

The ability to copy an access from one domain of the access matrix to another is
denoted by an asterisk(*) appended to the access right. The copy right allows the access
right to be copied only with in the column for which the right is defined . a process
executing in domain D2 can copy the read operation into any entry associated with file
F2.
This schme has 2 variants:
A right is copied from access(i,j) to access (k,j) ; it is then removed from access (i,j).
this action is a transfer of a right, rather than a copy.
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Propagation of the copy right may be limited. When the right R* is copied from access (i,j)
to access (k,j) only the right R (not R*) is created. A process executing in domain Dk
cannot further copy the right R.

Access Matrix With Owner Rights

Implementation of Access Matrix

Σ Generally, a sparse matrix
Σ Option 1 – Global table
o Store ordered triples < domain, object, rights-set > in table
o A requested operation M on object Oj within domain Di -> search
table for < Di, Oj, Rk >
4 with M ∈ Rk
o But table could be large -> won’t fit in main memory
o Difficult to group objects (consider an object that all domains can read)
Σ Option 2 – Access lists for objects
o Each column implemented as an access list for one object
o Resulting per-object list consists of ordered pairs < domain, rights-
set > defining all domains with non-empty set of access rights for the
object
o Easily extended to contain default set -> If M ∈ default set, also allow access
Σ Each column = Access-control list for
one object Defines who can perform what
operation
Domain 1 = Read, Write Domain 2 = Read Domain 3 = Read
Σ Each Row = Capability List (like a key)
For each domain, what operations allowed on what
objects Object F1 – Read
Object F4 – Read, Write,
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Execute Object F5 – Read,

Write, Delete, Copy Σ Option
3 – Capability list for
domains
o Instead of object-based, list is domain based
o Capability list for domain is list of objects together with
operations allows on them
o Object represented by its name or address, called a capability
o Execute operation M on object Oj, process requests operation and specifies
capability as parameter
4 Possession of capability means access is allowed
o Capability list associated with domain but never directly accessible by domain
4 Rather, protected object, maintained by OS and accessed indirectly
4 Like a “secure pointer”
4 Idea can be extended up to applications
Σ Option 4 – Lock-key
o Compromise between access lists and capability lists
o Each object has list of unique bit patterns, called locks
o Each domain as list of unique bit patterns called keys
o Process in a domain can only access object if domain has key that
matches one of the locks

Access Control

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Protection can be applied to non-file resources

Solaris 10 provides role-based access control (RBAC) to implement least privilege
o Privilege is right to execute system call or use an option within a system call
o Can be assigned to processes
o Users assigned roles granting access to privileges
and programs Enable role via password to gain its
privileges
o Similar to access matrix

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Revocation of Access Rights

o Immediate vs. delayed
o Selective vs. general
o Partial vs. total
o Temporary vs. permanent
Access List – Delete access rights from access list
o Simple – search access list and remove entry
o Immediate, general or selective, total or partial, permanent or
temporary Capability List – Scheme required to locate capability in the
system before capability can be revoked
o Reacquisition – periodic delete, with require and denial if revoked
o Back-pointers – set of pointers from each object to all capabilities
of that object (Multics)
o Indirection – capability points to global table entry which points to object – delete
entry from global table, not selective (CAL)
o Keys – unique bits associated with capability, generated when
capability created Master key associated with object, key matches master
key for access
Revocation – create new master key
Policy decision of who can create and modify keys – object owner or others?
Capability-
Based Systems
Hydra
o Fixed set of access rights known to and interpreted by the system
i.e. read, write, or execute each memory segment
User can declare other auxiliary rights and register those with
protection system Accessing process must hold capability and know
name of operation
Rights amplification allowed by trustworthy procedures for a specific type
o Interpretation of user-defined rights performed solely by user's program;
system provides access protection for use of these rights
o Operations on objects defined procedurally – procedures are
objects accessed indirectly by capabilities
o Solves the problem of mutually suspicious subsystems
o Includes library of prewritten security routines
Cambridge CAP System
o Simpler but powerful
o Data capability - provides standard read, write, execute of
individual storage segments associated with object – implemented in
microcode
o Software capability -interpretation left to the subsystem,
through its protected procedures
Only has access to its own subsystem
Programmers must learn principles and techniques of protection
Language-Based Protection
 Specification of protection in a programming language allows the high-level
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description of policies for the allocation and use of resources

 Language implementation can provide software for protection
enforcement when automatic hardware-supported checking is unavailable
 Interpret protection specifications to generate calls on whatever protection
system is provided by the hardware and the operating system

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